Public Pack - Wrexham County Borough Council

Public Document Pack Head of Corporate and Customer Services/ Pennaeth Gwasanaethau Cwsmeriaid a Chorfforaethol

Trevor Coxon LLB (Hons) Birm Solicitor Guildhall, Wrexham, LL11 1AY Neuadd y Dref, Wrecsam, LL11 1AY DX: 721924 - WREXHAM 4 Fax/Ffacs: 01978 292207 BT Text Phone: 01978 292067 www.wrexham.gov.uk www.wrecsam.gov.uk

Your Ref/Eich Cyf Our Ref/Ein Cyf Date/Dyddiad Ask for/Gofynner am Direct Dial/Rhif Union E-mail/E-bost

Wednesday, 15 October 2014 Jane Johnson 01978 292236 [email protected]

Dear Councillor You are requested to attend a MEETING of the EXECUTIVE BOARD of Wrexham County Borough Council to be held in the COUNCIL CHAMBER, GUILDHALL, WREXHAM on TUESDAY, 21 OCTOBER 2014 at 2.00 pm for the transaction of the business specified in the Agenda overleaf. Yours faithfully

Head of Corporate and Customer Services

WEBCASTING NOTICE This meeting will be filmed for live and subsequent broadcast on the Council's website or may be used for training purposes within the Council. The whole of the meeting will be filmed, except those items which are deemed to be exempt by virtue of Part 4 of Schedule 12A to the Local Government Act 1972 (as amended). The footage will be retained on the Council’s website for 6 months. Generally the public seating areas are not filmed. However, by entering the Chamber you are consenting to being filmed and to the possible use of those images and any sound recordings for webcasting and/or training purposes. Parents or guardians accompanying a minor aged 16 years or younger are also deemed to have given consent to the possible capture of their image. If you have any queries regarding this, please contact the Committee Services Manager on 292236.

AGENDA PLEASE NOTE: Any Member of the Council may attend for Agenda Item 1(b) at 2.00 pm to ask questions, but, in accordance with previously agreed arrangements, Members who know in advance that they wish to ask a question should let the Head of Corporate and Customer Services have notice of their questions by no later than 4.45 pm on Friday, 17 October 2014. 1

Questions (a)

Public Questions/Statements

(b)

Members’ Questions

2

Apologies for Absence

3

Declaration of Personal Interest, if any

4

Minutes To confirm as a correct record the Minutes of the Executive Board meeting held on 7 October 2017 (copy to follow).

5

Play Sufficiency Duty To consider the report of the Lead Member for Children’s Services and Education (Pages 5 - 14)

6

Strategic Commissioning To consider the report of the Lead Member for Communities, Partnership and Collaboration (Pages 15 - 26)

7

Together in Wrexham To consider the report of the Lead Member for Communities, Partnership and Collaboration (Pages 27 - 34)

8

Heritage Service Collection Development Policies 2014 - 2019 To consider the report of the Lead Member for Communities, Partnership and Collaboration (Pages 35 - 58)

9

Tenant Participation To consider the report of the Lead Member for Housing (Pages 59 - 82)

10

The New Council Housing Allocations Policy To consider the report of the Lead Member for Housing (Pages 83 - 132)

11

Promoting Mental Well-Being at Work Policy To consider the report of the Lead Members for Environment and Public Protection (Pages 133 - 174)

12

Coedpoeth and Brymbo Land Remediation Scheme To consider the report of the Lead Member for Environment and Public Protection (Pages 175 - 180)

13

Reshaping Services To consider the report of the Lead Member for Policy, Finance, Performance, Planning and Governance (Pages 181 - 184)

14

Non HRA Capital Programme To consider the report of the Lead Member for Policy, Finance, Performance, Planning and Governance (Pages 185 - 218)

15

Any other items which the Chair decides are urgent

16

Exclusion of Press and Public In considering whether to exclude the press and public from the next part of the meeting Members are asked to consider the following factors when determining the public interest test. Agenda Item 17 - Not for publication by virtue of paragraphs 12, 13 and 14 of Part 4 of Schedule 12A to the Local Government Act 1972 (as amended). The Proper Office has determined in considering this report that paragraphs 12, 13 and 14 should apply. His view on the public interest test in relation to paragraphs 12 and 13 was that to make the information public would disclose personal data relating to individuals in contravention of the principles of the Data Protection Act, that the individuals concerned were entitled to privacy and that there was no overriding public interest which required the disclosure of their identity. In relation to paragraph 14 his view was that while he was mindful of the need to ensure the transparency and accountability of public authorities for decisions taken by them, the right of the authority and a third party to the privacy of their financial/business affairs outweighed the need for that information to be made public. On that basis he felt that the public interest in maintaining the exemption outweighs the public interest in disclosing the information. It is, therefore, recommended that the press and public be excluded from the Meeting during consideration of the following item as it is likely that, if they were present, there would be disclosure to them of exempt information as defined in Paragraphs 12, 13 and 14 of Part 4 of Schedule 12A to the Local Government Act 1972 (as amended).

17

Centre 67, Rhosddu Road, Wrexham To consider the report of the Lead Member for Policy, Finance, Performance, Planning and Governance (Pages 219 - 226)

18

Any other items which the Chair decides are urgent INFORMATION REPORTS The following Information Report has been circulated to Members since the last Meeting of the Executive Board: •

TO:

Provisional Local Government Revenue and Capital Settlement 2015/16

THE CHAIR AND MEMBERS OF THE EXECUTIVE BOARD

Councillors Andrew Bailey David A Bithell Kevin Hughes Hugh Jones Mrs J M Lowe

Councillors Carole O'Toole MBE Mark Pritchard (Chair) I Roberts (Vice-Chair) Neil Rogers Michael Williams

Agenda Item 5

1.

REPORT TO:

Executive Board

REPORT NO:

HLL/19/14

DATE:

21 October 2014

LEAD MEMBER:

Councillor Michael Williams (Children’s Services and Education)

CONTACT OFFICER:

Mike Barclay (Tel: 298360)

SUBJECT:

Play Sufficiency Duty

WARD:

All

PURPOSE OF THE REPORT To consider progress made in respect of the play sufficiency agenda in Wrexham and approve an updated action plan for October 2014 to March 2016, enabling the local authority to fulfil its statutory duty to assess for and secure sufficient play opportunities for children.

2.

EXECUTIVE SUMMARY

2.1

Section 11 of the Children and Families (Wales) Measure 2010 places a statutory duty on all local authorities to assess and secure sufficient play opportunities for children. The Welsh Government commenced the first part of this duty on 2 November 2012 with Wrexham consequently submitting its first Play Sufficiency Assessment (PSA) to the Welsh Government on 1 March 2013. The local authority’s Executive Board subsequently endorsed the priorities and associated actions identified through the PSA on 9 April 2013. The Welsh Government then commenced the second part of the duty in July 2014 placing a requirement on local authorities to take action to secure sufficient play opportunities with regards to their PSA, so far as is reasonably practicable.

2.2

The Welsh Government updated its statutory guidance for local authorities in July 2014. The guidance repeatedly stresses the importance of both maintaining existing strengths and addressing shortcomings identified through the assessment process and encourages local authorities to: “make a firm commitment to work strenuously within their own structures; with partner organisations; with children and their families

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and communities to ensure that children have access to the play opportunities that they want and have a right to expect”. In particular the guidance goes on to recommend that: “local authorities should use all practical means available to them to maintain provision and services, and to increase and improve play opportunities for all children in their areas”. 2.3

The statutory guidance sets out the following timescales for submission to Welsh Government: ACTION Progress report on the play sufficiency action plan 13/14 Updated action plan 14/15 Progress Report Action Plan 15/16 New Play Sufficiency Assessment

REQUIRED BY 31 October 2014 31 October 2014 31 March 2015 31 March 2015 31 March 2016

Therefore in order to limit the amount of work involved it is recommended that the Executive Board approve an action plan for October 2014 to March 2016 rather than redeveloping yet another version in six months time. This action plan will take the local authority through to the point at which the play sufficiency assessment process must be revisited.

3.

RECOMMENDATIONS

3.1

That the Executive Board approves the 2014/16 Play Sufficiency Action Plan.

3.2

That the Executive Board receives a further report at the end of 2015/16 regarding the findings of the next play sufficiency assessment and progress made to date.

REASONS FOR RECOMMENDATIONS (i)

To ensure that the Local Authority complies with the Welsh Government’s statutory requirements under parts one and two of the Play Sufficiency Duty.

4.

BACKGROUND INFORMATION

4.1

Wrexham’s first play sufficiency assessment concluded that significant gains have been made in terms of supporting children’s play since the endorsement of Wrexham’s play strategy in 2009 and there are some excellent examples of work being carried out in Wrexham to uphold children’s right to play. However, it also recognised that the majority of work associated with the play strategy had tended to focus on the development of quality play provision, and whilst we need to secure these services and facilities in recognition of the significant contribution they make to play sufficiency, more of an emphasis needed to be placed on promoting children’s free time and space for play within the wider public realm. This focus was encapsulated within the following twelve priorities identified as a result of the play

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sufficiency assessment and subsequently endorsed by the Executive Board in April 2013: • • • • • • • • • • • •

Priority 1 Priority 2 Priority 3 Priority 4 Priority 5 Priority 6 Priority 7 Priority 8 Priority 9 Priority 10 Priority 11 Priority 12

Increase object play-time during term-time Enhance opportunities for playing in Winter Secure safer streets for play Secure a wider range of spaces for play Secure spaces for play in close proximity to children’s homes Ensure quality design for play value Secure a greater range of provision for young people Improve children’s subjective experience of time & space Increase parental permission for play Improve support for disabled and marginalised children Improve generalised negative attitudes towards children & their play Improve people’s perception of young people

The initial play sufficiency assessment provided robust evidence to use as baseline against which progress can be reviewed when the next play sufficiency assessment is completed in March 2016. 4.2

In the 18 months since the first play sufficiency assessment was completed in Wrexham, a significant amount of work has been undertaken in support of children’s play including efforts to progress actions set out in the original play sufficiency action plan for 2013/14. Furthermore, in January 2014 the local authority received an additional £58k from Welsh Government for increasing play opportunities for children. The timescales involved with this additional funding were extremely tight with proposals having to be developed and agreed upon within a 10 day period and all money spent by the end of March 2014. Priority was therefore given to actions which would potentially have the greatest impact on our ability to secure sufficient play opportunities for children across the county borough and that could realistically be achieved within this period. Reports detailing progress made against both the 2013/14 action plan and impacts of this additional funding can be found in Appendix 1.

4.3

The play sufficiency action plan for 2014/16 now aims to build on the principled approach established by the initial play sufficiency assessment by developing and sustaining local mechanisms and practices. This will enable the local authority to work towards securing sufficient opportunities for play for all children across the county borough. In particular this includes identifying and prioritising geographic areas where children report the lowest levels of satisfaction with their opportunities for play and making sure there is support available to improve the conditions within these communities.

4.4

The Welsh Government’s statutory guidance requires local authorities to: “undertake or secure the managerial and delivery functions necessary to achieve sufficient play opportunities. This will include the co-ordination of the required assessment of the cross cutting policy areas; the integration of the assessment results into the single strategic plan and the delivery of the play agenda by a sufficiently resourced, sized and qualified workforce”. Throughout this period the play development team have continued to drive the play sufficiency agenda, working collaboratively with colleagues throughout the local playwork sector, with various council departments and town and

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community councils. This has provided a sound infrastructure for the planning, delivery and evaluation of opportunities for play in all of its guises. 4.5

The second part of the play sufficiency duty has been commenced by Welsh Government on a ‘cost neutral basis’. While this means that additional financial resources are unlikely to be made available, it also suggests that there should be no reductions in the level of funding currently allocated to supporting children’s play. Fortunately, as a consequence of the infrastructure already in place in Wrexham, the majority of priorities identified through the play sufficiency assessment and the actions included in the 2014/16 plan can be delivered using existing resources. However, this relies heavily on Wrexham’s network of playwork provision and the local authority’s play development team, all of which are almost solely dependent on fixed-term external funding, in particular the Families First, Communities First programs and contributions from a small number of Town and Community councils. The latter funding source is particularly fragile due to the increasing demands on community councils but it has presented an opportunity for the play development team to work more closely with them to improve the quality of their local spaces for play. The nature of the funding for play though means that the main challenge for the local authority would be the sustainability of these services.

4.6

Since the play sufficiency assessment a number of local and national research projects have been carried out which closely relate to the play sufficiency agenda in Wrexham. In particular this research has further emphasised the importance of good environmental design and the role of playwork in cultivating a ‘culture of permissiveness’ within local communities, which results in children being afforded more freedom to go out and play. This leads to the conclusion that planning, environmental and playwork services are complimentary and are central to the local authority’s ability to secure sufficient opportunities for play across the county borough.

4.7

The research in Wrexham has also shown that children and parents talk about how improving opportunities for play can make an area a better place to live, in particular: “the more free-time children have to play in their neighbourhood, the stronger their attachment to the place may be” and that more people playing out more of the time in more places can improve community cohesion and strengthen intergenerational relationships. It is also clear that parents value the respite from direct caring duties when children are out playing and feel that this helps them to be better, less stressed, parents at other times. All of this will be of particular importance to children and families who also have to cope with the potentially damaging effects of living in poverty, recognising that with access to quality play opportunities “children can enjoy their childhood despite experiencing financial and social disadvantage”. Fortunately, in Wrexham there are examples of communities where children living in poorer economic conditions are reporting substantially higher levels of satisfaction with their opportunities for play, compared to children in other more affluent areas. This is at least in part due to the presence and practice of playworkers in these communities where play has become embedded and relationships are well established.

4.8

The findings of the Play Sufficiency Assessment and its subsequent action plans also forms part of the needs assessment and delivery plan for the Single Integrated Plan, as stipulated by Welsh Government. Whilst this provides a rich source of data to the development of the Single Integrated Plan, it also ensures that play provision remains integral to the development of children’s services in Wrexham.

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4.9

Policy Framework UNCRC The Children and Young Peoples Measure 2011 Welsh Government’s Child Poverty Strategy 2011 Council Plan 2012-16 (PE1) The Single Integrated Plan Children and Young People Planning Guidance 2011-14

4.10

Budget If the existing levels of funding allocated to play services in Wrexham via the Families First and Communities First programs can be maintained, there would be no further budget implications for the delivery of the proposed action plan for 2014/16. However should this funding cease the level of provision would need to be reviewed.

4.11

Legal The Local Authority has a statutory duty to complete the Play Sufficiency Assessment. The Local Authority’s Insurance Risk Manager was consulted during the process of the play sufficiency assessment.

4.12

Staffing There are currently no staffing implications associated with the Play Sufficiency Action Plans so long as the current infrastructure and level of provision is sustained.

4.13

Equality/Human Rights An equalities impact assessment was completed for the original Play Sufficiency Assessment (reference number: EIA/00759). Furthermore, during the consultation process specific actions were taken to ensure groups with protected characteristics were involved. This included facilitating focus groups with young carers, gypsy travellers, children with English as an additional language, disabled children and their parents, and members of the over 50s forum.

4.14

Risks Under part 1 of Section 11 of the Children and Families (Wales) Measure 2010, the Local Authority has a statutory duty to complete the play sufficiency assessment. As a consequence there may be risks associated with the Executive Board not endorsing the recommendations of this report.

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5.

CONSULTATION

5.1

Extensive consultation was carried out for the play sufficiency assessment using a variety of methods such as focus groups, questionnaires and semi-structured interviews. Over 850 individuals engaged in the process including 162 children in primary schools, questionnaire responses were received from 421 children and young people, 28 parents and carers participated in focus groups and 122 professionals from a range of sectors completed a workforce audit.

5.2

Further research carried out over the past 18 months in Wrexham has involved an additional 24 children, 24 parents and 12 professionals. In addition the play sufficiency action plan for 2014/16 has been developed in partnership with a range of professionals involved in the original play sufficiency assessment.

6.

EVALUATION OF OPTIONS

6.1

The Play Sufficiency Assessment does not require an options appraisal at this stage.

7.

SCRUTINY COMMITTEE COMMENTS

7.1

This report has not been considered by scrutiny committee.

BACKGROUND PAPERS WCBC Play Sufficiency Assessment 2013 Report on Play Sufficiency Action Plan 2013/14 Report on Increasing Play Opportunities Grant 2013/14 Statutory Guidance to Local Authorities on assessing for and securing sufficient play opportunities for children in their area

LOCATION Member’s Library Member’s Library Member’s Library Member’s Library

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WEBSITE INFO.

Appendix 1

Wrexham Play Sufficiency Action Plan - October 2014 to March 2016 Matters to be addressed Matter B: Providing for diverse needs

Page 11 Matter C: Space available for children to play

Actions

Facilitate an inclusive play sub-group of the Play Sufficiency Partnership to: 1) Identify and address gaps in provision 2) Ensure links are maintained between professionals working with children from minority groups and those providing for children’s play and recreation. 3) Provide professionals with opportunities to discuss the support requirements of individual children and discuss approaches to addressing any associated barriers. Collate and evaluate the demographics of service users accessing playwork, youth and leisure services to establish whether these reflect those of the community in which the service operates. Produce an example plan to demonstrate how the design and accessibility of existing public spaces within a community wide area could be enhanced and maintained to improve play value, naturalness and connectivity. Deliver two workshops to community stakeholders aimed at supporting them to enhance and maintain the play value of local places for play, making best use of their limited financial resources.

Lead personnel / team

Key partners to be involved

Target date for completion

Resources required – and sources

Play Development

Family Information Service Youth and Play Service Together Achieving Change Child Health & Disability Dynamic (Third Sector) Clybiau Plant Cymru Kids Clubs EAL Service Community Cohesion CAFAT Looked After Children

March 2015

Existing officer time – core and grant funded

Performance & Development

Play Development Youth and Play Service Leisure / Sports development

October 2015


Play Development

Planning Parks, Countryside & Rights of Way Transport Planning / Road Safety

March 2015


Play Development

Parks, Countryside & Rights of Way Housing Health & Safety

March 2015

£600 for Play Wales to deliver two workshops – funding to be generated by the play development team selling training

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Ensure local authority officers with lead responsibility for play sufficiency, public open space and other recreational services are consulted during, or prior to, the planning application stage. Ensure the play sufficiency duty and findings from the initial play sufficiency assessment are incorporated into the forth coming Local Development Plan and any subsequent, and relevant, supplementary planning guidance produced. Matter D: Secure and develop Wrexham’s network of Supervised staffed play provision with an emphasis on the provision delivery of high quality, community focused, year-round provision in areas of deprivation and the provision of additional support to disabled children and their families. Matter F: Access Improve and update the page providing to space / information about the availability of unstaffed, provision designated play areas within the play section of the local authority’s website. Matter G: Establish a continuous professional Securing and development framework, incorporating a developing the mapped progression route, for professionals workforce and volunteers supporting children’s play, from introductory level training to degree level studies.

Planning

Play Development Parks, Countryside & Rights of Way Leisure / Sports Development

October 2015


Planning

Play Development

March 2016


Play Development

Playwork (Third Sector) Dynamic (Third Sector) AVOW Families First Communities First Finance

March 2016

£563,762 currently funded via Families First and Communities First

Parks, Countryside & Rights of Way

Web Team

March 2016

Existing officer time – core

Play Development

Playwork (Third Sector) Family Information Service ITeC Corp. Training, Learning & Development Coleg Cambria Glyndwr University Flying Start Early Years (Third Sector) Clybiau Plant Cymru Kids Clubs Early Entitlement / Foundation Phase Together Achieving Change Parenting Adult Community Learning

October 2015


Matter H: Community engagement and participation

Page 13 Matter I: Play within all relevant policy and implementation agendas

Ensure that staff employed as playworkers are appropriately qualified to do so and that their job descriptions require them to work in accordance with the Playwork Principles.

Play Development

Playwork (Third Sector) Family Information Service Flying Start Clybiau Plant Cymru Kids Clubs

March 2016

Existing officer time – grant funded

Identify and prioritise geographic areas where children report the lowest levels of satisfaction with their opportunities for play by collating responses to the play sufficiency questionnaire from children in all schools across Wrexham. Agree a process of play development to be implemented within communities where children report the lowest levels of satisfaction with their opportunities for play, aimed at supporting community stakeholders to identify, enhance and make best use of their local opportunities for play (subject to the availability of grant funding). Secure the structure and capacity of the Play Development Team to ensure they are sufficiently resourced to lead on the implementation of the play sufficiency action plan and work proactively in geographic areas where children report the lowest levels of satisfaction with their opportunities for play. Establish a Play Sufficiency Partnership by formally identifying a ‘play link person’ within each relevant local authority department and partner organization whose work impacts on those matters addressed by the play sufficiency duty. Facilitate a conference for schools focused on improving opportunities for play during the school day and allowing children to access school grounds outside of school hours

Play Development

Performance & Development Healthy Schools Primary Education Secondary Education

March 2015


Play Development

Parks, Countryside & Rights of Way Planning Transport Planning / Road Safety

March 2015


Youth and Play Service

Play Development Families First Finance

March 2016

£105,618 currently funded via Families First

Play Development

All partners

March 2015


Play Development

School Improvement Healthy Schools Behaviour Support Health & Safety

October 2015


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Deliver a development program for schools and childcare settings enabling their staff to identify, implement and sustain improvements to the time, space and attitudes that support children’s play.

Play Development

School Improvement Healthy Schools Behaviour Support Health & Safety Family Information Service Clybiau Plant Cymru Kids Clubs

October 2015


Agree and produce guidance to support professionals and other community stakeholders in managing risks associated with children’s self-built play structures.

Play Development

Health & Safety Parks, Countryside & Rights of Way

March 2016


As part of the equality impact assessment process ensure all new local authority policies and strategies are impact assessed against the UNCRC, with a particular emphasis on Article 31 (children’s right to play).

Performance & Development

Play Development

March 2016


Agenda Item 6

REPORT TO:

Executive Board

REPORT NO:

LR/10/14

DATE:

21 October 2014

LEAD MEMBER:

Councillor Hugh Jones (Lead Member for Communities, Partnerships and Collaboration)

CONTACT OFFICER:

Lee Robinson (Tel: 292400)

SUBJECT:

Strategic Commissioning

WARD:

N/A

1.

PURPOSE OF THE REPORT

1.1

To outline to Executive Board proposals around Strategic Commissioning for the Authority and for Members to agree upon the implementation of structures and processes to support this.

2.

EXECUTIVE SUMMARY

2.1

The Third and Faith Sector Commissioning Review (TFSCR) commenced in September 2013 and is part of the Reshaping Services programme. The Executive Board last considered the TFSCR in March 2014 (LR/02/14) and agreed that a consistent and effective approach is required for the commissioning and procurement of all Council services / agreements with all sectors, including Third and Faith sector organisations, to ensure positive outcomes aligned to the Council Plan and value for money. This approach should not disadvantage the Third and Faith sectors as long as the added benefits of dealing with those sectors e.g. match funding, volunteering, local supplier base, etc. are considered during the commissioning phase.

2.2

Appendix 1 outlines the work taking place as part of this project around examining existing agreements with the Third and Faith Sector and proposals around Strategic Commissioning. The key principles for Strategic Commissioning are around a planning and needs identification process based on outcomes, as opposed to departments

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planning at a service level and/ or in isolation. Commissioning Plans for each department will be produced on an annual basis as part of the service planning process, which will include clear decision making around who is best placed to deliver the required services (i.e. ‘Make or Buy’ decisions). These plans will be used to create an outcome focussed Strategic Commissioning Plan for the Authority. The Procurement process will then take place in a consistent manner, ensuring standard contracts, clear outcomes, clear performance measures and effective contract monitoring. 2.3

Appendix 2 aims to demonstrate how the new approach for Strategic Commissioning will fit within the Authority’s existing Service Planning process.

2.4

In order to support this process, it is proposed that a central commissioning team is created. The team would consist of ‘commissioning link officers’ responsible for supporting departments in all aspects of the commissioning process. This team would then be responsible for bringing all of the departmental commissioning plans together into a Strategic Commissioning Plan for the Authority. This would follow the same model used for the Category Management approach to Procurement.

3.

RECOMMENDATIONS

3.1

The Executive Board endorse the proposals within this report around a Strategic Commissioning Approach for Wrexham County Borough Council


A strategic approach to commissioning will ensure positive outcomes, aligned to the Council Plan, and value for money

4.


4.1

As outlined within the report to Executive Board in March 2014 the Third and Faith Sector Commissioning Review has focussed on two distinct work streams; Workstream 1: Review of Existing Contracts and Work-stream 2: Strategic Commissioning.

4.2

Appendix 1 outlines the work taking place as part of this project. As highlighed within Appendix 1, key principles for examining each existing contract/ funding arrangement with Third and Faith Sector Organisations (Work-stream 1) are as follows;

4.3

Outcome

Need

Output

Where does this link to the Council Plan?

What is the need?

What are we getting?

Where is the need identified?

Are we getting it?

Key principles for Strategic Commissioning (Work-stream 2) are around a planning and needs identification process based on outcomes, as opposed to departments planning at a service level. Commissioning Plans for each department will be produced on an annual basis as part of the service planning process, which will

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include a clear decision making process around who is best placed to deliver what is required services (i.e. ‘Make or Buy’ decisions). These plans will be used to create an outcome focussed Strategic Commissioning Plan for the Authority. The Procurement process will then take place in a consistent manner, ensuring standard contracts, clear outcomes, clear performance measures and effective contract monitoring. Work-stream 1 – Review of Contracts 4.4

The report to Executive Board in March 2014 outlined the savings as part of Workstream 1, mainly through not extending/ continuing contracts which had reached the end of their contract periods.

4.5

The report outlined that the next stages of the review for this work-stream would aim to identify whether; a) All duplication of services or funding has been removed; b) There is scope to negotiate further savings through reduced prices; c) There is scope for the provider to deliver more services for the same amount of money. d) The level of service being delivered can be reduced, especially for discretionary services; e) That outputs and outcomes are actually being achieved and if they are not, whether there is scope to reduce payments or re-tender the service; f) Extra services provided over the contract requirements or non-contract services are actually needed; g) Funding of an organisation’s core costs are actually required

4.6

Since the report to Executive Board in March 2014, work has continued to review and challenge current Third and Faith Sector funding agreements as outlined above. As part of this process there is now a more co-ordinated approach to the procurement of new services, as the project team are being made aware of proposed new arrangements to try to ensure that there is no duplication of services across departments. The proposals, outlined within this report around Work-stream 2, should ensure that a co-ordinated and strategic approach to commissioning services is achieved and sustainable going forwards.

4.7

Since March 2014 additional savings have been identified. A summary of the current savings position, including the original £158,000 savings, is shown in the following table. These savings have been included in the Revenue Budget 2015/16 report which was presented to the Executive Board on 5 August 2014 (HF/41/14). Department Prevention & Social Care Adult Social Care Assets & Economic Development Community Well-Being & Development TOTAL

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Savings £125,938 £80,000 £36,000 £2,500 £244,438

4.8

The Housing, Public Protection and Environment department has identified £300,000 savings for 15/16 which are from the revenue budget contribution to funding Supporting People services. This is in addition to a reduction in the Supporting People Grant from WG.

4.9

In addition to the above, a separate project is taking place to review the provision of Advice Services across the Local Authority. As part of this process it has been identified that around 60 of our Third and Faith Sector Contracts currently contain some element of advice provision. A report outlining the full findings of the Advice Services project will be presented to the Executive Board later in 2014.

4.10 The next stage of Work-stream 1 of this project will adopt a similar approach by grouping the remaining contracts by outcomes in order to identify any further existing duplication. This will be supported by the creation of a Strategic Commissioning Plan for the Authority, which will enable further work around ensuring existing contracts are aligned to identified needs. Work-stream 2 – Strategic Commissioning 4.11 As outlined within the March 2014 Executive Board report, it has been agreed that a consistent and effective approach is required for the commissioning and procurement of all Council services / agreements with all sectors, including Third and Faith sector organisations, to ensure positive outcomes aligned to the Council Plan and value for money. 4.12 Successful commissioning means delivering the right outcomes at the right cost. When compared with our definition of good value for money; ‘the optimal use of resources to achieve the intended outcomes’, it is clear that successful commissioning is, almost by definition, good value for money. 4.13 The National Audit Office (NAO) has produced a successful commissioning toolkit aimed specifically at the relationship between public bodies and the third sector. 4.14 There are a number of general principles which underpin good commissioning, which are ostensibly around good governance in the public sector and value for money. The generally understood commissioning model is shown below:

Fig.1

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4.15 The NAO toolkit cites the following eight principles of good commissioning; a) Understanding the needs of users and other communities by ensuring that, alongside other consultees, you engage with the third sector organisations, as advocates, to access their specialist knowledge; b) Consulting potential provider organisations, including those from the third sector and local experts, well in advance of commissioning new services, working with them to set priority outcomes for that service; c) Putting outcomes for users at the heart of the strategic planning process; d) Mapping the fullest practical range of providers with a view to understanding the contribution they could make to delivering those outcomes; e) Considering investing in the capacity of the provider base, particularly those working with hard-to-reach groups; f) Ensuring contracting processes are transparent and fair, facilitating the involvement of the broadest range of suppliers, including considering subcontracting and consortia building, where appropriate; g) Ensuring long-term contracts and risk sharing, wherever appropriate, as ways of achieving efficiency and effectiveness; and h) Seeking feedback from service users, communities and providers in order to review the effectiveness of the commissioning process in meeting local needs. 4.16 Whilst it is clear that the importance and value of the Third and Faith Sector should be recognised within any commissioning processes, strategic commissioning and procurement should not differentiate between sectors and should support the delivery of the Council Plan objectives and client / community needs. This approach should not disadvantage the Third and Faith sectors as long as the added benefits of dealing with those sectors e.g. match funding, volunteering, local supplier base, are considered during the commissioning phase. 4.17 The key next step is to identify the most suitable organisational structure to deliver the key outcomes required from a strategic commissioning process. These are defined as follows: a) Reduce current costs through more efficient processes, packaging of contracts and driving value for money b) Strategic Commissioning Plans linked to the outcomes contained in the Council Plan as opposed to the current practice of working in departmental silos. c) Pool commissioning expertise d) Ability to more effectively drive the eight principles of good commissioning e) Ensure consistent contracts and performance management Current Resources and Structures

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4.18 Commissioning officers are currently based within departments and commission on a departmental need basis. Expertise and capacity varies across departments and the actual number of staff currently working on commissioning is unknown 4.19 There are already a number of service specific commissioning strategies in the Council e.g. within Adult Social Care. A strategy is also being developed by the Head of Children and Young People – Prevention and Social Care. The risk is that these strategies operate in isolation and fail to take account of similar requirements in other departments. This increases the risk of services being duplicated at increased cost to the Council. As demonstrated by feedback from providers, it also gives providers and clients the impression that the Council does not operate in a cohesive manner. Suggested Resources and Structures 4.20 Appendix 2 outlines how the new approach for Strategic Commissioning would fit in the with the Authority’s existing Service Planning process. 4.21 In order to support this process it is proposed that a central commissioning team is created. The team would consist of ‘commissioning link officers’ responsible for supporting departments in all aspects of the commissioning process. This team would then be responsible for bringing all of the departmental commissioning plans together into a Strategic Commissioning Plan for the Authority. This would follow the same model used for the Category Management approach to Procurement. 4.22 Alternative Options B and C, outlined below, have also been considered but it was not felt that these would be the most suitable organisational structure to deliver the key outcomes required from a strategic commissioning process; Option B - Commissioning officers remain within departments and have a matrix management arrangement with a Lead Commissioning Officer responsible for adherence to the suggested process and for bringing together the Strategic Commissioning Plan (as per the recommendations of the report to Executive Board in March 2014). Option C - No changes to the current structure 4.23 An Options Appraisal of the three alternatives against the desired outcomes is summarised below in table 1. Appendix 3 contains further details on the advantages and disadvantages of each option. Key Outcomes Option

Reduce current cost

Strategic Commissioning Plan

Pool Commissioning Expertise

Driving the eight principles of good commissioning

A

Yes

Y

Y

Y

Consistent contracts and performance management Y

B

Y

Y

Partly

P

P

C

No

P

N

N

N

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Table 1

4.24 The proposed structural changes will be led by the Head of Finance and will be implemented by April 2015 with the aim of a fully strategic approach to commissioning being implemented, including for current funding arrangements, by April 2016. 4.25 Concerns have been raised that if the recommended structure were to be implemented, departments could lose specialist knowledge and dedicated commissioning resource. Robust commissioning plans are a statutory requirement in some areas and are felt to be increasingly important during the current financial challenges. As part of the design of the new team, these factors will be considered to ensure that resources are used effectively in order to match the requirements of the departments. As noted above, the team is likely to consist of ‘commissioning link officers’, this will ensure that each department receives dedicated support and that specialist knowledge is maintained / created. The key benefit of a centralised team will be an awareness of the commissioning plans of all departments which should eliminate duplication of services and outcomes. This structure will also ensure that specialist commissioning resource is available to all departments. 4.26 Policy Framework – The Council Plan 2013 – 2017 outlines the commitment to ensure that the Council continues to be a strong community leader and enabler. The TFSR findings and recommendations are in accordance with the Strategic Theme in respect of Economy which aims to create a vibrant, diverse and inclusive economy where people can prosper as individuals in their communities. 4.27 The standardisation of commissioning arrangements and the introduction of strategic commissioning is in accordance with the Corporate Theme of Organisation. 4.28 Budget – One of the aims of the Third and Faith Sector Commissioning project is to achieve savings by reducing duplication and improving value for money. The budget implications outlined in this report will be considered as part of the budget monitoring reports which will be presented to the Executive Board during 2014/15. 4.29 Legal – The Council’s Model Contract Agreement sets out the legal terms and clauses to govern any contract or funding agreement. This is in use for a large number of contracts / agreements although there are some variations which have been applied locally within departments. In addition there are a small number of contracts where there is no agreement in place i.e. where the services has been inherited from the Welsh Government. 4.30 All changes to contracts including decommissioning are done in accordance with the individual contract agreement with the provider. 4.31 Staffing – There will be a direct impact on staffing structures should the recommendations within this report be endorsed. This will involve moving some staff from their existing departments into a centralised team. There may also be amendments to job titles, job descriptions and pay grades. 4.32 Equality/Human Rights – An Equalities Impact Assessment has been completed for the project as a whole (SPDLR-EIA-2013-001). There are no issues for the Council at this stage. The Council’s “Third Sector Commissioning Guidance” requires; 4.33 An Exit Strategy to be agreed with the provider for any contracts ending naturally in accordance with the contract agreement and

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4.34 An Equality Impact Assessment to be carried out for any services which are being decommissioned i.e. ending before the agreed contract terms has been reached. 4.35 An Equality Impact Assessment should also be carried out for all new contracts as part of the commissioning plan to ensure that no-one is inadvertently disadvantaged by the way services are commissioned and delivered. 4.36 Risks – A risk assessment has been carried out and is available on request. This has been updated to take account of the proposals in this report.

5.

CONSULTATION

5.1

The following consultation has taken place: a) An all-Member Workshop took place on 21 January 2014. This also considered the time-banking concept and how it might be applied in Wrexham CBC. b) A Third Sector Provider workshop took place on 28 January 2014 where the project objectives, commissioning principles, Welsh Government initiatives were outlines to those in attendance. The Workshop also allowed providers to discuss the Council’s current third sector arrangements and provide feedback on how they might be improved. c) AVOW has been consulted on the contents of the report relating to existing Third Sector Contracts

5.2

Ongoing consultation with all key stakeholders will take place throughout the implementation of these proposals which will build upon the existing Third Sector Commissioning Guidance and Framework. The annual Strategic Commissioning Plan will be developed in consultation with the public and relevant stakeholders in line with the current service planning process.

6.


6.1

Option 1 – Continue with the TFSC Review and implement a strategic approach to commissioning, including the proposed structures to support this, as outlined within this report

6.2

Option 2 – Continue with the current arrangements for commissioning

7.


7.1

This report has not been considered by a Scrutiny Committee

BACKGROUND PAPERS LR/02/14 – Third and Faith Sector Commissioning Project – Update Report

LOCATION WCBC Intranet

Page 22

WEBSITE INFO. http://www.internal.wrexh am.gov.uk/MinutesData/ ExBoard/Reports/lr0214. pdf

LR/19/13 - Third and Faith Sector Commissioning Project and future vision for wider community involvement Sustainable Social Services for Wales: A Framework for Action

WCBC Intranet

Revenue Budget Report

WCBC Intranet

Welsh Government website

Page 23

http://www.internal.wrexh am.gov.uk/MinutesData/ ExBoard/Reports/lr1913. pdf http://wales.gov.uk/docs/ dhss/publications/110217 wpapersummaryen.pdf http://www.internal.wrexh am.gov.uk/MinutesData/ ExBoard/Reports/Agend a%20and%20Reports%2 0Pack%2005082014.pdf

Appendix 1

Page 24 Appendix 2

Page 25

Appendix 3 Analysis of the Three Structures for Strategic Commissioning Option A - Advantages a) Outcome focussed contracts should achieve better value for money and reduce duplication of services b) Commissioning team would be involved in producing the strategic commissioning plan so can ensure no duplication of outcomes when commissioning services c) Commissioning would be more consistent across the organisation, be in line with the principles of good commissioning outlined above and there would be dedicated, more resilient capacity d) A pooling of expertise to ensure that all departments are supported e) The team would link in with contracts and monitoring officers to ensure that information is shared as necessary and that performance issues are considered within the commissioning process and addressed in a consistent way Option A - Disadvantages a) There would be little or no staff cost savings as there is currently limited commissioning expertise across the authority b) There would be a need to ensure that commissioners link closely with departments, particularly contracts monitoring officers, to ensure awareness of issues, challenges, priorities etc. Option B - Advantages a) A lead commissioning officer for the organisation will look to reduce any duplication of commissioned services, ensure a consistent approach and pull together the Strategic Commissioning Plan b) Expertise will remain within the departments c) The lead officer will link with contracts monitoring officers to ensure that information is shared as necessary and that performance issues are considered within the commissioning process and addressed in a consistent way Option B - Disadvantages a) A lead officer with sufficient expertise and capacity would be required which may incur an additional cost b) Commissioning officers may continue to work in departmental silos c) Some departments will have no commissioning resource at all so may not be in a position to contribute effectively to the Strategic Commissioning Plan d) There may still be inconsistencies and duplication of services within the departments if commissioning officers do not engage in the process as they should Option C - Advantages a) There would be no restructuring work needed or the associated costs Option C - Disadvantages a) Commissioning capacity would continue to vary across the organisation b) The proposed process would be unlikely to work without dedicated support/officers c) Commissioners would continue to work in departmental silos and the process of commissioning services on a service/department level would continue d) There would continue to be an inconsistent approach to commissioning and some contracts may continue to not demonstrate value for money e) The Authority would be unlikely to meet the good commissioning principles consistently

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Agenda Item 7

1.

REPORT TO:

Executive Board

REPORT NO:

LR/13/14

DATE:

21 October 2014

LEAD MEMBER:

Councillor Hugh Jones (Communities, Partnerships and Collaboration)

CONTACT OFFICER:

Lee Robinson (Tel: 292400)

SUBJECT:

Together in Wrexham

WARD:

N/A

PURPOSE OF THE REPORT To enable Members to: • • • •

have a clearer understanding of Together in Wrexham; understand the proposed strands of Together in Wrexham; agree and support the proposed key elements and timescales for Together in Wrexham; and understand how we will seek to make Together in Wrexham sustainable.

2.

EXECUTIVE SUMMARY

2.1

Wrexham Council has a vision to be a strong community leader. In June 2014 the Executive Board supported the development and implementation of Together in Wrexham. The framework, as articulated in the Board report, hinged around three key elements, namely: • •

•

To provide a methodology by which local communities in partnership with the Council can sustain services. To enable appropriate coordinated support to be delivered to community organisations to enable them to lead successful community schemes and services; and To promote community led schemes in order to reduce community reliance on Council run services and ensure local people are supported to maintain a good quality of life in Wrexham’s communities.

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2.2

The Council is facing increasing pressure on resources and the Together in Wrexham work directly supports the aim to improve efficiency through a far greater focus on need and outcome rather than process and structure.

2.3

Together in Wrexham is also about re-thinking how we view communities, shifting from “people and communities have deficiencies and needs” to “individuals and communities have skills and talents”.

3.

RECOMMENDATIONS That Members agree:

3.1 3.2 3.3 3.4

to the more detailed diagram identified in paragraph 4.4. in principle to work on the steps detailed in paragraph 4.16 of this report, recognising that these are not fixed; the change in pilot areas for time banking; and to the adoption of the measures of success identified in 4.21.

REASONS FOR RECOMMENDATIONS I.

To provide a methodology by which local communities in partnership with the Council can sustain services.

II.

To enable appropriate co-ordinated support to be delivered to community organisations to enable them to lead successfully community schemes and services

III.

To promote community led schemes in order to reduce communities’ reliance on Council run services to ensure local people are supported to maintain a good quality of life in Wrexham’s communities

4.


4.1

There is a strong link between Together in Wrexham and the Welsh Government agenda on Future Generations.

4.2

With declining resources the Council faces a stark choice. It can continue to work in the way that it always has and oversee a managed decline in services and standards or it can seek to re-define its relationship with the public. This is the essence of Together in Wrexham.

4.3

Together in Wrexham is not a neatly defined set of activities, processes or outcomes. Nor is it a panacea to the drastically changing face of public services in Wrexham. There are, however, some key defining requirements that are fundamental in making sure that it is successful. It requires: • •

A change in the role of the Council and the role of the citizen and the relationship between them. For example, less provider and more enabler. A behaviour change from both the Council, (and the individuals that work in it), and the citizen. For example, less risk averse, less reliant.

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•

Some understanding of the motivations, influences and behaviours of the Council and citizens. For example, to better connect need and outcome.

The Together in Wrexham Framework 4.4

The June report introduced a number of the component parts of Together in Wrexham. In order to simplify this they have been distilled in to a diagram, shown below:

Together in Wrexham

d Advice tna n Informa io

ring Volunte e

Community Provis oi n

Rela et d Proje cs t

Information and Advice 4.5

This element of Together in Wrexham will be about providing examples of individuals, groups and whole communities that have made a difference and established sustainable opportunities in their area of the Borough. It is about connecting people, ideas, resources, places and funding opportunities.

Volunteering 4.6

Wrexham already has a strong volunteer network and organisations like AVOW are always seeking to strengthen this within the Borough. We are keen to support and develop this valuable network of existing volunteers.

4.7

As a Local Authority we need to manage risk but not be risk averse. This is a cultural shift that will enable volunteer groups to take a more active role in Wrexham, where previously they may have been restricted by “red tape”. For example, one area where we have a thriving volunteer community is in relation to our industrial heritage. This is something that we should seek to preserve and enhance to make it more accessible to visitors. This is achievable if we work effectively with the many volunteer groups in the future.

4.8

Research by the Third Sector Research Centre indicates that a relatively small subset of the population – the civic core – is responsible for most of the volunteering; charitable giving and civic participation that takes place. The contribution of the primary core to volunteering is particularly striking with 9% of

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the adult population accounting for 51% of all volunteer hours, which highlights the significant level of involvement of a committed few. 4.9

In terms of demographics, people in the civic core are more likely to be middleaged, have higher education qualifications, actively practise their religion, be in managerial and professional occupations, and have lived in the same neighbourhood for at least 10 years.

4.10 Through the introduction of two time banking pilots our ambition is to open up volunteering type opportunities to a wider demographic and actively seek to support individuals and groups who would not normally volunteer. The focus of the time bank will be on supporting emerging and fledgling local schemes where engagement in earning time credits is seen to be beneficial in attracting local people to get involved from the start. 4.11 In the June 2014 report it was recommended to Members that two pilots were carried out – one in Caia Park and the other in Cefn Mawr. However, as both these areas have similar demographics and characteristics – both being Communities First areas – it is now recommended that the two pilot areas are Cefn Mawr and Hermitage (Hightown and adjoining areas). Furthermore, it was felt that Caia Park is already “saturated” with similar activities and would therefore not be truly representative as a pilot area. 4.12 These are distinct areas one being rural and the other urban. A proportion of each place is within the Communities First area, with other areas lying outside and their differences (need for renewal, immigrant population, pockets of poverty) will enhance the learning from pilots in relation to any future implementation.

Community Provision 4.13 Over the years the Council has centralised the provision of many services, which has arguably eroded the connection between need, service and outcome. The Council wants to utilise the Together in Wrexham framework to develop the potential for Community Hubs, based on meeting local need in a local setting. Responsibility for delivery may eventually be devolved to local decision makers and it is accepted that this will not create a uniform pattern across the Borough – with all communities having all the same services or facilities. Related Projects 4.14 In some cases there are projects that clearly support the ethos of Together in Wrexham but do not fit neatly in to the categories above. One current example is the Erlas Walled garden project where we are seeking to enable the charity to develop a first class facility that will benefit the whole Borough. Another is the partnership working that is developing between the Council and “Churches in Wrexham” to promote and support fostering and adoption. 4.15 This list of categories is not exhaustive and the whole of Together in Wrexham is organic and will grow in different directions as individuals, groups and communities bring new ideas and the whole process gain traction and momentum.

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First step 4.16 It is anticipated that Together in Wrexham will develop organically, based on the ethos of reframing the nature of the relationship with the public. The first step is to promote the concept of Together In Wrexham to Councillors, Staff and to community organisations, to gather information and showcase existing volunteering and to lay the foundations for developing the concept. This is about starting to encourage and support local Members to become “local connectors” and making in-roads into the behaviours and culture of the Council. Future development could include: •

encouraging / enabling and supporting communities to try new ideas and take risks. It may involve enabling funding to communities to develop new scheme. It’s also about having a community focus in relation to other work that we do or contract for;

•

providing local information for local people. This may involve developing a digital platform to support local knowledge, local data and local decision making;

•

enhancing and developing a volunteer culture within the Council; and

•

continuing to shape and grow Together in Wrexham, enabling it to grow organically and as enabled by individuals and communities or required by shifting social or economic factors.

4.17 The Council will act as a facilitator throughout, although it is not intended that the Authority has a heavy involvement. As stated earlier in the report, this requires a shift in behaviour by both the Council and Communities. Each of the future developments will support this culture change.

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What Together in Wrexham is not. 4.18 This seems an odd element to contain in such a report, however, it is important that as a Council we don’t take the positive aspects of Together in Wrexham and seek to use the ethos to drive silo or narrow agendas. Not about Starting afresh

Is about Building on existing bases

The Council giving up on services and throwing the towel in

The Council seeking to manage declining resources in a responsible way through redefining its relationship with the public

A free for all on funding pet community projects without any basis in need Passing everything to someone else to provide

Enabling funding for communities to work together to help the whole community

Leaving communities to fend for themselves – a survival of the fittest

Providing a support network that is wider than just the Council and other public sector partners

Delivery of services

Delivery of outcomes

Having a mixed economy of provision

Sustainability 4.19 Sustainability is clearly a process of continuous improvement so that communities constantly evolve and make changes to accomplish what they are seeking to achieve. While there is no single factor that determines sustainability of Together in Wrexham, the programme includes elements that will facilitate this. These include: • Reducing central “control” • Building local accountability and decisions making • Enabling communities to set their own “goals” • Enabling communities to work together towards a common purpose rather than fragmented approaches • Helping communities to mobilise resources • Building and enhancing community leadership

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Accountability and Responsibility 4.20 Each element of the initial Together in Wrexham Framework has an owner, who is responsible for developing their part of the work. These are as follows: Project Sponsor Project Manager Information and Advice Volunteering Community Provision Related Projects

Strategic and Performance Director, Lee Robinson To be decided. Communications Manager, Sue Wyn Jones Project Manager, CYP, Tricia Jones Senior Performance, Improvement, Partnerships Officer, Roger Davies Individual projects will have identified project managers

Measures of Success 4.21 It is important that each of the four current strands has a clearly identified measure of success. The suggested measures for each, at this stage, are: Together in Wrexham element Information and Advice Volunteering Community Provision Related Projects

Measure of success Number of new ventures set up Increase in volunteers in pilot area Successful community hubs Determined on a project by project basis

Policy Framework – 4.22 Budget: Spend on the project will not commence until the funding outlined below is confirmed. Potential resources for ‘Together in Wrexham’ include: • ‘Fit for purpose’ toolkit and Social Enterprise Support Service • Social enterprise toolkit • Community development framework • Timebanking: Possible sources of funding (all unconfirmed) § Big Lottery bid, third sector lead – £25k per annum for yrs 2 and 3 - will submit bid for People and Places § Communities First slippage (14/15) - max £20k for 14/15 (unconfirmed by WG) § Communities First Community Involvement funding – max. £10k per annum (unconfirmed by WG and CF Boards) § Small contribution from Street Ambassadors bid – WCVA and WCBC – amount unconfirmed § North Wales Police Charity - £4k per annum approx for events Maximum possible: Yr 1 £34,000 + small contribution Yr 2 £39,000 + small contribution Other offered sources of support

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§ § § §

Free accommodation in Cefn Mawr p/t Officer support from AED p/t Officer support from Communities First Set up guidance and support from David Gittins (Severn Wye)

4.23 Legal: none. 4.24 Staffing: The time banking pilot has the resource implications identified in 4.22. 4.25

Equality/Human Rights No EIA required at this stage. This will be done on a project by project basis.

4.26 Risks This is a pilot to identify opportunities and lessons learned, which will enable WCBC to identify and manage future risks.

5.

CONSULTATION

5.1

Consultation will take place with all stakeholders

6.


6.1

N/A

7.


7.1

This report has not been considered by a Scrutiny Committee.

Page 34

Agenda Item 8

1.

REPORT TO:

Executive Board

REPORT NO:

HAED/45/14

DATE:

21 October 2014

LEAD MEMBER:

Councillor Hugh Jones (Lead Member for Communities, Partnership and Collaboration)

CONTACT OFFICER:

Karen Murdoch (Tel: 297475)

SUBJECT:

Heritage Service Collection Development Policies 2014-2019

WARDS:

All

PURPOSE OF THE REPORT To seek approval for the proposed Collections Development Policies for the authority’s museums and archives services for the period 2014 - 2019.

2.

EXECUTIVE SUMMARY

2.1 Collection Development Policies detail what the Council’s Museum and Archive Services will – and will not – collect, and procedures for the disposal of items from our collections. The formal adoption of such policies is a requirement of the Museums Accreditation scheme and The National Archives ‘Archive Service Accreditation’ scheme. 2.2 Both policies include only minor changes to reflect changes made to the template documents that the Museum and Archive must comply with. 2.3

The proposed policies are attached as Appendices 1 (Museum Service collections) and 2 (Archive collections). Where appropriate, they reflect comments received as a result of consultation.

3.

RECOMMENDATIONS

3.1 Members are recommended to approve and formally adopt the proposed Collections Development Policies attached in Appendices 1 and 2.

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REASONS FOR RECOMMENDATIONS So that Wrexham County Borough Council Museums and Archives Services comply with the requirements of the Museum Accreditation scheme and The National Archives ‘Archive Service Accreditation’ scheme.

4.


4.1 Collection Development Policies detail what the Museum and Archive Service will collect, both in terms of the geographical area it will collect from and the type of items it will acquire. By the same token the policy also indicates what the Service would not seek to collect e.g. objects, documents or publications without any Wrexham County Borough relevance or items illegally acquired. Equally as important, it sets out policies for the potential disposal of items from the collection. The format and wording of the Policies are mainly determined by the requirements of national sector standards such as the Museum Accreditation Scheme and The National Archives ‘Archive Service Accreditation’ scheme/ 4.2

The museums service has been actively collecting since 1982 and the collection currently consists of over 15,000 objects. The archive service has been actively collecting since 1996 and holds over 83 cubic metres of archive materials. The museum also holds the Royal Welch Fusilier Museum Reserve Collection on loan for a period of 25 years.

4.3

Since the last policy review, Wrexham County Borough Museum and Archive has been transformed following phase 1 of the museum refurbishment project. The redeveloped museum now includes a glass extension to the front of the museum to house a new reception/shop; a coffee shop and two new family orientated galleries on the ground floor, one devoted to the collections of the National Museum of Wales and the National Library of Wales. The project has also transformed the number of visitors to the museum, from 15,000 in 2006 to 46,597 in 2013.

4.4

Policy Framework – The Council first adopted a Collections Development Policy, previously called an Acquisition and Disposal Policy, for its museum collections in 1997 (COLLC/17/97). This policy was further amended following review in 2003 (COLLC/ 30/03), 2006 (COLLC/15/06) and again in 2009 (COLLC/10 /09) to reflect changes required by the Museum Accreditation scheme, which is the national quality standard for museum services. Adoption of a Collections Development Policy by the governing body is a requirement for all accredited museums. Similarly, The National Archives ‘National Standard for Record Repositories’ (now replaced with Archive Service Accreditation) lays down the need for Archives and their governing bodies to adopt and publish a collecting and disposal policy: policies were adopted for the Council’s archive and local studies collections in 1997 with review in 2003 and again in 2009 (COLLC/24/09). The Collection Policies actively support the mission statement of Wrexham County Borough Museum and Archive:

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To manage museums that welcome and have meaning for the whole community and inspire visitors to explore the cultural heritage of the County Borough and its role in the development of Wales and the wider world. The policies also support the key aims: • To identify, collect and conserve material evidence that relates to the cultural heritage of Wrexham County Borough and maintain those collections in line with national standards • To ensure that our own, and usually more geographically remote collections, are made accessible to the whole community through a variety of means for example through exhibitions and e-technology • To increase public awareness and understanding of Wrexham County Borough’s cultural heritage and its role in the development of Wales and the wider world for example through a range of interpretative and educational programmes and promotional activities and to provide facilities and services to standards that ensure a high quality visitor experience. The Policies support the continued development of Wrexham County Borough Museum and Archive as a high quality regional museum and archive. 4.5 Budget – A small sum for the purchase of objects / archives is included within the Heritage Service’s annual revenue budget. The budget is augmented whenever possible with external funding support (although the number of available grant schemes is limited) and contributions from the Friends of Wrexham Museums and the Friends of Clwyd Archives. The majority of the collection however is acquired through the generation donation of objects/archives by members of the public. The policies recognise that there is a responsibility to ensure adequate care and access arrangements and, when acquiring collections, to take into account any limitations imposed by factors such as staffing, storage etc. 4.6 Legal – Legal have been consulted and no issues have been identified. 4.7 Staffing – The Museum Service has one part- time Collections Manager and a part-time Assistant Collections Manager who are responsible for the day-to-day care of the museum collections (i.e. storage, documentation, cataloguing, conservation etc) and operation of the Collections Centre. The Archives and Local Studies Service includes one full time Archivist and one full time and one part time Archives assistants, who are collectively responsible for the day-today care of the Archives and Local Studies collections (i.e. storage, documentation, cataloguing, conservation etc) and supervision of the Palmer Centre (public search room). Further support is provided through an active team of volunteers who assist staff in caring for and documenting the collection. 4.8 Equality/Human Rights – An Equalities Impact Assessment was carried out, ref AED/EIA00053/2014. No issues where identified. 4.9 Risks – Without a formally adopted Policy, the Council’s museums will not be able to achieve Accreditation, thereby significantly reducing the Museum Service’s ability to secure external funding (for example from CyMAL and the Heritage Lottery Fund), and having a negative effect on future donations and

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loans from the public and other institutions. There is a similar advantage in having a formally adopted policy for the Archive collections.

5.

CONSULTATION

5.1 Consultation was undertaken with professional organisations, stakeholders and members of the Wrexham Heritage Forum. Comments received have been taken into account in the attached proposed policies.

6.


6.1

No other options have been considered. The formal adoption of a Collections Development Policy is an essential requirement for the Museums Accreditation Scheme and The National Archives ‘Archive Service Accreditation’ scheme.

7.


7.1 The Employment, Business and Investment Scrutiny Committee will meet on the 6th May 2015 to discuss the Museum’s Collections Development Policy.

BACKGROUND PAPERS

LOCATION

WEBSITE INFO.

Museum Accreditation

http://www.artscouncil.org.uk/what-wedo/supporting-museums/accreditation-scheme/

Archive Service Accreditation

http://www.nationalarchives.gov.uk/archivessector/archive-service-accreditation.htm

Spectrum Standard for Collections Management

http://www.collectionstrust.org.uk/spectrum

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Appendix 1

Wrexham Museum Service Collections Development Policy Governing Body: Wrexham County Borough Council

Date on which this policy was approved by governing body: /10/2014 Date at which this policy is due for review: /10/2019

Page 39

Contents 1. Introduction

2

2. Policy review procedure

2

3. Relationship to other relevant policies/plans of the organisation

2

4. Wrexham Museum Service 4.1 History of the collection 4.2 Wrexham Museum Service Sites

4 4 4

5. Collecting Policies 5 5.1 Period of time and geographical area to which collecting relates 5 5.2 Subjects to which collecting relates 5 5.2.1 Archaeology 5 5.2.2 Social History 6 5.2.3 Industrial and Economic History 7 5.2.4 Fine and Decorative Art 7 5.2.5 Natural History 8 5.2.6 Military History 7 5.2.7 Welsh Football Collection 8 5.3 Archival material 9 5.4 Loans 9 5.5 The Education Collection 9 6. Themes and priorities for rationalisation and disposal

10

7. Legal and ethical framework for acquisition and disposal of items

10

8. Collecting policies of other museums

10

9. Acquisition

11

10. Human remains

11

11. Biological and geological material

11

12. Archaeological material

12

13. Exceptions

12

14. Spoilation

12

15. The Repatriation and Restitution of objects and human remains

12

16. Disposal procedures

12

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1. Introduction 1.1 This Collections Development Policy aims to clearly set out the principles and procedures that Wrexham Museum Service will follow when acquiring and disposing of objects. 1.2 This policy acts as a tool to assist collections staff in the development of a high quality permanent collection that strongly represents the area of Wrexham County Borough. 1.3 The contents of this policy comply with the requirements of the Museum Accreditation scheme.

2. Policy Review Procedure 2.1 This Collections Development Policy will be published and reviewed from time to time, at least once every five years. The date when the policy is next due for review is October 2019 2.2 CyMAL: Museums Archives and Libraries Wales will be notified of any changes to the collections development policy, and the implications of any such changes for the future of collections.

3. Relationship to other relevant policies/plans of the organisation: 3.1 The mission statement of Wrexham County Borough Museums Service is: To manage museums that welcome and have meaning for the whole community and inspire visitors to explore the cultural heritage of the County Borough and its role in the development of Wales and the wider world. The key aims of our museum service are: • To identify, collect and conserve material evidence that relates to the cultural heritage of Wrexham County Borough and maintain those collections in line with national standards; • To ensure that our own, and usually more geographically remote collections, are made accessible to the whole community through a variety of means for example through exhibitions and e-technology; • To increase public awareness and understanding of Wrexham County Borough’s cultural heritage and its role in the development of Wales and the wider world for example through a range of interpretative and educational programmes and promotional activities • To provide facilities and services to standards that ensure a high quality visitor experience. 3.2 Wrexham County Borough Council will ensure that both acquisition and disposal are carried out openly and with transparency.

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3.3 By definition, the museum service has a long-term purpose and holds collections in trust for the benefit of the public in relation to its stated objectives. The governing body therefore accepts the principle that sound curatorial reasons must be established before consideration is given to any acquisition to the collection, or the disposal of any items in the museum’s collection. 3.4. Acquisitions outside the current stated policy will only be made in exceptional circumstances, and then only after proper consideration by WCBC and the museum service itself, having regard to the interests of other museums. 3.5. The museum recognises its responsibility, when acquiring additions to its collections, to ensure that care of collections, documentation arrangements and use of collections will meet the requirements of the Museum Accreditation Standard. This includes using SPECTRUM primary procedures for collections management. It will take into account limitations on collecting imposed by such factors as staffing, storage and care of collection arrangements. 3.6. The museum will undertake due diligence and make every effort not to acquire, whether by purchase, gift, bequest or exchange, any object or specimen unless the governing body or responsible officer is satisfied that the museum can acquire a valid title to the item in question. 3.7 Wrexham Museum Service will not acquire objects where restrictions by the depositor or legal owner would prevent effective curation. We will not accept objects on condition that they are placed on permanent or long-term exhibition, or that they form a discrete collection. 3.8. In exceptional cases, disposal may be motivated principally by financial reasons. The method of disposal will therefore be by sale and the procedure outlined below will be followed. In cases where disposal is motivated by financial reasons, the governing body will not undertake disposal unless it can be demonstrated that all the following exceptional circumstances are met in full: • the disposal will significantly improve the long-term benefit derived from the remaining collection • the disposal will not be undertaken to generate short-term revenue (for example to meet a budget deficit) • the disposal will be undertaken as a last resort after other sources of funding have been thoroughly explored • extensive prior consultation with sector bodies has been undertaken • the item under consideration lies outside the museum’s established core collection.

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4. Wrexham Museum Service 4.1 History of the collection 4.1.1 Collecting originally began in Wrexham in the 1930s with a small museum on the top floor of the Old Library. However by the 1950s this museum ceased to exist. 4.1.2 In 1982, due to a lack of museum provision in the area, a Museum Research Officer was appointed for Wrexham Maelor Borough Council and collecting was re-established. The Wrexham Maelor Heritage Centre on King Street was opened in 1988. 4.1.3 In 1983 Clwyd County Council opened Bersham Heritage Centre in the Clywedog Valley as a museum to interpret the industrial history of Clwyd County with specific references to John Wilkinson and his ironworks. A separate collecting policy for Bersham Heritage Centre was established in 1986. 4.1.4 In 1987 Clwyd County Council acquired the site of Wilkinson’s Ironworks at Mill Farm. A period of extensive excavation and restoration followed, with the site opening to the public in 1993. 4.1.5 Excavations at Minera Lead Mines commenced in 1991 and the site was opened to the public in 1993. 4.1.6 Following Local Government reorganisation in 1996, the former Clwyd Council sites and associated collections of Bersham Heritage Centre and Ironworks, Minera Lead Mines and Wrexham Maelor Museum Service amalgamated to form the new Wrexham County Borough Museum Service. 4.1.7 In 1996 Wrexham County Borough Museum moved to its current site at County Buildings, Regent Street. 4.1.8 In 2007 Wrexham County Borough Council and the Trustees of the Royal Welch Museum agreed to a 25 year loan of the RWF Museum reserve collection to Wrexham County Borough Museum. 4.1.9 The museum received a grant from the Heritage Lottery Fund in 2010 for phase 1 of the museum's refurbishment, this opened to the public in February 2011. 4.2 Wrexham Museum Service sites 4.2.1 The Museum Service operates two accredited museum sites: Wrexham County Borough Museum, County Buildings: The flagship museum of the service tells the story of Wrexham County Borough from prehistory to modern day. Open all year.

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Bersham Heritage Centre and Ironworks: Bersham Heritage Centre opened in 1983, and the nearby Ironworks opened in 1993 after excavation and restoration of the site. The two sites interpret the industrial heritage of the local area with specific reference to John Wilkinson. Bersham Heritage Centre is open seasonally but is currently under review. Bersham Ironworks is open by appointment. It is also responsible for Minera Lead Mines which is no longer an accredited museum due to closure of the site following cuts to the museum budget. Access is provided to the site as an open ruin, and access to the museum building and engine house can be arranged on request. 4.2.2 The Museum Service is also responsible for collections held at the following sites: Llay Store: The off-site store at Llay is used to securely house the majority of the large items in the collection. Bersham Colliery, Rhostyllen: The site was acquired by Clwyd County Council in 1987 with intentions to set up a mining museum. The site includes the Winding House, housing the electric winding engine for Bersham Colliery, and the lattice pit head that has been classed as a scheduled ancient monument. A number of large industrial items and two tram bodies are also currently stored on the site. Fenns Moss former Peat Processing Works: The peat cutting and processing machinery, still in situ at Fenns Moss, was acquired by Clwyd County Council in 1993.

5. Collecting policies 5.1 Period of time and geographical area to which collecting relates 5.1.1 The museum service will continue to collect items from any time period. 5.1.2 The museum service will continue to collect artefacts that help to tell the story of Wrexham County Borough and its people. This includes, but is not restricted to, items made, used, found or purchased in the Wrexham area. 5.1.3 In addition, the museum service will continue to actively acquire items for its Welsh Football Collection. This includes items with a strong link to professional and non professional Welsh teams, and the Welsh National Team. It also includes items with a strong link to Welsh footballers including those who play/have played for non Welsh teams. The interests of other museums will be taken in to account. 5.2 Subjects to which collecting relates 5.2.1 Archaeology

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Current collection 5.2.1.1 The current collection is relatively small but includes a significant proportion of nationally and regionally important finds. The collection includes the Brymbo man beaker burial, the Bronze Age Rosset hoard, the medieval Llay coin hoard, roman material from Plas Coch, and industrial material from John Wilkinson’s Ironworks at Bersham. 5.2.1.2 In the past, due to a lack of local museum provision until the 1980s, archaeological material from the Wrexham County Borough area was collected by other museum services namely The Grosvenor Museum in Chester and National Museum Wales. Collecting Policy 5.2.1.3 Wrexham Museum Service will continue to collect by gift, bequest or purchase, archaeologically material of any age, found through scientific excavation or casual find, from the Wrexham County Borough area. 5.2.1.4 Wrexham Museum Service will continue to purchase items declared as treasure under the Treasure Act. 5.2.1.5 Wrexham Museum Service will continue to act as a depository for archaeological material from Clwyd Powys Archaeological Trust and any other archaeological organisation operating in the Wrexham County Borough area. 5.2.2 Social History Current Collection 5.2.2.1 Wrexham Museum Service has a well established social history collection that aims to represent the daily life of the people of Wrexham County Borough. Themes covered by the collection include the home, religion, work life, sports and leisure pursuits, the stages of life, health, local clubs and societies. 5.2.2.2 The majority of acquisitions to the collection are made through generous donations by members of the public. 5.2.2.3 Although the collection is well established it often lacks the local provenance that is so important. This essential information has often been unrecorded, misplaced or, for items with no Wrexham connection, it never existed in the first place. 5.2.2.4 A past eagerness to collect all items with any kind of link to Wrexham County Borough has resulted in a high number of duplicate items in the collection. With storage full to capacity, there is a need to consider rationalisation of the collection to ensure resources remain available to acquire items that fill gaps in the collection. Collecting Policy

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5.2.2.5 Wrexham Museum Service will continue to collect items of social history that represent the daily life of the people of Wrexham County Borough by gift, bequest and purchase. Emphasis will be placed on the importance of recording the provenance of all new acquisitions. 5.2.3 Industrial and Economic History Current Collection 5.2.3.1 The industrial and economic history collection is another well established collection, with the majority of Wrexham industries being represented to some extent by artefacts. This includes; shops and businesses in the Wrexham area; pharmacy; brewing; coal mining; lead mining; clocks and watch making; Iron and steel; local transport such as trams and buses; the bricks, tiles and terracotta industry; printing. 5.2.3.2 The industrial and economic history collection suffers from many of the same problems as the social history collection; duplicate objects; lack of provenance; and a lack of suitable storage space especially for large objects. Collecting Policy 5.2.3.3 Wrexham Museum Service will continue to acquire objects by gift, bequest or purchase with a strong association to the industrial and economic history of Wrexham County Borough. 5.2.3.4 Before Local Government reorganisation in 1996 Bersham Heritage Centre had a separate collecting policy stating that it would collect industrial material relating to the whole of Clwyd County. This separate policy no longer exists and Wrexham Museum Service will only acquire items relating to the area of Wrexham County Borough. 5.2.4 Fine and Decorative Art Current Collection 5.2.4.1 The current collection consists of fine and decorative art in a range of media including oils, watercolours, prints, sculpture, textiles and ceramics. The collection is particularly strong on prints and paintings depicting the past views of the county borough, with particular emphasis on Wrexham town. 5.2.4.2 Storage space for framed items is full to capacity. There is therefore a pressing need to address this to ensure Wrexham Museum Service is able to continue to acquire framed works of art. Collecting Policy 5.2.4.3 Wrexham Museum Service will continue to acquire through gift, bequest and purchase works of fine and decorative art including paintings, works on paper and applied art. Only items with a strong association to Wrexham County Borough will be acquired. This includes works by local artists, and works that depict local scenes, people or events.

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5.2.5 Natural History Current Collection 5.2.5.1 The museum currently holds a small collection of natural history objects in the form of preserved zoology and geology. Collecting Policy 5.2.5.2 Although little has been collected previously, the museum service will continue to collect natural history objects with a strong association to the area of Wrexham County Borough. However it may in some cases be more appropriate to suggest an alternative accredited museum that has a more established natural history collection and the specialist staff required to curate such collections. 5.2.6 Military Current Collection 5.2.6.1 The collection consists of objects including firearms and weapons, uniforms, badges and medals that relate to the people of Wrexham County Borough who have served in the forces. Particularly strong areas of the collection include the military during World War II and the Royal Welch Fusiliers and their role in Wrexham town. Collecting Policy 5.2.6.2 Wrexham Museum Service will continue to acquire by gift, bequest or purchase material that relates to the role of the forces with in Wrexham County Borough, and material that relates to Wrexham County Borough residents that have served/serve in the armed forces. 5.2.6.3 All potential acquisitions of Royal Welch Fusilier related material will be discussed with the trustees of the Royal Welch Fusiliers Museum. 5.2.7 Welsh Football Current Collection 5.2.7.1 The national Welsh football collection was set up in 2001 following successful grant funding from the Heritage Lottery Fund and the Football Association Wales. The collection includes objects, textiles, works of art and archival material that aim to tell the story of football in Wales from its origins in the late 19th century to the present day. The collection was further supplemented with the acquisition, again with the assistance of a grant from the Heritage Lottery Fund, of the John Charles collection. 5.2.7.2 Unlike the other areas of collecting, the Welsh football collection receives few items by gift of bequest and items are therefore acquired mainly by purchase. The lack of gifts and bequests is due in part to a lack of awareness of the collection by both the public and other museum services. Collecting Policy

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5.2.7.3 Wrexham Heritage Service will continue to actively acquire through gift, bequest or purchase objects, textiles, works of art and archival material that represent the history of Welsh football. This includes items with a strong link to professional and non professional Welsh teams, and the Welsh National Team. It also includes items with a strong link to Welsh footballers including those who play/have played for non Welsh teams. The Museum Service will not acquire original film footage. 5.2.7.4 The museum service will continue to liaise with other museums that have an interest in Welsh football and/or Welsh footballers. 5.3 Archival Material 5.3.1 In the past the museum service collected archival material, including photographs and printed ephemera. This ceased in 1996 when Wrexham Archive service was established. All archival material collected before 1996 is due to be transferred to the Wrexham Archive Service, this process has commenced but is yet to have been completed. 5.3.2 As the museum currently holds archival material, its governing body will be guided by the Code of Practice on Archives for Museums and Galleries in the United Kingdom (3rd ed., 2002). 5.4 Loans 5.4.1 Wrexham Museum Service will only accept items on loan for an agreed fixed period and for an agreed stated purpose such as exhibition or for identification. This is due to a number of implications associated with loan objects, insurance costs, storage, and the potential withdrawal of the objects with little if any notice. 5.4.2 In the past museums often took items in on permanent or long-term loan and Wrexham was no exception to this. All items currently on long-term or permanent loan to the museum service are undergoing review and where appropriate are being returned to their owners or accessioned in to the collection depending on the wishes of the owner. 5.4.3 An exception to this is the loan of the Royal Welch Fusiliers Reserve Museum collection. In 2007 it was agreed that the collection would be moved in to the care of Wrexham Museum Service for a period of 25 years. 5.5 The Education Collection 5.5.1 A separate education collection has been established by past and current Education and Access Officers. The collection consists of items gifted or purchased to form an unaccessioned temporary collection used mainly for handling. 5.5.2 The education collection is not governed by the principles and procedures set out in this Collections Development Policy.

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5.5.3 Items offered to the Museum Service that do not fit the requirements of the Collections Development Policy will continue to be offered for the education collection as long as approval is first sought from the donor. 5.5.4 The education collection will continue to be maintained and managed by the Education and Access Officer with guidance available from the Collections Manager.

6. Themes and priorities for rationalisation and disposal 6.1 The museum recognises that the principles on which priorities for rationalisation and disposal are determined will be through a formal review process that identifies which collections are included and excluded from the review. The outcome of review and any subsequent rationalisation will not reduce the quality or significance of the collection and will result in a more useable, well managed collection. 6.2 The procedures used will meet professional standards. The process will be documented, open and transparent. There will be clear communication with key stakeholders about the outcomes and the process. 6.3 Priorities for rationalisation include duplicate items, objects with no local provenance and objects in such poor condition that they can not be conserved for display or research. All areas of the collection will be considered but the main issues exist in the social history, industrial and building salvage collections.

7. Legal and ethical framework for acquisition and disposal of items 7.1 The museum recognises its responsibility to work within the parameters of the Museum Association Code of Ethics when considering acquisition and disposal.

8. Collecting policies of other museums 8.1 Wrexham Museum Service will take account of the collecting policies of other museums and other organisations collecting in the same or related areas or subject fields. It will consult with these organisations where conflicts of interest may arise or to define areas of specialisms, in order to avoid unnecessary duplication and waste of resources. 8.2 Specific reference is made to the following museum(s): 8.2.1 Museum Services in surrounding counties: Flintshire County Council Museum Service Denbighshire County Council Heritage Service Cheshire West and Chester County Council Museum Service with particular reference to The Grosvenor Museum, Chester. Shropshire County Council Museum Service

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Powys County Council Museum Service Royal Welch Fusiliers Museum 8.2.2 National Museums and Institutions: Amgueddfa Cymru/National Museum Wales The National Library of Wales 8.2.3 Museums with significant football collections: National Football Museum, Manchester Club museums including Manchester United, Arsenal, Liverpool The Welsh Sports Hall of Fame

9. Acquisition 9.1 Acquisitions are agreed and signed by the Collections Manager and Assistant Collections Manager only, with consultation from Museum Service staff as appropriate. All acquisitions by purchase are agreed by the Heritage Service Manager. 9.2 The Museum Service will not acquire any object or specimen unless it is satisfied that the object or specimen has not been acquired in, or exported from, its country of origin (or any intermediate country in which it may have been legally owned) in violation of that country’s laws. (For the purposes of this paragraph `country of origin’ includes the United Kingdom). 9.3 In accordance with the provisions of the UNESCO 1970 Convention on the Means of Prohibiting and Preventing the Illicit Import, Export and Transfer of Ownership of Cultural Property, which the UK ratified with effect from November 1 2002, and the Dealing in Cultural Objects (Offences) Act 2003, the museum will reject any items that have been illicitly traded. WCBC will be guided by the national guidance on the responsible acquisition of cultural property issued by the Department for Culture, Media and Sport in 2005.

10. Human Remains 10.1 As the Museum Service holds or intends to acquire human remains from any period, it will follow the procedures in the “Guidance for the care of human remains in museums” issued by DCMS in 2005.

11. Biological and geological material 11.1 So far as biological and geological material is concerned, the Museum Service will not acquire by any direct or indirect means any specimen that has been collected, sold or otherwise transferred in contravention of any national or international wildlife protection or natural history conservation law or treaty of the United Kingdom or any other country, except with the express consent of an appropriate outside authority.

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12. Archaeological material 12.1 The Museum Service will not acquire archaeological material (including excavated ceramics) in any case where WCBC or the responsible officer has any suspicion that the circumstances of their recovery involved a failure to follow the appropriate legal procedures. 12.2 In England, Northern Ireland and Wales the procedures include reporting finds to the landowner or occupier of the land and to the proper authorities in the case of possible treasure (i.e. the Coroner for Treasure) as set out in the Treasure Act 1996 (as amended by the Coroners & Justice Act 2009).

13. Exceptions 13.1 is: • •

Any exceptions to the above clauses will only be because the museum acting as an externally approved repository of last resort for material of local (UK) origin acting with the permission of authorities with the requisite jurisdiction in the country of origin

In these cases the museum will be open and transparent in the way it makes decisions and will act only with the express consent of an appropriate outside authority. The museum will document when these exceptions occur.

14. Spoliation 14.1 The museum will use the statement of principles ‘Spoliation of Works of Art during the Nazi, Holocaust and World War II period’, issued for nonnational museums in 1999 by the Museums and Galleries Commission.

15. The Repatriation and Restitution of objects and human remains 15.1 Wrexham County Borough Council, acting on the advice of the museum’s professional staff, may take a decision to return human remains (unless covered by the “Guidance for the care of human remains in museums” issued by DCMS in 2005), objects or specimens to a country or people of origin. Wrexham Museum Service will take such decisions on a case by case basis; within its legal position and taking into account all ethical implications and available guidance. This will mean that the procedures described in 16.15 will be followed but the remaining procedures are not appropriate. 15.2 The disposal of human remains from museums in England, Northern Ireland and Wales will follow the procedures in the “Guidance for the care of human remains in museums”.

16. Disposal procedures 16.1 All disposals will be undertaken with reference to the SPECTRUM

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Primary Procedures on disposal. 16.2 The Museum Service will confirm that it is legally free to dispose of an item. Agreements on disposal made with donors will be taken into account. 16.3 When disposal of a museum object is being considered, the Museum Service will establish if it was acquired with the aid of an external funding organisation. In such cases, any conditions attached to the original grant will be followed. This may include repayment of the original grant and a proportion of the proceeds if the item is disposed of by sale. 16.4 When disposal is motivated by curatorial reasons the procedures outlined below will be followed and the method of disposal may be by gift, sale, exchange or as a last resort destruction. 16.5 The decision to dispose of material from the collections will be taken by WCBC only after full consideration of the reasons for disposal. Other factors including the public benefit, the implications for the museum’s collections and collections held by museums and other organisations collecting the same material or in related fields will be considered. External expert advice will be obtained and the views of stakeholders such as donors, researchers, local and source communities and others served by the museum will also be sought. 16.6 A decision to dispose of a specimen or object, whether by gift, exchange, sale or destruction (in the case of an item too badly damaged or deteriorated to be of any use for the purposes of the collections or for reasons of health and safety), will be the responsibility of WCBC and the museum acting on the advice of professional curatorial staff, and not of any one member of staff acting alone. 16.7 Once a decision to dispose of material in the collection has been taken, priority will be given to retaining it within the public domain. It will therefore be offered in the first instance, by gift or sale, directly to other Accredited Museums likely to be interested in its acquisition. 16.8 If the material is not acquired by any Accredited museum to which it was offered as a gift or for sale, then the museum community at large will be advised of the intention to dispose of the material normally through a notice on the Museums Association’s ‘Find an Object’ web listing service, an announcement in the M A’s Museum Journal or in other specialist publications and websites (if appropriate). 16.9 The announcement relating to gift or sale will indicate the number and nature of specimens or objects involved, and the basis on which the material will be transferred to another institution. Preference will be given to expressions of interest form other Accredited Museums. A period of at least two months will be allowed for an interest in acquiring the material to be expressed. At the end of this period, if no expressions of interest have been received, the museum may consider disposing of the material to other

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interested individuals and organisations giving priority to organisations in the public domain. 16.10 Any monies received by the museum governing body from the disposal of items will be applied solely and directly for the benefit of the collections. This normally means the purchase of further acquisitions. In exceptional cases, improvements relating to the care of collections in order to meet or exceed Accreditation requirements relating to the risk of damage to and deterioration of the collections may be justifiable. Any monies received in compensation for the damage, loss or destruction of items will be applied in the same way. Advice on those cases where the monies are intended to be used for the care of collections will be sought from CyMAL: Museums Archives and Libraries Wales. 16.11 The proceeds of a sale will be allocated so it can be demonstrated that they are spent in a manner compatible with the requirements of the Accreditation standard. Money must be restricted to the long-term sustainability, use and development of the collection 16.12 The nature of disposal by exchange means that the museum will not necessarily be in a position to exchange the material with another Accredited museum. The governing body will therefore ensure that issues relating to accountability and impartiality are carefully considered to avoid undue influence on its decision-making process. 16.12.1 In cases where the governing body wishes for sound curatorial reasons to exchange material directly with Accredited or non-Accredited museums, with other organisations or with individuals, the procedures in paragraphs 16.1-5 will apply. 16.12.2 If the exchange is proposed to be made with a specific Accredited museum, other Accredited museums which collect in the same or related areas will be directly notified of the proposal and their comments will be requested. 16.12.3 If the exchange is proposed with a non-Accredited museum, with another type of organisation or with an individual, the museum will place a notice on the MA’s Find an Object web listing service, or make an announcement in the Museums Association’s Museums Journal or in other specialist publications and websites (if appropriate). 16.12.4 Both the notification and announcement must provide information on the number and nature of the specimens or objects involved both in the museum’s collection and those intended to be acquired in exchange. A period of at least two months must be allowed for comments to be received. At the end of this period, the governing body must consider the comments before a final decision on the exchange is made. 16.13 If it is not possible to dispose of an object through transfer or sale, the governing body may decide to destroy it.

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16.14 It is acceptable to destroy material of low intrinsic significance (duplicate mass-produced articles or common specimens which lack significant provenance) where no alternative method of disposal can be found. 16.15 Destruction is also an acceptable method of disposal in cases where an object is in extremely poor condition, has high associated health and safety risks or is part of an approved destructive testing request identified in an organisation’s research policy. 16.16 Where necessary, specialist advice will be sought to establish the appropriate method of destruction. Health and safety risk assessments will be carried out by trained staff where required. 16.17 The destruction of objects should be witnessed by an appropriate member of the museum staff. In circumstances where this is not possible, eg the destruction of controlled substances, a police certificate should be obtained and kept in the relevant object history file.

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Appendix 2 Wrexham Archives and Local Studies Service A N Palmer Centre, Wrexham County Borough Museum, Regent Street, Wrexham LL11 1RB Acquisition and Disposal Policy 2014-2019 1.

Background

1.1

Wrexham County Borough Archives Service (the “Service”) was established in April 1996 under the requirements of Section 60 Local Government (Wales) Act 1996. Wrexham County Borough Local Studies Service was also formed in 1996 following local government re-organisation. The two Services became a joint service in 2003.

1.2

Prior to 1996 some records relating to Wrexham County Borough were deposited in the former Clwyd County Council record offices at Ruthin, Denbighshire and Hawarden, Flintshire. In principle, the Service would like certain classes of records transferred to Wrexham. This is subject to negotiation between the four Successor unitary Local Authorities of Clwyd County Council.

1.3

The Local Studies Service combined existing local studies collections from the former Wrexham Borough Council and the disaggregated collection from the former Clwyd County Council. A network of Local Studies Collections at Community Libraries was also established in 1996.

1.4

Wrexham Archives and Local Studies Service seeks to abide by all current archive legislation as it applies to local authority archive services in Wales.

1.5

Wrexham Archives and Local Studies Service is not approved as a repository to acquire Public Records, manorial records or Church in Wales Records, but is entitled to obtain surrogate copies of records held elsewhere in Wales that relate to the County Borough.

1.6

Wrexham Archives and Local Studies Service subscribes to the Archive Service Accreditation framework.

2.

Scope of collection

2.1

The aim of Wrexham Archives and Local Studies Service is to collect and preserve any kind of record that relates to the history of the County Borough and make them accessible to the public for research.

2.2

This policy should be seen in conjunction with the wider aims and objectives of the Council and the Service’s Terms of Deposit.

2.3

The Service will collect records relating to areas within the boundaries of Wrexham County Borough including present and predecessor local

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government authorities; community councils, businesses; churches and chapels, except for the Church in Wales (see 1.5); societies, clubs and associations; families and individuals. 2.4

The Service uses the terms ‘records’ and ‘archives’ as defined in the National Council on Archives An Archives Policy for the United Kingdom, 1996 to include manuscripts hand written and typewritten, maps, plans, photographs, printed material, electronic, digital and other machine readable records.

2.5

The Service will also collect published sources which will form part of the Local Studies collection including those relating to or produced within Wrexham County Borough and areas outside Wrexham County Borough where such areas have links with the County; general published sources on Wales in order to supply historical background as a context for the study of any subject relating to Wrexham County Borough; general published sources on the pre-1974 counties of Denbighshire and Flintshire, the former County of Clwyd and any neighbouring counties; general references for local history.

2.6

The Service will not seek or accept records relating to areas outside Wrexham County Borough unless there are exceptional circumstances, for example on the owner’s insistence. In such cases, other relevant archive services will be consulted. The Service will accept records relating to other areas if they form part of a collection where the majority of the records relate mainly to Wrexham County Borough, in order to maintain the integrity of the collection.

2.7

The Service will liaise with other archive services to avoid a conflict of collecting interests.

2.8

The Service will not collect any three dimensional objects or original art work unless they are integral to the archive collection to which they are attached. In such cases, the objects will be accepted under the custody of Wrexham County Borough Museums Service.

3.

Collection process

3.1

Wrexham Archives and Local Studies Service will acquire records either through donation, deposit on loan, or purchase. In the case of the Council’s own records, the Service is responsible for the Council’s Records Management Service and records identified as being of historic interest will be transferred to the archives. Published sources will be acquired either by donation or purchase.

3.2

The service prefers to obtain records by donation rather than deposit on loan.

3.3

Purchases of records will be made only of items of outstanding importance to the County and where funds allow.

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3.4

Only records, which in the judgement of the archivist in charge, are of sufficient quality for permanent preservation will be accepted. Only published material that the Local Studies Librarian considers relevant will be accepted.

3.5

It is a condition of acceptance that, subject to the requirements of information legislation such as The Data Protection Act 1998, Freedom of Information Act 2000 and Environmental Information Regulations 2004, records and published material will be available for public access either immediately or at the expiry of a specified period.

3.6

The Service will not normally accept archives, records or published material which are of a particularly specialist nature, requiring skills or equipment beyond the office’s resources to preserve, exploit or interpret.

4.

Disposal

4.1

The Service will only preserve records and published material worthy of permanent retention. Any records or published material received by donation that are not considered worthy of retention, will be disposed of or returned to the donor. Any records received by deposit on loan that are not considered worthy of retention, will be either disposed of with the depositor’s permission, or returned to the depositor.

4.2

The Service reserves the right to carry out periodic reviews of the records held, and where necessary, may recommend that they are transferred to another service if it is felt that the documents and their users would benefit from their relocation, returned to the depositor, or destroyed as appropriate.

5.

Policy review

5.1

This policy has been approved by Wrexham County Borough Council’s Executive Board on 21 October 2014 and will be reviewed within the next 5 years.

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Agenda Item 9

1.

REPORT TO:

Executive Board

REPORT NO:

HHPPE/79/14

DATE:

21 October 2014

LEAD MEMBER:

Councillor Ian Roberts (Housing)

LEAD OFFICER:

Head of Housing, Public Protection and Environment

CONTACT OFFICER:

Fred Czulowski (Tel 315401)

SUBJECT:

Tenant Participation

WARD:

N/A


To update Members on tenant participation, seek approval on the revised Tenant & Leaseholder Participation Strategy 2014-16 and the appointment of nine new tenant representatives onto the Wrexham Tenant & Member Partnership.

2.

EXECUTIVE SUMMARY

2.1

At the Executive Board meeting on 13 May 2014, Members were presented with a report (Report No: HHPPE/41/14) on the delivery of the Council’s tenant participation service. Following this meeting and approval of the Tenant & Leaseholder Participation Strategy, there have been a number of changes that will impact on the delivery of the Tenant and Leaseholder Strategy 2014-16 and wider tenant involvement.

2.2

Following a meeting of the Wrexham Tenants Federation on 21 July 2014 it was agreed, in a vote, that the Tenants Federation would cease to operate with immediate effect. The Wrexham Tenant & Member Partnership currently has five tenant representatives from the Wrexham Tenants Federation and five tenant representatives nominated by the Tenants Assembly (now called the Tenants Forum).

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2.3

As part of the Tenant & Leaseholder Participation Strategy 2014-2016, agreed by Executive Board in May 2014, it was proposed that the Wrexham Tenants Federation would have five places on the Wrexham Tenant & Member Partnership, with the remaining five tenant places being decided by an open election at the Annual Tenant Conference. The closure of the Tenants Federation results in there now being five vacant places on the Partnership.

2.4

A number of meetings have been held over the summer, with members of the former Tenants Federation, in order to decide how the five vacancies from the former Federation would be filled. These meetings have included attendance by the Lead Member for Housing and Planning and Legal input to oversee governance arrangements. Tenants agreed that all tenants currently engaged in tenant participation activities be contacted and given the opportunity to stand, vote and then agree on which five tenants were appointed onto the Partnership.

2.5

At a meeting held on 4 September, five tenants were appointed and several tenants requested to be placed on a reserve list to cover tenant’s holiday leave and sickness at Partnership meetings. In addition to these five appointments, the remaining five places on the Partnership were to be decided by an open election at the Tenants Conference held on 1 October 2014.

2.6

At the Tenant Conference four nomination forms were received and as five or more nominations were not received, there was no requirement to hold a ballot and the four nominations were appointed. It is proposed that, subject to Executive Board approval, the nine new tenant representatives will take up their roles with effect from the next Partnership meeting on 24 October 2014.

2.7

Due to only four nomination forms being received at the Tenant Conference there is one spare tenant place remaining on the Wrexham Tenant & Member Partnership. It is proposed that the Partnership at their next meeting will discuss and agree the best way to fill this vacancy.

2.8

Following the closure of the Wrexham Tenants Federation the £10,000 grant to the Federation, which was agreed by Executive Board, is now available. It is proposed that this funding is used to train and support tenants to become actively involved in tenant participation. It is proposed that Officers and tenants prepare a detailed proposal and report this to the Wrexham Tenant & Member Partnership, who will consider and agree how this funding will be spent.

3.

RECOMMENDATIONS

3.1

To approve and adopt the revised Tenant and Leaseholder Participation Strategy 2014/16 in light of recent changes to the Wrexham Tenants Federation;

3.2

To approve the nomination and selection process for the new tenant membership on the Wrexham Tenant and Member Partnership and agree that a reserve list be in place with immediate effect;

3.3

To approve £10,000 grant funding for tenant training and to encourage tenants to become more actively involved.

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REASONS FOR RECOMMENDATIONS To ensure that the Tenant & Leaseholder Participation Strategy is implemented to support and encourage tenant engagement. Executive Board needs to approve any changes to the Tenants & Leaseholder Participation Strategy as the decision making body.

4.


4.1

Executive Members were presented with a report on 13 May 2014 (Report No: HHPPE/41/14) seeking approval and adoption by the Council of the Tenant and Leaseholder Participation Strategy 2014-16. Members were also asked to select and approve the preferred option for the future resourcing of tenant participation within the Council. At the Executive Board meeting, Members approved the strategy and agreed that in-house service delivery be approved for the tenant participation function.

4.2

As part of this report, Members also received information and approved the proposed Service Level Agreement (SLA) and Action Plan between the Council and the Wrexham Tenants Federation, which set out the governing arrangements for payment of an annual grant of £10,000 to the Federation in order for them to carry out certain services and support to tenants.

Wrexham Tenants Federation 4.3

Following the Executive Board meeting in May there have been a number of developments and changes that have had an impact on the Tenant and Leaseholder Strategy 2014-16. The Wrexham Tenants Federation held a meeting on 21 July to discuss the signing of the agreed Service Level Agreement (SLA) between the Council and the Federation and after discussion, members of the Federation agreed to the closure of the Wrexham Tenants Federation (7 votes to 1 vote) with effect from 21 July 2014.

4.4

The closure of the Federation does have implications for both the tenants, who received advice and support, and also the Council who sees the Federation as an integral part of the strategic governance of tenant participation.

4.5

As a result of the decision by the Federation to close, the Tenant & Leaseholder Participation Strategy 2014-16 has now been revised and updated. This is attached at Appendix 1, with amendments to the strategy being shown in bold for clarity and ease of reference. Section 3 of the original strategy, which is the Action Plan, has been removed as this is a working document. Progress made against the objectives set within the Action Plan will be reported to the Wrexham Tenant & Member Partnership, who will monitor performance.

Election Process for Tenant Representation on the Wrexham Tenant & Member Partnership 4.6

The Wrexham Tenant & Member Partnership had five tenant places from the Wrexham Tenants Federation and five tenant representatives nominated by the Tenants Assembly. As part of the agreed Tenant & Leaseholder Participation Strategy 20142016 it was proposed that the Wrexham Tenants Federation would have five places on the Partnership, with the remaining five tenant places being decided by an open

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election at the Annual Tenant Conference. As the Federation has now ceased to operate there is no organisation to provide the five nominations. 4.7

A number of meetings have been held with members of the former Tenants Federation, Wrexham Tenant & Member Partnership, Officers of the Council and the Lead Member for Housing and Planning to discuss the way forward and future nominations. As the Federation no longer exists, it was agreed at a meeting held on 31 July 2014 that the tenants themselves would agree how the five places available on the Partnership would be filled. This process was fully supported and encouraged by the Lead Member for Housing and Planning.

4.8

At the meeting on 31 July 2014 tenants suggested three options as to how the five former Federation places were to be filled. These options were: • •

•

4.9

Option 1 - All 10 tenant places to be decided during the elections at the Tenants Conference Option 2 - A new independent organisations was set up from those tenants who were currently actively involved in the Service Improvement Groups. This newly formed group would then decide/vote on which five tenants were appointed onto the Partnership. Option 3 - The Tenants Forum (formerly called the Tenants Assembly) was again given the five available places and a decision/vote taken as to which five tenants were appointed onto the Partnership.

At a further meeting held on 11 August, consideration was given to the above mentioned options. Despite there being three options for discussion, tenants agreed on a fourth option which was an amalgamation of Options 2 and 3.

4.10 The fourth option proposed was that all tenants currently engaged in tenant participation activities be given the opportunity to vote and agree on which five tenants were appointed on to the Partnership. An invitation letter was sent to all tenants actively involved in the various Service Improvement Groups, Tenant Assembly, Wrexham Tenant & Member Partnership and the former Tenants Federation to attend a meeting on 4 September to be considered for one of the five available places. The meeting was attended by 22 tenants. 4.11 At this meeting tenant representation on the Wrexham Tenant and Member Partnership was discussed and eight tenants indicated a wish to stand for election and were given the opportunity to make a short presentation. Those present voted by secret ballot, indicating up to five representatives. The voting process was overseen by a Legal Officer and five tenants were elected, subject to Executive Board approval. 4.12

At the meeting tenants felt that a reserve list should be in place and include tenants that could be called upon when tenant representatives were absent or unable to attend a Partnership meeting.

4.13

At the meeting, discussion took place on the length of term tenant representatives should sit on the Partnership. It was agreed that tenant representatives would be members of the Partnership for a period of 12 months. It is proposed that future membership and term of appointment will be reviewed and managed by the Wrexham Tenant & Member Partnership.

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4.14 In addition to these five appointments, the remaining five tenant places available on the Partnership were to be decided by an open election at the Tenants Conference to be held on the 1 October 2014. At the Tenant Conference four nomination forms were received and as five or more nominations were not received, there was no requirement to hold a ballot and the four nominations were appointed. 4.15 Due to only four nomination forms being received at the Tenant Conference there is one spare tenant place remaining on the Wrexham Tenant & Member Partnership. It is proposed that the Partnership at their next meeting will discuss and agree the best way to fill this vacancy. Following the appointment of all new tenant representatives, it is proposed that all will sign and confirm their agreement to a Council Code of Conduct. Funding 4.16 At the Executive Board meeting in May 2014, Members approved that a £10,000 grant be paid to the Wrexham Tenants Federation, which was subject to the Federation meeting the governing arrangements of a Service Level Agreement. 4.17 It is proposed that this funding is made available to train, support and encourage tenants to become more actively involved in tenant participation. This budget would be overseen by the in-house Tenant Engagement Officer once appointed. Decisions on how the money is to be spent and allocated would be considered and agreed by the Wrexham Tenant & Member Partnership. 4.18 Policy Framework: The Tenant and Leaseholder Participation Strategy contributes to the improvement aim in the Council Plan, Outcome O1 ‘engaged and satisfied customers’. 4.19 Budget: A grant of £10,000 previously agreed by Executive Board on 12 May 2014, to be paid to the Wrexham Tenants Federation is now available following the closure of the Wrexham Tenants Federation. 4.20 Legal: No legal implications. 4.21 Staffing: No staffing implications. 4.22 Equalities/Human Rights: An Impact Assessment has been carried out and the Departmental Reference Number is HPPE/EIA00025/2014. No negative impacts have been identified as the Tenant & Leaseholder Participation Strategy aims to provide and promote a range of activities and opportunities for all tenants to actively get involved in and influence service delivery.

5.

CONSULTATION

5.1

Three separate meetings have been held with members of the former Wrexham Tenants Federation to discuss the nomination and selection process for tenants on the Wrexham Tenant & Member Partnership. At these meetings tenants suggested a number of options as to how to fill the five former Federation places.

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5.2

Tenants who have been actively involved in tenant participation were invited to a meeting held on 4 September 2014, to discuss tenant representation on the Wrexham Tenant & Member Partnership. 22 tenants attended the meeting and 8 tenants put themselves forward to stand for nomination on to the Partnership. A vote was cast and five tenants were appointed to sit on the Wrexham Tenant & Member Partnership. Several tenants also expressed an interest in being placed on a reserve list to be called upon when tenant representatives were absence or unable to attend a Partnership meeting.

6.


6.1

A report on the delivery of the tenant participation service was presented to the Homes, Environment and Communities Scrutiny Committee on 12 February 2014 (Report No HHPP/11/14s). Members of this Committee discussed the progress made in delivering the tenant participation function, the Tenant & Leaseholder Participation Strategy 2014/16 and options for the future resourcing of the tenant participation within the Council. At the Scrutiny Committee it was acknowledged that considerable improvements have been made to the tenant participation process in recent years but that further work was required to ensure that improvements continue to be made.

6.2

Scrutiny Members agreed to recommend to Executive Board that the Tenant & Leaseholder Participation Strategy 2014/16 be adopted by the Council and a report was presented to Executive Board on 13 May 2014.

6.3

No report has been presented to the Homes & Environment Scrutiny Committee following the recent developments outlined in this report in regard to the Wrexham Tenants Federation and the selection process for tenant representation on the Wrexham Tenant & Member Partnership.

BACKGROUND PAPERS

LOCATION

Executive Board 29 June 2010 Review of Tenant Participation Function (CHPPO/75/10) Social Affairs, Health and Housing Scrutiny Committee 20 October 2010 Review of Tenant Participation Function (CHPPO/120/10s) Executive Board 30 November 2010 Full Review of Tenant Participation Function (CHPPO/143/10) Social Affairs, Health and Housing Scrutiny Committee 12 October 2011 Tenant & Leaseholder Participation Strategy 2011-2014

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WEBSITE INFO

Wrexham Tenant and Member Partnership 9 March 2012 Tenant Participation Outsourcing (HHPP/25/12) All Members Information Report November 2012 Tenant Participation Strategy Update (HHPP/117/12) Wrexham Tenant and Member Partnership 25 October 2013 Proposed Service Level Agreement Wrexham Tenants Federation (HHPP/84/13) Wrexham Tenant and Member Partnership 6 December 2013 The Future Delivery of Tenant Participation 2014/16 (HHPP/94/13) Homes, Environment and Communities Scrutiny Committee 12 February 2014 Delivery of Tenant Participation (HHPP/11/14s) Wrexham Tenant & Member Partnership 25 April 2014 Tenant Participation (HPPE/31/14) Executive Board 13 May 2014 Delivery of Tenant Participation (HHPPE/41/14)

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APPENDIX 1

Wrexham County Borough Council Landlord Services

Tenant and Leaseholder Participation Strategy 2014/2016

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Summary 1.

The key outcome of the Tenant Participation Strategy we are trying to focus on is that engagement with tenants leads to service improvement. However whereas tenants are identifying the need for service improvement, ultimately there needs to be a shift in the facility to ‘drive’ service improvement and this will only be achieved once the performance management framework that is recommended in the strategy is implemented and discussed below.

2.

The new performance management framework will include:• • • •

3.

Service Improvement Groups (SIGs) for each housing service area setting standards and monitoring performance The regular reporting of Mystery Shopping and service reviews to SIGs and Wrexham Tenant and Member Partnership The Wrexham Tenant and Member Partnership takes on a robust scrutiny role considering service improvement recommendations from SIGs Tenant Mystery Shoppers and Tenant Inspectors will support the improvement process by conducting reality checks on service delivery

The key changes in the revised Structure compared to existing structure are as follows: •

•

•

•

Five places on the Partnership to come from tenants currently engaged in tenant participation activities. The remaining five tenant places on the Partnership will be decided by an open election at the Annual Tenant Conference to be held on 1 October 2014 Any Wrexham Council tenant will be able to stand for election to the Partnership but must have sponsorship from the community they want to represent – at least 10 tenant signatures from different households in the area they live. Tenant Representatives will sit on the Wrexham Tenant & Member Partnership for a period of 12 months. At the end of this term, the Wrexham Tenant & Member Partnership will decide on future membership and term of appointment. The Tenants Assembly will be rebranded as the Tenants Forum, meeting four times each year including one meeting as a Tenants Conference.

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RESIDENT INVOLVEMENT STATEMENT Our Tenant & Leaseholder Participation Strategy 2014/2016 sets out a promise to all our tenants that they will be given the opportunity to get involved and influence the services they receive. At Wrexham Council’s Housing Services every one of our people who work with tenants and leaseholders (our customers) has a responsibility to provide opportunities for them to work with us. We believe that listening to and involving customers is an essential part of improving the services we will ensure that our customers trust that we will listen to their suggestions, act on them where we can, and to explain when we cannot.

All Social Landlords in Wales are required to produce a local Tenant Participation Strategy by working with tenants to agree: • • • •

How their homes and local environment should be managed; What services and service improvements are needed; Priorities; and How to work together to achieve these.

This strategy is in accordance with the underlying aims of the Welsh Government’s National Tenant Participation Strategy which are: • •

To improve the efficiency and quality of housing services of Local Authorities and Housing Associations To place tenants at the heart of housing management, in accordance with Welsh Government’s citizen centred approach.

SETTING THE SCENE The social Housing environment is changing both nationally and within Wales and Wrexham. Major changes in national policy on welfare reform, introduction of the new Housing (Wales) Bill and major cuts in public expenditure mean that there has never been a more crucial time for meaningful customer consultation, engagement and involvement. It is a good time for us (the Council our tenants and leaseholders) to: • • • • •

Review and provide an honest assessment of our successes and failures in developing tenant participation in the borough over the last five years Look to the future – the exciting challenges and opportunities provided by our radical plans to change how the service is delivered Provide a clear picture of the outcomes we are looking for, introducing more innovation and creativity into the service Develop wider and deeper opportunities for tenants to be involved in every aspect of service design and delivery; and Improve the value for money of the resources used

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REVIEW OF THE PAST FIVE YEARS The last five years shows a mixed picture. There have been a number of achievements which are moving the service forward but there are a number of areas which need to improve for the future.

Key areas of achievement In the past 18 months, 291 tenants have attended a range of meetings from Tenant Assembly meetings to the new SIGs. Newly involved tenants are now participating through 9 new Service Improvement Groups and almost 300 are registered on our tenant participation database for consultation and being kept informed. The Wrexham Tenant & Member Partnership An all-Wales study led to a report on public engagement by Councils in Wales which was published in June 2012. At Wrexham, it found that there were some positive examples of public engagement. This included Landlord Services which the report states has effective tenant engagement arrangements, and which is used as an example of good practice on the Wales Audit Office Good Practice website: “The strategy aimed to offer tenants and leaseholders a range of opportunities to participate, either through groups or as individuals. These participation opportunities ranged from simply receiving information to becoming a full member of the Wrexham Tenant and Member Partnership (TMP). The creation of the TMP was considered to be a key factor in the implementation of the (resident engagement) strategy ” Public Engagement in Local Government Wales Audit Office June 2012 www.wao.gov.uk Following a ‘No’ vote to stock transfer by tenants in March 2004, the Wrexham Tenant & Member Partnership were given the task to review and discuss options for the future of the housing stock. Following a number of reports presented to members of the Partnership, they made a recommendation to the Council’s Executive Board in October 2013 that based on the current financial figures and subject to borrowing approval, Wrexham will be able to achieve the Welsh Housing Quality Standard (WHQS) by 2020 through stock retention. The 2013 Tenant Survey found that 82% of tenants who responded were satisfied with the overall housing service and 72% of those who responded agreed or tended to agree that we keep tenants informed about things that affect them as tenants. Tenants were involved in the procurement and appointment of the Tenant Participation Coordinator contract in 2011 which commenced in April 2012 and which came to an end in March 2014 after 2 years. The Council’s Executive Board agreed in May 2014 that the future tenant participation function be delivered inhouse. Tenants will again be involved in the appointment of this in-house post.

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Wrexham Tenants Federation The Council supported the Federation which was an independent third sector organisation through an annual grant. Membership of the Federation was open to any Tenant and Resident Association in Wrexham or from any individual Council tenant or leaseholder. It had an office in the centre of Wrexham open 2 half days each week with paid administrative staff. At the Tenant Assembly meeting held in December 2013 a new Service Level Agreement between the Council and the Federation was agreed. However, on the 21 July 2014, a meeting of the Wrexham Tenants Federation was held and it was agreed by its members to the closure of the Federation with immediate effect. Tenant Participation in Communication and Information All tenants are invited to regular open public meetings under the banner of Wrexham Tenants Assembly. Meetings are used to promote the opportunities for involvement and to provide information on big issues such as welfare reform and rent policy. The meetings are attended by senior Managers and are an opportunity for any tenant to ask questions and get answers face to face on any matter they want. Meetings are held in different locations using local community venues. Since 2005 an election has been held to nominate 5 tenants to sit on the Wrexham Tenant & Member Partnership from the Tenants Assembly. There is a quarterly newsletter for tenants (Housing Hotline) produced, which is used both to promote tenant involvement and consult and inform on what is happening in the service. The Autumn edition was issued to all tenants in September 2014. In 2012 a Tenants Editorial Group was established that meets to discuss material for the newsletter, edit the content and monitor the value for money of the procurement of design and print services. There have been two successful Tenant Conferences in 2009 and 2011 which were well attended by over 100 tenants and leaseholders who provided positive feedback and tenants were involved in their design and format. A further conference took place on the 1 October 2014 and tenants were involved in its planning and content. Tenants are involved in a SIG to review the content of the Housing Website and the Use of Social Media. A wide variety of communication methods are used including surveys, questionnaires, consultation events, the website and through the various groups mentioned here. In addition tenants or any member of the public can attend the Council’s Executive Board or Scrutiny meetings and see the records (minutes) of meetings. Tenant Participation in Repairs & Improvement Programmes The service has undergone significant changes over the past three years, including a major restructure of the repairs service. Tenants were involved during the course of the review and a Tenant Service Review Group was established to ensure tenant

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involvement in the introduction of mobile working within repairs. Tenants were involved in setting the Lettable Standard for Void properties and are now involved in a Voids Service Improvement Groups in monitoring the delivery against the standard. Tenants were also consulted on further enhancements to the repairs service through the 2013 Tenant Survey. Tenants were asked for their views in relation to offering repair appointments in 2 hour bands as well as changing the Freephone Repairs number to a local number. Following this consultation these changes have been implemented to the service. Tenants have also been actively involved in a number of projects which have included: •

• •

Demolition of Hightown flats where numerous consultation days were held and tenants were involved in the design of the redevelopment of the site. Hightown residents nominated Wrexham Housing & Public Protection for a Recognition of Agency Support Award. The award acknowledged the high degree of support provided to residents including the implementation of the Hightown Community Action Plan, consultations and responding to the communities needs Solar Panel installation project whereby numerous focus groups were carried out to gauge opinions and views. Insulation and wall cladding to non-traditional properties, monthly open meetings were held with the contractor and Council Officers.

Tenants have also been involved in choosing the fittings and fixtures to be used for the kitchen and bathroom renewal programmes. Tenants are also involved on a gas servicing panel to monitor the contract and performance of the gas servicing Contractors. 60% of tenants who responded were either very or fairly satisfied with the opportunities offered to tenants to get involved Tenant Survey 2013 Tenant Participation in Supported Housing The Sheltered Housing Forum Tenants meets quarterly and have been extensively involved in the introduction of the 'hub and spoke' model within sheltered housing and their involvement and feedback has directed the way forward for this project. A Service Improvement Group for Sheltered and Supported Housing has been established to review service standards in sheltered housing. Tenant Participation in Housing Management An Estates and Environment Service Improvement Group was established in 2012 to set service standards and monitor the quality of service against the agreed standards. Estate Walkabouts with local Officers and Elected Members are being implemented in all areas which are open to any tenant to attend.

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Tenants as part of the 2013 Tenant Survey have been consulted on the principles for a new rent setting system for Wrexham to be implemented from April 2015. Applicants currently registered on the Council’s housing register have also been consulted on proposed changes to the Allocations Policy. Views received following this consultation on the proposed changes will be included in a report to Elected Members later in the year. Mystery Shoppers & Tenant Inspectors Tenants have been trained to inspect all Housing Services and report back to the various Service Improvement Groups and the Wrexham Tenant & Member Partnership. This was in direct response to customer feedback that tenants need to have more ways (in addition to the tenant survey) to test the quality of services and more measures in place to demonstrate impact and outcomes. A Complaints and Customer Care Group was established in 2012 and met until March 2013 when it reviewed its terms of reference and decided that service complaints would be better monitored within the specific Service Improvement Groups as would customer satisfaction and monitoring of service against service standards. Tenant & Resident Associations (TARA’s) Tenants are encouraged to form Tenant Associations to act as representative voices for the communities they serve. An annual grant is provided to any group that meets the recognition criteria which was revised and approved by the Council’s Executive Board in May 2014. This criteria is now more flexible and includes being open to membership of all tenants within the agreed boundary of the association with signed sponsorship from at least 10 tenants from different households; the association will liaise closely with their local Housing Office; a minimum of 2 open meetings must be held each year including an AGM; accounts must be kept and audited annually and the Association must provide an article on its activity for publication in the Housing Hotline at least twice per year and on the Council’s website. Currently there is one Tenant Association that receives grant funding and five others meet without financial support because they do not meet the required criteria. However all the groups are recognised and supported through attendance by estate staff on invitation. Current Active TARAs are: • • • • • • •

Acton TARA Cefnwide TARA 577 properties formerly Lower Cefn Mawr established 1986 affiliated Wrexham Tenants & Residents’ Federation Ruabon TARA established 1996 affiliated Wrexham Tenants & Residents’ Federation 305 properties Pant TARA established 1998 261 properties affiliated Wrexham Tenants & Residents’ Federation Rhosnesni TARA established 1993 affiliated Wrexham Tenants & Residents’ Federation 244 properties Afon established 1988 - 862 properties Huntroyde TARA

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• •

Smithfield established 1980 affiliated Wrexham Tenants & Residents’ Federation WynnstayTARA

Leaseholder Engagement A number of meetings were held in 2009 with leaseholders that helped develop a Leaseholder Handbook. Meetings commenced again in October 2013 where all 416 leaseholders were written to and we received a response from over 10%. In summary there are many ways for tenants to become involved and in this section we have identified the ways in which tenant involvement works.

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KEY AREAS FOR IMPROVEMENT The methods used prior to 2012 were often limited to surveys or focus groups, and there was limited opportunity for tenants to engage at a strategic level. ‘Culture change needed – staff and Councillors need to recognise that tenants are entitled to participate and this could actually result in a better service being provided’ Tenant Survey 2010 We also acknowledge that there is limited evidence of a consistent approach to evaluation and the effective use of the information obtained. Nor is there evidence of learning from different tools and techniques to find the most effective approaches to tenant engagement year on year, or sharing good practice between service departments. We will be focussing on promoting the effective use of customer feedback and consultation throughout the Housing Service to drive service improvement. This will be through the use of Service Improvement Groups (SIGs) and mystery shopping. ‘There is very little feedback to tenants after they have been involved in the decision making process – if tenants were able to see how their input has influenced the decision making process more might be inclined to come forward’ Tenant Survey 2010 An internal review of our Tenant Participation Strategy recommended: •

The previous strategy was based too much on tenant ‘activity’ and formal meetings with insufficient focus on achieving positive impacts and outcomes

‘Tenants should be more involved in deciding how the tenant participation budget is set and monitoring how it is spent’ Tenant Survey 2010 •

There is a lack of higher level or strategic engagement through a tenant scrutiny role in line with modern good practice

•

The service has not been mainstreamed – it is not yet seen as part of the ‘day job’ of all housing staff. Tenant Participation champions were not in place for each area of service

•

There is still no training programme on tenant participation for Officers or Elected Members

•

Lack of involvement of harder to reach groups including young people

•

Underdeveloped wider community involvement opportunities and limited activity at the local area level

•

Weaknesses in the assessment of the impact of tenant involvement in terms of service quality and value for money

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•

The action plan is not regularly monitored and few performance indicators are in place to identify how successful or otherwise the Council is in meeting the objectives of the Tenant Participation Strategy

•

No regular engagement with leaseholders

The main areas where tenants believe the effectiveness of tenant participation could be improved based on the consultation undertaken as part of the review of the Tenant Participation Strategy are: •

Doubts about whether tenant consultation is taken seriously and makes a difference if tenant views are different from those of Officers and Elected Members (and linked to this)

•

Lack of feedback to tenants on the outcomes of consultation – showing how their input has made a difference

We accept the weaknesses identified above and this strategy will do much more to put tenants at the centre of our decision-making process and enable them to influence our housing policies and priorities and how these are monitored. This strategy will ensure there is an increased priority from senior management for ensuring the full involvement of tenants in service development across all Housing Services. We intend to ensure more Elected Member engagement with tenant participation through commissioning and receiving reports on how the service is delivered via the Wrexham Tenant & Member Partnership.

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Section 2 - Our Vision for the next 3 years The Council’s overall vision is ‘to be a strong community leader with a purpose to ensure Wrexham and its people are supported to fulfill their potential and prosper’. Housing Services vision is: ‘To continuously improve our customers’ experience of housing services’ This Strategy covers the next 3 years from 2014 to 2016. Its underlying principle is that the Council is committed to involving tenants and recognises the key role they can play in improving the delivery of services to all tenants. “This strategy sets out a promise to all our tenants that they will be given the opportunity to get involved and influence the service they receive”. Councillor Mark Pritchard Our desired outcomes are to achieve: •

An increased range of high quality tenant participation activities including a stronger focus on the role of tenants in governance and scrutiny and more strategic level engagement

•

High quality training, facilitation and support that ensures that tenants feel they are equipped and confident to carry out their role

•

Improved feedback on the outcome of consultation so that tenants are confident that their views have been listened to and changes made as a result

•

Tenants feeling involved in the process of monitoring and review of services through having the opportunity to carry out surveys and mystery shopping and service reviews/health checks where areas of service are not performing

•

A consistent and co-ordinated approach to tenant participation in Wrexham

•

Improved value for money by avoiding confusion of roles and duplication of activities

•

Different opportunities for tenants to consider, design and influence how housing services are delivered – a full ‘menu’ of activities at local and county levels

•

Increased community involvement at the local level leading to improved satisfaction in terms of improvements in community safety and the local environment

•

Staff who are well trained and confident in tenant participation and who are aware of their responsibilities for tenant participation as part of their role

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•

Elected Members who are confident and well trained and actively engage with tenants to improve the quality of services and participation options

•

An assessment of the impact of tenant participation activities (assessing the range, number and quality of activity against the cost of different participation options and acting on the outcome)

Tenant Representation on Wrexham Tenant & Member Partnership In recognising the importance of involving tenants in decision making as well as ensure wider representation of tenants who are currently engaged in tenant participation. Tenants have been involved in the process for selecting tenant representatives on to the Wrexham Tenant & Member Partnership. Following the closure of the Wrexham Tenants Federation in July 2014 a number of meetings have been held with members of the former Tenants Federation to discuss the way forward and nominations for five tenant places on the Wrexham Tenant & Member Partnership. It was agreed that all tenants actively engaged in tenant participation activities be given the opportunity to vote and agree on which five tenants are appointed onto the Partnership. At the meeting tenants felt that a reserve list should be in place for the Wrexham Tenant & Member Partnership to allow tenants to be called upon when tenant representatives were absent or unable to attend a meeting. The remaining five tenant places available on the Partnership will be elected at the Tenants Conference to be held on the 1 October 2014. Funding to Support & Encourage Tenant Participation It is proposed that funding that was allocated to fund the Wrexham Tenants Federation will be made available to undertake training for tenants as well as support and encourage tenants to get more actively involved in tenant participation. Shared Values We will ensure that this strategy reflects the Council’s core values:

• • • • • •

Trust Respect Innovation Flexibility Integrity Commitment

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Our Aims An improvement aim in the Council Plan is ‘listening to and engaging the public in influencing services’. This priority is reflected in the Housing Revenue Account Business Plan 2014/15 and the department’s priorities agreed for the year. Our Aims are to: •

To listen to and act upon customer feedback.

•

To offer a comprehensive menu of choice of involvement methods to all our customers enabling them to provide this feedback in ways that suit them and be confident that these range of options are equally available across the Borough

•

To develop and support leaseholder involvement ensuring leaseholders are adequately encouraged and resourced to fully engage in the participation process and be involved in decisions affecting them

•

To explain who is responsible for different service areas and to publish regular performance information to tenants on service delivery

•

Meet the 5 ‘Key Expectations’ of the National Tenant Participation Strategy for Wales

•

o

Integrated at all levels of Housing Services and in all functions of the landlord

o

Not just focussing on housing or tenants, but sometimes on any issues that impact on our communities where our tenants live (being mindful of appropriate funding for the costs of non-tenant participation).

o

Both formal and informal mechanisms of participation (collective and individual consumer methods)

o

Able to include all tenants in participation across all groups and ensuring accessibility for disabled people, dispersed tenants etc.

o

Sustainable through continuous improvement mechanisms.

To increase the number of tenants who actively engage in the design, delivery, review and scrutiny of services delivered by the department. o

To establish Community Voices in each ward of Wrexham County Borough Council

o

To establish a scrutiny function including making use of Mystery Shopping and tenant inspection of Housing Services

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The major area for improvement in terms of tenant representative structures is to develop a more strategic role for tenants in scrutiny. The key changes in the revised Structure compared to existing structure are as follows: • • •

The Wrexham Tenant and Member Partnership takes on a robust scrutiny role, as part of a new Performance Management Framework Five tenant places on the Partnership from tenants currently engaged in tenant participation activities. Five tenant places on the Partnership to be elected at the Tenants Conference.

The Tenants Assembly will be rebranded as the Tenants Forum, meeting four times each year including one meeting as a Tenants Conference. What we want to ensure through this strategy is that we engage with customers when appropriate first, deliberate in true consultation through meaningful collaboration and having received customer feedback make decisions based upon it. In Housing we will adopt the 10 National Principles for Public Engagement in Wales1: 1. 2.

3.

4. 5. 6. 7. 8. 9.

10.

Engagement is effectively designed to make a difference – with opportunities to influence policy, service design and delivery from an early stage Encourage and enable everyone affected to be involved, if they so choose – as an individual or as part of a group or community, with their views both respected and valued Engagement is planned and delivered in a timely and appropriate way – communicated to everyone in a way that is easy to understand within a reasonable timescale, and the most suitable methods for those involved is used Work with relevant partner organisations – ensuring that people’s time is used effectively and efficiently The information provided will be jargon free, appropriate and understandable make it easier for people to take part Enable people to take part effectively by developing the skills, knowledge and confidence of all participants Engagement is given the right resources and support to be effective (including community participants and staff) People are told the impact of their contribution – timely feedback is given to all participants about the views they expressed and the decisions or actions taken as a result; methods and form of feedback should take account of participants’ preferences Learn and share lessons to improve the process of engagement through monitoring and evaluation to measure its success in engaging people and the effectiveness of their participation; lessons should be shared and applied in future engagements

1

These principles were developed by Participation Cymru working with TPAS Cymru endorsed by the First Minister of Wales on behalf of the Welsh Government (March 2011)

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These principles will be used as a mechanism to evaluate the success of this strategy in terms of impact.

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Agenda Item 10

1.

REPORT TO:

Executive Board

REPORT NO:

HHPPE/82/14

DATE:

21 October 2014

LEAD MEMBER:

Councillor Ian Roberts (Housing)

CONTACT OFFICER:

Fred Czulowski (Tel: 315401)

SUBJECT:

The New Council Housing Allocations Policy

WARD:

All


To approve the new Council Housing Allocations Policy.

2.

EXECUTIVE SUMMARY

2.1

All Local Authorities in Wales have a legal duty to have an Allocations Policy. Its purpose is to set out how individual Councils allocate social housing and prioritise applicants in housing need.

2.2

Wrexham County Borough Council’s current Allocations Policy has been in place since 2005, with minor amendments having been carried out in 2007 and 2011. Since its last amendment, there have been important changes in legislation, case law and Welsh Government Guidance regarding the allocation of Council housing.

2.3

The Council’s current Allocations Policy is a points based system. A variety of points are awarded for various criteria. With the current system no account is taken of the amount of time that a person has been waiting to be re-housed. In addition, the current policy takes no account of the number of offers that an applicant can refuse, regardless of location or suitability, nor an applicant’s financial capacity to satisfy their own housing need.

2.4

Amending the Council’s Allocations Policy will enable the Council to address these various issues, whilst also being able to ensure it reflects changes in case law and Welsh Government guidance.

2.5

The proposal is to change the Allocations Policy from one that prioritises applicants by awarding points, to one that places applicants into a priority band, depending on

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their circumstances. A presentation outlining the reasons and merits of the changes was presented to Local Members at a Workshop on 22 January 2013 and the Scrutiny Committee on 8 January 2014. Applicants would be placed in a priority band, depending on their housing need. Properties would then be allocated to the applicant in the highest band, with a Community Connection, who has been waiting the longest. 2.6

This system will be easier to understand, be more straightforward to operate and be seen as fairer. It will give a degree of recognition to the amount of time that applicants have been waiting for housing, whilst still allowing the Council to fulfil its statutory duty to help those who are in the most housing need.

2.7

At the Scrutiny Committee, Members also recommended that the Council no longer participates in the scheme to establish a Regional Allocations Policy.

3.

RECOMMENDATION

3.1

That Executive Board Members approve the new Council Housing Allocations Policy.

REASONS FOR RECOMMENDATION (i)

Amending the Council’s Allocations Policy will bring it up to date with recent developments in case law, changes in Welsh Government guidance regarding allocations and Westminster Government legislation relating to Welfare Benefit Reform.

(ii)

Amendment of the policy will be an opportunity to simplify the current system used to allocate Council homes, whilst achieving the following aims:• • • • •

4.

Meeting housing need in a transparent, fair, consistent and legal manner. Prioritising those who are in the greatest housing need. Giving reasonable preference to all applicants in statutory categories. Ensuring the Council meets its statutory duties. Addressing the issues arising from case law, changes in Welsh Government guidance and Welfare Benefit legislation.


Reasons to Change the Current Policy 4.1

The purpose of the Council’s Allocations Policy is to allocate Council housing to applicants in the greatest housing need. Currently, a points system is used. Various points, at differing levels are awarded to applicants for different housing needs and for a local connection. The applicant with the most points being allocated the property.

4.2

The current system takes no account of waiting time. Applicants who have housing need can be continually bypassed, in favour of those who have been registered for housing for only a matter of weeks. Applicants can see this as being unfair.

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4.3

A points system also encourages applicants to “chase points”, to increase their chances of re-housing. In particular, medical information can be submitted on more than one occasion, even when there has been no apparent change in an applicant’s condition, in order to secure more points. This can become a time consuming and costly administrative activity. There can also be an incentive for applicants to claim homelessness, as a means of gaining more points to increase their priority for rehousing.

4.4

Importantly, the policy does not address issues that have arisen from recent legal judgments, changes in Welsh Government guidance and Central Government’s Welfare Reform Bill. These have had an impact on the way in which a Local Authority can frame its Allocations Policy.

4.5

The Government’s Welfare Reform Bill, has placed pressure on the Council to address under occupancy in its stock. Since April 2013, tenants of working age, who are under occupying their homes and are in receipt of full or partial Housing Benefit, have had the amount they receive reduced.

4.6

The current Allocations Policy for dealing with under occupation does not give sufficient priority to ensure applicants are re-housed into smaller, more suitable accommodation. Consequently, applicants are rehoused, outside of the points scheme via “Management Moves”. The proposed changes to the policy would give a greater degree of priority to those applicants that are specifically affected by the “spare room subsidy”.

4.7

The current system is complex and there is a perceived lack of clarity and fairness. Decisions as to when to award points may not always be clear. In addition, the lack of recognition of waiting time can lead to some applicants in housing need, waiting for long periods of time before being re-housed, whilst others are allocated a property within a few weeks of applying. Furthermore, applicants may never quite have enough points to be re-housed, despite being in housing need and find themselves always being beaten by new applicants with slightly more points.

4.8

These issues can be addressed, following developments in recent case law, in particular that of R (ex parte Ahmad) v Newham LBC. The significance of this House of Lords judgement is that it is no longer necessary to distinguish between the needs of applicants with a reasonable preference, or to give greater priority to those applicants with cumulative needs. Local Authorities can also legally use waiting time as a factor for determining priority between applicants who are owed a reasonable preference.

4.9

Removing a requirement for Local Authorities to provide for cumulative need, gives scope to develop a simpler, more transparent system for prioritising applicants and allocating housing. A policy can be put in place that is easier to understand and implement. Removing the requirement to take account of cumulative need can also reduce instances of applicants “points chasing”, in order to improve their chances of rehousing.

4.10

An Allocation Scheme must still have a mechanism in place for determining priority, particularly between applicants with a similar level of housing need. This can be achieved in a simpler and more equitable way by placing applicants into a priority band, depending on their main reason for seeking re-housing, and then prioritising within each band according to the length of waiting time.

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Guidance for Determining Priorities 4.11

Housing Authorities must refer to legislation and guidance when drafting Allocations Policies, namely, the Housing Act 1996 and the Welsh Government’s Code of Guidance for Allocations and Homelessness 2012. Both documents advise Local Authorities as to how they should discharge their housing duties and consider the various statutory obligations they must comply with.

Eligibility Ineligible due to Immigration Status 4.12

Some people may be ineligible to join the housing register due to:• •

•

Being subject to Immigration Control Not having recourse to public funds – i.e., a person with leave to enter or remain in the UK but who cannot apply for benefits or access housing under the Housing Act 1996. Not being “habitually resident” in the “Common Travel Area”. The Common Travel Area is defined as the UK, the Channel Islands, the Isle of Man and the Republic of Ireland.

Excluded Applicants 4.13

Local Authorities can treat an applicant as ineligible to join the housing register due to unacceptable behaviour. There is no obligation to exclude an applicant on the basis of unacceptable behaviour but where a Local Authority chooses to do so, a robust and clear procedure must be in place to ensure that the Policy we apply is consistent with the law and Welsh Government’s Code of Guidance.

4.14 Section 160A (7) and (8) of the 1996 Act sets out the criteria for excluding an applicant. 4.15

The only behaviour that can be classed as unacceptable is behaviour by the applicant or by a family member which, after the application of a three stage test, can be classed as having been serious enough that, if they had been a secure tenant, the Local Authority would have been able to secure a possession order under s.84 of the Housing Act 1985.

4.16 Wrexham Council has a published Exclusions Policy for dealing with applications received from people who may be guilty of serious unacceptable behaviour. Details can be found in the Allocations Policy. It is proposed that this policy should continue. Reasonable Preference 4.17 The Housing Act 1996 sets out those groups of applicants that must be given a “reasonable preference” or a “head start”, when drafting Allocations Policies. The reasonable preference groups are set out in s.167 of the Housing Act 1996. They are:•

People who are homeless within the meaning of Part 7 of the Housing Act 1996.

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•

• • •

People who are owed a duty by any housing Authority under s.190(2), 193(2) or 195(2) of the Housing Act 1996 or who are occupying accommodation secured by any housing authority under s.192(3); People who are occupying insanitary or overcrowded housing or otherwise living in unsatisfactory housing conditions; People who need to move on medical or welfare grounds; People who need to move to a particular locality in the area of the housing authority, where failure to meet that need would cause hardship to themselves or others.

4.18 Within the reasonable preference groups, s.167(2) of the Housing Act 1996 states that Local Authorities may also consider giving additional preference to applicants who have urgent housing needs. Welsh Government Guidance gives the following examples:• • • •

•

Those who are owed a homelessness duty due to a threat of violence (e.g., domestic abuse). Witnesses or victims of crime. Those who need to move because of an urgent medical reason. Applicants who need to move to suitably adapted accommodation due to injury, medical condition, or disability which they or a family member have sustained as a result of service in the Armed Forces. People under occupying social housing and wanting to transfer to a smaller property, particularly in the light of Welfare Reform.

4.19 The Housing Act states that Local Authorities must consider the need to give effect to this provision, after taking account of local circumstances. The examples given above are not exhaustive and should be considered on their merits. 4.20 The Housing Act 1996 (amended by the Homelessness Act 2002) states that Housing Allocation scheme must be framed to ensure reasonable preference is given to applicants experiencing certain types of housing need. However, an allocation scheme may also take account of other factors, such as local priorities, provided that they do not dominate the scheme and that overall priority is still given to applicants in the reasonable preference categories. Proposal - A Banding Scheme 4.21 There is a need to change the Council’s current Allocations Policy to respond to the changes to the Welfare Benefit system, in particular, the spare room subsidy (SRS). Giving increased preference to Council tenants who are currently under occupying, will give the Council greater scope to assist applicants at risk of suffering financial hardship, within the limited resources available. This will help to reduce the risk of households falling into rent arrears, alleviate poverty and help the Council to maximise its rental income. 4.22 It is proposed that the new allocation scheme is a Banding Scheme. The Banding Scheme consists of four Bands, from one to four in descending order of priority. 4.23 The Band in which an applicant is placed, depends on their housing need (based on the reasonable preference groups), local priorities and whether they have a local connection.

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4.24 Within each band, applicants will be prioritised in date of application. 4.25 When a property becomes available for letting, applicants will be matched to the property, based on specified criteria such as household size or household need. 4.26 It is proposed that a property will be allocated, in the first instance, to the applicant in Band 1, with a Community Connection, who has been waiting the longest for the type of property that is available in that area. 4.27

In the event that there are no applicants in Band 1 with a Community Connection, the vacancy will be allocated to the applicant with a Borough Connection who has been waiting the longest in Band 1.

4.28 This process will be repeated through each banding, until the vacancy is allocated. 4.29

By adopting this approach, the Council will be able to balance the needs of local communities, by giving priority to applicants in housing need who have a local “community” connection, whilst also fulfilling its statutory obligations towards certain groups of applicants.

4.30 Having a policy based on a priority banding system, with applicants being grouped according to need and thereafter prioritised according to waiting time, is considered to be the best and most straightforward option, to enable the Council to address these issues. 4.31 It is anticipated that applicants will see this system as fairer and more transparent. There will be a consideration of an applicant’s waiting time. When two applicants in the highest band require housing, the one who has been registered the longest, with a local connection to that community, will be allocated the next suitable vacancy. 4.32 The proposed policy, including the banding system, is attached at Appendix 2 of this report. Specific Features of the Scheme 4.33 Applicants who are currently tenants of WCBC, are under occupying their home and are at risk of financial hardship, as a result of welfare benefit reform, will be placed in Band 1. This has been proposed in order to best manage Council housing stock, manage the changes due to Welfare Reform and lessen the financial impact for affected households. 4.34 Applicants who have sustained injury as a result of service in the Armed Forces, or who are at risk of homelessness due to their discharge, will also be placed in Band 1. This will help the Council to meet its statutory duties as set in the Housing & Regeneration Act 2008, adopted by Welsh Government in March 2009 and its obligations as a signatory of the Armed Forces Covenant. 4.35 The proposed policy places unintentionally homeless applicants, in priority need with a local connection, in Band 2, together with all other applicants in one of the reasonable preference categories. It is considered that the Council will still be able to meet any statutory requirements to assist homeless applicants.

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4.36 There is a risk that homeless applicants may spend longer in temporary accommodation, including bed and breakfast. This has the potential to have an adverse impact on the homelessness budget and performance figures. This will need to be kept under review. 4.37 A number of other amendments are proposed, which will impact on the prioritisation of applicants. These include:• • •

Overcrowding – Age criteria for children of the same sex sharing a bedroom Overcrowding – Age criteria for children of different sex sharing a bedroom Applicants with children who are living in flats.

Details of the main changes between the current policy and the proposed policy can be found in Appendix 1 of this report. Additional Factors for Prioritising Applicants 4.38 In line with housing law (1996 Housing Act, section 167 (2A), this policy allows that certain applicants who are entitled to reasonable preference may have their priority within the allocations scheme reduced because of any behaviour of the applicant (or a member of their household) which affects their suitability to be a tenant. This definition is distinct from that which entitles landlords to deem an applicant ineligible for social housing. Categories of behaviour which may result in applicants being given reduced priority are as follows (in each case the behaviour may be on the part of any member of the household): • • • • 4.39

Deliberate worsening of housing conditions The financial resources that a person has to meet their housing needs Any breaches of the Tenancy Agreement Any local connection that exists between a person and the Local Authority district.

In practice, this means that if two applicants are registered for re-housing with the same degree of housing need, the Local Authority can take account of these additional considerations when prioritising for housing. Applicants who have their priority reduced will be placed in Band 4.

Local Connection 4.40

Local connection is defined in s.199 of the Housing Act 1996. An applicant has a connection with an area if:•

he or she is, or was in the past, normally resident there, and that residence was of his or her own choice; or

• • •

he or she is employed there (i.e., the applicant actually works in the area); or of family associations; or of any special circumstances (e.g. the need to be near special medical or support services which are available only in a particular area).

4.41 Wrexham Council uses local connection to prioritise applicants with the same housing needs. In order to be placed in Bands 1 to 3, applicants will need to have a local connection. Applicants must have resided in Wrexham County Borough for 3

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years in the last 5 years, or have a family member (the definition of which is set out in the policy), who has lived in the County Borough for at least 5 years, or have employment in the County Borough. 4.42 However, there is currently no qualifying period attached to a local connection for employment whilst the 3 year qualifying period applies to any periods of residency provided the total period is 3 years. It is proposed to introduce the same 3 year criterion to also apply to the length of employment. 4.43 It is proposed to specify that the 3 year residency criterion must be 3 years continuous residence in the last 5 years and that this will also apply to employment. 4.44 The “community” areas which have been grouped together for the purpose of defining a local connection will remain unchanged and within the revised Allocations Policy. Reasonable Number of Offers 4.45 The current Policy contains no limit on the number of reasonable offers of accommodation that an applicant can refuse. This can lead to applicants with high points, refusing offers for no reason other than a desire to be housed in a particular street or property. 4.46 With exceptions relating to homeless applicants and those in Band 1, the proposal is to limit the number of suitable offers made to applicants to a maximum of two. 4.47 The exception to this Policy will be offers made to all applicants in Band 1 and homeless applicants in Band 2. In these situations, it is proposed that the Council makes one suitable offer, depending on the availability and suitability of accommodation. 4.48 For homeless applicants, the refusal of this offer will discharge the Council’s homeless duty. 4.49 In the case of all other applicants, an application will be moved to the bottom of the Band that it is currently in. 4.50 Any offer of accommodation must be suitable for the applicant and all family members that are expected to live with them. There is guidance concerning the suitability of accommodation within the Welsh Government’s Code. The proposal is to follow this when assessing suitability. The factors to be considered include:• • • •

medical considerations which may make a property unsuitable; physical considerations which may make the property unsuitable; social considerations; affordability of the accommodation (with reference to the financial resources the applicant has available and the cost of the accommodation).

4.51 As with all sanctions in the proposed Policy, there will be a right of appeal against a decision of suitability of any accommodation.

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4.52 Further information regarding an applicant’s right to request a review or to appeal against any decision taken in relation to their housing application is included in the relevant section of the Allocations Policy. Urgent Moves Outside of the Allocations Policy 4.53 There are occasions when the Council will be required to make allocations outside of its published Lettings Policy. These are known as Management Moves. The aim is to keep the number of Management Moves to a minimum, so that the published Policy is seen as being as fair and transparent as possible. 4.54 A Management Move will only be awarded after careful consideration of the individual circumstances of each case. Examples of when an application will be dealt with outside of the proposed banding system are included in the Allocations Policy and in every case must be approved by the Landlord Services Manager. Local Lettings 4.55 The Housing Act 1996 allows Local Authorities to allocate accommodation to applicants of a particular description, whether or not they fall within the reasonable preference categories, provided that overall, it can be shown that it gives reasonable preference to those applicants in the categories set out in the legislation and there is an identified need to address specific issues. Section 167(2E) of the Housing Act 1996, is the statutory basis for “local lettings policies”. 4.56 Local lettings policies can be applied to areas, or property types to address a number of issues, such as:• • • • • •

creating more mixed communities; dealing with a concentration of deprivation; ensuring properties that are particularly suited to being made accessible (e.g., ground floor flats) are prioritised for those with access needs; relocating essential workers; supporting people in work/volunteering or who are seeking work/or to take up volunteering opportunities; reducing the ratio of children to adults on an estate where there is high child density.

4.57 The Code of Guidance states that when operating local lettings policies, Local Authorities will need to ensure that, overall: • •

they do not dominate the scheme; and the scheme continues to give reasonable preference to those in the statutory reasonable preference categories over those who are not.

4.58 Welsh Government Guidance states that local letting policies should be published and be time limited. As a result, it is not practicable to include detailed information relating to them in the Allocations Policy. 4.59 It is proposed to address this by including a statement in the Allocations Policy regarding the intended outcome and rationale for implementing a local letting policy and to set out details in a separate document, which can be revoked or revised as appropriate.

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4.60 The Council currently operates a number of local lettings policies at various locations throughout the County Borough. These are:• • •

accommodation suitable for applicants aged 50 or over; accommodation suitable for applicants aged 30 or over; a support scheme for people with learning disabilities.

4.61

Properties covered by a Local Lettings Policy will be allocated in line with the criteria of the overall allocations policy. The only difference will be the additional age requirements for each.

4.62

It is proposed, therefore, that any additions or amendments to Local Lettings Policies be agreed by the Head of Service, on the basis of a robust business case and rationale having been supplied by the relevant Estate Manager, in consultation with the relevant Local Member.

Common Housing Register 4.63 The Council’s Local Housing Strategy 2007-2012 identified an action to explore the feasibility of establishing a Common Housing Register across the North East Wales Region. Work had been progressing with Conwy, Denbighshire and Flintshire Councils and four Housing Associations – The SARTH Project. 4.64 A progress report was submitted to the Homes, Environment and Communities Scrutiny Committee (HHPP/04/14S) on 8 January 2014 informing members of progress. It was reported that, whilst Officers agreed with the general principle of the SARTH Policy, they had a number of concerns regarding the approach to allocations, in particular local connection, the approach to local lettings policies, nomination rights, the restrictions placed on applicants to join the list and the limits to local priorities. At the Scrutiny Committee, Members recommended that Wrexham no longer participate with the SARTH Project but to continue with development of the Council’s own policy. The recommendation in this report supports the recommendation of Scrutiny Committee. Conclusion 4.65

It is proposed to revise the existing Allocations Policy and replace the current points system with a banding system, to take advantage of the recent changes in legislation and Welsh Government Code of Guidance that allow Local Authorities to operate clearer and more transparent Allocations Policies, whilst still meeting their duties to applicants in the reasonable preference groups. It will also enable the Council to meet the challenges of the Welfare Reform Programme. It is proposed to review the Policy in 12 months and, if appropriate, bring a further report to Members.

4.66

Policy Framework:- The proposed Policy contributes to the following Council Priority Outcomes :• •

PL1 - “Homes that meet people’s needs and aspirations” O1 – “Engaged and satisfied customers”

4.67 Budget:- There will be budgetary implications in relation to the revision of application forms and information literature for applicants. Sufficient budget is available within the Housing Revenue Account.

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4.68 Legal:- Under section 167 of the Housing Act 1996 (as amended by the Homelessness Act 2002), a local housing authority is required to have an allocations scheme that determines the Authority’s priorities. Section 166 (3) of the Housing Act 1996 places an obligation on Local Authorities to consider all applications for social housing that are made in accordance with the Authority’s allocation scheme. Section 160A (8) of the Housing Act 1996 defines unacceptable behaviour which may make an applicant ineligible for an allocation. 4.69 Staffing:- No staffing implications. 4.70 Equality/Human Rights:- An initial Equality Impact Assessment was carried out (EIA/HPP006), at the initial stage of policy formation. Following consultation, a further Impact Assessment was carried out, with the participation of Tai Pawb, on 19 August 2014. The purpose of this was to capture any additional equality issues, which might have been raised as part of the feedback and formally address them. (HPPE/EIA00024). 4.71 Risks:- Risks have been identified in the Departmental Risk Register which may occur if the Council does not have an up to date, legally compliant Allocations Policy, which also takes steps to help mitigate the effects of the Government’s Welfare Reform Bill. These are:•

•

service delivery failure in statutory responsibility area, i.e., there may be additional pressure on the homelessness budget and performance by placing homeless applicants in Band 2, rather than Band 1; detrimental effect on Housing Services of welfare reform changes;

5.

CONSULTATION

5.1

A Member Workshop was held on 22 January 2013, to gain Members’ views for progressing with a Policy revision.

5.2

A report was presented to Wrexham Tenant and Member Partnership on 6 December 2013 (HHPP/96/13), outlining the key aspects of the proposed Policy. Members of the Partnership supported the principles.

5.3

Statutory consultation, on the proposed changes, was carried out for a 3 month period, which ended 18 July 2014. Those consulted included all applicants registered for housing, Housing Associations which operate within Wrexham County Borough, local AMs and MPs and other relevant local stakeholders, e.g., Shelter Cymru and Welsh Women’s Aid. Information was also available on the Consultation Pages of the Council’s website.

5.4

Comments received from applicants were positive. Respondents were in favour of account being taken of the length of time an applicant had been waiting for rehousing. More detailed responses were also received from Clwyd Alyn Housing Association and Tai Pawb. After consideration of the responses, some amendments were made to the policy, namely an additional category of housing need has been included in Band 2, for those applicants whose accommodation is unaffordable, the definition of habitual residency has been corrected to bring it in line with Welsh Government Code of Guidance and an explanatory paragraph has been included in section 1.2 of the policy, with regard to equality monitoring.

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5.5

Full details of the consultation feedback and the Council’s response can be found on the consultation pages of the Council’s website.

5.6

In addition, during the process of policy development, workshops have been held with staff and Tenants’ Service Improvement Groups.

6.


6.1

Revision of the current Allocations Policy:- This would enable the Council to have a published, formal way to assist current tenants who wish to move to a smaller property to avoid financial detriment. It would also enable the Council to take advantage of changes in legislation and guidance to simplify and give more transparency to the way in which the Council allocates Council housing.

7.


7.1

Single Access Route to Housing (SARTH PROJECT):- A report (HHPP/04/14S) was submitted to the Homes, Environment and Communities Scrutiny Committee on 8 January 2014, outlining the progress of this project and the proposed policy.

7.2

Members noted the current position with regard to the development of the SARTH Project, whilst recommending that the Council no longer participates in the project but continues to develop its own Allocations Policy as detailed in report HHPP/02/14S submitted to Members on 8 January 2014. AGREED: That the Committee: i) ii)

Notes the current position with regard to the SARTH project; and Recommends that the Council no longer participates in the development of the SARTH project, but continues to develop its own Allocations Policy.

7.3

Homes, Environment and Communities Scrutiny Committee:- A report (HHPP/02/14S) was submitted on 8 January 2014 for Members to consider the proposed changes to the Council’s Allocation Policy and agree to it forming the basis of the formal consultation that was subsequently carried out, prior to Executive Board submission.

7.4

There was an overall acceptance that the report was positive and that the suggested amendments would result in a policy that was fairer for the residents of Wrexham and it was agreed that the revised policy should form the basis of a formal consultation exercise and that the comments of the Committee inform the consultation exercise. AGREED: iii)

That Members of the Homes, Environment and Communities Scrutiny Committee agree to the draft revised Council’s Allocations Policy forming the basis of a formal consultation exercise to be undertaken prior to submission to Executive Board Members; and

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iv)

That the comments of the Committee, as noted above, inform the consultation exercise.

BACKGROUND PAPERS Welsh Government – Code of Guidance for Local Authorities, Allocation of Accommodation and Homelessness 2012

LOCATION

WEBSITE INFO

Member Library & Welsh Government

http://wales.gov.uk/docs/ desh/publications/12081 3allocateaccommodation en.pdf

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APPENDIX 1

ALLOCATIONS POLICY – COMPARISON BETWEEN CURRENT POLICY AND PROPOSED POLICY

AREA OF POLICY 1. Allocation of Property

CURRENT POLICY Properties are allocated to the applicant with the greatest number of points.

2. Points Scheme – Current Scheme

The current policy uses a Points Scheme.

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Health & Social Care (critical cases) – 100 pts Health & Social Care (serious cases) – 50 pts Health & Social Care (low level) – up to 50 pts Homeless (unintentional & in priority need) – 100 pts Homeless (unintentional but not in priority need) – 50 pts Homeless (intentional and in priority need) – 10 pts Homeless (intentional and not in priority need) – 5 pts Overcrowding (2 or more bedspaces needed) – 150 pts

Overcrowding (1 bedspace needed) – 75 pts

PROPOSED POLICY The new policy will prioritise applications into bands depending upon their circumstances. Within each band applicants will be further prioritised on community connection and date order (i.e., date of application). The new policy will prioritise applications into bands depending upon their circumstances. Within each band applicants will be further prioritised on date order (i.e., date of application) Band 1

RATIONALE A system that prioritises into bands has potential to be seen as fairer and easier to understand. There will also be less scope for misinterpretation.

Band 2 Band 3 Band 2 Band 3 Band 4 Band 4 Band 2 Band 3 – New Criteria: Both children under 16 are of the same sex but the age difference is 6 or more years. Band 2 Band 3 – New Criteria: Both children under 16 are of the same sex but the age difference is 6 or more years. Version 3 - 10th Sept. 2014

APPENDIX 1


AREA OF POLICY

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CURRENT POLICY Under occupation (Social Housing Tenants only) – 50 pts per bedroom not required Sharing Facilities (Households with children or expected children) – 50 pts Sharing Facilities (Couples) – 30 pts Sharing Facilities (Single Person) – 20 pts Insecurity (WCBC temporary accommodation) – 50 pts Insecurity (Other temporary accommodation) – 20 pts Insecurity (Rough Sleepers) – 20 pts Condition of Property (unsuitable housing standard) – 100 pts Condition of property (property in urgent need of repair) - 50 pts Children in upper flats (2 or more children) – 70 pts Children in upper flats (1 child) – 50 pts Community Safety & Well Being – 10 pts Local Connection (Community Connection) – 25 pts

Local Connection – Borough Connection) – 20 pts Penalty Points – 50 pts deducted for every £100.

PROPOSED POLICY

RATIONALE

Band 2

Band 3 Band 3 Band 3 Band 3 Band 3 Band 3 Band 2 Band 2 Band 3 Band 3 Band 2 Community connection will be used to prioritise applicants in each band. More details are included at point 7 of this table.

All applicants with outstanding housing related debts – Band 4

Version 3 - 10th Sept. 2014

APPENDIX 1


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AREA OF POLICY CURRENT POLICY 3. Current Scheme – New Additions - Welfare Reform The current policy has no specific reference to assist applicants who are affected by the Spare Room Subsidy. - Armed Forces The current policy gives no specific Personnel priority to applicants who are leaving the Armed Forces. - Applicants with The current policy prioritises applicants Sufficient Financial purely on housing need. Resources - Applicants who The current policy makes no specific have deliberately reference to how the Council will deal worsened their with applicants who deliberately worsen housing conditions their housing conditions. 4. Waiting Time There is no recognition of the length of time an applicant is waiting for rehousing. 5. Matching Applicants to Properties

Properties are allocated according to best fit, making best use of housing stock. Single applicants with access to children are considered for 2 bed flats.

PROPOSED POLICY

RATIONALE

Band 1 – Applicants who are Council Tenants affected by the Spare Room Subsidy. Band 1

Band 4 – Applicants with sufficient capital or assets to satisfy their own housing need. Band 4 – Applicants who have deliberately worsened their housing conditions. An offer of accommodation will be made to the applicant in the highest band, who has a Community Connection and who has been waiting the longest. No significant changes have been made. Properties will still be allocated according to best fit and making best use of stock. Single applicants with access to children will be treated the same as single applicants with no children. However, in areas of lower demand, applicants will be considered for properties larger than they need (e.g., single people will be considered for 2 bedroom properties. Applicants with 1 child will be considered for 3 bedroom properties).

These changes have been proposed in the best interests of managing the housing stock. Where there is high demand, a property will be allocated according to best fit. In areas of lower demand, applicants can be allocated a property larger than they require ensuring void levels are kept to a minimum.


APPENDIX 1


AREA OF POLICY 6. Cumulative Need

CURRENT POLICY The current policy allows an applicant to be awarded a series of different points at differing levels to take account of all their housing circumstances.

PROPOSED POLICY There will be no account taken of cumulative need in the new policy. An application will be placed into a band depending upon the applicant’s main reason for seeking re-housing.

RATIONALE Awarding points for a variety of different issues has meant that applicants with no reasonable preference have often been rehoused due to amassing a variety of points. There is no legal duty to recognise cumulative points – R (Ahmad) v Newham LBC.

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Prioritising applicants on the basis of their most urgent housing need will enable the Council to help more applicants with a reasonable preference for housing and will stop applicants from chasing points to improve their chances of re-housing.

7. Local Connection

Cumulative need does make any system more complex and less transparent. Points are awarded for a connection with both the Borough and the Community.

The Borough is divided into 8 “community” areas. Local Connection is gained for 3 years residence in the last 5 years. Local connection is gained through Family members.

Within each band, in the first instance, preference will be given to applicants who have a Community Connection. If there are no applicants with a Community Connection, properties will be allocated to the applicants who have a Borough Connection only. There is no change to the “community” areas. Length of residence will be amended from 3 years residence to 3 years continuous residence. No change to this element.

Maintaining the local connection criteria will ensure that local applicants are prioritised for rehousing if they are in housing need.


APPENDIX 1


AREA OF POLICY

8. Reducing Preference - Financial Assessment

- Outstanding Debts

CURRENT POLICY Local Connection is gained via employment but there are no time criteria.

PROPOSED POLICY Employment criteria will be amended from immediate qualification to 3 years continuous employment.

RATIONALE This proposed amendment will remove an anomaly, where by local connection via employment is gained immediately, unlike residency.

Currently a person’s finances are not taken into account.

If an applicant has sufficient assets or capital or income to satisfy their own housing needs, the application will be placed in Band 4.

This proposed change aims to ensure that applicants who need to be re-housed but have limited financial means are in a position to be helped before those with sufficient means to do so themselves. Each case will be considered on its merits. This is to ensure that the current system for reducing preference is continued in the new scheme, giving an incentive for applicants to plan repayment of outstanding monies. This is so that the policy is not open to abuse.

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Penalty points are applied for applicants who have an outstanding housing related debt or are in breach of Tenancy Agreement. - Deliberate There is no specific penalty for those Worsening of applicants who deliberately worsen Housing Conditions their housing conditions to gain more points. 9. Excluding Applicants guilty of serious ani-social Applicants behaviour are excluded from the Register. 10. Number of With the exception of offers made to Offers homeless applicants, the current policy has no limit on the number of offers an applicant can refuse.

Applications from those who have an outstanding housing related debt or are in breach of their Tenancy Agreement will be placed in Band 4. Applications will be placed in Band 4 when there is evidence that housing conditions have been deliberately worsened. No Change.

Homeless applicants and those in Band 1 will be given 1 suitable offer. All other applications will receive 2 suitable offers.

Applicants who are priority homeless currently receive 1 offer. It is proposed to continue this practice to enable the Council to discharge its duty to homeless applicants and avoid lengthy delays in rehousing applicants who would otherwise be in temporary accommodation. Similarly, due to the nature of the criteria for applicants entering Band 1, a single offer will be made to ensure the Council meet their urgent need to move as quickly as possible. Version 3 - 10th Sept. 2014

APPENDIX 1


AREA OF POLICY

11. Management Moves

Page 102 12. Nominations to Housing Associations

CURRENT POLICY

PROPOSED POLICY The new policy will restrict the number of reasonable offers applicants can refuse. Applicants (with the exception of homeless and Band 1) will be made 2 offers of accommodation.

Currently referred to as allocations outside of our published Lettings Policy that the Council aims to keep to a minimum in order to have a published policy that is seen as being fair and transparent.

No change to the Policy. There are more comprehensive examples of when a Management Move will be considered, whilst continuing to acknowledge that the list included is not exhaustive.

Currently applicants are nominated on the basis of the Points Scheme contained in the Policy.

There will still be an aim to keep the number of Management Moves carried out to a minimum, so that our published policy is seen as being as fair and transparent as possible. Applicants will be nominated on the basis of the proposed Banding System.

RATIONALE Currently, there is no limit on the number of offers an applicant can receive. This allows applicants with high priority to wait until a property becomes available in a particular location or street. Introducing a limit on the number of offers will ensure applicants with housing need are allocated properties that meet their needs (size and location) but are unable to refuse multiple offers of accommodation. The purpose of this is to cater for exceptional cases, which are not covered by the policy. Having clearer guidelines will bring more clarity to the process, keep the number of requests to a minimum and assist in ensuring the policy itself is seen as being as fair and transparent as possible.

This will ensure that the current Nominations Agreement can be kept to.


APPENDIX 2

ALLOCATIONS POLICY

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INDEX Part A – Policy Statement Section 1 – Introduction 1.1

Aims & Objectives

1.2

Equality

Section 2 – The Housing Register 2.1

Who can apply?

2.2

Eligibility

2.3

Joint Applications

2.4

Transfer Applications

2.5

Applications from Employees of Wrexham County Borough Council, Elected Members and Close Family Relatives

2.6

Applications to Amend Existing Council Tenancies

2.7

Nominations to Housing Associations

Section 3 – How to Apply 3.1

Processing an Application

3.2

Housing Options

3.3

Changes in Circumstances

3.4

Reduced Priority

3.5

Allocating Properties

3.6

Matching Applicants to Properties

3.7

Offers of Accommodation

3.8

The Involvement of Local Members

3.9

Applicant’s Rights

Part B – The Banding Scheme

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Version 1 – 25 September 2014

Part C – Criteria for Assessing Applications 1.1

Cumulative Need

1.2

Homelessness

1.3

Medical & Welfare Grounds

1.4

Overcrowding

1.5

Hardship

1.6

Under Occupation

1.7

Unsatisfactory Housing

1.8

Children in Flats

1.9

Applicants Sharing Accommodation

1.10

Armed Forces Personnel

1.11

Local Connection

Appendix 1 – Management Moves Appendix 2 - The Exclusions Policy

PART A – POLICY STATEMENT

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Section 1 - Introduction 1.1 - Aims & Objectives The aim of this policy is to ensure that Council housing in Wrexham County Borough is allocated in a fair and transparent way to those in the greatest housing need, taking into account relevant legislation and Welsh Government Guidance. The key objectives of the policy are:• •

• • •

To help meet housing need and local housing issues in Wrexham County Borough. To have a system of allocating properties that enables applicants to make realistic and informed housing choices taking into account the demand for housing in Wrexham County Borough. To ensure every application is dealt with fairly, consistently and transparently. To operate an allocations system that is easy for applicants and staff to understand. To give a degree of priority to applicants in one of the “Reasonable Preference Groups” as set out in the Welsh Government’s Code of Guidance.

1.2 - Equality Wrexham County Borough Council aims to provide accommodation for all sections of the local population, who are in housing need. We aim not to discriminate on the grounds of age, gender, sexual orientation, religion, nationality, disability or ethnic origin. In order for us to monitor policies for fairness, applicants are asked to provide details of ethnic origin and other demographic information when making an application for housing. We ask applicants to provide details of:• • • •

Age Disability Gender Race

We collect this information to see whether we are allocating our housing to all sections of the community who are eligible for Council housing. We also aim to comply with the Council’s Welsh Language Scheme. Application Forms and Applying for Housing booklets will be provided bilingually in English and Welsh. We are aware that some applicants may not have English or Welsh as their first language or may be unable to complete a housing application form due to a disability, or an issue with literacy. To make the application process as fair and accessible as possible, forms will be made available in different formats or languages on request. Assistance will be made available for applicants who have difficulty filling in forms.

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Section 2 - The Housing Register The Housing Register is a list of those who have applied for Council Housing and have been accepted onto the Scheme. Applicants will be prioritised by being placed in a Banding scheme. The Banding Scheme consists of four Bands, from one to four in descending order of priority. Applicants with the highest priority for housing are placed in Band 1 and those with the lowest priority are placed in Band 4, depending on their housing need, local priorities and whether they have a local connection. Within each Band applicants will be prioritised in date order. It includes applicants who are not Council tenants and current tenants who are looking to move to another Council property. 2.1 - Who can apply? Anyone aged 16 or over can apply for Council housing. However, every application will be assessed to ensure that every applicant is eligible to be on the Housing Register. 2.2 - Eligibility Ineligible due to Immigration Status Some people may be ineligible to join the housing register due to:

• • •

Being subject to immigration control. Not having recourse to public funds - i.e. if they have leave to enter or remain in the UK but cannot apply for benefits or access housing under the Housing Act 1996. Not being “habitually resident” in the “Common Travel Area”. The “Common Travel Area” is defined as the UK, the Channel Islands, the Isle of Man and the Republic of Ireland.

When determining if someone is “habitually resident” the Council will consider the reasons for and nature of their residence, their work arrangements, previous residence and any future plans. A person arriving from abroad, or who is subject to Immigration Control and wants to apply for Council housing will be asked to provide documentation to confirm their immigration status and their ability to access public funds. Ineligible due to unacceptable behaviour If an applicant is considered to be guilty of unacceptable behaviour, which was serious enough to make them unsuitable to be a tenant, the Council will treat them as ineligible to join the Housing register. The behaviour must have been serious enough for the Council to have been able to obtain an outright possession order from the Courts, if they had been a tenant at the time of applying.

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Previous unacceptable behaviour may not justify a decision to treat an applicant as ineligible, if they can show that their behaviour has improved or that excluding them may lead to undue hardship. In the event of an applicant being excluded, the Council may still have a duty to provide accommodation under homelessness legislation. The Council operates an Exclusions Policy, to ensure that decisions are made consistently. This explains the process we follow when deciding whether to exclude an applicant. The Council’s Exclusions Policy can be found at Appendix 2 of this document, from the Council’s website or Local Housing Offices. 2.3 - Joint Applicants We can grant a joint tenancy to joint applicants, provided both parties are eligible for Council housing, are aged 16 or over and intend to occupy the property as their only or principal home. Joint tenants are both equally and severally responsible for the tenancy and for keeping to the conditions of the tenancy agreement (e.g., regular payment of rent, keeping the property in good condition etc.) In the event of relationship breakdown or dispute between parties, a joint tenancy can only be ended by a Court Order, or by one of the parties giving Notice to Terminate the Tenancy. Any Court Costs incurred in ending a joint tenancy may be the responsibility of the parties involved. Applicants should be aware that when one person chooses to end a joint tenancy, the tenancy ends for both parties. Whilst we will work with any remaining joint tenant to try to achieve an outcome that is in the best interests of all parties, it may not always be possible to allow a remaining joint tenant to continue to occupy a property, for example in instances when a property will be under occupied. In these circumstances we may try to meet a person’s housing needs in suitable alternative accommodation. If you would like further information on joint tenancies, including the rights, responsibilities and process for applying for a joint tenancy, please contact your Local Housing Office, or refer to the Council’s website. 2.4 - Transfer Applications Council tenants can apply to move to another Council property. Usually, you will have to be a Secure Tenant of Wrexham County Borough Council to be able to apply for a transfer, unless the property has become unsuitable for needs (e.g., due to a change in circumstances, health reasons etc.).

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To be considered for an allocation, current tenants must not be in breach of their tenancy conditions. This can include: Any action being taken for anti-social behaviour or breach of tenancy conditions. Poor internal condition of the property for example, in terms of decoration and any outstanding repairs which are the tenant’s responsibility. Any possession proceedings that the Council has started for breach of tenancy conditions.

• • •

The Council will let you know, in writing, of any action you will need to take to be considered for re-housing. 2.5 - Applications from Elected Members, Employees of Wrexham County Borough Council and their close family relatives We accept applications from employees of Wrexham County Borough Council, elected members, members of a Tenants’ or Residents’ Association and any of their close family members, provided they are eligible to apply and subject to regulations. Applicants must disclose any such relationship when applying. The following relations will be classed as a close family member for the purpose of this policy:• • • • • • • •

Spouse or civil partner Common law partner (including same sex partners) Parent Son/Daughter Brother/Sister Grandparent/Grandchild Aunt/Uncle Step & Half Relations

Applications will be processed according to the Department’s procedure; this includes verification before allocations are made. This is to ensure they are made according to this policy. 2.6 - Applications to amend existing Council Tenancies Amendments to tenancies, such as changes to a joint tenancy, succeeding to a tenancy or a mutual exchange, do not constitute a new allocation. Legally they must be dealt with differently. There is separate guidance available on how we deal with these requests. This is available at Housing Services, Ruthin Road, Wrexham and your Local Housing Office or via the Council’s website. 2.7 - Nominations to Housing Associations When applying for Council housing, applicants can indicate whether they want to be considered for nomination to one of the Housing Associations that provide social housing in Wrexham County Borough.

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Applicants are prioritised for nomination, according to the criteria in this policy (i.e., applicants in the highest band who have been waiting the longest will usually be considered for nomination), provided that they are requesting the type of property which is available and the area where the vacancy is situated. In some areas, nominations are subject to local lettings policies. If this is the case, there will be additional criteria that will have to be met. Further details of the Council’s Nominations Agreements and procedure can be requested from your Local Housing Office or by visiting the Housing pages of the Council’s website.

Section 3 - How to apply A person can apply for housing by fully completing a housing application form and supplying all the information needed (e.g., details of any medical conditions, details of any dependent children, proof of address). If the correct information is not supplied, this can delay an application being registered. Applicants with no fixed abode or who are living between addresses must provide proof of circumstances, for example, by providing correspondence received from the Department of Work and Pensions, the Benefits Agency or the tenant/owner of the property that the applicant is using as a postal address. 3.1 - Processing an Application The Council aims to process completed applications within 20 working days of receiving them. Applications are assessed and placed into a priority band, based on housing circumstances. Applications are prioritised in each band according to the date that the application is received as ready to be processed. Verification Every applicant is responsible for ensuring that they provide correct and up to date information, so that the Council can process their application. At the point of application, applicants are asked to provide documentation in support of their eligibility for Council housing and their current circumstances. The Council may check any or all of the documentation provided. The purpose of this is to ensure:• • • •

That the details an applicant has provided are correct. That an applicant can be considered for the type of property they are requesting. To ensure that the Council places applications in the correct priority banding. To ensure that there are no issues that could lead to an application having reduced preference.

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If an applicant withholds consent for information to be shared with the Council, or deliberately gives false or misleading information, this will delay their application being processed and could result in any offer of accommodation that they received, being withdrawn. Notifying Applicants Applicants will be notified by letter, once their application has been registered. The letter will give details of:• • • •

Application Reference Number First choice area for rehousing Date of application Priority Banding

Applicants will also be contacted in writing if there are any changes to the application after it has been registered. 3.2 - Housing Options The Allocations Scheme recognises the need to give applicants choice about the type of accommodation they want to be considered for and its location. However, due to the on-going demand for Council accommodation, it is not always possible to meet the aspirations or needs of all applicants. Applicants are advised to broaden areas of choice and types of property required to have a realistic chance of being re-housed. To help, the Council will produce information giving details of the supply and demand for accommodation throughout the Borough. Where Local Lettings Policies are in place, details of these will also be provided. Information will be available on request from Local Housing Offices, Housing Services, Ruthin Road or the Council’s website. There are other housing options available for applicants, depending on personal and financial circumstances. These include:• • • • •

Affordable Homeownership Shared Ownership/Shared Equity Low Cost Homeownership Intermediate Renting Private Renting

The Council has produced a Housing Options guidance booklet, which gives details of these and other housing opportunities. 3.3 - Changes in Circumstances Applicants must contact the Council immediately, if they change address or if their circumstances change (e.g. qualifying for a local connection as set out in this policy, a person joining or leaving the household).

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A new application form may have to be completed depending on the nature of the change. If any change in circumstances alters an applicant’s banding, we will notify them of this by letter. If an offer of accommodation is made based on out of date information because an applicant has not notified the Council of a change in their circumstances, the offer may be withdrawn. Renewing Applications Applicants need to renew their application every 6 months. This is to make sure that we hold up to date information and that applicants still wish to be considered for re-housing. If there is no response to a renewal letter within 28 days, a reminder is issued. Applicants have a further 28 days to renew their application. If an applicant still fails to respond, the application will be cancelled and the applicant will be notified of this in writing. If an applicant chooses to reinstate an application or reapply at a later date, the date when the application is re-instated or when a new application is made will be used to determine how long an applicant has been waiting for re-housing. The Council will not take into account the date of any cancelled application when prioritising applicants for re-housing. Cancelling Applications Applications will be cancelled in the following circumstances: • • • • • • •

At the request of the applicant or their advocate. If there is no reply to review and reminder letters. When an applicant is re-housed. When an executor or representative notifies the Council that the applicant has passed away. If an applicant has given false or misleading information on their application. If an applicant is excluded from the housing register due to serious unacceptable behaviour. When an applicant’s Immigration Status changes, making them ineligible for Council housing.

Moving between bands An application can be moved into another band, at any time, if there is a change in an applicant’s circumstances. When applications are moved into a different band, regardless of whether it is a higher or lower band, the date when the application was reassessed will be used to determine priority, rather than the original date of application.

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This is to recognise the fact that there will be applicants who have already been waiting in that band for a considerable period of time. 3.4 – Reduced Priority In line with housing law (1996 Housing Act, section 167 (2A), this policy allows that certain applicants who are entitled to reasonable preference may have their priority within the allocations scheme reduced because of any behaviour of the applicant (or a member of their household) which affects their suitability to be a tenant. This definition is distinct from that which entitles landlords to deem an applicant ineligible for social housing. Categories of behaviour which may result in applicants being given reduced priority are as follows (in each case the behaviour may be on the part of any member of the household): • • • •

Deliberate worsening of housing conditions The financial resources that a person has to meet their housing needs Any breaches of the Tenancy Agreement Any local connection that exists between a person and the Local Authority district.

In practice, this means that if two applicants are registered for re-housing with the same degree of housing need, the Local Authority can take account of these additional considerations when prioritising for housing. Account can also be taken of the behaviour of a person (or member of their household) which affects their suitability to be a tenant. In cases of serious unacceptable behaviour applicants can be excluded from the housing register, subject to the right to request a review of the decision. If it is decided that it is reasonable to reduce priority, an application may be placed in Band 4, depending on circumstances. All decisions to reduce priority will be made after considering the circumstances of each individual case. The applicant will be notified in writing of any decision to reduce priority. Applicants will also be notified in writing of any decision to reinstate their application to its original banding, based on their circumstances or actions. When reinstated, the date of reinstatement will be used to determine priority, rather than the original date of application. Deliberate Worsening of Housing Conditions If we find that an applicant deliberately does or fails to do anything which worsens their housing conditions, we will reduce their priority on the housing register if we believe it is reasonable to do so, after considering the individual circumstances of each case. An application will be placed in Band 4 for an initial period of 12 months. After this time, the case will be reassessed and may be reinstated into the appropriate band.

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Examples of deliberately worsening housing conditions are:• • • • •

An applicant giving up a suitable property that it was reasonable to continue to occupy. An applicant creating overcrowding by allowing family and/or friends to move into their home, which otherwise meets their housing need. An applicant moving into a property that is unsuitable for their needs. An applicant being unable to continue to occupy accommodation due to their deliberate actions. An applicant being unable to continue to occupy accommodation due to deliberately failing to do something.

Owner Occupiers and Applicants who are Adequately Housed Priority may be reduced if an applicant is assessed as either being adequately housed or having sufficient capital or assets to satisfy their own housing need. In these cases, applications will be placed in Band 4 unless we decide it is unreasonable to do so. Examples of when we may decide it is unreasonable to reduce preference include: • An applicant who is unable to safely or be reasonably expected to live in their current home (e.g. a victim of domestic violence, or hate crime). • An applicant who is unable to afford to live in their current home, even if it meets their needs. • An applicant who is assessed as living in unfit accommodation and is suffering hardship because they do not have the means to improve their situation. Outstanding Housing Related Debts & Breaches of the Tenancy Agreement An applicant’s priority may be reduced if they owe an outstanding housing related debt to the Council or another Registered Social Landlord, or there are breaches of the current Tenancy Agreement, for example: • • • •

Unacceptable behaviour Current or former tenant rent arrears Repair recharges. Damage to the applicant’s current property

An application will be placed in Band 4 after considering whether it is reasonable to do so. Preference will not be reduced if the applicant has any debts which in law are classed as Statute Barred under the Limitation Act 1980 (debts over 6 years old where no recovery action has been taken). The Council will also consider reducing preference for other breaches of its Tenancy Agreement. 3.5 - Allocating properties Initially, a property will be allocated to the applicant in the highest band, with a Community Connection, requesting the type of property that is available in that area and who has been waiting the longest.

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If there are no applicants who meet these criteria, the property will be offered to the applicant in the highest band, with a Borough Connection only, who has been waiting the longest for the type of property that is available. If a suitable applicant has still not been found, the property will be offered to the applicant who has been waiting the longest for that type of property and who has a Community Connection, in the band below, followed by applicants with a Borough connection only in cases where a suitable match can still not be found. This process will be repeated through each band, until a suitable applicant is found. The exception to this process will be those applicants whose circumstances fall outside of our published Allocations Policy. These will be dealt with by the Council’s Management Move process, as outlined in this policy. 3.6 - Matching applicants to properties General Need Properties The Council aims to make best use of housing stock by allocating general needs properties to applicants whose household most closely matches the size of the property. If an applicant applies for a type of property that is bigger than they need, we may advise them to reconsider their choices. Otherwise, in areas where there is high demand or very few Council properties, the Council may not be able to help with rehousing. When applying for accommodation, applicants should be aware of these regulations and also refer to the following table.

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Household Type

Property Type

Single Applicant(s)

Single Applicant(s) with access to children Applicant and partner without children/ or access only

Applicant(s) with 1 child , 1 non-dependent, or expecting a first child Applicant(s) with 2 or 3 children or nondependents

Applicant(s) with 4 or more children or nondependents

Single Applicant or Couple over 60 Households containing a physically disabled applicant who requires level access, or an adapted property depending on the nature of any disability or medical illness and supported by Health & Social Care needs.

Bedsit 1 bedroom flat 1 bedroom house 1 bedroom flat 1 bed house 1 bedroom flat 1 bedroom maisonette 1 bedroom house 2 bed flat 2 bedroom flat 2 bedroom maisonette 2 bedroom house 2 or 3 bedroom flat 2 or 3 bedroom maisonette 2 or 3 bedroom house 4 bedroom house (depending on age of children) 3 or 4 bedroom flat 3 or 4 bedroom maisonette 3 or 4 bedroom house House with 5 or more bedrooms 1 or 2 bed accommodation that is classed as being suitable for older persons. Adapted properties suitable for their needs or properties that are suitable for adaptation. This may include properties “suitable” for older people, sheltered accommodation, ground floor accommodation or bungalows.

The above is a general guide and may vary in areas due to local demand, supply of stock of a suitable size, local lettings policies or if there are reasons why additional bedrooms are required, e.g., medical reasons. Due to the current demand for social housing in Wrexham County Borough single people with access to children or childless couples, will only be considered for 2 bedroom properties, where there is no demand from applicants with permanent childcare responsibilities. In order for a child/children to be considered as part of the applicant’s household, the applicant must be the primary carer. The primary carer will be classified as the person who receives Child Benefit, in respect of the child/children. Sheltered Accommodation The Council manages a number of sheltered housing units across the County Borough. Many of these units benefit from the support of a resident or non-resident warden and a community alarm. Some of the accommodation is purpose-built for those with mobility problems. This accommodation is normally let to:

• Applicants over 60 years of age or applicants whose partner is over 60 years of age.

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• Applicants or whose partners are aged between 55 - 60 years old who have a need for this type of accommodation, as set out in Part 3 of Supporting People Guidance. When a sheltered housing vacancy arises and there are no applicants on the Housing Register who meet the criteria, consideration will be given to other applicants who have any health or social care needs that may make them suitable for this type of accommodation. All new sheltered housing tenants will be required to receive support from the warden service; this will include receiving a Warden Visit and completing a Support Plan. Older people and households with a need for ground floor accommodation will normally be given preference for bungalows. Supported Housing Wrexham Council sponsors a variety of Supported Housing projects in the County Borough. These projects involve working with partners to improve the well-being of sections of the population and to encourage and support vulnerable people to move into independent housing. Applicants who are currently living in a Supported Housing project and have been assessed as ready to move on, will be placed in Band 2. Applicants must provide proof of occupancy and a letter of support from their current support provider stating that they are ready to move to suitable general needs housing. Applicants living in a Supported Housing project who have not been assessed as being ready to move to general needs accommodation will be placed in Band 4, until they are ready to move on. Applicants can ask for a list of eligible projects by contacting Housing Services, Ruthin Road, Wrexham or your Local Housing Estate Office. Adapted Properties The Council aims to allocate adapted properties to households that will make best use of the facilities in place. This is to avoid having to remove costly adaptations once they have been installed. To help achieve this, applicants assessed with a need for adapted accommodation or those requesting to move from a property that is significantly adapted that they do not need, will be placed in Band 1. We currently work with other Departments, specialist housing staff and local Housing Associations, to try to find applicants who are a best match. Local Lettings Policies If a local situation demands it, for example, because of a particular estate management issue, a Local Lettings Policy may be introduced. This will specify the type of households who will be allocated housing in a particular area. Such a policy will be reviewed after 12 months and be approved by the Head of Housing, Public Protection & Environment, following

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consultation with the relevant Lead & Local Members. There must be a clear rationale and evidence base to support the introduction of any Local Lettings Policy. A Local Lettings Policy must not be contrary to Equalities legislation and guidance. Before approval, a proposed Local Lettings Policy will be subject to an Equality Impact Assessment in accordance with the Council’s Strategic Equality Plan and Welsh Government regulations. It is recognised that any Local Lettings Policy must also give reasonable preference to those applicants within the preference groups as determined by the Homelessness Act 2002. There are local lettings policies currently in operation for:

• • •

A support scheme for people with learning disabilities “Difficult to manage” properties Properties suitable for applicants aged 50 or over.

3.7 - Offers of accommodation The Council aims to give applicants choice as to where they choose to apply for housing. Usually, applicants will only be made an offer of accommodation in one of the areas of their choice. Offers of accommodation will be made in writing. If an applicant does not respond within 5 working days, by returning the letter of acceptance to the Council, it will be assumed that the offer has been refused. The property will be offered to the next applicant on the housing register who is requesting that type of property. It is the policy of the Council to grant “introductory” tenancies to all new tenants for an initial 12 month period before they become “secure” tenants. Existing secure or assured tenants of both the Council and a Housing Association will automatically be granted a “secure” tenancy. Any offers of accommodation that are made by a Registered Social Landlord as a result of a nomination, will also be treated according to the guidance in this policy. Refusing an offer Applicants will receive a maximum of 2 written offers of accommodation. If both are refused, the application will be moved to the bottom of the band that it is currently in, if the Council decides that both of the offers made were reasonable. The application date will be amended to the date this decision is made. The exception to this will be those offers made to all applicants in Band 1 and homeless applicants in Band 2. In these circumstances 1 written offer of accommodation will be made. Applicants are able to request a review of this decision, if they believe an offer was not a reasonable one and there was good reason for refusal.

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Offers of Accommodation to Homeless Applicants When making offers of accommodation to unintentionally homeless applicants who are in priority need, the Council uses its right under the Homelessness Act 2002 to make one offer of suitable accommodation only. This ‘final offer’ of suitable accommodation discharges the Council’s duties. If an unintentionally homeless applicant refuses an offer any priority awarded on homelessness grounds will be lost and the application will be reassessed according to any other housing need and placed in the appropriate band. Applicants have the right to request a review of the suitability of this offer within 21 days, regardless of whether they choose to accept or refuse it. If the outcome of a review finds in an applicant’s favour, any homelessness priority awarded will remain on the application. Homeless applicants to whom the Council does not have a full duty to re-house will be made offers of accommodation, in the same way as other applicants, as set out in this policy. 3.8 - The Involvement of Local Members Members have an active role in the lettings process through advising and representing their local communities and ensuring that this policy is implemented and operates in a fair and consistent manner. Please refer to the section of the Applying for Housing Booklet “Role of your Local Councillor”, for further information. As part of this role they:

• • • •

May make representations on behalf of their constituents in order to ensure that all the facts of their case are taken into account. Will be notified of vacancies within their ward at the time of allocation. Will receive regular information updates regarding the Council’s housing stock, lettings and the number of applicants on the waiting list in order to advise applicants. Will be involved with future reviews of the lettings policy to ensure that it is achieving its aims and agree local lettings policies where it is decided to implement them.

By law elected members are not allowed to be directly involved in decisions about lettings to applicants residing in their ward, or the allocation of Council properties in their wards, to protect them from accusations of illegal action, favouritism or corruption. 3.9 - Applicants’ Rights Applicants have the following rights:

• To be notified and request a review of any decision regarding eligibility to join the Housing Register and the grounds for making that decision. • To be informed on request, and request a review, of any facts the Council has used to make its decision.

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• To receive information about how their application will be processed and what priority has been given to the application. • To receive information on the likely availability of appropriate accommodation.

Reviews An applicant has the right to request a review of decisions made in the allocations process. These include:• • • •

The decision to suspend an application The decision to reduce preference The banding awarded to an application The decision to exclude an application

The request for a review must be made in writing within 28 days of receiving notification of the original decision. Requests should be made to:The Head of Housing, Public Protection and Environment, Housing Services, Ruthin Road, Wrexham, LL13 7TU. Reviews will be carried out by an Officer not involved in the initial decision making process. They will consider the details of each case, any relevant or new information which has been provided and the applicant’s circumstances. The applicant will be informed, in writing, within 20 days of receiving the request of the outcome of the review and the reason for the decision.

Appealing If an applicant is dissatisfied with the outcome of a review, the way in which this policy has been followed or the Council’s interpretation of the relevant housing legislation, they can make a further appeal. All requests must be made in writing within 28 days of notification of the review decision. Requests should be made to:Head of Housing, Public Protection & Environment, Housing Services, Ruthin Road, Wrexham, LL13 7TU. Applicants will be advised of the decision within 14 days of receipt.

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PART B - THE BANDING SCHEME Applications will be assessed under this policy to ensure that those with greatest housing need are given reasonable preference for re-housing. The exceptions are those applications which fall outside of this published policy. They will be dealt with according to the Management Move process. Examples of when an applicant may be considered for a Management Move are detailed in the section of this policy – Management Moves. Reasonable Preference is given to applicants as set out in s.167(2) of the Housing Act 1996 and the Homelessness Act 2002. These are:• • • •

Applicants who are homeless Applicants who are living in overcrowded or insanitary conditions Applicants who need to move on medical or welfare grounds Applicants with a need to move to a particular locality in the district, where failure to meet that need would cause hardship to themselves or to others.

In addition, this policy gives a degree of priority to other groups of applicants, in order to help meet local priorities, provided that they do not dominate the scheme at the expense of those that the Council has a legal duty to give reasonable preference to. The Housing Act 1996 (amended by the Homelessness Act 2002) states that Housing Allocation scheme must be framed to ensure reasonable preference is given to applicants experiencing certain types of housing need. However, while housing authorities will need to ensure that, overall, reasonable preference for allocation is given to applicants in the relevant categories these should not be regarded as exclusive and an allocation scheme may allow for other factors such as local priorities provided that they do not dominate the scheme and that overall the scheme gives adequate priority to applicants in the reasonable preference categories. As well as ensuring reasonable preference is given to applicants in greatest housing need, additional preference can be awarded to applicants who require urgent rehousing for various reasons. The Banding Scheme consists of four Bands, from one to four in descending order of priority. The Band in which an applicant is placed, depends on their housing need (based on the reasonable preference groups), local priorities and whether they have a local connection. Within each band, applicants will be prioritised in date of application. When a property becomes available for letting, applicants will be matched to the property, based on specified criteria such as household size or household need. It is proposed that a property will be allocated, in the first instance, to the applicant in Band 1, with a Community Connection, who has been waiting the longest for the type of property that is available in that area. In the event that there are no applicants in Band 1 with a Community Connection, the vacancy will be allocated to the applicant with a Borough Connection who has been waiting the longest in Band 1.

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This process will be repeated through each banding, until the vacancy is allocated. Applications will only be placed in Bands 1, 2 and 3 if the applicant has a local connection with Wrexham County Borough as set out in this policy.

Band 1 •

Applicants who have a critical medical or welfare need to move from their current home (Borough Connection required).

•

Applicants who are tenants of Wrexham County Borough Council and are at risk of financial hardship due to Welfare Reform as they are under occupying their current home.

•

Members of the Armed Forces who are leaving the service.

•

Applicants who are occupying a significantly adapted property for which they have no need.

•

Applicants who are leaving the care of Wrexham County Borough.

Band 2 •

Applicants who are unintentionally homeless and to whom the Council owes a full housing duty.

•

Applicants living in unsatisfactory housing, as assessed by an Environmental Health Officer of Wrexham County Borough Council’s Housing Standards Team.

•

Applicants who have been assessed as being overcrowded.

•

Applicants assessed as needing to move to a particular locality in the County Borough, where a failure to meet that need would cause hardship to themselves or others e.g., to give or receive care, to access specialised medical treatment,

•

Applicants who are assessed as being in financial hardship.

•

Applicants who have a serious medical need.

•

Tenants of the Council who are under occupying their home, and are looking to downsize, but are at no risk of financial detriment due to Welfare Reform changes.

•

Applicants who are living in a Council sponsored supported housing project and have been assessed as being ready to move on.

Band 3 •

Applicants who are sharing accommodation with another household.

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•

Unintentionally homeless applicants who have been assessed as not having a priority need.

•

Applicants with a medical or welfare need which has been assessed as low level.

•

Applicants who are currently tenants of Wrexham Council or another social landlord and who have one or more children less than 10 years of age living in a flat.

•

Applicants with children of the same sex who have been assessed as overcrowded, regardless of their current tenure.

Band 4 •

Applicants with no identified housing need.

•

Applicants who are owner occupiers and have been assessed as being adequately housed.

•

Applicants with no Borough or Community Connection, regardless of any identified housing need.

•

Applicants who are intentionally homeless

•

Applicants who have deliberately worsened their housing conditions

•

Applicants who have an outstanding housing related debt to Wrexham County Borough Council, or other breaches of their Tenancy Agreement.

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PART C – CRITERIA FOR ASSESSING APPLICATIONS 1.1 - Cumulative Need This policy does not take account of cumulative need. Applicants will be placed in the banding which best matches their main reason for seeking re-housing. 1.2 - Homelessness All assessments of homelessness will be made by a member of staff of Wrexham Council’s Housing Options Team, who will verify the applicant’s housing circumstances. Applicants who have been found to be unintentionally homeless will be placed in Band 2. Applicants who are found to be intentionally homeless will be placed in Band 4. Applicants who are intentionally homeless will be advised of the decision in writing. They will also be advised as to how they may be able to address any issues. 1.3 - Medical & Welfare Grounds Applications will be assessed following the collection of supporting evidence from applicants and any agencies that are involved with their case, e.g., details of welfare benefits received, information supplied by consultants etc. Examples of critical need include:• Having a serious illness, disability or medical condition e.g., terminal illness, permanent disability or progressive condition and they are completely unable to cope in their present accommodation. Re-housing is the only option. • Being hospitalised and unable to return home as it is totally unsuitable for the applicant’s long-term needs by way of design or location and/or is unsuitable for adaptations. • Being unable to access essential facilities in the property e.g., bath or WC, and the property cannot be adapted to meet the applicant’s needs. • Needing to move to provide support to a relative or person with serious illness, disability or medical condition and that person can only cope in their present accommodation with the applicant’s support. • Being due to leave local authority care and requiring own accommodation. • Having a serious long term or chronic mental illness, that could be alleviated by rehousing. • Having other urgent social care grounds for re-housing such as racial harassment, witness protection, tenancy enforcement issues, etc. Examples of serious need include:• Having some difficulty in using facilities in the property and this could be alleviated by re-housing. • Having serious health or social care problems that could be alleviated, if the applicant were re-housed near friends or family for support.

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• The applicant provides support for a person with serious health or social care problems which could be alleviated if they lived nearer to the person they are supporting. • Having a mental illness which could be alleviated by re-housing. • Having other social care grounds for re-housing e.g., isolation, neighbour disputes which are having an adverse impact on health. Examples of low need include: • Having anxiety and/or mild depression • Having a need to move to supply low level support for family members • Having a physical illness which has a low impact on their ability to cope in their current home. 1.4 - Overcrowding Applicants who are overcrowded application will be placed in Band 2 or Band 3 depending on their circumstances. When assessing overcrowding the following will be classed as requiring a separate bedroom and an application will be placed in Band 2. • • • •

a couple (opposite or same sex) a single person or parent aged 16 years or over a child aged 7 or over who would have to share with someone of the opposite sex. a child who would have to share with two or more children

When assessing overcrowding the following will be classed as requiring a separate bedroom and an application will be placed in Band 3. • a child who would have to share with someone of the same sex, if there is an age difference of more than 6 years. If you or a member of your household is pregnant, any unborn children will be taken into account providing that proof of pregnancy has been provided. Applicants will not be assessed as being overcrowded, if the situation can be alleviated by rearranging sleeping arrangements. For overcrowding purposes, due to the demand for re-housing in the County Borough, we are unable to take into account children from former relationships that you may have access to. Children will only be considered if the applicant is the primary carer. 1.5 - Hardship Applicants who fall into one of the following categories will be assessed as needing to move due to hardship and will be placed in Band 2:• Applicants who need to move to give or receive support. • Applicants who need to move to access specialised medical treatment. • Applicants who need to move to take up a particular employment or training opportunity.

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• Applicants who are in financial hardship, as set out in Welsh Government Code of Guidance i.e., applicants who, after meeting their housing costs, are left with a residual income of considerably less than the current Income Support or Jobseekers’ Allowance level. 1.6 - Under Occupation An applicant who is currently the tenant of Wrexham County Borough Council or another Registered Social Landlord, who is requesting to move as their property is too big for their needs will be classed as under occupying. When assessing under occupation the following will be taken into account:• An applicant who is under occupying and is at risk of financial hardship due to the Welfare Reform changes will be placed in Band 1. This is to reflect the urgency of their need to move. • All other tenants of Wrexham County Borough Council who are under occupying will be placed in Band 2. An applicant will not be classed as under occupying if they are requesting like for like accommodation (e.g., requesting to move from a 2 bedroom property to another 2 bedroom property). 1.7 - Unsatisfactory Housing Applicants assessed as living in unsatisfactory housing will be placed in Band 2. Examples of unsatisfactory housing can include:• Applicants classed as living in unsatisfactory housing following a home visit and assessment by an Environmental Health Officer as having Category 1 hazards. • The applicant’s property needs substantial repairs to bring the applicant’s property back to a standard. This may include repairs to the interior or exterior of the property. Environmental Health Officers have a legal obligation to contact private sector landlords when there are issues of disrepair. An application will only be placed in the correct banding if a landlord has made no attempt to rectify disrepair after a reasonable period of time. This will be decided by an Environmental Health Officer and will depend upon such issues as the nature of the work required. Wrexham County Borough Tenants will not be assessed for disrepair if the issues can be resolved. 1.8 - Children in Flats Applicants who are currently tenants of the Council or another Registered Social Landlord, and who have children under the age of 10 living in a flat, will be placed in Band 3. 1.9 - Applicants Sharing Accommodation All applicants who are sharing accommodation will be placed in Band 3, provided there are no other housing related issues such as overcrowding.

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1.10 - Armed Forces Personnel In March 2009, Welsh Government brought into effect section 315 of the Housing & Regeneration Act 2008. For the purposes of this policy, this means that applicants who are serving in the Armed Forces or are being discharged from the Armed Forces will be able to establish a local connection through residence or employment in the same way as a civilian person. Applicants will be placed in Band 1, when official proof of discharge has been produced. Applications from people who require suitably adapted accommodation because of a serious injury, medical condition or disability sustained as a result of service in the Armed Forces will be placed in Band 1, following assessment by the Department’s Health & Social Care Panel. 1.11 - Local Connection Borough Connection An applicant will be assessed as having a Borough Connection if they have: • Lived continually in the Borough for at least 3 years in the last 5 years out of your own choice. An applicant will not establish a connection with the Borough by residing in a prison or bail hostel. • Family members living in the Borough. For the purpose of this policy, a family member will be a mother, father, sister, brother, children or any adult who acted as the applicant’s parent and who has lived continually in the Borough for the last 5 years. • Been in continual employment in the Borough area for at least 3 years in the last 5 years. This must be confirmed in a letter from your employer. • Asylum seekers dispersed to Wrexham without any choice and granted refugee status will have a Borough connection at the point of application. • Applicants living in refuge accommodation (e.g., Women’s Refuge) in Wrexham County, will have a Borough connection at the point of application.

Community Connection An applicant will be assessed as having a Community Connection if: • •

• •

They have lived continually in the Community for at least 3 years in the last 5 years out of their own choice. They have family associations within the Community. For the purpose of this policy, a family member will be a mother, father, sister, brother, children or any adult who acted as the applicant’s parent and they have lived continually in the Community for the last 5 years. Asylum seekers dispersed to Wrexham without any choice and granted refugee status will be granted a Community connection at the point of application. Applicants living in refuge accommodation (e.g. Women’s Refuge) in Wrexham County Borough, will have a Community connection at the point of application.

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We realise, however, that as communities have outgrown County Council ward boundaries, there may be occasions when it would be reasonable for an applicant to have a connection with more than one community. In these circumstances we will consider awarding a connection for either community, taking into account the needs and wishes of the applicant, and the availability of suitable Council Housing stock in those areas. When assessing Community Connection the following wards will be classed as “communities”.

Community

Ward

Wrexham Town

Acton, Borras Park, Brynyffynnon, Cartrefle, Erddig, Esclusham, Garden Village, Grosvenor, Hermitage, Little Acton, Maesydre, Offa, Queensway, Rhosnesni, Smithfield, Stansty, Whitegate, Wynnstay

Broughton & Coedpoeth

Brymbo, Bryn Cefn, Coedpoeth, Gwenfro, Minera, New Broughton

Plas Madoc

Cefn, Llangollen Rural, Plas Madoc, Ruabon

Ceiriog Valley & Chirk

Chirk (North & South), Dyffryn Ceiriog

Gwersyllt & Llay

Gwersyllt (East & South), Gwersyllt (North), Gwersyllt West, Llay

Rhos

Johnstown, Pant, Penycae, Ponciau

North East

Gresford (East & West), Holt, Marford & Hoseley, Rossett

South East

Bronington, Marchwiel, Overton

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Management Moves There are occasions when the Council will be required to make allocations outside of our published Lettings Policy. These are known as Management Moves. This policy outlines the circumstances when it may be appropriate to award a Management Move. The following list is not exhaustive as, by their nature, Management Moves are those situations which are the exception to the policy. The Council aims to keep the number of Management Moves carried out to a minimum, so that the published policy is seen as being as fair and transparent as possible. A Management Move will only be awarded after the individual circumstances of each case have been taken into consideration. Every case will be approved by the Service Manager – Landlord Services. Examples of when an applicant may be considered for a Management Move include:Applicant left occupying a property following the death of a tenant If a secure, introductory or demoted tenant dies and there is no other family member left in the property who has the right to succeed, a management move may be considered if:•

• •

The property was the only or principal home of the remaining family member at the time of the tenant’s death and they would have qualified to succeed if a succession had not already taken place. The applicant has been living permanently with the tenant as a member of their family for a minimum of a year before the tenant died. The applicant has agreed to take over parental responsibility for the tenant’s dependants and does not have any suitable alternative accommodation available.

Relationship Breakdown If a sole or joint tenant gives notice to terminate a tenancy the tenancy will end for both joint tenants. The Council may grant the tenancy to the remaining occupier, provided that they have been living with the former tenant as a partner or a member of their family, the property is their only or principal home and it is suitable for their needs. In the case of married couples, civil partners or couples with children, where there is a joint tenancy in place, the Court has powers to decide that a tenancy can be transferred to one or other of the parties, in instances of dispute. Applicants will initially be advised to seek legal assistance in these circumstances. Joint applicants should be aware that any Court Costs incurred in ending a joint tenancy may be the responsibility of the parties involved. Exceptional Circumstances Staff may also consider applying Management Moves in the following circumstances. This list is not exhaustive:• Social Services have carried out a statutory assessment and there is a child at risk in the household.

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• Social Services have carried out a statutory assessment and there is an adult at risk in the household. • The applicant is in Council tied accommodation and requires secure housing (e.g., Warden retiring who will require re-housing). • An existing Council tenant has been placed in temporary accommodation following fire or flood which has made their home uninhabitable. • Existing tenants of Wrexham County Borough Council who need to move because their home is about to be demolished, redeveloped or subjected to major works. • The housing of individuals who fall within the Multi-Agency Public Protection Arrangements (MAPPA) protocol. MAPPA are a set of arrangements under the provision of the Criminal Justice Act 2003. A number of agencies, including the Council’s Housing Service are under a Duty to Co-operate with the Responsible Authority. When deciding whether to award a Management Move, amongst other considerations, the following may be taken into account:• Will granting the tenancy make best use of the housing stock? • Has the applicant’s behaviour caused the current sole or joint tenant to leave or flee the property? (e.g., have there been issues with financial/domestic abuse). • Is the applicant eligible for an allocation? • The circumstances of each individual case (the number of points they would be awarded on the housing register, how long has the applicant been living with the tenant, is it reasonable for the applicant to continue to occupy the property in question?)

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Wrexham County Borough Council’s Exclusion Policy Introduction If an applicant or a member of the applicant’s family has been guilty of ‘unacceptable behaviour’ at the time of application the Council will consider excluding the applicant from the Housing Register. Receiving an Application The Council must accept a completed application form. If there is information available or known, relating to previous or existing tenancies held by the applicant (or family member) and this information has or could have resulted in the Council gaining an Outright Possession Order, we will consider exclusion. The Council will aim to complete the process, including notification to the applicant, within a 6 week period. Due to the potentially sensitive nature of the process, applications to exclude will be the responsibility of Senior Housing staff. Applications will be registered and immediately suspended, pending the outcome of any decision to exclude. The Council will inform an applicant immediately, in writing, if they are being considered for exclusion. Applicants will be invited to attend an interview to discuss the grounds for exclusion and the reasons for the application. The Council will arrange and hold interviews no later than 14 days after the initial letter is sent. The Exclusion Process When considering exclusion, the Council will follow Welsh Government guidance. The decision to exclude will be made by applying the 3 stage test set out in Welsh Government’s Code of Guidance. a) Where there is evidence of unacceptable behaviour was it serious enough to have obtained an Outright Possession Order? b) Is/Was the behaviour serious enough to render the applicant or a household member unsuitable to be a tenant? c) We must be satisfied that the applicant is still unsuitable at the time of the application. It is NOT necessary for the applicant to have been a Council tenant when the unacceptable behaviour occurred. The deciding factor is whether the Council would have been entitled to an outright Possession Order if the applicant had been a secure tenant. Applicants being considered for exclusion will be kept informed throughout the process. Applicants have the right to ask the Council to review any decision made regarding eligibility to join the housing register.

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An application for a review of a decision must be made within 21 days of receiving written notification of the Council’s decision. Applicants must provide evidence of any change of circumstances or additional information which they feel should be taken into account. All requests will be considered by the Council and we will inform applicants, in writing, of the result of the review. Applicants have the right to re-apply for housing if they believe their behaviour or circumstances have changed. Applicants must provide proof of any changes. Reasonableness The Welsh Government Code of Guidance states that a policy of classing all applicants as unsuitable if they were previously evicted on one of the discretionary grounds as likely to be unlawful and that a housing authority must act reasonably. The Council will consider the personal circumstances of each applicant when deciding to exclude. We will also consider any language, access or communication needs when contacting applicants and arranging interviews. Investigation and Evidence Gathering All decisions to proceed with exclusion will be based on the individual merits of each case, after gathering the appropriate evidence and making proper investigations. Applicants will be notified in writing of the decision whether to proceed with exclusion or not. The Council will always inform applicants if there is likely to be a possible delay in the process for requesting Exclusion.

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Agenda Item 11

1.

REPORT TO:

Executive Board

REPORT NO:

HHPPE /87/14

DATE:

21 October 2014

LEAD MEMBER:

Councillor David A Bithell (Environment and Public Protection)

CONTACT OFFICER:

Nigel Lawrence (Tel: 295565)

SUBJECT:

Promoting Mental Well-Being at Work Policy

WARD:

N/A

PURPOSE OF THE REPORT To seek Member’s approval for the new Policy and Guidance for Promoting Mental Well-Being at Work, this has its main focus on the awareness raising, identification and support in relation to reducing time off work due to stress related illness.

2.

EXECUTIVE SUMMARY

2.1

It is acknowledged that stress has many causes including those arising from factors in the workplace and/or outside the work environment. Whatever the source of stress may be this can have an impact on an individual’s performance and well-being at work.

2.2

The Health and Safety Executive’s formal definition of work related stress is: "The adverse reaction people have to excessive pressures or other types of demand placed on them at work."

2.3

Stress is not an illness – it is a state However, if stress becomes too excessive and prolonged, mental and physical illness may develop.

2.4

All employers have legal responsibility under the Health and Safety at Work Act and the Management of Health and Safety at Work Regulations to ensure the health, safety and welfare at work of their employees. This includes minimising the risk of stress-related illness or injury to employees.

2.5

The Council should be in a position to show that it can manage the issues related to stress in the workplace. The Council, therefore, required a specific Policy to focus on how this should be ‘as far as is reasonably practicable’ managed. To support this,

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there needs to be evidence that effective risk assessments have been carried out, are monitored regularly and any recommendations are being implemented and adequately resourced. The Policy also needs to ensure the Council plans for stress-related risks when embarking on significant organisational change. 2.6

The title of this new Policy ‘Promoting Mental Well-Being at Work’ (Appendix A) was subject to some debate by the Stress Working Group chaired by Corporate Health and Safety. The Working Group had representation from Unions, Human Resources, Occupational Health and managers and employees from various Departments. The purpose of the Group was to ensure the Policy and associated Guidance (Appendix B) was consistent and clear in its aims to provide direction on how the Council will approach and manage stress.

2.7

The Policy outcomes are to increase the general awareness of the causes of stress and the actions to be taken to prevent and combat the potentially harmful effects it can have on employee’s lives. The Policy and associated Guidance provides a mechanism for Managers to put actions in place to promote mental well-being at work. This includes providing training, information and advice and guidance to Heads of Department, Line Managers and Supervisors in good management practice and stress risk prevention.

2.8

The Head of Housing, Public Protection and Environment provided a report (ACL/SMT/05/14) on the Policy and associated guidance to the Senior Management Team on 10 September 2014.

3.

RECOMMENDATIONS

3.1

That the Executive Board adopt the Promoting Mental Well-Being at Work Policy and Guidance in Appendices A and B to this report.


To meet the requirements of health and safety legislation

4.


4.1

Stress can affect anyone at any level of the Council and recent research in the UK shows that work related stress is widespread and is not confined to particular sectors, jobs or industries. The Promoting Mental Well-Being at Work Policy and associated Guidance has been developed to ensure the Council has a robust management system in place in relation to tackling the issues around work-related stress. To enable the Policy to be implemented and effective, 140 Managers across the Departments have already been provided with training on the new Policy and Guidance which has included how to identify, monitor and engage with an employee who is showing signs of stress to a level that is deemed to be potentially harmful. The Guidance to the Policy provides the information and tools for a Manager to conduct a stress risk assessment and if required compile an action plan to address any identified issues.

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Employees exhibiting signs and symptoms of stress are to be encouraged to work with their Manager to identify the causes of stress and develop an action plan to tackle and reduce their stress levels. Managers are encouraged to conduct this assessment prior to any referral to Occupational Health. The assessment and action plan will be valuable information for Occupational Health to understand the individual’s position and what is being done to support them. Employees are encouraged to raise issues of concern to their Managers in relation to work-related stressors which might present a health and safety hazard to themselves or other persons employed by the Council. Every employee will need to be made aware of his or her individual responsibilities to ensure that the Policy is effective. A communications campaign will raise awareness, which will include information delivered through various means such as the Friday Bulletin, information on noticeboards, Health Awareness Events (starting on 5 November 2014), Team Briefings and specific training provided across Departments. Improved management and recording of stress related absence is required to provide more accurate baseline information. The measurement of the success of this Policy will be related to improved sickness absence performance, indicators in safety culture measurement and through feedback from employee Occupational Health referrals. 4.2

Policy Framework – The proposals are integral to the Council’s Health and Safety Policy in complying with duties under the Health and Safety at Work etc Act 1974 and associated legislation relating to health and safety and the safeguarding of employees and public health. The policy will help the Council achieve the Corporate Health Gold Standard by 2016, which is a specific goal in the Council Plan (Corporate Theme: Organisation O2 – Creating the Conditions for Success). The Policy will also support the Council’s Organisation Development and Workforce Strategy 2012 to 2016.

4.3

Budget – Any budgetary implications will be met from within Departmental cash limited budgets and existing arrangements for the management of risk.

4.4

Legal – Legal implications are identified in the body of the report

4.5

Staffing – The additional responsibilities outlined in this report will be undertaken within existing staffing resources.

4.6

Equality/Human Rights - The Policy is committed to ensuring that the health, safety and welfare arrangements are free from any form of discrimination for all protected characteristics which fall within the Equality Act 2010. Reasonable adjustments will be made, where appropriate, to ensure that those who are owed a duty of care will be included in our management arrangements for the protection of their health and safety. Equality Impact Assessment reference HPPE/EIA/00026/2014.

4.7

Risks – Health and Safety is included in the Council’s Principle Risk Register and the Policy and Strategy are key measures to control the risk.

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5.

CONSULTATION

5.1

The revised Policy has been circulated to the members of the Stress Working Group and Health and Safety Steering Group for their comments.

5.2

The Head of Housing, Public Protection and Environment provided a report (ACL/SMT/05/14) on the policy and associated guidance to the Senior Management Team on 10 September 2014.

6.


6.1

N/A

7.


7.1

A Report (HHPP/73/13s) was presented to the Customers, Performance and Resources Scrutiny Committee on 23 October 2013 to inform Members on progress with the delivery of the actions detailed in the Strategic Health and Safety Improvement Plan (SHSIP). The introduction of this Policy and Guidance will help in the delivery of specific actions contained in the SHSIP in relation to the achievement of the ‘Gold’ level of the Corporate Health Standard by 2016.

7.2

A further progress and annual health and safety report including the delivery of the actions detailed in the revised Strategic Health and Safety Improvement Plan will be submitted to the Customers, Performance and Resources Scrutiny Committee in November 2014.

BACKGROUND PAPERS

LOCATION

None

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WEBSITE INFO

Appendix A


August 2014

Author - Nigel Lawrence

Page 137 Final Version – September 2014

Approvals Approved by Executive Board

Date:

Policy Implementation

Date:

Equality Impact Assessment Completed:

Date:

Version

V2.0

Version Control Version No.

Key Changes


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Agreed By/date

Issue Date

Final Version – September 2014

CONTENTS

Section

1.0

Policy Statement

2.0

What is Stress?

3.0

What are the effects of stress?

4.0

Policy outcomes

5.0

Equalities

6.0

Responsibilities

7.0

Employee Development and Training

8.0

Implementation

9.0

Monitoring

10.0

Further Information



1.

Policy Statement

1.1 Wrexham County Borough Council (the Council) believes that its employees are its most important asset and their well-being is essential to effective work performance and the provision of a high quality service. The Council places a high value on maintaining a healthy and safe environment for all employees and recognises its duty of care extends to their mental health as well as their physical health, safety and well-being at work. 1.2 The Council recognises that stress is a health and safety issue and that it has many causes, including those arising from factors in the workplace as well as those which affect the life of employees away from work. It is acknowledged that stress often arises outside the work environment and can impact on an individual’s performance and well-being at work. 1.3 The Council understands there is a difference between pressure and stress. Pressure or a challenge can be positive and a motivating factor, and is often essential in a job. It can help us achieve our goals and perform better. In contrast acute or excessive pressure which goes beyond personal control can become harmful to the individual. 1.4 The Council is committed to identifying sources of stress in the workplace and taking action where reasonable and practicable to reduce or remove harmful pressure. Managers will play a key part in the identification and management of stress in the workplace 1.5 The Council seeks to have an organisational culture that is both supportive and empowering; with a management style that reflects this culture. Employees are also encouraged to take personal responsibility for themselves at work and support their colleagues to do the same. 1.6 By implementing this policy, it is expected that awareness of the causes of stress and support available will increase; this will contribute to the outcomes of the policy, which strives for a reduction in the overall levels of employee days lost to ill-health associated with stress. 1.7 This policy sets out the organisations objectives for the management of health and safety in relation to mental health and well-being (stress) at work. This policy should be read in conjunction with the associated guidance document. Both the policy and the guidance will be subject to regular reviews by the Corporate Health and Safety Steering Group.


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2.

What is Stress?

2.1 It should be acknowledged that work-related stress is not just associated with workload; a key factor is associated with the support given by peers or managers and the level of the working relationships with either. Certain jobs may place extra emotional demands on employees and this also applies to the physical conditions within the workplace. 2.2 Most people are exposed to regular pressures as part of their normal day to day lives and will generally cope with, and in many cases thrive on, moderate amounts of pressure with no detrimental effects. Indeed, lack of pressure or stimulation can be just as stressful for some people as too much pressure can be for others. The Health and Safety Executive (HSE) defines stress as, ‘the adverse reaction people have to excessive pressure or other types of demand placed on them.’ 2.3 It must be recognised that people react in different ways to different types of stressors. This can be an event or context that elevates adrenaline and triggers the stress response because it throws the body out of balance and forces it to respond; for example: • • •

environmental stressors (elevated and/or nuisance sound levels, over-illumination, overcrowding, high/low temperatures) daily stress events (e.g. traffic, lost keys, queues, minor conflict) life changes (e.g. divorce, bereavement, domestic abuse, chronic illness)

2.4 The HSE identifies the following potential causes of workplace stress in accordance with the HSE management standards: • • • • • •

Demands – examples are workload and exposure to physical hazards or difficult situations; Control - how much say the individual has in the way they carry out their work; Support – from peers, colleagues and managers; Relationships – with colleagues, and issues such as bullying and harassment; Role – whether the individual understands their role in the organisation and if they have conflicting roles or role demands; Change – how organisational change is managed and communicated in the organisation.



2.5 Stress can come from any event, situation or thought that makes an individual feel frustrated, angry, agitated or nervous. What one person finds exciting and challenging another can find daunting and frightening. An individual’s reaction to stress can be influenced by their personality, experience, motivation and the level of support received by their manager, colleagues, friends and family. 2.6 Behaviours in the workplace that are offensive, abusive, intimidating, malicious or insulting and the abuse of power can all contribute to an employee feeling threatened, humiliated and vulnerable undermining their confidence which may cause them to suffer stress.

3.

What are the effects of Stress?

3.1 While each individual's response to stressors is unique, some common symptoms are discernible: Behavioural - withdrawal, hostility, excessive eating, drinking or smoking, poor concentration, being too busy to relax, presenteeism, absenteeism; • Emotional - loss of confidence, lack of self-esteem, anxiety, frustration, anger, apathy; • Physical - difficulties in sleeping, frequent and unspecified aches and pains, digestive problems, weight gain, weight loss and increased episodes of sickness/illness. •

Displaying some of these symptoms does not automatically indicate that a person is experiencing stress, but they point to such a possibility especially if it is an out of character behaviour for that employee. 4.

Policy Outcomes

The outcomes of effectively implementing the policy are: 4.1 To increase the general awareness of the causes of work-related stress across the council and the actions to be taken to prevent and combat the potentially harmful effects it can have on employees. 4.2 To provide the mechanism to enable managers to implement the Policy on Promoting Mental Well-Being at Work (Stress Management).


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4.3 To provide training, information, advice and guidance to Heads of Department, line managers and supervisors in good management practice and stress risk prevention. 4.4 To provide a mechanism to effectively identify workplace stressors and conduct risk assessments to implement controls that eliminate or reduce stress. 4.5

To assist the employee in managing stress in others and themselves.

4.6 To provide a confidential and effective counselling service for employees identified in need of support as a result of stress caused by either work or external factors that are having an effect on work. 4.7. To support the return to work of employees who have had stress related problems in line with the Council’s Managing Attendance Policy and Procedure. 4.8 To use sickness absence information to identify patterns and establish whether this is associated with a work process or methods or even an individual or group.

5.

Equalities

5.1 It is unlawful for the council to discriminate against employees because of any of the following protected characteristics: Age, Disability, Gender reassignment, Marriage and civil partnership, Pregnancy and Maternity, Race, Religion or belief, Sex (gender), Sexual orientation. 5.2 All employees (irrespective of their employment status) are protected by law against discrimination in the course of their employment with the Council. Refer to Equality, Diversity & Human Rights page on the Intranet. It is unlawful for Managers to discriminate against an individual on the grounds that he or she is “associated with” someone with a particular protected characteristic. The Council will not victimise an employee because he or she has raised a genuine complaint of discrimination, or assisted another employee with a complaint. Please refer to the Whistle Blowing Policy and Grievance Procedure



5.3 Employees are protected against all forms of discrimination in every aspect of their employment. This will include the terms and conditions of their contract, including information that is contained in the Employee Handbook and Human Resources Policies.

6.

Responsibilities

6.1 Ultimate responsibility for this policy rests with the Council as the employer. The Chief Executive has overall responsibility for health and safety. However, the Chief Executive will give delegated responsibility to the Strategic & Performance Director with a lead role for health and safety who in turn will ensure each Strategic & Performance Director and each Head of Department takes responsibility for the implementation of this policy so far as his/her service is concerned. 6.2 Heads of Departments: have specific responsibilities to ensure that the following is being managed in their departments; these will be:

•

To ensure their managers are aware of and implement the Councils ‘Promoting Mental Well-Being at Work Policy’ for employees in their department;

•

To ensure that, where identified, risk assessments take place at the appropriate times and address any potential hazards relating to workrelated stress;

•

To participate in, and to ensure the provision of, appropriate training for managers to support the identification of work-related stress and recognised means of prevention and control. Training will be provided corporately or in some cases developed specifically for the department.

•

To ensure that reasonable steps are taken in the department to identify and minimise the potential for risks arising from work-related stress. This will require managers to understand and be aware of the triggers and situations that could lead to stress in their sections/service.


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•

To monitor the progress of employees identified with work-related stress to ensure the actions agreed by managers to provide support to individuals are being implemented.

6.3 Manager’s/Supervisors Responsibilities: It is important therefore that management/supervisors ensure that:

6.4

•

There is good communication between management and staff, particularly at times of high workload or demands on the service as well as organisational and / or other aspects of change;

•

They are aware of the necessary skills that employees need to complete their roles successfully and that they provide staff with appropriate development opportunities;

•

They monitor the physical work environment, volumes of work, working hours, overtime levels, flexi time balances, team dynamics to identify and resolve issues and that they ensure that employees use/take their full holiday entitlement;

•

They identify and deal immediately with issues of conflict, bullying and/or harassment within teams or with clients, service users, people we support and the general public.

•

They attend training provided to ensure they fully understand their role in the Promoting Mental Well-Being at Work Policy.

•

They conduct risk assessments on employees who are demonstrating signs of stress-related behaviour and/or are feeling stressed and have asked for help;

•

They complete an action plan to deal with the identified issues and ensure these actions are completed;

•

They seek assistance from either Human Resources, Health &Safety Occupational Health, Domestic Abuse Co-ordinator when and if required to ensure they are able to manage an employee who has signs of stress;

Employees’ in general have a duty to: •

Take reasonable care of their own health and safety and that of others who are likely to be affected by their actions;

•

Co-operate with the Council in ensuring that they contribute to the Policy outcomes and expectations;



•

To take reasonably practicable steps to minimise their own stress levels and those of their fellow workers who may be affected by their acts or omissions;

•

Raise issues of concern, in a reasonable time, with their line manager / supervisor, Health and Safety Officer and/or Human Resources Officer; Employees should, therefore, draw attention to the Council to any concerns about work-related stressors which might present a health hazard to themselves or other persons they believe may be suffering from the effects of stress at work.

•

Use available support and reporting mechanisms if they are relevant and if they feel that their line manager/supervisor is connected to the stress they are experiencing talk to another manager or contact Health and Safety /Human Resources. To support and get involved in corporate or departmental initiatives to tackle this issue, for example, completing questionnaires, attending focus groups or suggesting solutions To be supportive of colleagues experiencing work related stress To work with your line manager, Health and Safety or Human Resources in identifying solutions to help you return to work effectively and quickly.

•

• •

6.5

The Health and Safety Steering Group:

Under the guidance of the Head of Housing, Public Protection and Environment, with support from Corporate Health and Safety; the Health and Safety Steering Group will: • Oversee implementation of the Policy and monitor the effectiveness of stress management training for line management, and will provide an update report to SMT on a regular basis; • Will oversee the roll-out and effectiveness of the council’s manager’s implementation of the policy. • Ensure that discussions are held with other departments to make sure this policy is fully integrated with other health and safety, human resource and Council policies, such as Work-Life Balance, Family Friendly, Equality and Diversity, Managing Attendance, Dignity at Work etc. 7 Employee Development and Training 7.1 Many employees experience stress through feeling that they are not adequately trained for their current post and are especially at risk when they move to a new or changed role. The identification and meeting of training needs should have a high priority, especially so in cases where restructuring of individual post, sections or larger units is taking place and results in new Author - Nigel Lawrence

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requirements for skills and knowledge. This can include resilience and mindfulness study to help employees understand how to control the effects of stress in their working and personal lives. 7.2 In relevant management and supervisory training (as well as in other relevant skills courses), it is highly recommended that stress management should be discussed as part of a manager’s responsibilities. In the same context, managers and supervisors should also examine how they can deal with their own issues of stress management. 7.3 Through the Performance Review and Career Development (appraisal) process stress management training and other management and supervisory courses at regular intervals will be offered. Managers and supervisors should ensure that employees attend these courses as appropriate. Relevant training for those managers and supervisors responsible for implementing all or some aspects of the Council’s Promoting Mental Well-Being at Work Policy will also be provided. 8. Implementation Implementation of this policy is the responsibility of Heads of Departments and their managers/supervisors. Effective implementation of this policy is explained in the promoting mental well-being at work guidance. 8.1 Any employee exhibiting signs and symptoms of negative stress or high stress levels requiring immediate support should work with their line manager to identify what causes their stress (using stress risk assessment as detailed in the guidance to this policy) and put in place an action plan to reduce their stress levels. If the situation is not remedied by this action or an employee feels it would be inappropriate to speak to their immediate line manager/supervisor or the situation continues to deteriorate then the employee should be referred to an alternative manager at the same level within the department, with the support of Human Resources and/or Health and Safety. 8.2 Each employee of the Council will have access or be signposted to a copy of the Policy and Guidance and all new employees will be briefed on it as part of their induction. Every employee will be made aware of his or her individual responsibility to ensure that the policy is effective. The development and dissemination of good practice, the recognition of the symptoms of stress, and the raising of council-wide awareness of work-related stress will be monitored through the Corporate Health and Safety Steering Group. 9. Monitoring



9.1 Monitoring and evaluation are essential to any effective policy of stress management. This will provide the necessary feedback that is critical to the maintenance and development of strategies, procedures and action plans designed to control stress in the workplace. 9.2 This Policy will be monitored and reviewed on a regular basis not exceeding three years to identify trends, the need for training and areas where change or improvements to policies or procedures may be needed.

10

Further Information

The Promoting Mental Well Being at Work guidance document supplements the Council’s Promoting Mental Well-Being at Work policy. The aim of the document is to demonstrate the value of maintaining a healthy and safe environment for all employees and acknowledge our duty of care with regard to both physical and mental health at work. It is also to provide guidance to managers on the completion of a stress risk assessment and to provide a template for interviews that can be used to aid discussions with staff on their return to work following any time off work with stress.

The Health and Safety Executive has a comprehensive guide to Stress. This information can be accessed online at http://www.hse.gov.uk/stress/index.htm The Corporate Health and Safety Team can provide a varied support in relation to stress and more information can be found on the relevant pages on SAM: http://www.internal.wrexham.gov.uk/wordpress/sam/departments/housingpublic-protection/health-safety/#stress Comments regarding the content of this policy should be made to the Head of Housing, Public Protection and Environment.


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Appendix B

Promoting Mental Well-Being at Work Guidance to Support the Policy

August 2014

1

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Contents 1. Introduction

2. The Proactive Approach to Managing Stress 3. How to identify stress 4. Procedure for Handling Cases of Work Related Stress 5. Stress caused by personal issues 6. Stress in the context of disciplinary or grievance procedures 7. The risk assessment process 8. Management of Stress Flowchart 9. The Stress Toolkit 10. Appendices A. Stress Risk Rating Assessment B. Individual Risk Assessment C. Action Plan D. A simple guide for managers E. Stress Risk Assessments in Practice F. Occupational Health Service G. Further advice and support

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1. Introduction This guidance document supplements the Council’s Promoting Mental Well-Being at Work Policy, developed for the prevention and management of work related stress. The aim of this document is to provide additional information on managing stress and to provide guidance to managers on the completion of a stress risk assessment. This includes a template for face to face meetings that can be used to aid discussions with employees who are either showing signs of stress at work and/or on their return to work following stress related absence. Whatever the cause or reason, too much stress is bad for the individual and for the Council as the employer. Ill health and lost productivity are an unnecessary drain on service's resources and these costs are growing. The Council, hence, managers, have a duty of care, so far as is reasonably practicable, to ensure that workplaces are safe and healthy. Workplace stress, which may lead to mental and/or physical ill health, may be regarded like any other hazard in the workplace. But it does not have to be like this. If the costs are real so are the benefits of overcoming the causes and effects of stress. Quite simple changes in structure and working environment can produce significant improvements in workforce morale and productivity if planned, implemented and managed correctly.

2. The Proactive Approach to Managing Stress Taking a proactive, rather than a reactive, approach to workplace stress can save a great deal of time, money and personal suffering, and in doing so can bring many benefits. In other words, the causes of stress, where possible, should be identified and action should be taken to prevent or minimise the risk factors before employees suffer stress. Optimal results are more likely to be achieved if workplace interventions are not narrowly focused on preventing individual psychological injuries, but more broadly focused on managing the interrelationship between individual(s) and the job/service they provide. Stress Interventions are generally classified as being primary, secondary or tertiary in nature, each serving different purposes. In primary prevention the goal is to eliminate, reduce or change job stressors. The aim of secondary prevention interventions is to prevent employees who are already showing symptoms of stress from getting sick, by altering the way they respond to job stressors. Finally, tertiary interventions focus on the treatment of employees who suffer from severe consequences and the rehabilitation of employees after a period of sickness absenteeism.

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3. How to identify stress Employees have a duty to look after their own health and safety at work and to draw problems to the attention of their managers at an early stage. However, managers should also be alert for signs of stress amongst employees. The key indicator of stress may be a change from an employee’s normal behaviour and/or appearance in the workplace. Identifying the signs of stress at an early stage increases the possibility that action can be taken to deal with the symptoms and the underlying causes, thus minimising the risk to the individuals health and well-being and the effects on the department or service. The following are a list of general signs which may indicate to you that employees may be suffering from stress. Attitude and behaviour • Loss of motivation and commitment • Working increasingly longer or shorter hours • Failure to take allocated annual leave • Flexi-time patterns change • Erratic or poor time-keeping • Unusual displays of emotion, for example frequent irritability or tearfulness • Poor concentration/lack of focus • Change in habit e.g. drinking, smoking, eating, etc. Relationships at work • Tension and conflict • Withdrawal from social contact Sickness absence • Increase in overall sickness absence long term or short term intermittent. Work performance • Reduction in outputs/productivity • Constant tiredness or low energy • Poor judgement/indecisiveness • Deterioration in planning and control of work • Failure to meet deadlines and/or delegate In addition, you can also use the following sources of data to identify possible Stress within your teams: • Increase in sickness absence levels • Increase in number of employee disputes and disaffection within the team • Increase in number of complaints and grievances received from employees • Increase in complaints received from customers and service users

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• •

Increase in employee turnover Increase in number of workplace accidents

4. Procedure for Handling Cases of Work Related Stress When it is brought to the attention of a manager or supervisor that an employee has symptoms of stress, including frequent short-term absences, which is affecting their work, there should be a joint discussion with the person concerned in the first instance. It should be noted that employees may be subject to pressures both inside and outside the workplace and it is a priority where stress is suspected to identify the source of the employees stress and establish whether work-related issues are involved. In some cases it may be a combination of work and personal pressures which results in stress. The manager or supervisor should conduct a risk assessment with the employee (Appendix B) to determine the level of risk to the individual employee and to assess the level of stress experienced by the employee. The manager should then consider the options available to reduce the impact by completing the risk assessment action form with the employee (Appendix C). This will then detail measures that can be taken to alleviate and reduce or remove the risk. If both the manager or supervisor and the employee consider that the matter requires additional professional guidance, reference should also be made to Human Resources who may, depending upon circumstances, give advice to the employee that they be referred and assessed by the Councils Occupational Health Service (OHS). Wherever reasonably practicable, an employee experiencing excessive and sustained work-related stress will have their work adapted either on a temporary or permanent basis, including the possibility of alternative employment within the Council, so as to remove the risk or reduce it to an acceptable level. A joint strategy will be agreed with the person concerned, their manager or supervisor, Human Resources and the OHS as appropriate. If there is no suitable alternative employment within the Council which would not involve the risk of reasonably foreseeably exacerbating their condition, an employee should recognise that, it may be necessary to invoke the Capability Policy and Procedure/Managing Attendance Policy and Procedure, which could lead to redeployment or to the termination of their employment contract. Accurate records of the advice and action they have taken in relation to an employee suffering from work-related stress must be maintained and progress should be recorded, monitored and reviewed appropriately.

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In accordance with the Data Protection Act, the employee has the right to access such information.

5. Stress caused by personal issues Where an employee is facing problems in their personal life these problems may affect the employees ability to work effectively. If work performance is affected this will need to be addressed with the employee. In such cases ,it is recognised, employees are not obliged to disclose details of personal problems with their managers, however it may be helpful to discuss sensitively what help can be made available (such as counselling services, compassionate leave, temporary adjustments to duties, etc) to enable an employee to return to effective working.

6. Stress in the context of disciplinary or grievance procedures Where work-related stress occurs in the context of capability, disciplinary or grievance proceedings, the Council’s formal procedures will not necessarily be delayed as there are benefits to conclude the cause of the employees stress. Specific advice as how to manage stress while progressing with the other procedures in such circumstances should be sought from Human Resources in the first instance.

7. The risk assessment process There is a growing recognition that work related stress can be dealt with in the same way as other health and safety issues, by adapting the same basic principles and processes as for other workplace hazards - i.e. through risk assessment and management. Stress is not a disease or diagnosable illness; however exposure to excessive pressure can result in health problems, both physical and mental. Well-designed work is generally good for people and stress often arises from poor management practices. The Council aims to develop a culture and work practices that minimise the risk of work related stress. The HSE Management Standards define the characteristics or culture of an organisation where the risks from work-related stress are being effectively managed and controlled. They cover six key areas of work design that, if not properly managed, can be sources of stress.

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The Management Standards are the benchmarks against which organisations carry out risk assessments for workplace stress. They represent a set of conditions that, if present, reflect a high level of health well-being and organisational performance. Further details can be found in Appendix D, which will be useful to help in understanding the principle use of the risk rating system form in Appendix A. There are many studies into work-place stressors and the most common causes of stress at work have been identified as: • • • •

Workload; Relationships; Organisational change; Management style.

All organisations are required to assess the risk of stress from work. The Management Standards are the product of ten years of Health and Safety Executive research and were introduced in 2004 but are still valid today. See flowchart in section 7 for the stress risk assessment process. Consider what is currently in place to assist the employee. If now having discussed the issues with the employee and you are satisfied that all reasonable precautions have been taken you need to make sure that: • • • • •

The details of your considerations and actions have been recorded on the Risk Assessment Form (Appendix B) and the Action Plan (Appendix C). The information is kept readily accessible and available for reference. The control measures have been effectively communicated to the people who need to know them. The effectiveness of the control measures is monitored regularly. The action plan (Appendix C) should be monitored to ensure the actions are completed in the agreed timescales.

If you and/or the employee think more could or should be done to reduce the risk further, even if that is purely increased supervision or because of amended guidance you should record what further action is required on the Stress Risk Assessment Form. The necessary action needs to be allocated to a specific person or group of people and a target date attributed to the action. Review your assessment and revise it if necessary; Review your assessment on a regular basis, to see if the control measures are still effective, remember to involve the employee.

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7. Management of stress flow chart Manager recognises signs of stress in an employee who is at work. (See section 3, how to identify stress)

Employee is off sick on a number of occasions with illnesses which could be attributable to stress, e.g. persistent headaches, backache, raised blood pressure, exhaustion, etc.

Manager is informed by employee that they are experiencing stress (at work or at home) and it affects their work

Employee informs a manger, other than their own, that they are stressed and their manager is linked to the problem.

Manager approaches employee sensitively at an appropriate time to see if they can help. If manager has concerns that are not acknowledged by employee they should contact H&S and /or HR for advice.

Manager informs the department and HR Officer to ask for advice.

Meet with the employee to identify possible causes of stress, e.g. demands, control, change, role, support and relationships. If necessary use the stress risk rating assessment form (appendix A) to determine the level of risk to the employee.

The Department ensures a manager is appointed to conduct a stress risk

Cause of stress is identified as workrelated

Cause of stress is identified as both work-related and personal

Cause of stress is identified as personal and not workrelated

Use individual stress risk assessment form (Appendix B) to discuss, agree and implement changes that can be made to remove/reduce stress. Identify specific cause(s). Use simple guide for managers (Appendix D) and work through things you can do to address stressors. Agree Action Plan (Appendix C) and schedule follow up meetings. (Note – if necessary employee should be referred to OH at this stage)

Seek information on resources available (internal or external) to support employee. See Appendix G for further information.

Document the outcome of meeting(s) and any agreed control measures with monitoring dates. Monitor employee and review working practices regularly – this is the employees stress risk assessment If after the agreed final review period, the employee continues to be affected by work related stress, managers should consider the following options: • Extension of review period • Referral to Occupational Health • Potential for redeployment or re-training Page 156

8. The Stress Toolkit Managers are encouraged to use the stress toolkit to assist in identifying issues with the employee. It is a process that requires and enables the manager to communicate with the individual showing signs of stress or simply that their performance may be indicating there is something wrong. The process below will help the manager have a conversation with the employee and hopefully it will extract any issues that are affecting the employee at work. These will be looked at by the manager with the employee and will help in the decisions to provide support or guidance to deal with the situation before it gets to a problematic level. Ideally this process will be supported by training for the managers and this will be made available either corporately or through the department training needs assessment. Risk Rating Assessment Form The process can, but not necessarily, start with the employee or their managers completing the Risk Rating Assessment Form (Appendix A) to identify the levels of risk. This assessment is to determine the level of potential risk to the individual employee. The manager of the employee shall assess the level of distress experienced by the employee. This will be achieved by the manager talking to the employee about what is causing them to feel the way they are and to what degree this feeling is having an effect on them. Once it has been decided the manager should consider the options available to reduce the impact by completing the individual risk assessment form. Factors, such as the individual’s employment history, their current work/home situation should be considered when conducting this risk assessment. Individual risk assessment The Stress Risk Assessment form (Appendix B) can be used in two ways. The first is in early discussions with a member of staff who may be exhibiting or have stated that they are suffering from signs of work related stress. The second is on an employee’s return to work, following stress related sick leave, which should be managed carefully, particularly when the absence has been long-term. A return to work meeting should be arranged involving the employee (and companion if requested in exceptional circumstances). The purpose of the meeting should be to determine if any reasonable adjustments on a temporary or permanent basis can be made to ease a return to work. The form has questions under the headings under the six workplace stressors as indicated previously in the HSE management standards. This is a guide form only and therefore should be used to help in the discussions with the employee. Additional questions may need to be added that might be useful or more appropriate to an individual’s circumstances.

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The action plan (Appendix C) should be used to record the identified actions (who, what and when), which have been agreed to help control or resolve the situation. It is important that realistic timescales are set and that these are met. The action plan needs to be monitored regularly and any failings to achieve targets agreed need to be reported at senior manager level. If adjustments are required, then additional support can be obtained from Corporate Health and Safety, the Occupational Health Service and Human Resources. Managers should schedule regular follow-up meetings with the employee once they have returned to work to monitor and discuss their recovery and ways of minimising work related stress in the future.

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Appendix A

Stress Risk Rating Assessment

HARM

Level of harm experienced by the employee is moderate but not distressed over any significant period of time. Significant harm may occur and is probable if repeated. Some previous issues have either resurfaced and are unrelated to this incident or link to a previously resolved experience. Demands: employee feels the demands are becoming too much due to other related issues. Control:. Feeling of not being in control of factors related to pace and type of work causing employee to feel under pressure more often Support: feeling that support from peers and managers is not at a level expected and has decreased in recent times Relationships: conflict with others at work is causing employee to feel pressure and has no one to turn to. Change: recent changes have caused employee to feel less comfortable and worries for the future. Role: lack of understanding in role and job are causing employee to feel the purpose of the job has changed with no reasons to why this is occurring

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2

1

2

3

4

Expected to re-occur

High chance of reoccurrence

Even chance of reoccurrence

Low chance of reoccurrence

NB: This assessment is to determine the level of risk to the individual employee. The manager of the employee shall assess and record the level of stress experienced by the employee by identifying the level of harm experienced by the employee in the four categories against the likelihood of that harm affecting the employee and to what degree of risk is applicable on a scale of 1 – 5. The harm times the likelihood will indicate the risk. One off incident. Impact of minimal significance to employee. Limited evidence that significant harm has occurred but possible risk of harm if repeated. No recent history of sickness related occupational health or GP referrals. Demands: One off episode having an effect on the employee due to other issues work or non-work related. Control:. Employee has indicated that lack of control occurs occasionally and has an effect on them at times. Support: Employee feels the level of support at times is lacking but has no specific reasons to why this is occurring. 1 Relationships: Employee feels that relationships at work are strained on occasions Change: the effects of change are causing the employee to feel uncomfortable and causes them to worry on occasions Role: the employee feels their role is not as expected and has some concerns over this which needs to be clarified.

Unlikely to re-occur

Likelihood

5

Stress Risk Rating Assessment

HARM

Harm on employee is potentially great and lasts over a significant period. Significant harm has occurred, is continuing and/or will increase if repeated. Demands: Employee often feels the demands placed upon them are causing them to be stressed in and out of work. Control: The employee feels they have lost an element of control and this has become an increasing issue for a period of time. Support: The employee feels there is no support from peers or managers and has an increased feeling of distrust. Relationships: The feeling of harassment and bullying is greater than before and the employee feels they have nowhere to turn. Change: The rate and process of change have caused the employee to feel excluded Role: The role has changed significantly and the employee feels this has not been through the proper processes.

1

2

3

4

Employee

Key

1 – 3 Green – Low risk 9 - 20 Red – High risk

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4 - 8 Yellow – Medium risk

4

Expected to re-occur

High chance of reoccurrence

Even chance of reoccurrence

Low chance of reoccurrence

NB: This assessment is to determine the level of risk to the individual employee. The manager of the employee shall assess and record the level of stress experienced by the employee by identifying the level of harm experienced by the employee in the four categories against the likelihood of that harm affecting the employee and to what degree of risk is applicable on a scale of 1 – 5. The harm times the likelihood will indicate the risk. Harm of alleged incident is significant but not long lasting. Significant harm has occurred and may be of increasing severity if repeated. Risk highlighted in previous stress reviews Demands: Employee cannot cope with demands on a regular basis Control:. The level or lack of control by the employee has a detrimental effect on the way they perform at times Support: Employee feels they do not have enough support at times, especially when it is needed, although peers and 3 managers are offering to support the employee they do not see this is appropriate. Relationships: the situation is causing a strain on relationships at times and the employee feels disengaged from the rest of the team. There are often times when the employee feels alone and vulnerable. Change: The changes and process are causing the employee to feel vulnerable and excluded from the team. Role: The employee feels that part of the role has changed significantly and at times feels the job has changed without a formal agreement.

Unlikely to re-occur

Likelihood

5

Appendix B Wrexham County Borough Council Stress Risk Assessment Form Department/Section:

Individual:

Individuals symptoms and sickness patterns (if appropriate) Potential stressors identified DEMANDS What causes the individual to feel under unnecessary pressure?

Individuals concerns

Are priorities clarified? Reflect on JD, if too generic ask individual to map out key aspects of the role Are deadlines realistic and agreed?

Does the individual have appropriate skills and knowledge to undertake the tasks? Does the individual have sufficient resources? Does the individual feel that the work is boring or repetitive? CONTROL Is there clarity of who does what in the team? Is there enough guidance and support from the manager to the individual? Is there adequate opportunity to develop skills? Does the individual have suitable control over their working patterns or the way that they carry out a task? SUPPORT Is the level of communication from manager to the individual appropriate, one-to-one meetings etc? Does the individual feel further team support would be helpful? Are there any external pressures that further support can be offered? Is there further training and development that the individual requires?

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Existing control measures

Potential stressors identified RELATIONSHIPS Are there any issues or tensions within the team including any bullying or harassment?

Individuals concerns

Existing control measures

Is there a feeling of a supportive team atmosphere and dynamics between the team are good? Are there any issues with manager’s attitudes? Are you aware of the Council’s support mechanisms and policies i.e. Dignity at Work, HR Officers, Occupational Health Service? ROLE Does the individual believe that they have been properly inducted into the role? Does the individual understand the key aspects of their role? Is there a clear reporting structure? Are the standards expected clearly outlined? Are there demands placed upon the individual that are not in line with the role? CHANGE The individual has been given opportunity to comment on change? Does the individual feel that they have been fully supported through change? Has the individual been supported through change by the team? Does the individual feel that further information or support is required? Other stressors Does the individual have other issues that might be affecting their work?

Overall level of risk HIGH

MEDIUM

RISK LEVEL outcome action

High probability of long term sickness due to work-related stress Immediate Action required (complete action plan)

LOW

Medium probability of long term sickness due to workrelated stress Action required (complete action plan)

Comments Assessor’s signature

Date

Individual’s signature

Date

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Low probability of workrelated stress Exposure to hazard very rare (monitor and review)

Appendix C ACTION PLAN Individual: Manager responsible for actions:

Action required

By Whom

By When

Comments manager

Comments individual

Signed Manager -

Date:

Signed Individual-

Date:

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Completed

Appendix D A Simple Guide for Managers This guidance sets out a step-by-step process to help services take action to identify and reduce the potential causes of stress. The purpose of this guide is to provide key information on stress in the workplace and to provide guidance on appropriate action. The Wrexham County Borough Council stress risk assessment proforma takes the assessor through a structured assessment process. All sections of the form must be completed. The objective of the proforma is to establish: • • •

What risk exists if a hazard remains uncontrolled? What control measures are currently in place? What additional controls may be required to ensure the risk level is removed or reduced to an acceptable level?

(i) Identify the hazards A ‘Hazard’ is anything or any situation with the potential to cause harm to people if uncontrolled. HAZARDS – that may be present in the workplace or associated tasks; • • • • • •

Demands - Includes issues like workload, work environment, etc. Control - How much say the person has in the way they do their work. Support - Includes the encouragement, sponsorship and resources provided by the organisation, management and colleagues. Relationships - Includes promoting positive working environment to avoid conflict and dealing with unacceptable behaviour. Role - Whether people understand their role within the organisation and whether the organisation ensures that they do not have conflicting roles. Change - How organisational change (large or small) is managed and communicated in the organisation.

Guide to HSE Management Standards The Management Standards, developed by the HSE, represent a set of conditions that, if present, reflect a high level of health well-being and organisational performance. The standards can be applied to the council as a whole or on an individual basis. The standards if applied correctly can: • •

Demonstrate good practice through a step by step risk assessment approach; Allow assessment of the current situation using face to face discussion, surveys and other techniques;

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•

Promote active discussion and working in partnership with employees to help decide on practical improvements that can be made;

They can also help simplify risk assessment for work related stress by: • • •

Identifying the main risk factors for work related stress; Helping employers focus on the underlying causes and their prevention; and Providing a yardstick by which organisations can gauge their performance in tackling the key causes of stress.

The following is a description of the standards and how managers can apply them; DEMANDS - Includes issues such as workload, work patterns, and the work environment. The Standard is that: • Employees indicate that they are able to cope with the demands of their jobs; • Systems are in place locally to respond to any individual concerns. What should be happening/States to be achieved: • The council provides employees with adequate and achievable demands in relation to the agreed hours of work; • People's skills and abilities are matched to the job demands; • Jobs are designed to be within the capabilities of employees; • Employees' concerns about their work environment are addressed. What managers need to do: • Use appraisal and personal development, team and 1:1 meeting to agree priorities and plan work • Work with employees to identify how workloads can be reduced Identify employee training and development needs • If you are having difficulty prioritising workloads, raise concerns about resources to meet excessive work demands with higher management • Consider additional resources to cope with periods when work demands are high • When advertising posts give careful attention to the job/person specification and competence requirements.

CONTROL - How much say the person has in the way they do their work. The standard is that: • Employees indicate that they are able to have a say about the way they do their work • Systems are in place locally to respond to any individual concerns

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What should be happening / states to be achieved: • Where possible, employees have control over their pace of work; • Employees are encouraged to use their skills and initiative to do their work; • Where possible, employees are encouraged to develop new skills to help them undertake new and challenging pieces of work; • The organisation encourages employees to develop their skills; • Employees have a say over when breaks can be taken • Employees are consulted over their work patterns What managers need to do: • Hold regular 1:1 and/or team meetings, giving employees the opportunity to give their views on how work is organised. • Encourage employees to develop their skills. • Where work demands allow, be flexible about work patterns and breaks SUPPORT - Includes the encouragement, sponsorship and resources provided by the organisation, line management and colleagues. The Standard is that: • Employees indicate that they receive adequate information and support from their colleagues and superiors; and • Systems are in place locally to respond to any individual concerns What should be happening / states to be achieved: • The organisation has policies and procedures to adequately support employees; • Systems are in place to enable and encourage managers to support their staff • Systems are in place to enable and encourage employees to support their colleagues; • Employees know what support is available and how and when to access it; • Employees know how to access the required resources to do their job • Employees receive regular and constructive feedback. What managers need to do: • Have regular 1:1 and/or team meetings with employees. Provide them with • opportunities to feedback their views • Use informal and formal mentoring to develop supportive relationships (e.g. team members to act as mentors for new staff) • Make sure employees know how to find information on the support that is available to them • Ensure new employees get properly welcomed and induced into the team, department and Council. • Provide constructive feedback to staff on their performance. • When concerns are raise with you, act on them and give feedback on the action taken. If it is not possible to address the issue raised, explain why. • Use the training and development opportunities available at the Council to improve your people management skills.

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•

Identify and implement actions regarding training needs in PRD’s.

RELATIONSHIPS - Includes promoting positive working to avoid conflict and dealing with unacceptable behaviour. Be mindful that relationship difficulties may be between peers or between a staff member and their line manager The standard is that: • Employees indicate that they are not subjected to unacceptable behaviours, e.g. bullying at work; and • Systems are in place locally to respond to any individual concerns. What should be happening / states to be achieved: • The council promotes positive behaviours at work to avoid conflict and ensure fairness; • Employees share information relevant to their work; • The council has agreed policies and procedures to prevent or resolve unacceptable behaviour; Systems are in place to enable and encourage managers to deal with unacceptable behaviour; and • Systems are in place to enable and encourage employees to report unacceptable behaviour. What managers need to do: • Lead by example and create a climate in which everyone is treated fairly and consistently • Don’t tolerate unacceptable behaviour. Take action to address it. • Undertake staff development opportunities that will help you to reflect on and Improve your management style • Identify those employees who need training and development in interpersonal skills through the appraisal process. • Make sure employees know about the Policies and support available in the Council to address unacceptable behaviour, such as Dignity at Work, Grievance, Whistleblowing Policies and Procedures •

CHANGE - How organisational change (large or small) is managed and communicated in the organisation. The standard is that: • Employees indicate that the council engages them frequently when undergoing an organisational change; and • Systems are in place locally to respond to any individual concerns.

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What should be happening / states to be achieved: • The council provides employees with timely information to enable them to understand the reasons for proposed changes; • The council ensures adequate employee consultation on changes and provides opportunities for employees to influence proposals; • Employees are aware of the probable impact of any changes to their jobs. If necessary, employees are given training to support any changes in their jobs; • Employees are aware of timetables for changes and kept up to date on progress; • Employees have access to relevant support during changes. What managers need to do: • Keep employees informed about proposed changes and give them the opportunity to feedback their views. • Where employees are worried about changes, make them aware of the support systems in place in the council. • If you are concerned about the impact the change is having on your team, speak to your Departmental HR Officer. ROLE - Whether people understand their role within the organisation and whether the organisation ensures that the person does not have conflicting roles. The standard is that: • Employees indicate that they understand their role and responsibilities; and • Systems are in place locally to respond to any individual concerns. What should be happening / states to be achieved: • The council ensures that, as far as possible, the different requirements it places upon employees are compatible; • The council provides information to enable employees to understand their role and responsibilities; • The council ensures that, as far as possible, the requirements it places upon employees are clear; and • Systems are in place to enable employees to raise concerns about any uncertainties or conflicts they have in their role and responsibilities. What managers need to do: • Ensure that your teams job description and person specifications reflect the work they do and are kept up to date. Any changes need to be submitted to Job Evaluation.

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• •

Regularly communicate with employees, to ensure they understand their role and how their work fits in with the Department’s and Council’s goals. Address individual concerns about their role and role conflict.

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Appendix E Stress Risk Assessment in practice 1. IDENTIFY THE HAZARDS The Management Standards, as detailed previously, help you to measure performance in managing work-related stress. Each standard provides simple statements about good management practice in each of the six areas. Use the Management Standards to assist with the process, think about the specific work concerns of the employee. 2. WHO MIGHT BE HARMED AND HOW Deciding who might be harmed and how. Everyone is vulnerable, depending on the pressure we're under at any given time. The factors identified above will help to determine who is at risk. The following may indicate that there is a problem: The Organisation • Participation: absenteeism, high staff turnover, poor time-keeping, disciplinary problems, aggressive communication, isolation, bullying. • Performance: Reduced output or quality of product or service, accidents, poor decision-making, errors. • Costs: Increased costs from compensation or increased health care costs, referrals to occupational health services. The Individual • Behaviour: Tobacco, alcohol or drug abuse, violence, bullying or harassment. • Psychological: Sleep problems, anxiety disorders, depression, inability to concentrate, irritability, family relationship problems, burnout. • Health: Back problems, heart problems, peptic ulcers, hypertension, depressed immune system. • The employee may speak to you requesting you address work concerns; • Occupational Health & Safety may have recommended that you complete a risk assessment with the employee; • You may identify work issues during a return to work interview following a period of sickness absence; • You may notice a change in the employee’s behaviour, for example, mood, performance; REMEMBER: • Work-related stress can affect any member of your team, even though some may appear to cope better with work pressures than others; • At particular times, your staff may be more vulnerable to work-related stress. For example, those returning to work after a stress-related illness, or those who have experienced a personal or family problem, such as bereavement;

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•

Tackling work-related stress at source requires a partnership approach based on openness, honesty and trust.

3. EVALUATE THE RISKS AND TAKE ACTION. Consider the potential consequences if the employee continues to experience problems, both short and long term. Also consider the impact that work-related stress could have on your unit or team. For example, one colleague absent for an extended period with a stress-related illness can have a dramatic impact on the workload and morale of the rest of the team. By taking action to tackle the causes of stress in your workplace, you can prevent or reduce the impact of these problems. 4. ACTIONS. Having identified the risks and assessed the level of harm, it will be necessary to agree a risk reduction strategy. This should involve the individual and any other parties involved to ensure there are clear lines of communication of what is expected and who will deliver on the actions agreed. 5. MONITOR AND REVIEW. Review the action plan and assessment on a regular basis, to ensure the control measures/risk strategy is still effective. It is essential to involve the employee in this process and that any problems in the delivery or the maintenance of the agreed actions are addressed immediately.

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Appendix F Occupational Health Service Referrals The involvement of the Occupational Health Service at an early stage can help facilitate the co-ordination of communication between the Council and employees as well as providing advice as regards future management. The main purpose of management referrals to the Occupational Health Service is to support effective and proactive management of employees with health issues impacting on attendance and/or performance at work, with the ultimate aim of helping to keep employees healthy and at work. An Occupational Health Service referral will provide independent and objective advice to managers to assist them in dealing fairly with health issues, whilst balancing the needs of the employee and employer with work requirements. Human Resources lead the referral process for employees. If managers have any concerns regarding their employees they should contact the appropriate Human Resources Officer who will lead them through the referral process. A Health and Safety Advisor/Officer will also be able to provide advice to managers on whether it is appropriate to refer an individual. It will always be helpful to provide occupational health with a copy of the stress risk assessment and action plan on referral.

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Appendix G Further information on resources and support available for employees and managers to access.

•


•

Occupational Health Leaflet

•

Occupational Health and Well-Being & Health and Safety pages on SAM

•

Managing attendance policy/guidance/tools

•

Dignity at work policy

•

Alcohol and Substance misuse policy

•

Domestic abuse policy

•

Access to work pages on HR SAM pages

The Health and Safety Executive has a comprehensive guide to Stress. This information can be accessed online at http://www.hse.gov.uk/stress/index.htm

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Agenda Item 12

1.

REPORT TO:

Executive Board

REPORT NO:

HHPPE/86/14

DATE:

21 October 2014

LEAD MEMBER:

Councillor David A Bithell (Environment and Public Protection)

CONTACT OFFICER:

Toni Slater (Tel 01978 315710)

SUBJECT:

Coedpoeth and Brymbo Land Remediation Scheme

WARD:

Coedpoeth and Brymbo

PURPOSE OF THE REPORT To inform Members of the contaminated land remediation work required at 18 residential properties (17 in Coedpoeth and 1 at Brymbo). To seek approval to commence remediation works this financial year, to be continued over up to 4 more consecutive years, should external financial support not be forthcoming. If external financial support is secured this would enable works to be carried out over 2 financial years.

2.

EXECUTIVE SUMMARY

2.1

The Council has a statutory duty to identify contaminated land within the Borough. Residential land, public open space, footpaths and woodland, both on and in close proximity to former lead smelters at Coedpoeth and Brymbo has been assessed because of the potential risk from elevated contaminants in the soil. The detailed assessment found that 18 residential properties had elevated lead levels which could potentially present unacceptable risks to the health of the occupiers.

2.2

The 18 properties have been determined as contaminated land under the relevant legislation. Owners have received a Contaminated Land Notice and have agreed with the Council to voluntary remediation. One property is owned by the Council and, therefore, a Notice is not required. The Council will arrange the remediation work and recover a contribution towards the costs from each property owner for their property if necessary.

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2.3

The Council’s Contaminated Land Cost Recovery and Hardship Policy will govern the amount of the residents’ contribution to ensure the cost recovery does not cause hardship. As the Council has a statutory duty to both identify and remediate contaminated land, doing nothing is not an option, so remediation work needs to take place.

2.4

Following the provision of financial support for a similar scheme to Stirling Council by the HM Treasury and the Scottish Parliament, Officers have been in negotiations with the Welsh Government requesting similar financial support. WG have been liaising with HM Treasury on the Councils behalf. To date negotiations are ongoing and we are awaiting a decision on this funding request. Welsh Government Officers continue to provide technical advice and support.

2.5

A decision to commence works in this financial year in the absence of a positive response from WG and HM Treasury is now required so that remediation works can commence and residents can be informed of the timetable for the remediation to take place.

2.6

The total cost of the remediation work exceeds the Council’s available funding for this financial year and, therefore, should no external financial support be forthcoming, the works will need to be phased, potentially over a period of 5 years so that future allocated funding for contaminated land matters can be utilised. Whether the works take place over 2, 3, 4 or 5 years is currently unclear and will be dependent on the final quote for the remedial works and the final savings that could be made on the final designs.

2.7

If the total amount of external funding requested is provided, residents may not have to pay any contribution. If the request for financial support is unsuccessful, residents may have to make a contribution in accordance with the Cost Recovery and Hardship Policy.

3.

RECOMMENDATIONS

3.1

To approve the commencement of remediation works in Spring 2015.

3.2

To invoke Standing Order 43(1)(d) to allow the procurement process to commence immediately following the Executive Board meeting to enable urgent works to start in the Spring. REASON FOR RECOMMENDATIONS

(i)

To fulfil the Council’s statutory duty for the remediation of contaminated land for the 18 properties and not incur any further delay in commencing the works.

(ii)

To enable the procurement process to be commenced to ensure work can be undertaken in the current financial year.

4.


4.1

The Council has a statutory duty to inspect land within the Borough in order to identify any contaminated land and to take action to manage any risks associated with

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contamination. This duty is contained in Part 2A of the Environmental Protection Act 1990. The Wrexham County Borough Council Contaminated Land Strategy (2nd Edition, May 2013) details the procedures for assessing and managing risks associated with contaminated land. This Strategy was reviewed and subsequently approved by Executive Board in 2013 (HHPP/54/13). A Members’ Information Report (PAW/02/13) in April 2013 gave a ten year review (2001-2011) of contaminated land work following the implementation of the Contaminated Land (Wales) Regulations 2001 and the Council’s first Contaminated Land Strategy in 2002. 4.2

As there are a substantial number of sites where contamination due to historic use might pose unacceptable risks, these are prioritised for investigation and assessment.

4.3

A preliminary risk assessment in 2012 assessed the whole area of lead mining in the Borough to identify and prioritise areas of concern, since activities were widespread and varied. This assessment recommended that the locations of the former lead smelters are assessed first as priority areas due to the presence of residential properties.

4.4

In 2013, a Consultant was engaged to assess the residential garden areas as well as public open spaces or areas where public have access, on and in the vicinity of historic lead smelter sites at Coedpoeth and Brymbo. The Consultant’s report concludes that public open space/accessible areas do not present cause for concern but there were 18 residential properties where the garden soils had elevated levels of lead which present unacceptable risks to occupiers and, therefore, require remediation. The Statutory Guidance defines 4 possible categories of risk, the 18 properties determined as contaminated land are categorised as category 2 properties, meaning there is a significant possibility of significant harm to human health. Other properties that were assessed do not require remediation.

4.5

Earlier this year, statutory Contaminated Land Determination Notices were served on the owners of 17 of these properties (one is Council owned but will also be remediated). The owners have all agreed to a voluntary scheme of remediation whereby this Authority will engage a contractor to undertake the remediation work on their behalf. This avoids the need for statutory remediation notices to be served should owners not undertake the remedial works themselves, which could lead to possible enforcement consequences such as prosecution. Although the legislation allows the Council to allocate responsibility for remediation to the polluter (called a ‘Class A’ person), this is not possible in this case as the lead mining companies that operated the smelters in the 1800s have long since been dissolved. The responsibility, therefore, rests with the current landowners (known as ‘Class B’ persons).

4.6

It was recognised early on in the investigation of these lead mining areas, that the Council’s ability to recover costs incurred in remediation through a voluntary agreement could be substantial for the individual owners. Furthermore, the Statutory Guidance requires the Council to consider whether the owner could have reasonably been expected to know of the contamination and consider waiving or reducing the cost they should bear than is reasonable to impose having regard to the persons income, capital and outgoings. To avoid any hardship as a result of cost recovery and to define procedures for recovery, a Cost Recovery and Hardship Policy was approved by Executive Board (HHPP/91/13). This Policy means that a hardship test will be applied in respect of the recoverable amount from each owner before the amount of money recovered is sought. The recoverable amount is capped depending on the value of the property.

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4.7

As these 18 properties are the first in the Borough to be determined as contaminated land, external expert legal advice was obtained to ensure the procedures followed complied with the Part2A of the Environmental Protection Act 1990 and associated statutory guidance.

4.8

A procurement process to appoint a main contractor for remediating the 18 properties was commenced in February 2014 but did not progress to engaging a contractor due to the commencement of pro-active negotiations with the Welsh Government (and HM Treasury) following the provision of similar support to Stirling Council in Scotland by the Treasury and Scottish Parliament. The local Assembly Member and MP are also supporting the Council in the funding request. If the full amount of funding being requested is provided, it will mean that none of the owners will need to contribute to the remediation costs. A decision is awaited at this time.

4.9

The residents have been patient and understanding during the process. A number of the landowners have their properties for sale and are, therefore, rightly concerned about any adverse effect the determination as contaminated land will have on the future sale. It is, therefore, imperative that the details of the remediation programme and timescales is determined so that residents are aware of which financial year works will be undertaken at their property. In the meantime, all the residents have been given precautionary health advice to minimise any risks arising, but for the longer term the gardens need to be remediated.

4.10 If external funding s not forthcoming and the remediation works were, therefore, carried out over 2-5 year period, then the decision of what order to remediate properties in would be based on level of contamination present (highest first and so on) and practicalities in undertaking the works (eg if 5 properties in a row had the highest concentrations of lead out of the 18, but the middle one did not then the middle one would still be included in that phase of works). 4.11 Policy Framework – The proposals are integral to the Council’s Contaminated Land Strategy and regulatory responsibilities in relation to safeguarding public health and links to the Council Plan Strategic Theme Place - PL2 an environmentally responsible place and PL3 communities with sustainable, attractive settlements, neighbourhoods, buildings and spaces. 4.12 Budget – The total remediation scheme expenditure is estimated to be in line with the available budget allocated for contaminated land work from 2014-2019. The estimated cost of the works is based on the costs received during the first tender exercise earlier this year, although it is hoped the cost will be reduced as a result of further modifications to the remediation designs for some properties and due to amendments to the specification for works to be included in the tendering exercise. 4.13 Should funding from the Welsh Government and/or HM Treasury be forthcoming, then the remedial works can be undertaken over a shorter time period and without utilising some of the contaminated land budgets for future years. 4.14

Legal – The Council has a statutory duty to inspect its area for contaminated land and to take action to ensure there are no unacceptable risks from contaminated land – in accordance with the Council’s 2013 Contaminated Land Strategy. In line with expert external legal opinion steps have been taken to formally designate the 18 properties referred to as contaminated land within the meaning of Part IIA of the Environmental

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Protection Act 1990 and the Council now has a duty to secure remediation of that land and in so doing must have regard to the Statutory Guidance issued by Welsh Government, relevant details of which are set out elsewhere in this report. 4.15

Staffing - No additional staffing requirements

4.16

Equality/Human Rights – There are no equality or human rights issues as the contaminated land investigation and assessment procedure primarily relates to the nature of ground contamination rather than the occupants.

4.17 Risks – Other areas of contaminated land work may need to be curtailed to use the allocated contaminated land budgets for this remediation work.

5.

CONSULTATION

5.1

A communication strategy is in place so residents have been kept informed throughout the process (including two residents meetings). Local Members and Lead Members have also been informed. Welsh Government and HM Treasury have been requested for additional funding and a decision is awaited.

6.


6.1

None

BACKGROUND PAPERS

LOCATION

Information for Members Report PAW/02/13

Intranet

Review of Contaminated Land Strategy approved by Executive Board June 2013 HHPP/54/13

Intranet

Contaminated Land Cost Recovery and Hardship Policy approved by Executive Board November 2013 HHPP/91/13

Intranet

Welsh Government Contaminated land pages

WEBSITE INFO

http://wales.gov.uk/topics/en vironmentcountryside/epq/c ontaminatedland/?lang=en

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Agenda Item 13

1.

REPORT TO:

Executive Board

REPORT NO:

HF/50/14

DATE:

21 October 2014

LEAD MEMBER:

Councillor Mark Pritchard (Governance, Corporate Support, Finance and Planning)

CONTACT OFFICER:

Mark S Owen (Tel: 292704)

SUBJECT:

Reshaping Services

WARD:

N/A

PURPOSE OF THE REPORT To approve the criteria for the use of the Reshaping Services reserve.

2.

EXECUTIVE SUMMARY

2.1

At its meeting on 5 June 2014, the Customers, Performance, Resources and Governance Scrutiny Committee considered a report outlining the 2013/14 Revenue Outturn and Carry Forward Proposals. Contained within this report was a proposal to transfer £1,913k to a reserve to fund Reshaping Services. The Executive Board approved the creation of this reserve on 10 June 2014.

2.2

The Scrutiny Committee further considered the proposed criteria at its meeting on 24 September 2014. The arrangements for operation of the reserve and the criteria for its use are outlined in paragraph 4.7, which incorporate the recommendations made by Scrutiny.

3.

RECOMMENDATION

3.1

That Members approve the criteria outlined in paragraph 4.7.


Scrutiny Members were keen to input to the process being considered for the use of this reserve prior to finalisation by the Board.

(ii)

To ensure compliance with the Local Authority Reserves and Balances Bulletin LAAP99.

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4.


4.1

At its meeting on 5 June 2014, the Customers, Performance, Resources and Governance Scrutiny Committee considered a report outlining the 2013/14 Revenue Outturn and Carry Forward Proposals. Contained within this report was a proposal to transfer £1,913k to a reserve to fund Reshaping Services. The Executive Board approved the creation of this reserve on 10 June 2014. This Committee identified the need to scrutinise the proposed use of this reserve in terms of the relevant guidelines, criteria and operational responsibility.

4.2

In terms of the Council Plan 2014 to 2017, then this contributes to the outcome of creating the conditions for success.

4.3

Members are reminded of the significant financial challenges facing the Council and the estimated budget shortfall of around £45m over the next three years. It is recognised that to deliver this level of savings will require a degree of both pump priming and external assistance. The Council have engaged Reshaping Service Partners who are concentrating on the areas where savings can be made for in the future. Reserve Guidelines

4.4

The Local Authority Accounting Panel issues LAAP Bulletins to assist with the application of the requirements of the Code of Practice on Local Authority Accounting. LAAP Bulletin 99 issued in July 2014 outlines the latest requirements associated with Local Authority Reserves and Balances. The Local Government Finance Act 1992, requires Authorities to have regard to the level of reserves needed for meeting estimated future expenditure when calculating the budget requirements.

4.5

The creation of a Reshaping Services Reserve can be categorised as an earmarked reserve with £1,913k set aside to support this major programme. The statutory reporting regime require clear, transparent reporting arrangements for reserves and LAAP recommends there should be a clear protocol setting out: • • • •

4.6

The reason for/purpose of the reserve How and when the reserve can be used Procedures for the reserves management and control A process and timescale for review of reserve to ensure continuing relevance and adequacy.

Clearly this resource is “one off” money, it is not an annual budget amount. CIPFA has commented that Councils should be particularly wary about using one off reserves to deal with shortfalls in current funding Criteria for use of the Reshaping Reserve

4.7

This reserve can only be used once and as such it is not planned to utilise it for recurrent expenditure. The following list highlights some of the areas that may be appropriate to be funded. It is not an exhaustive list and needs to be flexible: •

Proposals for use of the reserve must link in to the Council’s Reshaping Programme and be in accordance with the Council Plan.

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•

• • • •

Proposals must be outlined in writing to the Head of Finance using a format similar to Invest to Save documentation. Priority will be given to projects that enable the Council to make savings in accordance with its Medium Term Financial Plan. Priority will be given to existing projects. Projects must be deliverable within a five year time period. Competing requests will be scored in a similar way to Capital Projects. In any other circumstances which are clearly demonstrated to achieve the principles of reshaping our services.

Examples of use • • •

• • • •

The Council has engaged a Reshaping Services Partner who are currently performing a “diagnostic” for a fixed fee. This will be funded from this reserve. In the autumn the Reshaping Services Partner will provide a report with a number of workstreams which might well require some resource to support them. The Council has a number of asset related projects underway and it is anticipated that there will be costs associated with these projects in assisting in making properties/land suitable for disposal or preparing it for sale. In such cases, these resources will contribute towards the Capital Programme. Such assistance must be to aid reshaping by the Council and would apply to costs being incurred by the Council. It will include legal costs incurred by the Council. To supplement existing energy reduction resources where projects have a reasonably quick pay back. The Leisure Review will include a number of short term costs to enable the transfer to a trust. In order to facilitate the Reshaping Programme considerable investment in IT and IT related systems and services is required. There may be some potential for community related schemes which fall within or are closely linked with the Together in Wrexham initiative. This initiative has a vision for Wrexham where the Council is a strong community leader. In line with this ambition the Council wants to support communities to come together to take more responsibility for themselves and actively participate in delivering services. It is unlikely such resources will be allocated before 2015/16. There is a strong link between Together in Wrexham and the Welsh Government agenda on Future Generations. The proposed Future Generations Bill is intended to help tackle the intergenerational challenges Wales faces in a more joined up and integrated way. It is anticipated that the majority of resource for this will come from Welsh Government or external grants but it may be that a call will be made on this reserve. Any funding for the Together in Wrexham initiative would need to conform with the Local Authority Accounting Panel Bulletin detailed in paragraph 4.4. Clearly, there will be further reports to the Executive Board in respect to Together in Wrexham which will further determine the governance arrangements associated with this project

Period for use 4.8

It is anticipated that the earliest spend from this reserve will be in the late autumn with the primary use taking place in the 2015/16 financial year. Further allocations to the reserve as it diminishes will depend on the overall financial climate and level of settlements together with the annual outturn position. Where income is generated or recovered which does not form part of the Council’s savings, then this also could be used to reduce the usage of the reserve.

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Operational Management and Control 4.9

The Executive Board approved the creation of this reserve and the operational management and control lies with the Director – Economy. The main Member involvement will be from the Leader, Deputy Leader and appropriate Lead Member. A formal written request must be submitted to the Head of Finance before funds from the reserve are released. Funds will only be released if they meet the objectives of reshaping and are in line with the criteria/examples shown in paragraph 4.7.

4.10

Policy Framework – In terms of the Council Plan 2014-2017, then this contributes to the outcome of creating the conditions for success.

4.11

Budget – A reserve was created in June 2014 of £1,913k following approval of the 2013/14 outturn.

4.12

Legal – The requirements around the reserve are outlined in the Local Government Finance Act 1992 Supplemented by the LAAP Bulletin 99.

4.13

Staffing – there are no staffing implications associated with this report.

4.14

Equality/Human Rights – Equality Impact Assessments will be undertaken as part of the specific projects within the Reshaping Services Programme.

4.15

Risks – There are risks if this resource is not spent in a way that reshapes the services currently delivered by the Council. There will also be considerable risk if the Council does not have a resource to aid the delivery of the required budget reductions.

5.

CONSULTATION

5.1

This report deals with the setting up and use of a specific earmarked reserve. Any consultation will relate to the individual Reshaping Services projects.

6.


6.1

Not applicable. This report is asking for Members observations on the guidance associated with the use of this reserve

7.


7.1

The Customers, Performance, Resource and Governance Scrutiny Committee considered the proposed criteria and operating arrangements at their meeting on 24 September 2014. Members made a number of suggested improvements to the criteria section and the operational management and control arrangements. These have been incorporated into the report. The Committee have also requested a report back on the use of this reserve in twelve months time.

BACKGROUND PAPERS

LOCATION

Page 184

WEBSITE INFO.

Agenda Item 14

1.

REPORT TO:

Executive Board

REPORT NO:

HF/52/14

DATE:

21 October 2014

LEAD MEMBER:

Councillor Mark Pritchard (Governance, Corporate Support, Finance & Planning)

CONTACT OFFICER:

Mark Owen (Tel: 292701)

SUBJECT:

Non Housing Revenue Account (HRA) Capital Programme 2014/15 – 2018/19

WARD:

N/A

PURPOSE OF THE REPORT To review the 2014/15 - 2018/19 non Housing Revenue Account Capital Programme and semi annual Treasury Management Activity including Prudential Indicators.

2.

EXECUTIVE SUMMARY

2.1

The total capital expenditure in 2014/15 is estimated to be £27,239k. This is £1,034k more than the total approved by the Executive Board at its meeting on 8 July 2014 (HF/37/14). The main reasons for the net increase are: • •

A net increase in estimated spend of £1,903k funded from Invest to Save and grants. Slippage of spend on projects from 2014/15 to 2015/16 of £869k.

2.2

The Capital Programme is fully funded by borrowing supported by the Welsh Government, grants and contributions, capital receipts and prudential borrowing.

2.3

The Joint Member/Officer Corporate Land and Buildings Strategy Group has recommended projects to be allocated Welsh Government General Capital Funding in 2018/19.

Page 185

3.

RECOMMENDATIONS

3.1

The allocation of Welsh Government General Capital Funding in 2018/19 recommended by the Corporate Land and Buildings Strategy Group shown in paragraph 4.19 is approved.

3.2

The allocation of the Heritage and Community Well Being annual capital provision shown in paragraph 4.21 is approved.

3.3

The rolling programme for 2014/15 to 2018/19 as detailed in appendices 2 and 3 is approved.

3.4

The capital programme is next reviewed and reported to the Executive Board in February 2015.

3.5

The Semi Annual Treasury Management Activity and Prudential Indicators in Appendix 4 are noted and the revision to the prudential indicator for Interest Rate Exposures is approved.


This report follows an earlier monitoring report in July in compliance with Financial Regulation 2.4 that requires that the Head of Finance monitors and reports to Members on the Capital Programme.

(ii)

Local Authorities are required under the Local Government Act 2003 to comply with the CIPFA Prudential Code for Capital Finance. The indicators presented in Appendix 4 fulfil the requirements of the Code.

4.

BACKGROUND INFORMATION Capital Programme 2014/2015

4.1

The Executive Board approved the last revision of the capital programme 2013/14 to 2017/18 on 8 July 2014 (HF/37/14). Appendix 1 provides a summary of expenditure by service, the financing of that expenditure and the variance between the revised programme and the previously approved position.

4.2

The revised estimate of expenditure on all capital schemes is £27,239k, a net increase of £1,034k compared with the projected expenditure reported to the Executive Board in July. The significant changes are as follows:Slippage of Expenditure to 2015/16

4.3

Changes to the phasing of expenditure have resulted in £869k of spending originally planned in 2014/15 to be rescheduled to 2015/16. Projects where significant slippage has occurred are set out below: •

Western Gateway (-£151k). Following a review of the original highways proposals an alternative proposal has been agreed (Executive Board HAED/38/14 5 August 2014) with construction work due to commence early 2015.

Page 186

•

Contaminated Land Investigation and Remediation (- £284k). Continuing remediation work associated with former lead smelters at the Coedpoeth and Brymbo Land Remediation Scheme will take place in 2015/16.

•

Llay Landfill Site (- £418k). Awaiting a response from Welsh Water regarding the provision of an on-site leachate treatment facility. The delay in providing this facility means that funding for any future work including the possibility of an active gas management system being required will need to be carried forward into 2015/16.

Other Changes 4.4

Other variations between the revised capital programme reported in July and the current estimate account for a net increase in planned spending of £1,903k. The main reasons are as follows. •

Redwither Tower Biomass Heating System (+£575k). On 7 October the Executive Board (PAW/09/14) authorised the Strategic and Performance Director in consultation with the Head of Finance and Head of Corporate and Customer Services to enter into a contract to enable the installation of a Biomass boiler at Redwither Tower. The cost will be funded from £300k Invest to Save budget and £275k from the net proceeds of the sale of land at Western Gateway as noted by Executive Board on 5 August 2014 (HAED/38/14).

•

Substance Misuse Action Fund Grants (+£166k). Award of funding for three schemes from Welsh Government to North Wales Area Planning Board.

•

Redwither Tower Office Accommodation Conversion (+£562k). Conversion of second floor units at Redwither Tower into office accommodation funded from capital receipts that have been earmarked for reinvestment in the Commercial Estate.

•

The Maelor Penley High School (+£50k). Grant funding from Cory Environmental towards the replacement of swimming pool plant at the school.

•

Rhosnesni High School (+£110k). Schools Challenge Cymru funding approved by Welsh Government.

•

Play Area Improvements (+£92k). Bids have been accepted from Cory Environmental and WREN (Waste Recycling Environmental Ltd) for two projects in the County Borough.

•

Ty Mawr Country Park Access Improvements (+£75k). Grant funding of £50k from Cory Environmental together with £25k revenue contribution.

•

Improvements to Ruthin Road Gypsy and Travellers Site (+ £85k). Notification of a Welsh Government grant for environmental improvement work.

Funding 4.5

In funding the capital expenditure, the £5,558k Welsh Government General Capital Funding (GCF) is planned to be used in full.

Page 187

4.6

Specific grants and contributions are estimated at £8,667k. £5,782k is to be funded from Capital Receipts, £2,920k by Unsupported (Prudential) Borrowing, £3,708k from the Welsh Government Local Government Borrowing Initiative (LGBI) and £604k from interest free loans from the Welsh Government and Salix. Capital Programme 2015/16 – 2018/19

4.7

The revised programme includes: • revised forecasts of expenditure on committed schemes • projects which have received specific funding or been agreed by the Executive Board • Annual capital provisions.

4.8

The resources available to fund the programme comprise Welsh Government unhypothecated and hypothecated supported borrowing, grants, contributions, capital receipts and prudential system unsupported borrowing.

4.9

By their very nature, capital programmes are dynamic and during the course of the year further funds may be made available for specific schemes. A close watch will also be needed to ensure that sufficient capital receipts are realised. It is therefore recommended that the capital programme is reconsidered and reviewed again in February 2015.

4.10 Specific issues on funding and spend on schemes in the programme are discussed below: Funding Capital Receipts 4.11 As shown in Appendix 1, the proposed capital programme will require capital receipts funding of an estimated £13.8 million from 2014/15 onwards. The corporate usable capital receipts available at 1 April 2014 were £13.4 million, which, together with a programme of asset sales for 2014/15 and 2015/16 estimated to realise £3.9m, gives an anticipated surplus of £3.5m. As determined by Executive Board, £0.6m of this surplus is earmarked for the Commercial Estate and £0.3m for Affordable Housing projects. In accordance with Executive Board capital receipts policy £2.6m is earmarked for school improvements.

4.12

Welsh Government General Capital Funding The 2015/16 provisional capital settlement was announced by the Welsh Government on 8 October with the final settlement due on 10 December. The provisional settlement for General Capital Funding is £5,635k which is £77k higher than the indicative allocation for 2015/16 given with the final settlement for 2014/15 in December 2013. Should the actual settlement differ from the expected amounts, a review of the programme will be undertaken by the Corporate Land and Buildings Strategy Group and recommendations then brought to the Executive Board.

Page 188

Spending New Schemes Approved 4.13 On 7 October 2014 the Executive Board (HLL/16/14) agreed the cost of the demolition of Penycae Youth Club could be funded from capital receipts generated by the disposal of other Youth Service buildings. Variations to Approved Schemes Western Gateway 4.14 On 5th August 2014 the Executive Board (HAED/38/14) approved changes to the design of the access road serving the Western Gateway site and additional infrastructure work. The additional costs of £374k will be funded from the disposal of land at the site. Projects Funded by Specific Grant 4.15

Substance Misuse Action Fund (SMAF) The Welsh Government notified the Authority on 26 August that SMAF Capital Funding had been awarded to North Wales Area Planning Board for the following areas:Gwynedd Criminal Justice Integrated Services £43k. Anglesey Criminal Justice Integrated Services £13k. Flintshire Sorted – Young People’s Drug and Alcohol Team £110k.

4.16

Schools Challenge Cymru Fund The Authority has received confirmation that Rhosnesni High School has been awarded £110k from the Schools Challenge Cymru Fund which is part of Welsh Governments Pathways to Success schools programme. The funding will be used to create three flexible learning zones and redesign of the library. Gypsy and Traveller Site

4.17 Notification was received from Welsh Government on 27 June that an application for a Gypsy and Traveller Capital Grant for £85k had been approved. The grant will fund various environmental works to the Ruthin Road site. Johnstown Pavilion Community Building 4.18 A grant of £44k from WREN and £75k from Cory Environmental have been awarded for the creation of a community building in Johnstown. Planning permission will be submitted in the autumn with a start on site anticipated in May 2015. Allocation of Capital Resources 2018/2019 4.19

At its meeting on 7 October, the Joint Member/Officer Corporate Land and Buildings Strategy Group (CLBSG) recommended “that capital projects and proposed allocation of resources for 2018/19 as identified in Paragraph 4.10 of report HF/44/14 be prioritised (see table below)”.

Page 189

Ref

CORP1 AED 7 AED 4 AED 6 ENV 2 HPP 1 HPP 3 TOTAL

Project

Telecare Replacement of Various Boilers Lift Replacement at Redwither Tower Flat Roof Replacements Various Locations Carriageway Surface Condition Improvements Contaminated Land Strategy and Management Disabled Facilities Grant

Requested Allocation 2018/19 £000 250 400 300 750 500 100 1200 3,500

Proposed Allocation 2018/19 £000 150 350 300 280 400 50 1200 2,730

4.20 The other proposals for schemes with estimated costs of £1,450k in 2018/19 which were submitted but to which no allocation of funding was recommended are listed in Appendix A. Heritage and Community Well Being Annual Capital Provision 4.21 Three bids were received for the allocation of the £100k annual capital provision for Heritage and Community Well Being projects of Cultural Significance to the County Borough, which was established by the Executive Board on 3 April 2012 (HF/14/12). Total value of the bids received was within the allocation and therefore no scoring process was required. The request for funding in respect of the phase 2 refurbishment of the Museum is part of a larger funding requirement, including a Heritage Lottery Funding bid. Depending on the success of the funding for the overall project this allocation may need to be reconsidered nearer the time. Project

Refurbishment of wall garden - Crematorium Town Centre directional signage Museum refurbishment Phase 2 TOTAL

Requested Allocation 2018/19 £000 50 20 30 100

Proposed Allocation 2018/19 £000 50 20 30 100

Treasury Management report and Prudential Indicators 4.22 The Local Government Act 2003 requires Local Authorities to comply with the CIPFA Prudential Code for Capital Finance to demonstrate compliance with the code. Authorities are required to adopt and monitor prudential indicators to show that their capital plans are affordable, prudent and sustainable, and that treasury management decisions are taken in accordance with good professional practice. The Council’s Financial Regulations (8.3) delegate responsibility for regular monitoring of Treasury Management to the Executive Board. Accordingly, a report on Treasury Management semi annual activity, including prudential indicators, is included in Appendix 4. 4.23 Policy Framework – This matter is not covered by the Policy Framework but is explicitly delegated to the Executive Board under the Constitution (Part 3 - Table 3, 3). 4.24 Budget – The total capital programme for 2014/15 is £27.2 million, funding details are provided in Appendix 1.

Page 190

4.25 Legal – Significant legal implications of individual projects are the subject of separate, project specific reports. 4.26 Staffing – There are no direct staffing implications as a result of this report. 4.27 Equality/Human Rights – impact assessments are undertaken on specific projects as required. 4.28 Risks – The risks which could impact on this Programme are:§ Capital receipts are not delivered to the planned level. § General Capital funding levels reduced. § Projects overspend.

5.

CONSULTATION

5.1

The Joint Member/Officer Corporate Land and Buildings Strategy Group received a capital receipts monitoring report on 18 February 2014.

6.


6.1

Options are considered on a project by project basis in accordance with the Project Management Toolkit.

7.


7.1

This report has not been considered by a Scrutiny Committee

BACKGROUND PAPERS

LOCATION

WEBSITE INFORMATION

Executive Board - 8 July 2014 HF/37/14

Corporate and Customer Services Department

http://www.wrexham.gov.uk/Minut esData/ExBoard/Reports/Agenda %20and%20Reports%20Pack%2 008072014.pdf

Project Management Handbook

http://www.internal.wrexham.gov. uk/wordpress/sam/departments/c hief-exec/performanceimprovement-unit/projectmanagement-handbook/

Page 191

Appendix A

Ref

Project

Requested Allocation 2018/19 £’000 £000

AED 1

Replacement of Boiler & Ventilation Plant at Redwither Tower

300

AED 5

Lift Replacement Peoples Market

120

AED 2

Re-roofing Redwither Tower

400

ENV 1

Street Lighting Improvements

250

AED 3

Upgrade of Public Space CCTV Camera throughout the County Borough

200

HPP 2

Safe in the Home Scheme

15

HPP 5

Home Repair Assistance (Care and Repair)

50

HPP 4

Handy Person Scheme

15

AED 4a

Lift Replacement at Lambpit Street Total

100 1,450

Page 192

Rolling Five Year Capital Programme 2014/2015- 2018/2019

Appendix 1

SUMMARY

Original

Revised Forecast 2014/15 £

Programme

2014/15 Expenditure at Outturn Prices Corporate Schemes Assets & Economic Development Lifelong Learning Community Well-being & Development Environment Adult Social Care Private Sector Housing & Public Protection To be Allocated Total Capital Programme

£

Variance (Over/-Under) £

Planned

Planned

Planned

Planned

Programme

Programme

Programme

Programme

2015/16

2016/17

2017/18

2018/19

£

£

£

£

4,500,060 2,936,853 7,215,382 57,389 5,392,851 250,000 5,851,718 0

5,250,049 3,368,547 7,500,369 57,389 5,595,694 350,000 5,116,704 0

749,989 431,694 284,987 0 202,843 100,000 -735,013 0

0 3,261,747 7,087,743 0 1,544,209 250,000 7,887,526 0

0 1,328,146 6,265,758 0 1,425,000 250,000 6,592,176 58,000

50,000 575,000 5,375,788 0 1,325,000 600,000 1,303,000 0

0 1,305,000 1,974,844 0 1,375,000 250,000 1,400,000 0

26,204,253

27,238,752

1,034,500

20,031,225

15,919,080

9,228,788

6,304,844

3,455,000 2,900,000 272,000 324,085 3,708,152

3,455,000 2,919,945 272,000 331,787 3,708,152

0 19,945 0 7,703

3,455,000 0 0 0

3,420,000 0 0 0

3,498,000 0 0 0

3,472,422 0 0 0

0

1,262,988

561,328

0

0

10,659,236

10,686,884

27,648

4,717,988

3,981,328

3,498,000

3,472,422

2,103,000 1,232,575 1,443,175 1,496,200 32,367 247,601 155,406 253,887 851,926 2,320,584

2,103,000 1,232,575 1,443,175 1,456,200 32,367 247,601 155,406 615,584 851,926 2,632,163

0 0 0 -40,000 0 0 0 361,698 0 311,578

2,103,000 0 1,354,477 4,944,200 0

2,085,000 0 2,331,551 4,153,600 0

215,800 0 0

490,746 0 0

851,926 756,542

851,926 249,050

2,085,000 0 2,477,635 0 0 0 0 0 0 0

2,085,000 0 747,422 0 0 0 0 0 0 0

10,136,722

10,769,997

633,276

10,225,945

10,161,873

4,562,635

2,832,422

5,408,295

5,781,871

373,576

5,087,292

1,775,879

1,168,153

0

26,204,253

27,238,752

1,034,500

20,031,225

15,919,080

9,228,788

6,304,844

0

0

0

0

0

0

0

Financing Borrowing

Page 193

Unhypothecated Supported Borrowing Unsupported Borrowing WG Invest to Save Schemes Salix Local Government Borrowing Initiative Total Borrowing

Grants & Contributions General Capital Grant Transport Grant SBIG/21st Century Schools programme Vibrant and Viable Places Regeneration Grant Flying Start Grant Heritage Lottery Fund ERDF/WEFO Other WG grants Housing Renewal Area Grant Other Contributions

Total Grants & Contributions

Usable Capital Receipts Applied Total Shortfall / Surplus in Funding ( - )


Appendix 1

SUMMARY

Original Programme

2014/15 Expenditure at Outturn Prices Total Capital Programme

£

26,204,253

Revised Forecast 2014/15 £ 27,238,752

Variance (Over/-Under) £

1,034,500

Planned

Planned

Planned

Planned

Programme

Programme

Programme

Programme

2015/16

2016/17

2017/18

2018/19

£

£

£

20,031,225

15,919,080

9,228,788

£

6,304,844

Page 194

Appendix 2 Rolling Five Year Capital Programme 2014/2015 - 2018/2019 CORPORATE SCHEMES

Original

Revised

Variance

Planned

Planned

Planned

Planned

Programme

(Over/-Under)

Programme

Programme

Programme

Programme

2014/15

Forecast 2014/15

2015/16

2016/17

2017/18

2018/19

£

£

£

£

£

£

£

Page 195

Annual Capital Provision Heritage & Community Well Being Projects

0

0

0

0

0

50,000

0

Completed Schemes Retention Payments:-

0

1,071

1,071

0

0

0

0

257,993 11,014 21,930 185,038

257,993 11,014 21,930 185,038

0 0 0 0

0 0 0 0

0 0 0 0

0 0 0 0

0 0 0 0

3,250,000 450,000 324,085 0

3,250,000 450,000 331,787 575,000

0 0 7,703 575,000

0 0 0 0

0 0 0 0

0 0 0 0

0 0 0 0

0 0 0

42,715 13,000 110,500

42,715 13,000 110,500

0 0 0

0 0 0

0 0 0

0 0 0

4,500,060

5,250,049

749,989

0

0

50,000

0

Ongoing Projects ICT Infrastructure - Modernisation IT Hardware Office Accommodation Review Ty Champions Project - CAIS (SMAF) New Schemes Land Based Solar Photovoltaic Project Self Service - Online Digital Platform Lighting Upgrade Project Redwither Tower - Biomass Heating System SMAF North Wales Area Planning Board 2014/15:Gwynedd Criminal Justice Integrated Services Anglesey Criminal Justice Integrated Services Flintshire - Young People's Drug and Alcohol Tea

Corporate Capital Schemes Totals

Appendix 2 Rolling Five Year Capital Programme 2014/2015 - 2018/2019 ASSETS AND ECONOMIC DEVELOPMENT

Original Programme

2014/15 £


Variance Planned (Over/-Under) Programme 2015/16 £ £

Planned

Planned

Planned

Programme

Programme

Programme

2016/17 £

2017/18 £

2018/19 £

Page 196

Annual Capital Provision Minor Building Works Scheme Preparation/management Costs

100,000 225,000

100,000 225,000

0 0

100,000 225,000

100,000 225,000

100,000 225,000

100,000 225,000

Heritage & Community Well Being Projects Pontycysyllte Aqueduct & Canal World Heritage Site Wrexham Gallery Wrexham Museum Refurbishment Phase 2 Bersham Ironworks Town Centre directional signs

113,382 50,000 46,478 81,265 0

113,382 50,000 46,478 81,265 0

0 0 0 0 0

75,000 25,000 0 0 0

100,000 0 0 0 0

50,000 0 0 0 0

0 0 30,000 0 20,000

Completed Schemes King Street Improvements

155,406

155,406

0

0

0

0

0

750,000 247,601 25,659 84,731.90 649,513 2,815

598,785 247,601 85,940 70,000 649,513 18,175

-151,215 0 60,281 -14,732 0 15,360

1,571,215 215,800 0 14,732 395,000 0

0 490,746 0 0 0 0

0 0 0 0 0 0

0 0 0 0 0 0

0 0 330,000 0 0 0

0 0 330,000 562,000 0 0

0 0 0 562,000 0 0

200,000 0 0 0 0 0

0 0 0 0 0 0

0 100,000 0 0 100,000 0

0 350,000 0 0 280,000 300,000

40,000 35,000

0 35,000

-40,000 0

0 440,000

0 412,400

0 0

0 0

2,936,853

3,368,547

431,694

3,261,747

1,328,146

575,000

1,305,000

Ongoing Projects Western Gateway Infrastructure Works Cefn Mawr THI Phase II Commercial Estate Improvements Holt Castle Building Components Upgrade/Replacements Demolition Redwither Central phase 1&2 New Schemes Pontcysyllte/Trevor Basin-Land Acquisition Replacement Boiler/Ventilation plant New CCTV Control Room & Wireless transmission sy Redwither Tower - Office Accommodation Conversio Flat Roof Replacements Lift Replacement Redwither Tower Vibrant and Viable Places Regeneration Schemes Redefining Wrexham Town centre Creative Industries & Arts centre Development

Assets & Economic Development Totals

Appendix 2 Rolling Five Year Capital Programme 2014/2015 - 2018/2019 LIFELONG LEARNING

Original

Revised

Programme

Forecast 2014/15 £

2014/15 £

Variance

Planned

Planned

Planned

Planned

(Over/-Under) Programme Programme Programme Programme 2015/16 2016/17 2017/18 2018/19 £ £ £ £ £

Page 197

Annual Capital Provisions Furniture and Equipment School IT Equipment

159,631 112,803

159,631 112,803

0 0

150,000 80,000

150,000 80,000

150,000 80,000

150,000 80,000

Completed Schemes Llay Park Sch - Refurb Extn Junior, New Infant blocks New Welsh Medium School

117,728 244,384

117,728 244,384

0 0

0 0

0 0

0 0

0 0

Ongoing Projects Secondary Schools Reorganisation - Phase II Refurbishment of Toilets to School sites:St Mary's Aided School Ruabon - Flat Roofing

941,135 117,871 44,466

991,135 117,871 44,466

50,000 0 0

1,282,425 0 0

0 0 0

0 0 0

0 0 0

New Projects 21st Century Schools Programme:Hafod y Wern Primary Gwenfro Primary Penycae Primary Flexible Learning Zone (Town Centre Seconda Gwersyllt Primary

4,565,444 83,126 983 0 0

4,565,444 83,126 983 0 0

0 0 0 0 0

2,448,911 2,376,435 392,921 0 0

95,493 2,219,757 1,610,310 1,000,000 860,198

0 59,767 2,131,178 319,835 2,385,008

0 0 49,534 0 1,445,310

Ysgol Tanyfron - Extension and Internal alterations Invest to Save Scheme -Reduced paper based system Ysgol Grango - CCTV System Rhosnesni High School - Flexible Learning Zones/Libr Demolition Penycae Youth Club

79,976 72,000 0 0 0

79,976 72,000 19,945 110,000 33,000

0 0 19,945 110,000 33,000

0 0 0 0 0

0 0 0 0 0

0 0 0 0 0

0 0 0 0 0

0 0 0 231,240 32,367

0 1,384 18,334 230,564 32,367

0 1,384 18,334 -676 0

0 0 0 7,051 0

0 0 0 0 0

0 0 0 0 0

0 0 0 0 0

Flying Start Grant 2013/14 Schemes Brymbo Enterprise Centre Ysgol Penrhyn Gwenfro Primary School Brynteg School Flying Start Grant 2014/15 Schemes

Appendix 2 Rolling Five Year Capital Programme 2014/2015 - 2018/2019 LIFELONG LEARNING

Original 2014/15

Revised Forecast 2014/15

£

£

£

Programme

Variance Planned Planned Planned Planned (Over/-Under) Programme Programme Programme Programme 2015/16 2016/17 2017/18 2018/19 £

£

£

£

Schools Minor Works 14/15 schemes -

Page 198

St Giles CP School - alterations to classrooms

0

67,000

67,000

Ysgol Min-y-Ddol, Cefn - Windows/Canopies

0

5,200

5,200

Garth CP School - Construction Parking Area

0

27,000

27,000

Ysgol Plas Coch - fencing

0

5,000

5,000

Acrefair School - demolition careers unit

0

18,000

18,000

Ysgol Bodhyfryd - drainage works

0

15,500

15,500

Ysgol y Waun Chirk - fencing

0

5,000

5,000

Ysgol y Grango -

0

16,500

16,500

Dodds Lane Student Centre - Remodelling Works

0

30,000

30,000

Ysgol Maes y Llan - Exterior canopy

0

7,500

7,500

To be Allocated

285,227

141,527

-143,700

250,000

250,000

250,000

250,000

Total Minor Works

285,227

338,227

53,000

250,000

250,000

250,000

250,000

127,000

127,000

0

100,000

0

0

0

7,215,382

7,500,369

284,987

7,087,743

6,265,758

5,375,788

1,974,844

Vibrant and Viable Places Regeneration Schemes Affordable Childcare Provision

Lifelong Learning Service Totals

Appendix 2 Rolling Five Year Capital Programme 2014/2015 - 2018/2019 COMMUNITY WELL-BEING AND DEVELOPMENT

Original

Revised

Programme

Forecast 2014/15 £

2014/15 £ Completed Schemes Acton Resource Centre

Community Well-being & Development Totals

Variance

Planned

(Over/-Under) Programme 2015/16 £ £

Planned

Planned

Planned

Programme

Programme

Programme

2016/17 £

2017/18 £

2018/19 £

57,389

57,389

0

0

0

0

0

57,389

57,389

0

0

0

0

0

Page 199

Appendix 2 Rolling Five Year Capital Programme 2014/2015 - 2018/2019 ENVIRONMENT

TRANSPORTATION SERVICES Annual Capital Provisions Minor Road Improvements Scheme Preparation Costs Highways Structural Maintenance

Original

Revised

Variance

Planned

Planned

Planned

Planned

Programme

Forecast 2014/15 £

(Over/-Under)

Programme

Programme

Programme

Programme

£

2015/16 £

2016/17 £

2017/18 £

2018/19 £

2014/15 £ 141,030 193,690 560,862

141,030 193,690 560,862

0 0 0

250,000 175,000 500,000

250,000 175,000 500,000

250,000 175,000 500,000

250,000 175,000 500,000

1,796,700 0

1,796,700 0

0 0

0 0

0 0

0 0

0 400,000

Transport Grant Schemes Industrial Estate Access Road

600,000

600,000

0

0

0

0

0

Taith transport Grant 13/14 Schemes Road Safety/Transport Package 14/15 Schemes Road Safety 14/15 Schemes Local Transport Fund

22,470 123,000 433,500

22,470 123,000 433,500

0 0 0

0 0 0

0 0 0

0 0 0

0 0 0

Ongoing Schemes Bridges - strengthening and repairs 20mph Speed Limit Zones Outside Schools Improvement Projects Street Lighting Speed Limit Review Safe Routes Within the Community

545,031 162,036 176,851 370,000 95,315 101,489

545,031 162,036 176,851 370,000 95,315 101,489

0 0 0 0 0 0

0 80,000 320,000 0 0 0

0 80,000 420,000 0 0 0

0 0 100,000 200,000 0 0

0 0 0 0 0 0

50,000

50,000

0

0

0

0

0

0 0

0 0

0 0

100,000 0

0 0

100,000 0

0 50,000

0 20,877

92,177 20,877

92,177 0

0 0

0 0

0 0

0 0

0 0 0

35,666 0 75,000

35,666 0 75,000

0 119,209 0

0 0 0

0 0 0

0 0

5,392,851

5,595,694

202,843

1,544,209

1,425,000

1,325,000

1,375,000

Highways Maintenance LGBI - Carriageway Construction Carriageway Surface Condition improvements

Page 200

New Projects Traffic Management Improvements OTHER ENVIRONMENT SCHEMES Heritage & Community Well Being Projects Wrexham Cemetery Crematorium - Wall Garden refurbishment Completed Projects Play Area Improvement Programme Provision of New Cremators New projects Public Rights of Way Improvement Plan Johnstown Pavilion Community Building Ty Mawr Country Park Access Improvements Environment Totals

Appendix 2 Rolling Five Year Capital Programme 2014/2015 - 2018/2019 ADULT SOCIAL CARE

Original

Revised

Programme

Forecast 2014/15 £

2014/15 £ Annual Capital Provision Adaptations **** See note below Sensory Impairment

New Schemes Replacement Electronic Recording System

Page 201

Adult Social Care Totals

Variance

Planned

(Over/-Under) Programme 2015/16 £ £

Planned

Planned

Planned

Programme

Programme

Programme

2016/17 £

2017/18 £

2018/19 £

240,000 10,000

340,000 10,000

100,000 0

240,000 10,000

240,000 10,000

240,000 10,000

240,000 10,000

0

0

0

0

0

350,000

0

250,000

350,000

100,000

250,000

250,000

600,000

250,000

**** Adaptations - original programme increased by £100k transferred from Private Sector Housing DFG's


Appendix 2

PRIVATE SECTOR HOUSING AND PUBLIC PROTECTION

Original Programme 2014/15 £


Variance (Over/-Under)

Planned

Planned

Planned

Planned

Programme

Programme

Programme

Programme

£

2015/16 £

2016/17 £

2017/18 £

2018/19 £

PRIVATE SECTOR HOUSING Home Renovation Grants Disabled Facilities Grants ****See note below Handy Person Scheme / Care & Repair Home Repair Assistance Dementia with Tele Care Scheme Stay Safe in the Home Scheme (Elderly) North Wales Home Loans Initiative

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1,300,000 0 0 0 0 0

1,200,000 0 0 478 7,027 0

-100,000 0 0 478 7,027 0

1,300,000 0 0 0 0 20,000

1,300,000 15,000 50,000 15,000 0 20,000

1,000,000 0 0 0 0 0

1,200,000 0 0 0 0 0

425,963 425,963 0

425,963 425,963 0

0 0 0

0 0 851,926

0 0 851,926

0 0 0

0 0 0

0

85,483

85,483

0

0

0

0

Affordable Housing Highway Improvements & demolition Acquisition of Bridge Street Site

256,000 650,000

230,000 650,000

-26,000 0

0 0

0 0

0 0

0 0

Vibrant and Viable Places Regeneration Schemes Empty Properties into Homes Affordable Housing/Independent Living Private Rental Sector Improvements South West Wrexham Housing renewal Area Energy Company Obligation

413,000 0 220,000 765,600 150,000

413,000 0 220,000 765,600 150,000

0 0 0 0 0

778,000 2,700,000 270,000 765,600 150,000

777,000 2,200,000 265,000 748,250 0

0 0 0 0 0

0 0 0 0 0

PUBLIC PROTECTION Ongoing Schemes Contaminated Land - Investigation and Remediation Llay Landfill Site Telecare

308,919 616,359 319,913

24,919 198,359 319,913

-284,000 -418,000 0

384,000 418,000 250,000

100,000 0 250,000

53,000 0 250,000

50,000 0 150,000

5,851,718

5,116,704

-735,013

7,887,526

6,592,176

1,303,000

1,400,000

Renewal Areas Brymbo / Broughton Renewal Areas South West Wrexham Renewal Area Estimate future years allocation Supported Housing Refurbishment of Ruthin Road Gypsy & Travellers Sit

Housing & Public Protection Totals

**** Disabled Facilities Grants -£100k from original programme transferred to fund Social Care Adaptations

Appendix 3

CAPITAL PROGRAMME 2014/2015 - 2018/2019 - OTHER CONTRIBUTIONS 2014/15

2015/16

2016/17

2017/18

2018/19

£

£

£

£

£

923,001

0

0

0

0

Holt Castle Holt Castle VVP - Creative Industries & Art Centre Developm VVP - Creative Industries & Art Centre Developm

38,157 31,843 35,000 0

7,366 7,366 40,000

40,000

Sub Total

105,000

54,732

40,000

0

0

Ysgol Tanyfron 2013/14 Flying Start Schemes Penley Maelor High School St Marys Roofing Works St Marys Roofing Works St Giles School monor works scheme Brynteg phase 2 Brynteg phase 2 Brynteg phase 2 Brynteg phase 2

79,976 19,718 50,000 18,000 21,000 53,000 9,000 25,000 128,949 25,615

Sub Total

430,258

7,051

0

0

0

0

0

0

0

0

Source

Scheme

CORPORATE SERVICES Carbon Revenue Budget WCBC Invest to Save fund Rhos Community Council Transformation Revenue Contribution Armed Forces covenant grant Customer Services Reserves Transformation Fund

Land Based Solar Photovoltaic Project Redwither Tower Biomass Heating System Retention Johnstown Community centre Office Accomodation review Self Service - Online Digital Platform Self Service - Online Digital Platform Self Service - Online Digital Platform

350,000 300,000 1,071 21,930 50,000 17,000 183,000

Sub Total ASSET & ECONOMIC DEVELOPMENT cadw Northern Marches Arts Council Wales Assets & Economic Development CLB

LIFELONG LEARNING Section 106 Agreement CYP Reveue Contribution Cory Environmental Ltd R&M Reveue Contribution Church of Wales Contribution Section 106 Agreement R&M Reveue Contribution School Contribution Section 106 Agreement Capital Reserve

7,051

COMMUNITY WELL-BEING DEVELOPMENT Sub Total ENVIRONMENT Natural Resource Wales Environment CERA Repairs & Maintenance CLB WREN Cory Environmental Cory Environmental WREN Cory Environmental R&M Reveue Contribution

Public Rights of Wales Provision of Cremators Wrexham Cemetry Johnstown Pavilion Community Building Johnstown Pavilion Community Building Play Area Improvement Programme Play Area Improvement Programme Ty Mawr Country park Access Improvements Ty Mawr Country park Access Improvements

35,666 20,877 0 0 0 47,270 44,907 50,000 25,000

Sub Total

223,720

194,209

0

0

0

Sub Total

0

0

0

0

0

House renovation grants Affordable Housing Purchase Bridge Street Affordable Housing VVP - Empty Properties into Homes VVP - private Rental sector Improvements VVP - South West Wrexham Housing Renewal A Llay landfill

7,504 370,000 230,000 13,000 15,000 191,400 123,279

13,000 15,000 191,400 281,150

12,000 10,000 187,050

Sub Total

950,183

500,550

209,050

0

0

2,632,163

756,542

249,050

0

0

75,000 44,209 75,000

ADULT SOCIAL CARE

HOUSING AND PUBLIC PROTECTION HRG cont/repayments Affordable Housing Reserve Affordable Housing Revenue Contribution Owners Contributions private Landlords Contributions Property Owners/Landlords Contributions Capital Reserve

TOTAL

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APPENDIX 4 Semi Annual Treasury Report 1.

Introduction

The Chartered Institute of Public Finance and Accountancy’s Treasury Management Code (CIPFA’s TM Code) requires that Authorities report on the performance of the treasury management function at least twice yearly (mid-year and at year end). The Authority’s Treasury Management Strategy for 2014/15 was approved by full Council on 26 February 2014 which can be accessed on www.wrexham.gov.uk/english/MinutesNew/search.cfm. The Authority has borrowed and invested substantial sums of money and is therefore exposed to financial risks including the loss of invested funds and the revenue effect of changing interest rates. This report covers treasury activity and the associated monitoring and control of risk. 2.

External Context

Growth and Inflation: The recent strong performance of the UK economy continued with output growing at 0.8% in Q1 2014 and at 0.9% in Q2. The services sector once again grew strongly. On the back of strong consumption growth, business investment appeared to be recovering quickly, albeit from a low base. The annual CPI inflation rate fell to 1.5% year-onyear in August. Revisions to the GDP methodology, now compliant with the European System of Accounting 2010, mean that growth is now estimated to be 2.7% above its pre-recession peak in Q1 2008 rather than just 0.2% higher, the general theme being that the recession was not as deep and the recovery was earlier than initially estimated. In anticipation of these revisions, the MPC has forecast growth at 3.4% in 2014. Unemployment: The labour market continued to improve, with strong employment gains and the headline unemployment rate falling to 6.2%. However, earnings growth remained very weak, rising just 0.6% for the three months May-July 2014 when compared to the same period a year earlier. The growth in employment was masked by a large number of zerohour contracts and involuntary part-time working. UK Monetary Policy: The MPC made no change to the Bank Rate of 0.5% and maintained asset purchases at £375bn. However, there was a marked shift in tone from the Bank of England’s Governor and other MPC members. In his Mansion House speech in June Governor Mark Carney warned that interest rates might rise sooner than financial markets were expecting. Following some mixed messages from Governor Carney later in the summer, the minutes of the August and September MPC meetings revealed a split vote with regards to the Bank Rate. Ian McCafferty and Martin Weale voted to increase Bank Rate by 0.25%, arguing economic circumstances were sufficient to justify an immediate rise. The MPC emphasised that when Bank Rate did begin to rise, it was expected to do so only gradually and would likely remain below average historical levels for some time to come. In the Bank of England’s August Inflation Report the Bank forecast growth to be around 3½% in 2014, easing back thereafter to around its pre-crisis historical average rate. Inflation was forecast to remain at, or slightly below, 2% before reaching the target at the end of the 2-year forecast period.

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The Bank’s Financial Policy Committee also announced a range of measures to cool the UK’s housing market to avert the potential of spiralling house prices derailing a sustainable economic recovery. Key recommendations included lenders stress-testing mortgage applicants can cope with a 3% rise in interest rates; putting a 15% cap on the number of mortgages at more than 4.5 times the borrower’s income; and a separate Treasury pledge banning anyone applying for a loan through the Help to Buy scheme borrowing more than 4.5 times their income. The Prudential Regulation Authority also announced that it intends to consult on capital requirements for mortgages. The result of the Scottish referendum in the end was close, but not as close as many believed it might be. However, the political upheaval set in motion (the Prime Minister’s linking of a more devolved Scotland to giving greater powers to English MPs over Englishonly legislation, the prospect of Scotland’s potential freedom to raise taxes not being replicated elsewhere in the UK) is arguably likely to be just as problematic in the run-up to and beyond next year’s general election. Eurozone inflation continued to fall towards zero (HICP inflation registered just 0.3% in September), and there was mounting evidence that the already feeble recovery was losing pace. The unemployment rate remained stubbornly high at 11.5%. The European Central Bank lowered its official benchmark interest rate from 0.15% to 0.05%. The rate it pays on commercial bank balances held with it was also cut further into negative territory from -0.1% to -0.2% and the Marginal Lending Facility rate cut further to 0.3%. The ECB also announced a programme of acquiring Asset Backed Securities (ABS) from banks in an effort to encourage lending which was viewed as being one step away from full blown Quantitative Easing (QE) adopted by the US, UK and Japanese central banks. The minutes of the Bank of England’s MPC meeting in September noted that “weakness in the euro area had been the most significant development during the month” and that, if it led once again to uncertainty about the sustainability of euro-area public and external debt, it could damage confidence and disrupt financial markets There was no change from the US Federal Reserve as the central bank kept policy on its current track with a reduction in asset purchases by $10 billion per month. Asset purchases are expected to end by October 2014, expectations therefore turned towards the timing of rate increases. The US economy rebounded strongly in Q2 with annualised growth of 4.6%. Market reaction: Gilt yields have continued to decline and hit a financial year low at the end of August, before ticking upwards in the run up to the Scottish referendum. What has driven yields lower is a combination of factors but the primary drivers have been the escalation of geo-political risk within the Middle East and Ukraine alongside the slide towards deflation within the Eurozone (EZ). Local Context At 31/3/2014 the Authority’s underlying need to borrow for capital purposes as measured by the Capital Financing Requirement (CFR) was £169.1m, while usable reserves which are the underlying resources available for investment were £54.3m. At 31/3/2014, the Authority had £131m of borrowing and £33m of investments. The Authority’s current strategy is to maintain borrowing and investments below their underlying levels, referred to as internal borrowing. The Authority has an increasing CFR over the next 3 years due to the capital programme, and will therefore be required to borrow up to £56.8m over the forecast period.

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Borrowing Strategy At 30/9/2014 the Authority held £137m of loans, an increase of £6m on (31/3/2014), as part of its strategy for funding previous years’ capital programmes. The Authority has borrowed £10m in 2014/15. The Authority’s chief objective when borrowing continues to be striking an appropriately low risk balance between securing low interest costs and achieving cost certainty over the period for which funds are required, with flexibility to renegotiate loans should the Authority’s long-term plans change being a secondary objective. In total £10m of new fixed rate loans with an average rate of 3.49% and an average life of 28.5 years were raised. The Public Works Loans Board (PWLB) was the Authority’s preferred source of borrowing given the transparency and control that its facilities continue to provide. Temporary and short-dated loans borrowed predominantly from other local authorities, has also remained affordable and attractive. £25.5m of such loans were borrowed at an average rate of 3% and an average life of 7 days. Borrowing Activity in 2014/15 Balance on 01/04/2014 £m CFR Short Term 1 Borrowing Long Term Borrowing TOTAL BORROWING Other Long Term Liabilities TOTAL EXTERNAL DEBT Increase/ (Decrease) in Borrowing £m

Maturing Debt £m

Reclassification £m

New Borrowing £m

169.1

Balance on 30/09/2014 £m

Avg Rate % and Avg Life (yrs)

186.5

4.2

-29.3

2.0

25.6

2.5

126.3

0

-2.0

10.1

134.4

130.5

-29.3

0

35.7

136.9

5.66/30.74

17.4

0

0

0

17.4

7.42 / 17.73

147.9

-29.3

35.7

154.3 6.4

PWLB Certainty Rate and Project Rate Update: The Authority qualifies for borrowing at the ‘Certainty Rate’ (0.20% below the PWLB standard rate) for a 12 month period from 01/11/2013. In August the Authority submitted its application to the Welsh Government to access this reduced rate for a further 12 month period from 01/11/2014. LOBOs: The Authority holds £23.8m of LOBO (Lender’s Option Borrower’s Option) loans where the lender has the option to propose an increase in the interest rate at set dates, following which the Authority has the option to either accept the new rate or to repay the loan at no additional cost. Debt Rescheduling: The premium charge for early repayment of PWLB debt remained relatively expensive for the loans in the Authority’s portfolio and therefore unattractive for debt rescheduling activity. No rescheduling activity was undertaken as a consequence. 1

Loans with maturities less than 1 year.

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Welsh HRA Subsidy Reform The Housing (Wales) Bill 2013 paves the way for the abolition of the housing revenue account subsidy system to be replaced by a self-financing system. It is expected that the Authority will be required to buy itself out of the current arrangement by borrowing from the PWLB. In return the Authority will be able to keep all rental revenues generated from the housing stock. After the initial debt settlement it is expected that a cap will be set by the UK government for how much the Authority can continue to borrow for the HRA. Subject to agreement by all Welsh authorities the reform is due to take place in April 2015. Investment Activity The Authority holds significant invested funds, representing income received in advance of expenditure plus balances and reserves held. Cashflow forecasts indicated that during 2014/15 the Authority’s investment balances would range between £24 and £48 million. The Welsh Government’s Investment Guidance gives priority to security and liquidity and the Authority’s aim is to achieve a yield commensurate with these principles. Investment Activity in 2014/15 Balance on 01/04/2014 £m

Investments Made £m

Maturities/ Investments Sold £m

Balance on 30/09/2014 £m

Short term Investments Long term Investments UK local Authorities Money Market Funds

31.0

62.8

67.8

26.0

Increase/ (Decrease) in Investments £m (5.0)

0 2.0 0

0 0 64.6

0 0 55.7

0 2.0 8.9

0 0 8.9

TOTAL INVESTMENTS

33.0

127.4

123.5

36.9

3.9

Investments

Security of capital has remained the Authority’s main investment objective. This has been maintained by following the Authority’s counterparty policy as set out in its Treasury Management Strategy Statement for 2014/15. Counterparty credit quality was assessed and monitored with reference to credit ratings (the Authority’s minimum long-term counterparty rating is A-/A-/A3 across rating agencies Fitch, S&P and Moody’s); credit default swap prices, financial statements, information on potential government support and reports in the quality financial press. Credit Risk Counterparty credit quality as measured by credit ratings is summarised below: Date

Value Weighted Average – Credit Risk Score

Value Weighted Average – Credit Rating

Time Weighted Average – Credit Risk Score

Time Weighted Average – Credit Rating

31/03/2014

5.61

A

5.33

A+

30/06/2014

5.25

A+

4.8

A+

30/09/2014

5.23

A+

5.46

A+

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Scoring: -Value weighted average reflects the credit quality of investments according to the size of the deposit -Time weighted average reflects the credit quality of investments according to the maturity of the deposit -AAA = highest credit quality = 1 - D = lowest credit quality = 26 -Aim = A- or higher credit rating, with a score of 7 or lower, to reflect current investment approach with main focus on security Counterparty Update The European Parliament approved the EU Bank Recovery and Resolution Directive (BRRD) on April 15, 2014. Taking the view that potential extraordinary government support available to banks' senior unsecured bondholders will likely diminish within its two-year rating horizon for investment-grade entities, in April Standard & Poor’s revised the Outlook of Barclays, Deutsche Bank, Credit Suisse and ING Bank from Stable to Negative (note, this is not the same as a rating review negative). In May, Moody’s also changed the outlook from stable to negative for 82 European banks and from positive to stable for two European banks. The institutions affected on the Authority’s lending list are Nationwide Building Society, Pohjola Bank, Svenska Handelsbanken, Landesbank Hessen-Thuringen, Bank Nederlandse Gemeenten and Nordea Bank. In August Moody’s changed its outlook for the UK banking system from stable to negative, citing the reduction of government support for systemic banks as the reason. Although the agency believes that the stand-alone financial strength of UK institutions is improving they believed that this is more than offset by the potential bail-in risk now faced by investors. In a similar vein, in August S&P revised the outlooks for major Canadian banks to negative following the government’s announcement of a potential bail-in policy framework. There was strong likelihood that the UK, alongside Germany and Austria, would accelerate the adoption of the BRRD and that the implementation of bail-in resolutions would be fast-tracked in these countries to 1st January 2015, a full year ahead of other EU nations. Banks in the UK and EU face banks face the stress tests this autumn, which may result in some institutions having additional to bolster their capital buffers. The extent to which this might be required and the form they will have to take, casts uncertainty over capital requirements in the system. Budgeted Income and Outturn The average cash balances were £35.7m during the period. The UK Bank Rate has been maintained at 0.5% since March 2009. Short-term money market rates have remained at relatively low levels (see Table 1 in Appendix B). New deposits were made at an average rate of 0.765%. Investments in Money Market Funds generated an average rate of 0.458%. The Authority’s budgeted investment income for the year is estimated at £0.2m. The Authority anticipates an investment outturn of £0.2m for the whole year. Compliance with Prudential Indicators The Authority confirms compliance with its Prudential Indicators for 2014/15, which were set on 26 February 2014 as part of the Authority’s Treasury Management Strategy Statement.

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Treasury Management Indicators The Authority measures and manages its exposures to treasury management risks using the following indicators. Interest Rate Exposures: This indicator is set to control the Authority’s exposure to interest rate risk. In the Treasury Management Strategy agreed on 26 February 2014 this indicator was expressed in absolute value terms, set at the expected exposure at that point in time; conveyed in this manner this left no room for additional borrowing or investments as and when required. On the advice of our Treasury Management advisors, Arlingclose this indicator has been revised in order that it be expressed in the more usual manner of proportions of total borrowing or investment. The upper limits on fixed and variable rate interest rate exposures, expressed as the proportion of net principal borrowed or interest payable will be:

Interest Rate Exposures

2014/15 Revised

2015/16 Estimate

2016/17 Estimate

%

%

%

100.0

100.0

100.0

-100.0

-100.0

-100.0

0.0

0.0

0.0

30.0

30.0

30.0

-100.0

-100.0

-100.0

-70.0

-70.0

-70.0

Fixed Upper Limit for Fixed Interest Rate Exposure on Debt Upper Limit for Fixed Interest Rate Exposure on Investments Net Fixed Exposure Variable Upper Limit for Variable Interest Rate Exposure on Debt Upper Limit for Variable Interest Rate Exposure on Investments Net Variable Exposure

Fixed rate investments and borrowings are those where the rate of interest is fixed for the whole financial year. Instruments that mature during the financial year are classed as variable rate. Maturity Structure of Borrowing: This indicator is set to control the Authority’s exposure to refinancing risk. The upper and lower limits on the maturity structure of fixed rate borrowing will be:

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Maturity structure of fixed rate borrowing

under 12 months 12 months and within 24 months 24 months and within 5 years 5 years and within 10 years 10 years and within 20 years 20 years and within 30 years 30 years and within 40 years 40 years and within 50 years 50 years and above Total

Actual Existing Fixed level (or Rate Benchmark Borrowing level) at 30/09/14 30/09/2014 £'000 % 26,188 19.1

Lower Limit

Upper Limit

for 2014/15 % 0

for 2014/15 % 20

425

0.3

0

20

4,640

3.4

0

20

9,463

6.9

0

80

14,997

11.0

0

80

10,103

7.4

0

80

35,823

26.2

0

80

35,154

25.7

0

80

0

90

136,793

0.0 100.0

Time periods start on the first day of each financial year. The maturity date of borrowing is the earliest date on which the lender can demand repayment. Principal Sums Invested for Periods Longer than 364 days: The purpose of this indicator is to control the Authority’s exposure to the risk of incurring losses by seeking early repayment of its investments. The limits on the total principal sum invested to final maturities beyond the period end will be:

Limit on principal invested beyond period end Actual

2014/15

2015/16

2016/17

£10m

£7.5m

£5m

£4.5m

Security: The Authority has adopted a voluntary measure of its exposure to credit risk by monitoring the value-weighted average [credit rating] or [credit score] of its investment portfolio. This is calculated by applying a score to each investment (AAA=1, AA+=2, etc.) and taking the arithmetic average, weighted by the size of each investment.

Portfolio average credit rating or score

Target

Actual

A or 6.0

A+ or 5.34

Liquidity: The Authority has adopted a voluntary measure of its exposure to liquidity risk by monitoring the amount of cash available to meet unexpected payments within a rolling three month period, without additional borrowing.

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Total cash available within 3 months

Target

Actual

£7m

£12m

Investment Training: The needs of the Authority’s treasury management staff for training in investment

management are assessed every six months as part of the staff appraisal process, and additionally when the responsibilities of individual members of staff change. Outlook for Q3 and Q4 2014/15 The stronger economic growth seen in the UK over the past six months is likely to use up spare capacity more quickly than previously assumed. Arlingclose has brought forward the timing for the first rise in Bank Rate to Q3 2015. In addition to two MPC members having voted for a rate rise in August and September, the rhetoric from Committee members has in general become more hawkish. However, the lack of inflationary pressure is expected to allow policymakers to hold off monetary tightening for longer than the market currently expects. The near-term risk is that the Bank Rate could rise sooner than anticipated, which is captured in the ‘upside risk’ range of our forecast table below. The focus is now on the rate of increase and the medium-term peak and, in this respect, expectations are that rates will rise slowly and to a lower level than in the past. Official Bank Rate Upside risk Arlingclose Central Case Downside risk

Dec-14

Mar-15

Jun-15

0.25 0.50

0.25 0.50

0.25 0.50

Sep-15 Dec-15

Mar-16

Jun-16

0.25 0.75 0.25

0.25 1.00

0.50 1.00

0.50

0.50

0.25 0.75 0.25

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Sep-16 Dec-16

Mar-17

Jun-17

0.50 1.25

0.50 1.25

0.50 1.50

0.50 1.50

0.75

0.75

1.00

1.00

Appendix A Prudential Indicators 2014/15 The Local Government Act 2003 requires the Authority to have regard to CIPFA’s Prudential Code for Capital Finance in Local Authorities (the Prudential Code) when determining how much money it can afford to borrow. The objectives of the Prudential Code are to ensure, within a clear framework, that the capital investment plans of local authorities are affordable, prudent and sustainable, and that treasury management decisions are taken in accordance with good professional practice. To demonstrate that the Authority has fulfilled these objectives, the Prudential Code sets out the following indicators that must be set and monitored each year. Estimates of Capital Expenditure: The Authority’s planned capital expenditure and financing may be summarised as follows:2013/14 Actual £m

2014/15 Estimate £m



General Fund

19.3

27.2

20

15.9

HRA

24.3

33.9

33.9

33.9

Total Expenditure

43.6

61.1

53.9

49.8

Capital Receipts

4.1

5.8

5.1

1.8

Grants & Contributions

19.4

16.2

17.3

17.6

Reserves

3.3

0.1

0.3

0.0

Revenue

10.6

13.2

11.5

9.5

Borrowing

6.2

25.7

19.7

21

Total Financing

43.6

61.1

53.9

49.8

Capital Expenditure and Financing

Estimates of Capital Financing Requirement: The Capital Financing Requirement (CFR) measures the Authority’s underlying need to borrow for a capital purpose. 31.03.14 Actual £m

31.03.15 Estimate £m



General Fund

142.9

147.2

145.40

143.20

HRA

26.2

39.3

52.00

66.20

Total CFR

169.1

186.50

197.40

209.40

Capital Financing Requirement

The CFR is forecast to rise by £40.3m over the next three years as capital expenditure financed by debt outweighs resources put aside for debt repayment.

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Gross Debt and the Capital Financing Requirement: In order to ensure that over the medium term debt will only be for a capital purpose, the Authority should ensure that debt does not, except in the short term, exceed the total of capital financing requirement in the preceding year plus the estimates of any additional capital financing requirement for the current and next two financial years. This is a key indicator of prudence. 31.03.14 Actual £m

30.09.14 Actual £m




130.5

136.9

136.4

134.3

132.9

Finance leases

2.6

2.6

1.8

1.2

0.7

PFI liabilities

14.8

14.8

14.8

14.4

14.2

Total Debt

147.9

154.30

153

149.9

147.8

Debt Borrowing

Total debt is expected to remain below the CFR during the forecast period. The actual debt levels are monitored against the Operational Boundary and Authorised Limit for External Debt, below. Authorised Limit and Operational Boundary for External Debt The Operational Boundary for External Debt is based on the Authority’s estimate of most likely, i.e. prudent, but not worst case scenario for external debt. It links directly to the Authority’s estimates of capital expenditure, the capital financing requirement and cash flow requirements and is a key management tool for in-year monitoring. Other long-term liabilities comprise finance lease, Private Finance Initiative and other liabilities that are not borrowing but form part of the Authority’s debt. The Authorised Limit for External Debt is the affordable borrowing limit determined in compliance with the Local Government Act 2003. It is the maximum amount of debt that the Authority can legally owe. The authorised limit provides headroom over and above the operational boundary for unusual cash movements. The Head of Finance confirms that there were no breaches to the Authorised Limit and the Operational Boundary to this point in the financial year; borrowing at its peak was £136.9m. Operational Boundary 2014-2015

Authorised Limit 2014-2015

Actual External Debt 30/09/2014

Borrowing

184.5

194.5

136.9

Other Long-term Liabilities

15.5

15.5

17.4

Total

200

210

154.3

Ratio of Financing Costs to Net Revenue Stream: This is an indicator of affordability and highlights the revenue implications of existing and proposed capital expenditure by identifying the proportion of the revenue budget required to meet financing costs, net of investment income.

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Ratio of Financing Costs to Net Revenue Stream

2013/14 Actual %

2014/15 Estimate %

2015/16 Estimate %

2016/17 Estimate %

General Fund

4.65

4.72

4.50

4.26

HRA

4.16

4.32

5.25

6.14

Incremental Impact of Capital Investment Decisions: This is an indicator of affordability that shows the impact of capital investment decisions on Council Tax and housing rent levels. The incremental impact is the difference between the total revenue budget requirement of the current approved capital programme and the revenue budget requirement arising from the capital programme proposed earlier in this report. Incremental Impact of Capital Investment Decisions General Fund - increase in annual Band D Council Tax HRA - increase in average weekly rents

2014/15 Estimate £

2015/16 Estimate £

2016/17 Estimate £

34.04

35.65

34.61

0.74

1.24

1.69

Adoption of the CIPFA Treasury Management Code: The Authority adopted the Chartered Institute of Public Finance and Accountancy’s Treasury Management in the Public Services: Code of Practice 2011 Edition in December 2011.

Page 214

Appendix B Money Market Data and PWLB Rates The average, low and high rates correspond to the rates during the financial year rather than those in the tables below. Please note that the PWLB rates below are Standard Rates. Authorities eligible for the Certainty Rate can borrow at a 0.20% reduction. Table 1: Bank Rate, Money Market Rates Date

Bank Rate

O/N LIBID

7-day LIBID

1month LIBID

3month LIBID

6month LIBID

12month LIBID

2-yr SWAP Bid

3-yr SWAP Bid

5-yr SWAP Bid

01/04/2014

0.50

0.36

0.39

0.42

0.46

0.56

0.84

1.05

1.44

2.03

30/04/2014

0.50

0.36

0.40

0.42

0.47

0.57

0.85

1.09

1.47

2.02

31/05/2014

0.50

0.35

0.40

0.43

0.48

0.67

0.87

1.11

1.46

1.98

30/06/2014

0.50

0.36

0.40

0.43

0.50

0.71

0.94

1.33

1.70

2.17

31/07/2014

0.50

0.37

0.41

0.43

0.50

0.72

0.97

1.34

1.71

2.17

31/08/2014

0.50

0.36

0.42

0.43

0.50

0.77

0.98

1.22

1.53

1.93

30/09/2014

0.50

0.43

0.45

0.43

0.51

0.66

1.00

1.25

1.57

1.99

Average

0.50

0.37

0.41

0.43

0.49

0.67

0.92

1.21

1.57

2.06

Maximum

0.50

0.43

0.50

0.43

0.51

0.81

1.00

1.38

1.77

2.26

Minimum

0.50

0.24

0.36

0.42

0.46

0.56

0.84

1.00

1.36

1.91

Spread

--

0.19

0.14

0.01

0.05

0.25

0.16

0.38

0.41

0.35

Table 2: PWLB Borrowing Rates – Fixed Rate, Maturity Loans Change Date

Notice No

1 year

4½-5 yrs

9½-10 yrs

19½-20 yrs

29½-30 yrs

39½-40 yrs

49½-50 yrs

01/04/2014

127/14

1.44

2.85

3.83

4.41

4.51

4.49

4.47

30/04/2014

166/14

1.45

2.86

3.79

4.37

4.46

4.43

4.41

31/05/2014

206/14

1.45

2.78

3.65

4.27

4.38

4.35

4.33

30/06/2014

248/14

1.63

2.95

3.74

4.30

4.40

4.36

4.34

31/07/2014

294/14

1.66

2.96

3.70

4.21

4.30

4.27

4.25

31/08/2014

334/14

1.55

2.70

3.38

3.88

3.97

3.94

3.93

30/09/2014

378/14

1.57

2.77

3.46

3.96

4.07

4.05

4.03

Low

1.40

2.68

3.36

3.87

3.96

3.94

3.92

Average

1.55

2.86

3.67

4.22

4.32

4.29

4.27

High

1.69

3.07

3.86

4.42

4.52

4.49

4.48

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Standard New Borrowing Rates on PWLB Fixed Maturity Loans 5 4.5 4

Borrowing Rate (%)

3.5 1

3

4½-5

2.5

9½-10 19½-20

2

29½-30

1.5

49½-50

1 0.5 0 01/04/2014 01/05/2014

01/06/2014 01/07/2014

01/08/2014

01/09/2014

Date

Table 3: PWLB Borrowing Rates – Fixed Rate, Equal Instalment of Principal (EIP) Loans Change Date

Notice No

4½-5 yrs

9½-10 yrs

19½-20 yrs

29½-30 yrs

39½-40 yrs

49½-50 yrs

01/04/2014

127/14

2.09

2.92

3.85

4.24

4.42

4.49

30/04/2014

166/14

2.12

2.93

3.82

4.20

4.38

4.45

31/05/2014

206/14

2.08

2.84

3.68

4.08

4.27

4.36

30/06/2014

248/14

2.29

3.01

3.76

4.12

4.30

4.38

31/07/2014

294/14

2.32

3.02

3.73

4.05

4.21

4.28

31/08/2014

334/14

2.13

2.75

3.40

3.72

3.89

3.95

30/09/2014

378/14

2.18

2.82

3.48

3.79

3.97

4.05

Low

1.99

2.73

3.38

3.71

3.87

3.95

Average

2.19

2.92

3.7

4.05

4.23

4.30

High

2.39

3.13

3.89

4.26

4.43

4.50

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Standard New Borrowing Rates on PWLB Fixed EIP Loans 5 4.5 4

Borrowing Rate (%)

3.5 3

4½-5 9½-10

2.5

19½-20

2

29½-30 49½-50

1.5 1 0.5 0 01/04/2014 01/05/2014

01/06/2014 01/07/2014

01/08/2014

01/09/2014

Date

Table 4: PWLB Variable Rates 1-M Rate

3-M Rate

6-M Rate

1-M Rate

3-M Rate

6-M Rate

Pre-CSR

Pre-CSR

Pre-CSR

Post-CSR

Post-CSR

Post-CSR

01/04/2014

0.55

0.56

0.57

1.45

1.46

1.47

30/04/2014

0.55

0.56

0.57

1.45

1.46

1.47

31/05/2014

0.55

0.57

0.58

1.45

1.47

1.48

30/06/2014

0.59

0.61

0.67

1.49

1.51

1.57

31/07/2014

0.58

0.61

0.69

1.48

1.51

1.59

31/08/2014

0.58

0.20

0.72

1.48

1.52

1.62

30/09/2014

0.64

0.68

0.75

1.54

1.58

1.65

Low

0.55

0.56

0.57

1.45

1.46

1.47

Average

0.58

0.60

0.65

1.48

1.50

1.55

High

0.64

0.68

0.76

1.54

1.58

1.66

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Agenda Item 17

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