BEE-spoke-data/napierone-pdf-raw · Datasets at Hugging Face

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3734-pdf	## ## Suggested search terms for records on Nazi-era cultural property A Aachen Advance reparation deliveries Ahnenerbe Alfred Rosenberg Allied commission for Austria Allied expeditionary force Allied kommandatura berlin Allied high commission for Germany Alt aussee American commission for the protection of artistic and historic monuments in Europe American council of learned societies Amsterdam art society Anglo-Jewish Association Antiques Archive Art Artist Art objects Austria Axis Axis Victims League Assets B Beaux arts Behr, Kurt von Belgium Belongings Berlin Board of Review Board of Deputies of British Jews Bonds Book Booty Boymans museum, Rotterdam British museum Brueghel Buende Bunjes papers Business C Carpet Central British Fund for Jewish Relief Central collecting point Cézanne Chagall Chateau China Churchill, Winston Claim Claimant Client Coins Collecting point Commission for the protection and restitution of cultural materials Company Concentration camp Conference of allied ministers of education Control commission for Germany Control commission for Austria Control office for Germany and Austria Convention for the protection of historic buildings and works of art in time of war Cooper, Douglas Cranach Credit Cultural objects Cultural property Currency Custodian D Damage Dealer Debt Delivery Denkmalpflege Depository Devisenschutzkommando [foreign currency control] Directorate of civil affairs Dispossessed Dispossession Drawing Dresden Duerer Durer E Enemy Einsatzstab Reichsleiter Rosenberg Err European advisory -council Export F Faience Far eastern commission Federation of Persecutees of the Nazi Regime Firm Fischer, Theodore Florence France Freeze Fuehrer Fuehrermuseum Furniture G Gemaeldegalerie General order German Restitution Office Germany Ghent Goering, hermann Goudstikker Grothe, Walter H Haberstock, Karl Hesse, Philipp Von Heydt, Edmund von der Historic building Historic site Hitler, Adolf Hofer, Walter Andreas Holland I Import Inter-allied declaration against acts of dispossession committed in territories under enemy occupation and control [inter-allied declaration against axis looting] Inter-allied reparations agency Intergovernmental Study Group on Germany Italy J Japan Jewellery Jewels Jewish Jewish Restition Successor Organisation Jewish Trust Corporation K Karinhall Kesselring, Albert Klee Kultur Kunst Kunsthalle ## Kunsthistorisches Museum, Vienna Kunstschutz L Laender Land Leonardo Liaison officer Library Linz List Loire London Loot Lord Macmillan Loss Louvre M Macmillan committee Mann, James G. Mannheimer collection Maps Market Masterpieces Matisse Memling Metternich, Franz Wolff Michelangelo Miedel, Alois Minden Ministry of supply Misappropriation Monet Monte cassino Monuments Monuments, fine arts and archives Muehlmann, Dr Kajetan Museum Mussolini, Benito N National gallery Netherlands Nsdap O Occupied territory Old masters Ornaments Overseas Reconstruction Committee P Painting Paris Pau Pétain, Henri Picasso Picture Pinakothek Poland Porcelain Posse, Hans Possessions Post-hostilities planning sub-commission Prague Prints Property Property rights Provenance R Raphael Reconstruction commission Reichsbank Relics Rembrandt Renoir Reparation Reparations, deliveries and restitution division Repository Reproduction Restitution Restitution law Restitution mission Restoration Rijksmuseum, Amsterdam Ribbentrop, Joachim von Roberts Commission Rome Roosevelt, Franklin D. Rothschild collection Royal academy of arts Rubens S Safehaven Schenker papers Schloss Sculpture Secretary of state for war Securities Seizure Seyss-Inquart, Arthur Shaef Silver Sourches Spiridon Ss Stalin, Joseph Steering committee Stocks Stout, George T Tanzenberg Library Tapestries Tate gallery Textile Theft Titian Trade Trading with the Enemy Department Transfer Treasure Trophies Tuscany U Uffizi Unidentified property UK United Nations United Restitution Office Us USSR Utikal, Gerhard V Valland, Rose Valuables Van gogh Vatican Vaucher Commission Vaucher, Paul Vermeer Victoria and Albert Museum Villa Voss, Hermann W Wallace collection Wallraf-Richartz Museum, Cologne Ward-perkins, J. B. War Loss and Damage Register Warsaw Washington Watercolour Watteau Wehrmacht Wildenstein collection Woolley, Leonard Works of art World Jewish Congress Y Yugoslavia Ziegler, Adolf Records selection, introduction and descriptions reproduced by the kind permission of the Commission for Looted Art in Europe. The National Archives gives no warranty as to the accuracy, completeness or fitness for purpose of the information provided.	en
3782-pdf	## Update Of Major Projects Over The Page Is A Summary Of The Council'S Major Projects: Please Note Before Reviewing The "Large" Project Information: - The Summary of "Large" projects will evolve over time as projects progress, are completed and new projects are initiated and is provided to inform the committee in performing its role of risk and assurance of the project management approach. - Any project that achieves a score of 80 or more out of 160 qualifies as a "Medium/Large" or Major project and is included in this list. - Executive is responsible for scheme financing/policy and Scrutiny will perform detailed reviews of any relevant project. - The status (RAG - Red, Amber or Green) is provided as an overview. (RAG description, below, as agreed at the July 2016 A&G committee) Green All the elements of delivery are within acceptable parameters with risks managed. Amber There are risks/issues with one or more elements of delivery. There is a plan in place to bring the project back within acceptable parameters and it is in the control of the project team. Red There are issues with one or more elements of delivery and there is no plan in place to mitigate or there is a plan emerging, but it is out of the control of the project team ## The Coporate Projects Portfolio Was Significantly Affected By The Unprecedented Challenges Of The Covid- 19 Pandemic During This Period \| Large projects summary \| Previous \| \|----------------------------------\|-------------\| \| period \| \| \| (RAG) \| \| \| Older Person's Accommodation \| \| \| Phase 2(ASC) \| \| \| York Central \| \| \| Amber \| Amber \| \| Same \| \| \| Castle Gateway \| \| \| Amber \| Amber \| \| Same \| \| \| Local Plan \| \| \| Amber \| Amber \| \| Same \| \| \| Guildhall \| \| \| Green \| Green \| \| Same \| \| \| Community Stadium \| \| \| Green \| Green \| \| Same \| \| \| Adult Social Care - Future Focus \| \| \| Green \| Green \| \| Same \| \| \| Outer ring road (A1237) \| \| \| Amber \| Amber \| \| Same \| \| \| Housing Delivery Programme \| \| \| Amber \| Amber \| \| Same \| \| \| Centre of Excellence \| \| \| Green \| Green \| \| Same \| \| \| Provision of School Places 2017- \| \| \| 2023 \| \| \| Housing ICT Programme \| \| \| Amber \| Amber \| \| Same \| \| \| Smart Travel Evolution Programme \| \| \| (STEP) \| \| \| Flood Risk \| \| \| Green \| Green \| \| Same \| \| \| City Centre Access Project \| \| \| Amber \| Amber \| \| Same \| \| \| Parking Review \| \| \| Green \| Green \| \| Same \| \| \| Children in Care Residential \| \| \| Commissioning \| \| \| Inclusion Review \| \| \| Green \| Green \| \| Same \| \| \| Be Independent \| \| \| Amber \| Amber \| \| Same \| \| \| Procurement of MSA and Strategic \| \| \| Engagement Technology Partner \| \| \| Hyperhubs \| \| \| Amber \| Green \| \| Better \| \| This period (RAG) Direction of travel Green Green Same Amber Amber Same Amber Amber Same Amber Amber Same Green Green Same ## Detailed Updates Project Title Older Persons' Accommodation Programme Phase 2 Reporting period March 2020 ## Description To provide, and ensure the provision of, a range of accommodation to address the housing (and care) needs of the city's older residents. The Council's Executive on 30th July 2015 approved the Business Case for the Older Persons' Accommodation Programme in order to prepare the city for a 50% increase in the size of the over 75 population. This will:  Deliver a 10 unit extension and refurbishment of Lincoln Court Independent living scheme  Build a 29 unit extension to the Extra Care scheme at Marjorie Waite Court, plus provide 4 bungalows on the site  Carry out community and stakeholder engagement to establish the demand for specialist older person's housing and the issues facility residents of the city in relation to age related housing.  Complete procurement of a new residential care facility as part of the wider Health and Wellbeing Campus at Burnholme; and  Encourage the development of additional residential care capacity, extra care and age related housing, supporting older people to continue to live independently in their own home.  Complete the transfer of Haxby Hall care home to a care provider who will extend and enhance the provision on site.  Review the Council's Independent Living stock to ensure it meets the needs of existing and new tenants and to seek opportunities to increase its capacity. \| Overall status this period (Mar) \| \| Overall status previous period (Feb) \| \|----------------------------------------------------------------\|---------------------------------------------------------------------\|-----------------------------------------\| \| \| \| \| \| Financial \| Non \| Tasks \| \| \| Scope \| Quality \| \| \| \| \| \| Benefits \| \| \| \| \| \| \| \| Milestones \| \| \| \| \| \| \| \| Mar \| \| \| \| \| \| \| \| \| \| \| \| Feb \| \| \| \| \| \| \| \| \| \| \| \| - \| \| \| \| \| The date for the transfer of Haxby Hall has now been agreed and the \| \| \| transfer is now scheduled for 31 May 2020. \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Tasks & \| \| \| \| Milestones \| \| \| \| - \| \| \| \| \| The Oakhaven scheme has not progressed since the initial \| \| \| procurement. Work is now being undertaken to establish how to \| \| \| \| ensure the delivery of older person's accommodation through an \| \| \| \| alternative route. \| \| \| \| Status \| \| \| \| Explanation \| \| \| \| - \| \| \| \| \| Lowfield care home procurement did not secure a developer. Work is \| \| \| now underway to establish how the site can best deliver Older \| \| \| \| Person's Accommodation. \| \| \| \| - \| \| \| \| \| All other elements of the programme are on schedule. \| \| ## Current Status Programme Wide 1. Plans are being developed by the Housing delivery programme for properties on Burnholme, Ordanance Lane and Duncombe Barracks. The Older Person's Accommodation Programme has been involved in determining the design, layout and home numbers to enable older people to live well in each of these developments. 2. Development of Bungalows at Lowfield Green is progressing well with these being the first phase of the development to be completed. ## Burnholme Health & Wellbeing Campus 1. Care Home Construction Progressing Well. Marjorie Waite Court Extra Care Scheme. 1. The switch over of the power supply has been completed. Both the existing and the new parts of the building are now connected to the new plant room. 2. Bathroom and communal space detail has been agreed to support those living with dementia and cognitive impairments to live well independently. 3. Residents continue to be kept informed of the work programme, 4. Improvements to the existing building being agreed with contractor and tenants. ## Lincoln Court 1. Work is progressing well on site. Topping out celebrations were held on 19th February. 2. The connection to the electricity substation is underway. 3. Adverse weather led to some work rescheduling and some internal works being carried out early. ## Haxby Hall 1. The executive have agreed to acquire properties on York Rd and lease these and Haxby Hall to Yorkare Homes. 2. Legal negotiations with Yorkare Homes are progressing well. 3. A programme of meetings with staff and residents has begun. 4. Operational arrangements are being put in place for the handover to Yorkare in the spring. ## New Independent Sector Provision 1. The partnership working with JHRT for nominations to apartments at New Lodge is going well. 2. Work is progressing well on site to construct a new care home on the former Fordlands care home site. 3. The Council's planning department is working on applications for extra care properties on Shipton Rd and a 60 bed care home in Strensall. 4. A commercial developer held a public open day showing their proposals for an extra care scheme on Tadcaster Road on 19th February. This was very well attended. - Burnholme Care Home Topping Out ceremony will take place on 11th March/11 June. - A report on the options for the Lowfield Green Older Person's Accommodation site will be discussed by the executive on 18th March. - Lincoln Court electricity supply connection will be complete. - Lincoln Court roofing will be completed. - Marjorie Wait Court residents and neighbours newsletter will be distributed. - The post of extra care change manager to support the development of the CYC extra care model prior to the opening of MWC extension will be advertised. Reports to Executive, CMT, Project Board, DMT Exec member Cllr. Carol Runciman and Cllr Denise Craghill Corporate Director of Health, Housing and Adult Social Care: Sharon Houlden Director responsible Dependencies Burnholme Health & Wellbeing Campus Capital Programme Executive July 2015 https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=88 40&Ver=4 Link to paper if it has been to another member meeting (e.g. executive, council, a scrutiny committee) Executive October 2015 - Grove House and Oakhaven Older Persons' Homes https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=88 42&Ver=4 Executive May 2016 - Delivery of Community Facilities at the Burnholme Health & Wellbeing Campus http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=8884& Ver=4 Executive July 2016 Demonstrating Progress on the Older Persons Accommodation Programme https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 03&Ver=4 Executive November 2016 (Willow house OPH) http://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MI d=9307&Ver=4 Executive December 2016 - Older Persons' Accommodation Programme Update / Burnholme Health & Wellbeing Campus: Key Decisions to further progress this development / Lowfield Green Development: Moving forward to deliver a care home, health facility and housing / Haxby Hall Older Persons' Home: A Sustainable Future https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 08&Ver=4 Executive Feb 2017 - Sale of Land at Fordlands Road as Part of the Older Persons' Accommodation Programme https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 10&Ver=4 Executive March 2017 - Oakhaven Extra Care Facility: the sale of land to facilitate the development https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 11&Ver=4 Executive March 2017 - Burnholme: the sale of land to facilitate the development of a Care Home; agreement to management arrangements for the Community & Library facilities; disposal of the Tang Hall Library site https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 11&Ver=4 Executive August 2017 - Investment in New Extra Care Accommodation for Older People at Marjorie Waite Court Following the Closure of Burton Stone Lane Community Centre https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 190&Ver=4 Executive August 2017 - A Further Phase of the Older Persons' Accommodation Programme Deciding the Future of Woolnough House Older Persons' Home . https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 190&Ver=4 Executive September 2017 - Demonstrating Delivery of the Older Persons' Accommodation Programme https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 191&Ver=4 Executive October 2017 - Disposal of Willow House, Walmgate, York https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 192&Ver=4 Executive December 2017 - A Further Phase of the Older Persons' Accommodation Programme: Deciding the Future of Windsor House Older Persons' Home https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 194&Ver=4 Executive January 2018 - Securing a Sustainable Future for Haxby Hall Older Persons' Home https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 195&Ver=4 Executive February 2018 - Disposal of Willow House http://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=101 96&Ver=4 Executive March 2018 - Investment at Lincoln Court to Create an Independent Living with Support Facility http://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=101 89&Ver=4 Executive April 2018 - Deciding the Future of Morrell House Older Persons Home http://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=101 97&Ver=4 Executive July 2018 - Delivering Improved Sports and Active Leisure Facilities at Burnholme https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 470&Ver=4 Executive September 2018 - Demonstrating Delivery of the Older Persons' Accommodation Programme and Preparing for Further Action https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 472&Ver=4 Executive November 2018 - A Further Phase https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 474&Ver=4 Executive March 2019 - Investment in the Redevelopment of Lincoln Independent Living Scheme https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11 469&Ver=4 Executive January 2020 - The Transfer and Transformation of Haxby Hall Care Home (by way of long lease) and associated land transactions. https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11 115&Ver=4 Executive March 2020 - Lowfield Green: Responding to Older Persons' Accommodation Needs. https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11 117&Ver=4 ## Project Title York Central Reporting period March 2020 Description York Central is a key strategic development site for economic growth and housing delivery for the city. The majority of the land is in the ownership of Network Rail and Homes England. CYC have a role to play in de-risking the site and accelerating delivery with public sector partners. In recent months, the site and the opportunity it presents have been positioned at all levels of Government as a priority site for support to enable delivery of locally-led regeneration and development schemes. The capacity for the site to contribute to the achievement of the local plan housing targets is also a key consideration. Overall status this period (Mar) Overall status previous period (Feb) \| \| \| \| \| \| Financial \| Non \| Tasks \| \| \| \|--------------------------------------------------------------------------\|--------------------------------------------------------------------------\|---------\|-------\|-----------\|--------------\|-----------\|----------\|-------\|--------\| \| \| Scope \| Quality \| Costs \| Resources \| Benefits \| Financial \| & \| Risks \| Issues \| \| \| \| \| \| \| \| \| \| \| \| \| Benefits \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Milestones \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Mar \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Feb \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Tasks \| \| \| \| \| \| \| \| \| \| \| & \| \| \| \| \| \| \| \| \| \| \| - \| \| \| \| \| \| \| \| \| \| \| \| The programme is driven by partner organisational delivery \| \| \| \| \| \| \| \| \| \| imperatives and funding availability. The programme indicates \| \| \| \| \| \| \| \| \| \| \| that milestones are achievable but there is very little float/ scope for \| \| \| \| \| \| \| \| \| \| \| slippage and the project is complex with many communities of \| \| \| \| \| \| \| \| \| \| \| interest. \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Milestones \| \| \| \| \| \| \| \| \| \| \| Status \| \| \| \| \| \| \| \| \| \| \| - \| \| \| \| \| \| \| \| \| \| \| \| The project remains on target to deliver infrastructure works to funding \| \| \| \| \| \| \| \| \| \| deadlines and housing/economic benefits to City. \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Explanation \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| - \| \| \| \| \| \| \| \| \| \| \| \| City of York Council and WYCA have released additional funding \| \| \| \| \| \| \| \| \| \| whilst the HIF announcement is awaited, to support scheme off plot \| \| \| \| \| \| \| \| \| \| \| infrastructure detailed design and Reserved Matters Planning \| \| \| \| \| \| \| \| \| \| \| Application. \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Risks \| \| \| \| \| \| \| \| \| \| \| Status \| \| \| \| \| \| \| \| \| \| \| Explanation \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Risks associated with the project are complex and interdependent. Active \| \| \| \| \| \| \| \| \| \| \| risk management is ongoing. \| \| \| \| \| \| \| \| \| \| \| Issues \| \| \| \| \| \| \| \| \| \| \| Status \| \| \| \| \| \| \| \| \| \| \| Planning RMA submission March 2020, Partnership Agreement to be \| \| \| \| \| \| \| \| \| \| \| signed, S106 to be signed, and HIF funding awaited. \| \| \| \| \| \| \| \| \| \| \| Explanation \| \| \| \| \| \| \| \| \| \|  The Outline Planning Application was approved by Planning Committee in March 2019. The Reserved Matters Application for phase 1 off plot infrastructure is being prepared and will be submitted in March 2020.  Public Engagement on the RMA commenced in February 2020.  John Sisk Ltd have been appointed as infrastructure delivery partner for Phase 1 Infrastructure, they have reported on Buildability issues and these have been approved by Board for development into the Stage 4 Design.  The WY+TF Full Business Case has been conditionally approved by WYCA.  The Outline Planning Application was approved by Planning Committee in March 2019.  The Reserved Matters Application for phase 1 off plot infrastructure is being prepared and will be submitted at the end of March 2020.  Public Engagement on the RMA will continue through March 2020.  John Sisk Ltd have been appointed as infrastructure delivery partner for Phase 1 Infrastructure, they have reported on Buildability issues and these have been approved by Board for development into the Stage 4 Design which is underway.  The WY+TF Full Business Case has been conditionally approved by WYCA.  TCF SOC for accessible Western Station Entrance being submitted Reports to York Central government structures and the Executive. Exec member Cllr Keith Aspen Neil Ferris - Corporate Director of Economy and Place Director responsible Dependencies Local Plan Policy, Economic Strategy, City Transport Policy and external funding bids. Executive December 2015 - York Central and Access Project http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=8844& Ver=4 Executive July 2016 - York Central http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=9303& Ver=4 Link to paper if it has been to another member meeting (e.g. executive, council, a scrutiny committee) Executive November 2016 Consultation on access options / Third party acquisitions http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=9307& Ver=4 Executive July 2017: Project and Partnership Update http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10188 &Ver=4 Executive November 2017 - Preferred Access Route and Preparation for Planning http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10193 &Ver=4 Executive March 2018 - York Central Access Construction http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10189 &Ver=4 Executive June 2018 - Masterplan and Partnership Agreement http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10469 &Ver=4 Decision Session August 2018 - York Central Design Guidelines http://modgov.york.gov.uk/ieListDocuments.aspx?CId=875&MID=10847 #AI49619 Executive August 2018 York Central Update - Western Access http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10471 &Ver=4 Executive November 2018 - York Central Enterprise Zone investment Case http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10474 &Ver=4 Executive January 2019 York Central Partnership Legal Agreement http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10476 &Ver=4 Executive July 2019 - York Central Partnership Update http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11107 &Ver=4 Executive October 2019 - Update http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11111 &Ver=4 ## Project Title Castle Gateway Reporting Period March 2020 Description City of York Council (CYC) are one of the principal land owners in the area around Piccadilly, the Eye of York, St George's Field and the Foss Basin. This area is being referred to as the "Castle Gateway" and many parts of the area are underused, semi derelict or of poor quality. Many of the properties are for sale or owned by investors and there is a risk that the area will continue to be blighted or that important sites will be developed in a piecemeal manner. The area is urgently in need of a fresh vision to improve the locality and create a socially and economically sustainable future. As the principal landowner, CYC will be instrumental in delivering a joined-up regeneration of the area which will maximise social and economic benefits for the City. \| Overall status this period (Mar) \| \| Overall status previous period (Feb) \| \|---------------------------------------------------------------------------\|-------\|-----------------------------------------\| \| \| \| \| \| Financial \| Non \| Tasks \| \| \| Scope \| Quality \| \| \| \| \| \| Benefits \| \| \| \| \| \| \| \| Milestones \| \| \| \| \| \| \| \| Mar \| \| \| \| \| \| \| \| \| \| \| \| Feb \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Financial \| \| \| \| Benefits \| \| \| \| Status \| \| \| \| Explanation \| \| \| \| A GVA assessment of the proposed masterplan has been undertaken by \| \| \| \| WYCA. They assess the GVA benefits of the proposals to be £360m for \| \| \| \| the Leeds City Region. However, realising these benefits is dependent on \| \| \| \| the successful delivery of the whole masterplan which will require \| \| \| \| significant investment from the council and other public bodies. \| \| \| \| \| \| \| \| \| \| \| \| Risks Status \| \| \| \| Explanation \| \| \| \| This is a complex project to deliver an ambitious masterplan, and as such \| \| \| \| it has significant risks to its delivery. A detailed risk workshop \| \| \| \| was facilitated by Veritau in September and the risk register has \| \| \| \| been fully overhauled and updated. Whilst mitigation and monitoring of \| \| \| \| these risks is being undertaken, the project is likely to remain at risk \| \| \| \| throughout delivery. \| \| \| \| Issues \| \| \| \| Status \| \| \| \| Explanation \| \| \| \| \| \| \| \| Issues remain under review. \| \| \| \| \| \| \| Delivery strategy - Work is progressing on preparing the tender documents to procure construction partners for the projects in phase one. The successful contractors will undertake the RIBA stage 4 design of St George's Field and Castle Mills and provide a tender price for the build phase. These tender submissions will then enable the Executive to make an informed decision based on actual costs before drawing down the full budget in late 2020. A further report will also be brought back to Executive in the summer of 2020, setting out the proposed delivery model for 17-21 Piccadilly, and the business case and funding strategy for phase two of the masterplan - the new public realm to replace Castle Car Park. Castle Mills - The planning application was submitted in November. Due to the proximity of the new riverside park to the flood zone, the Environment Agency have requested further technical information to allow them to formally comment on the application. A meeting with the Environment Agency was due to take place in February but was postponed until March due to their capacity being taken up by responding to the recent floods. Due to that delay it is anticipated that the application will now be considered at May 2020's planning committee. St George's Field - The planning application for the multi-storey car park was submitted in mid-September. The majority of issues with the application have now been resolved. However, as the application is to be considered at the same planning committee as Castle Mills it is expected to be determined in May 2020. West Yorkshire Transport Fund - the strategic outline case to the West Yorkshire Transport Fund for the junction improvements and other highway interventions in the Castle Gateway was approved in February. This is a key funding source for the delivery of the Castle Gateway masterplan and work can now proceed to outline and full business case stages. Public engagement - The public brief which will shape the new public space at Castle car park has now been published and is open to public comment. This brief is the result of the events that took place in 2019. Castle Gateway events - a lease has been agreed for the Cbeebies roadshow to take place on Castle Car Park in September 2020. The announcement has attracted significant positive publicity and again showcases the potential of the space to be used in the future for events. St George's Field and Castle Mills - Officers will continue to respond to any comments or objections relating to the planning applications and will work with planning officers to resolve any issues to ensure the successful achievement of planning permission. Phase one delivery - the tender documents will be finalised to allow the procurement of contractors to undertake the detailed design and provide a final price for the construction of St George's Field and Castle Mills. 17-21 Piccadilly - the RIBA stage 2 design work will commence to ascertain the development capacity of the site and allow a decision as to whether the council should proceed with development or dispose to the market to deliver. A proposed 2 year extension of Spark: York's lease - subject to planning - was approved in February by the Executive Member for Finance and Performance to allow the site to remain in use until it is ready for redevelopment. This extension will only commence once they have complied with all outstanding planning issues relating to the site. Reports to The Executive sponsor for the Castle Gateway is the Leader of the Council in his remit as Executive Member for Finance and Performance. The Executive have approved a whole series of recommendations over the last three years to advance the project, with delivery of these being the responsibility of the Castle Gateway Working Group. This working group was established in January 2017 and serves as the project board and meets on a monthly basis. It is chaired by the Director for Economy and Place, and the wider interests of the council are represented by the Assistant Directors for Regeneration and Asset Management; Planning and Sustainable Development; and Transport, Highways and the Environment. The group also has Heads of Service for legal, finance and property. The working group is the key interface point with wider stakeholders, with the project manager and Assistant Director for Regeneration and Asset Management chairing the Castle Gateway Advisory Group (which consists of key stakeholders and principal custodians of the city) and the My Castle Gateway public engagement partnership. The interests of the formal partnership with York Museums Trust will also be represented by the same individuals and outcomes and decisions fed back in to the working group. The Castle Gateway project manager has defined expenditure levels under the Council's Contract Procedure Rules. Any decisions that are outside the remit of previous recommendations from the Executive are taken to the appropriate decision making route as set out by the council's governance and decision making framework. Dependent on the nature and scope of the issue this may be an officer decision, Executive Member decision, or require a full Executive decision. Exec member Cllr Nigel Ayre Neil Ferris - Corporate Director of Economy and Place Director responsible Dependencies Local Plan Policy, City Transport Policy Executive October 2015 - York's Southern Gateway http://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=884 2&Ver=4 Link to paper if it has been to another member meeting Executive November 2016 - Land Assets on Piccadilly https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 07&Ver=4 Executive January 2017 - Update York Castle Gateway https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 09&Ver=4 Executive August 2017 - Proposed Temporary Use of Part of Castle Car Park https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 190&Ver=4 Executive April 2018 - Castle Gateway Masterplan http://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=101 97&Ver=4 Executive October 2018 - Proposed Temporary Uses of Part of Castle Car Park https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 473&Ver=4 Executive October 2019 - Update http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11111 &Ver=4 Executive January 2020 - Castle Gateway Phase One Delivery Strategy https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11 115&Ver=4 ## Project Title Local Plan Reporting Period March 2020 Description The 'Local Plan' is a citywide plan which sets the overall planning vision and the spatial land use strategy for the city. It provides a portfolio of both housing and employments sites for at least a 15 year period and will set the Green Belt boundaries for York. In addition it incorporates both policies and approaches to set the context for development management decisions. Effectively, it sets out the opportunities and policies on what will or will not be permitted and where, including new homes and businesses. The Local Plan must be accompanied by an infrastructure delivery plan setting out the Council's approach to strategic infrastructure and its funding. All housing and employments sites included must be viable and deliverable this is directly linked to future approaches to planning gain i.e. CiL and S106. In response to both the Council resolution in autumn 2014, and the changed national and local context, officers have initiated or a series of work streams to inform the next stages of plan production. This relates to housing need, economic growth and the related need for employment land, and detailed site assessments. The production of the plan has to be in accordance with statute and national guidance. This includes a legal requirement to work with neighbouring authorities. It also means that the plan must be subject to Sustainability and Environmental Assessments. It will also ultimately be subject to an independent examination by a government inspector. \| Overall status this period (Mar) \| \| Overall status previous period (Feb) \| \|--------------------------------------------------------------------------\|-------\|-----------------------------------------\| \| \| \| \| \| Financial \| Non \| Tasks \| \| \| Scope \| Quality \| \| \| \| \| \| Benefits \| \| \| \| \| \| \| \| Milestones \| \| \| \| \| \| \| \| Mar \| \| \| \| \| \| \| \| \| \| \| \| Feb \| \| \| \| \| \| \| \| \| \| \| \| Scope \| \| \| \| Status \| \| \| \| Take the Local Plan through examination in public (EIP) and to adoption \| \| \| \| as statutory development plan for York. \| \| \| \| Explanation \| \| \| \| Costs \| \| \| \| Status \| \| \| \| \| \| \| \| Cost associated with EIP, modifications consultation and adoption. \| \| \| \| Explanation \| \| \| \| Tasks & \| \| \| \| Milestones \| \| \| \| Status \| \| \| \| Appointed planning inspectors are undertaking an independent \| \| \| \| examination of York's Local Plan. Initial hearing sessions took place at \| \| \| \| York Racecourse from 10th to 18th December 2019. \| \| \| \| Explanation \| \| \| ## Risks Status Risks associated with examination of Local Plan by Planning Inspectorate. ## Explanation Current Status Appointed planning inspectors have completed phase 1 of the examination of York's Local Plan. The initial hearing sessions took place at York Racecourse from 10th to 18th December. More information about the hearings is available to view at: www.york.gov.uk/localplanexamination The Local Plan sets strategic priorities for the whole city and forms the basis for planning decisions; it must be reviewed at regular intervals to be kept up to date. The first phase hearing sessions covered the strategic principal matters identified by the inspectors including:  legal compliance  housing need and  the York Green Belt. The inspectors took into account the comments submitted to-date, as far as they related to soundness considerations such as whether the plan is justified, effective and consistent with national policy. Following the submission of the required 'homework' items discussed in the Phase 1 hearing sessions it is anticipated that the Inspector will issue the Council with an interim Inspectors report in March 2020. Further phase 2 hearing sessions on the remainder of the Plan will then be requested by the Inspector but the timing of these is dependent on the outcome of the phase 1 Inspectors report. Reports to Executive, Local Plan Working Group Exec member Cllr. Keith Aspden, Cllr Andrew Waller and Cllr Nigel Ayre Neil Ferris - Corporate Director of Economy and Place Director responsible Dependencies Deliverability of York Central Executive July 2015 https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=88 40&Ver=4 Link to paper if it has been to another member meeting Executive June 2016 City of York Local Plan - Preferred Sites Consultation http://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=919 1&Ver=4 Executive December 2016 - Update on Preferred Sites Consultation and Next Steps https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 08&Ver=4 Executive January 2017 - Update on Local plan https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 09&Ver=4 Executive July 2017 https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 188&Ver=4 Local Plan Working Group January 2018 http://democracy.york.gov.uk/documents/s120857/LP%20LPWG%20FI NAL%20REPORT.pdf Executive January 2018 - Update https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 195&Ver=4 Executive May 2018 City of York Local Plan - Submission https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 198&Ver=4 Executive September 2018 Supplementary Planning Documents to support the emerging York Local Plan https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 472&Ver=4 Executive March 2019 - Update https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 479&Ver=4 Project title The Guildhall Reporting period March 2020 Description City of York Council vacated the Guildhall in April 2013, moving to West Offices as part of the Admin Accommodation programme, in order to make approx. £1m pa savings. An evaluation of potential future uses had already been undertaken, and following further feasibility work and review a decision on the Future of the complex was taken by Executive in October 2015. Approval was granted for detailed project development work to secure the future of the Guildhall as a serviced office venue; with virtual office and business club facilities, maximising the benefits of the different spaces within the complex, its heritage appeal, and also ensuring ongoing council use and public access in a mixed use development. Overall status this period (Mar) Overall status previous period (Feb) \| \| \| \| \| \| Financial \| Non \| Tasks \| \| \| \|----------------------------------------------------------------------------\|-------\|---------\|-------\|-----------\|--------------\|-----------\|----------\|-------\|--------\| \| \| Scope \| Quality \| Costs \| Resources \| Benefits \| Financial \| & \| Risks \| Issues \| \| \| \| \| \| \| \| \| \| \| \| \| Benefits \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Milestones \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Mar \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Feb \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Tasks & \| \| \| \| \| \| \| \| \| \| \| Milestones \| \| \| \| \| \| \| \| \| \| \| Status \| \| \| \| \| \| \| \| \| \| \| Explanation \| \| \| \| \| \| \| \| \| \| \| Obstacles encountered during the jack piled section of the underpinning \| \| \| \| \| \| \| \| \| \| \| have delayed the operation requiring alternative approach to core \| \| \| \| \| \| \| \| \| \| \| through the obstructions, initial coring of the first of the three pile \| \| \| \| \| \| \| \| \| \| \| locations on the critical path has been successful the jack piling through \| \| \| \| \| \| \| \| \| \| \| the cored hole was also successful the remaining 2 piles will be \| \| \| \| \| \| \| \| \| \| \| attempted on Monday the 9th of March, we are reasonably confident that \| \| \| \| \| \| \| \| \| \| \| these piles will be successfully completed allowing the north range \| \| \| \| \| \| \| \| \| \| \| demolition to proceed. \| \| \| \| \| \| \| \| \| \| \|  \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| The construction budget is now set. \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Risks Status \| \| \| \| \| \| \| \| \| \| \|  \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| The contract has now moved into the construction phase, a \| \| \| \| \| \| \| \| \| \| \| collaborative risk workshop has been undertaken and a revised risk \| \| \| \| \| \| \| \| \| \| \| register has been agreed. \| \| \| \| \| \| \| \| \| \| \| Explanation \| \| \| \| \| \| \| \| \| \| \|  \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| The underpinning of the north range is well advanced and this risk \| \| \| \| \| \| \| \| \| \| \| should hopefully be removed by the next reporting date. \| \| \| \| \| \| \| \| \| \| \|  \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| The river conditions posed a high level of risk for crane erection, the \| \| \| \| \| \| \| \| \| \| \| levels are less critical for daily use of the river hence the lowering of \| \| \| \| \| \| \| \| \| \| \| the risk to amber. \| \| \| \| \| \| \| \| \| \| ## Current Status Statutory Consents / Approvals  Executive approval February 2019 to advance to the construction stage.  Planning and LBC approvals granted 16 Feb 17.  Executive approval for scheme delivery 16 Mar 2017.  Full Council approval of budget requirement 30 Mar 2017.  Grant Agreement letter signed with WYCA 7 Apr 2017 securing £2.347m of LGF funding from LCR LEP to support project delivery. ## Project Progress Construction Commenced On The 16Th Of September 2019. Future Outlook.  Complete the North Range Underpinning, Demolish the North Range Annexe, and commence the south range substructure. Reports to The Guildhall board reports to Economy and Place DMT and PM updates Executive member and Executive when required for updates and approvals. Exec member Cllr Nigel Ayre Neil Ferris - Corporate Director of Economy and Place Director responsible Dependencies Local plan Executive October 2015 - The Future of York's Guildhall & Riverside http://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=884 2&Ver=4 Scrutiny - 13 June 2016 http://modgov.york.gov.uk/ieListDocuments.aspx?CId=144&MId=9420& Ver=4 Link to paper if it has been to another member meeting (e.g. executive, council, a scrutiny committee) Exec July 2016 - Detailed Designs & Business Case http://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=930 3&Ver=4 Executive March 2017 - The Development of the Guildhall Complex https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 11&Ver=4 Executive May 2018: The Development of the Guildhall Complex https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 198&Ver=4 Executive February 2019: Redevelopment Tender Evaluation & Project Business Plan Appraisal https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11 007&Ver=4 ## Project Title Community Stadium Reporting Period March 2020 Description The Community Stadium project will deliver a new football and rugby stadium for professional sport and community sport and leisure facilities for the city of York. The project also includes a new athletics facility for use by York Athletic Club as well as many community uses and work with community partners. The core project objectives are to provide a new Community Stadium within a new leisure facility complex on the grounds of the existing Huntington Stadium / Waterworld swimming pool. This project represents an opportunity to create one of the country's most far reaching community stadium complexes. \| Overall status this period (Mar) \| \| Overall status previous period (Feb) \| \|---------------------------------------------------------------------------\|------------------------------------------------------------------------\|-----------------------------------------\| \| \| \| \| \| \| \| \| \| \| Scope \| Quality \| \| \| \| \| \| Mar \| \| \| \| \| \| \| \| \| \| \| \| Feb \| \| \| \| \| \| \| \| \| \| \| \| Costs \| \| \| \| Status \| \| \| \| Explanation \| \| \| \| - \| \| \| \| \| Adoption and design issues with the site road and drainage could lead \| \| \| to delay and increased cost. Outcome of any claim for time and delay \| \| \| \| could result in additional cost. Commercial land receipt awaiting \| \| \| \| confirmation of further tenants. \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Tasks & \| \| \| \| Milestone \| \| \| \| Status \| \| \| \| - \| \| \| \| \| Build delay confirmed which moves the summer 2019 completion and \| \| \| subsequent handover to an early 2020 opening. This is due to a \| \| \| \| number of build factors and the extent is still to be fully determined. \| \| \| \| Delay confirmed by the construction company, this means the \| \| \| \| previously reported summer 2019 opening can no longer be achieved. \| \| \| \| Full testing and commissioning programme to be completed early \| \| \| \| 2020. This is now ongoing. \| \| \| \| Explanation \| \| \| \| \| \| \| \| - \| \| \| \| \| Licensing, commissioning, testing and certification of the site is \| \| \| ongoing and opening will follow the certificated completion of these \| \| \| \| requirements. \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Risks \| \| \| \| - \| \| \| \| \| Build completion is behind schedule with mitigation measures and \| \| \| impacts still being assessed by the consortium. Completion and \| \| \| \| opening is now early 2020. Full extent of the delay is still to be \| \| \| \| confirmed. Commissioning and testing period through early 2020 now \| \| \| \| ongoing and started 6 January 2020. \| \| \| \| Status \| \| \| \| Explanation \| \| \| \| - \| \| \| \| \| The commercial development has made a number of changes to the \| \| \| build and fit out of the structure. This has meant a re-timed opening for \| \| \| \| the commercial element from July 2019 to December 2019 onwards \| \| \| \| with several units opening through 2020. \| \| \| \| \| \| \| \| \| \| \| \| - \| \| \| \| \| Issue of the highways works is significant but is now being progressed \| \| \| to completion. \| \| \| \| \| Financial \| Non \| Tasks \| \| \|------------\|--------------\|--------\|----------\|--------\| \| Benefits \| Financial \| & \| Risks \| Issues \| \| \| \| \| \| \| \| Benefits \| \| \| \| \| \| \| \| \| \| \| \| Milestones \| \| \| \| \| \| \| \| \| \| \| Issues Status - Site is subject to delay, however, testing and commissioning is now ongoing, started 6 January 2020 with site delivery early 2020. Explanation - NHS design and build is progressing to completion. In the last six months of the project progress has been made as follows:  Internal fit outs are ongoing.  Tenant now secured for the lantern unit with legal agreements ready for execution.  Additional tenant for the lantern remainder area now being progressed as well as gym usage.  Build delay now confirmed on the stadium and leisure site with delay currently being notified by the GLL consortium. This is subject to further review and scrutiny. Confirmation of full delay and completion is awaited from GLL.  Original deadline of May 2019 for build completion has passed.  Build main structures are all complete, and commissioning and testing programme started early 2020.  Pitch construction now complete.  Floodlights all in and complete.  All 3 pools complete.  Seats now complete in all stands.  Sponsorship and naming rights contract complete and approved.  Cinema complete and open as of December 2019.  Starbucks restaurant complete and open as of December 2019.  External site works to complete early 2020. The next steps for the project are as follows:  Completion of the road and connections early 2020.  Completion of the commercial build early 2020.  Snagging for all stadium and leisure areas ongoing through early 2020.  Confirmation of tenants for the commercial unit early 2020.  Lantern tenant now confirmed with additional tenant now progressing.  Stadium and leisure site build completion early 2020.  Commercial tenants fit out July 2019 to June 2020.  Stadium, Leisure and Hub Tenant fit out expected early/ mid 2020.  Stadium and Leisure Site predicted open and operational early 2020.  Commercial site Cinema opened December 2019, rest to follow in 2020. Reports to Project team report to the Director of Finance and prepare reports to the project Board. The project Board Chair updates Exec and Full Council when needed. Subject to Audit and Governance scrutiny. Exec member Cllr. Nigel Ayre Ian Floyd - Deputy Chief Executive & Director of Customer & Corporate Services Director responsible Dependencies Yearsley review. The continued operation of Yearsley is Potentially linked to the DBOM contract proposed. Full Council March 2016 http://modgov.york.gov.uk/ieListDocuments.aspx?CId=331&MId=8836& Ver=4 Executive December 2016 - Update report http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=9308& Ver=4 Link to paper if it has been to another member meeting (e.g. executive, council, a scrutiny committee) Executive March 2017 http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=9311& Ver=4 Executive July 2017 - Community Stadium & Leisure Facilities Report http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10406 &Ver=4 Executive October 2017 - Project Report http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10192 &Ver=4 Executive September 2018 - Project Update http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10472 &Ver=4 ## Project Title Asc - Future Focus Reporting Period March 2020 Description Demand for Adult Social Care rises each year. People are living longer into old age requiring support, there are more people living longer with complex long term conditions and there are increasing numbers of young adults in transition to adult services with complex needs. This increased demand for services coincides with significant financial pressure arising from reduced Local Authority funding, legislative changes driven by the Care Act and an increased public expectation of Adult Social Care and rightly an expectation of high quality, personalised and flexible support for those who are eligible for care. The goal of health and care services is to help older, vulnerable or disabled adults who have ongoing support needs to live well and have a good life. A "good life" means living independently at home wherever possible, with opportunities to spend time with other people and to do things which are meaningful to that individual. Current ways of supporting adults do not consistently result in everyone achieving all of their goals and living well where they want to live. People and families are not always helped enough to look after themselves and each other. Services can be overly paternalistic and lack the choice and control that services users rightly demand. Social care is often a vital part of enabling people to live independent lives but it is far from being the only component to enable people to live fulfilled lives. We must be ready to have different conversations which take full account people's assets, strengths, knowledge and skills to build and harness the contributions of people, their personal networks, social capital and their local communities. This will support greater wellbeing and independence. The nature and scale of these challenges requires a fundamental shift in how Adult Social Care is delivered to ensure financial sustainability and to help those with social care needs, their families and carers have a better quality of life. There is an emerging consensus that community based models of social work based on Asset Based Conversations that will support a collaborative approach alongside communities, families and carers are the most effective way to approach the challenges outlined above. A review of national best practice and emerging evidence to identify the elements of such approaches that are likely to be of key importance for any operating model that seeks achieve both improved lives and financial sustainability for Adult Social Care. To be successful this will entail: Changing culture and reducing bureaucracy, with an emphasis on having deeper and more specific conversations based upon what people, their families and carers want in terms of their outcomes; Focussing on maximising the Assets, Skills Knowledge and Strengths of individuals and their communities in maintaining health, wellbeing and independence and thereby helping people develop and maintain skills that will maximise their independence in the long term; Reaching people earlier and being more accessible in local communities; Helping people access community solutions and improve their connections with others to reduce isolation and loneliness; Emphasising the importance of being highly responsive when people are in crisis and developing a plan that helps them to regain as much independence as possible; Making the best use of digital and technological solutions to support employees to be more effective and efficient in their work, and help people lead independent lives. Working closely with Community and Health Partners to make best use of resources and ensure that people receive the right care, in the right place at the right time. Overall status this period (Mar) Overall status previous period (Feb) \| \| \| \| \| \| Financial \| Non \| Tasks \| \| \| \|------------\|-------\|---------\|-------\|-----------\|--------------\|-----------\|----------\|-------\|--------\| \| \| Scope \| Quality \| Costs \| Resources \| Benefits \| Financial \| & \| Risks \| Issues \| \| \| \| \| \| \| \| \| \| \| \| \| Benefits \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Milestones \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Mar \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Feb \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \|  The project has continued to prepare for moving to a business as usual footing.  Benefits realisation work has begun through a Strength Based / Holistic review of all cases.  Resources have been agreed to manage ongoing requirements and benefits post project.  The project will move to a business as usual footing by the end of the month.  Resources are planned to move into BAU to manage ongoing changes and to support the delivery of planned benefits.  Project closure report will be delivered to project sponsor and project owner by 31 March 2020. Reports to The Programme uses existing Management Structures in the HHASC Directorate and uses DMT as its Programme Board. Exec member Cllr. Carol Runciman Sharon Houlden: Corporate Director of Health, Housing and Adult Social Care Director responsible Dependencies Market development, Comprehensive Information, Advice and Guidance for ASC Executive Sept 2016 - Progress toward a new Operating Model for Adult Social Care http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=9305& Ver=4 Additional Adult Social care Support and Resources Executive May 2018 http://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10198&Ve r=4 Link to paper if it has been to another member meeting (e.g. executive, council, a scrutiny committee) ## Project Title Outer Ring Road (A1237) Reporting Period March 2020 Description This project combines the previously separate schemes - YORR roundabout upgrades & YORR dualling (phase 1). This project has already delivered an upgrade of the Wetherby Road roundabout in 2018/19 to the new standard 3 lane approaches and 2 lane exits on the A1237. This project will continue by upgrading the stretch of the A1237 to dual carriageway standard between the A19 junction and Little Hopgrove junction, including the upgrade of the 5 roundabouts on this stretch to the standard already set by the Wetherby Road upgrade. This project will increase the capacity of the ring road, particularly of the roundabouts being upgraded, to reduce orbital and radial journey times. The A1237 roundabout at Great North Way will also be improved as part of this project (although this lies outside the stretch which is to be dualled). Overall status this period (Mar) Overall status previous period (Feb) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Mar Feb Tasks & Milestones Status The combined scheme is now being addressed in various disciplines however there is slight slippage on the programme presented in autumn 2019. Explanation Risk Status Risks are being monitored daily. Explanation Issues Status Explanation The project is to be amalgamated with the proposals for dualling the A1237. This issue means that the most efficient manner of joining the two schemes is being considered. 1. The report about combining the Dualling with the Junction Improvement Scheme was accepted by CYC Executive in Feb 2020. 2. As a consequence of 1 above, the two schemes are being amalgamated and re-organised to proceed in the most efficient manner. 3. Negotiations with landowners to attempt to purchase land continue. 4. Development of a new procurement strategy and working with Procurement and Legal Depts to ensure compliance. 5. A meeting took place with funding partners (WYCA & DfT) to co-ordinate governance on the joint scheme. 6. Developing public engagement strategy. 7. Met with Earswick Parish Council & J Sturdy MP about the proposed dualling. 8. Held a meeting about overarching design issues e.g. speed limits and drainage. 1. Continue to attempt to purchase land by private agreement. 2. Prepare report to April CYC Executive about procurement and public engagement strategy. 3. Prepare and develop statutory undertaker engagement plan. 4. Make preparations for undertaking a tree survey to incorporate the combined scheme. 5. Liaise with CYC Planning Authority about pre Planning Application process. 6. Commence engagement with Network Rail about proposed Scarborough Line Bridge. Reports to Project reports into the Transport board, Project Board and Lead Members Board Exec member Cllr Andy D'Agorne Director responsible Neil Ferris - Corporate Director of Economy and Place Dependencies LTP4, Local plan Executive West Yorkshire Transport Fund - 24 November 2016 http://democracy.york.gov.uk/documents/s110381/WYTF%20Exec %20Nov%202016%20v5.pdf Link to paper if it has been to another member meeting (e.g. executive, council, a scrutiny committee) Executive July 2017 - Proposed York Outer Ring Road Improvements / Approach to Deliver https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId =10188&Ver=4 Executive December 2018 A1237 Outer Ring Road - Dualling Update https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId =10475&Ver=4 Executive September 2019 York Outer Ring Road Improvements Update https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId =11109&Ver=4 Executive February 2020 - Dualling from A19 Rawcliffe to A64 Hopgrove https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId =11116&Ver=4 ## Project Title Housing Delivery Programme Reporting Period March 2020 Description The accelerated delivery of mixed tenure housing across multiple sites in the city. Overall status this period (Mar) Overall status previous period (Feb) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Mar Feb Financial Status Explanation High level financial modelling has been undertaken to inform the delivery programme. Risks remain around build costs for the remainder of the programme as well as sales receipts from open market and shared ownership homes. Non Financial Status Commitment to deliver added social value through the Housing Delivery Programme. This needs to be embedded into all design and construction work and the sales and lettings process. Explanation Risks Status Explanation Detailed risk register has been formulated to identify all key risks, assign responsibilities and determine potential mitigation measures.  Construction work continues at Lowfield. The site set-up is complete and initial infrastructure work and housing foundation works are underway. Brickwork on the first few homes is now up to damp proof course.  Design work has continued at Burnholme, Duncombe Barracks and the Ordnance Lane sites. Regarding the Ordnance Lane site, two public engagement events have taken place and been very well attended. This consisted of a full day design workshop and an evening follow up event. At Duncombe Barracks an evening event has taken place to keep residents up to date on progress and to obtain views.  A procurement process to appoint external conveyance support has taken place and is close to completion.  A public engagement event will take place at Burnholme to update local residents and stakeholders on the development of the plans for the site and to obtain their views.  Design work will continue at Burnholme, Duncombe and Ordnance Lane. Discussions with key stakeholders will increase as plans start to be firmed up and plans are made for preparing planning applications.  Business case work will increase as the financial and social implications of the proposed developments are brought together in advance of preparing a report for Executive. Risks will be re-assessed and mitigated where possible.  A contract will be signed with the conveyance company following the recent procurement process. Reports to Project team consisting of officers at the council who will advise on specialisms such as legal, housing, finance, and procurement. This project team feeds into the Housing Delivery Programme Board, which consists of senior officers and managers. The board guides decisions shaping the programme, setting objectives, scope, and timelines for projects. The board reports into the HCA as part of the partnership arrangement as well as One Public Estate. When milestones are met the programme will report into 'Capital and Asset Board' and 'Health, Housing and Adult Social Care' and 'Employment and Place' Management Teams for coordination and major project issues. Decisions taken by the Council Management Team followed by Executive. Exec member Cllr. Denise Craghill Director responsible Sharon Houlden: Corporate Director of Health, Housing and Adult Social Care Dependencies None March 2017 Executive Meeting https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 11&Ver=4 December 2017 Executive Meeting - Delivering Health and Wellbeing facilities for York - Establishing a Delivery Model and the Scope of the Programme Link to paper if it has been to another member meeting (e.g. executive, council, a scrutiny committee) - Delivering the Lowfield Scheme https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 194&Ver=4 July 2018 Executive Meeting - Proposals https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 470&Ver=4 October 2018 Executive Meeting - Duncombe Barracks, Burton Stone Lane https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 473&Ver=4 January 2019 Executive Meeting- Building More Homes for York - removal of the HRA borrowing cap https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 476&Ver=4 ## September 2019 Executive Meeting - Housing Delivery Programme Update Https://Democracy.York.Gov.Uk/Ielistdocuments.Aspx?Cid=733&Mid=11109& Ver=4 ## Project Title Centre Of Excellence Reporting Period March 2020 Description City of York Council with its partners are planning to: a. Deliver a feasibility study to explore the opportunities and benefits of building a Specialist Disabled Children Short Break Facility in York. b. To expand the Family Intensive Rapid Support Team (FIRST) to incorporate a therapeutic short break residential element and to explore the opportunities and benefits of increasing the service offer to neighbouring Local Authorities across the region. The project is part of the wider development of services for disabled children and young people across the city and provides the council with an opportunity to:  Invest capital in developing a 'Disability Centre of Excellence' which has the potential to be a leader in innovative practice both regionally and nationally.  Make York Home for more disabled children and young people by reducing out of Area placements.  Develop and invest in service provision in order to generate future savings and income generating potential.  Deliver better outcomes for disabled children and young people including those with the most complex needs. FIRST is a specialist Clinical Psychology led service that supports families with children/ young people who have a learning disability, autism and the most complex behavioural needs. FIRST provides intensive assessment and intervention for children and their family at the point of potential placement breakdown. The proposed Specialist Disabled Children Short Break Facility would potentially incorporate and replace the short break residential provision currently provided at The Glen and Glen House. Overall status this period (Mar) Overall status previous period (Feb) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Mar Feb ## Current Status Finance  Client contingency is being monitored closely to ensure risk items and provisional sums remain within contingency budget.  There is an agreed payments schedule, linked to build milestones to draw down NHSE Transforming Care Capital Grant. ## Risks  Substation risk has been closed. Legal agreement between all parties has been resolved and planning application is agreed.  There is certainty to drainage risk. Additional costs have been agreed and plans put in place to mitigate the programme delays.  Ground risks highly unlikely to materialise.  Inclement weather remains a risk to the construction timetable until the development is watertight ## Programme  Project end date has been updated to reflect finish when new service is open  Push to mitigate delay to programme caused by drainage redesign, all other elements of programme are on or ahead of schedule  Substructure; steel frame system installed; underfloor heating and floor screed in place; roof to be sealed early March  Delay to roof installation due to inclement weather has not affected completion date ## Communication And Engagement  First brick was laid by children who will use the new centre  Regular residents newsletter agreed and circulated  Email address promoted for public to contact the project team ## School Playing Fields  Development of the school playing fields at the back of the school as a mitigation measure for playing fields used at the front has been completed on time and budget. ## Legal  All outstanding legal issues have been agreed. ## Governance  Risks and decisions are being monitored, recorded and agreed through quarterly Project Board.  System established for decisions to be made outside of meetings  Building to be sealed and watertight in early March and first fix due to complete in mid-April  Liaison between Service and contractor to identify items of furniture and equipment which are a) within the contract; b) to transfer or c) to be purchased  Finalise specifications and costs for Provisional Sum items  Continued robust monitoring of budgets for construction and fit-out elements of the project  Partnership to collaborate with children and parents to develop arts proposal and bid to Arts Council for delivery funding Reports to  The project is accountable to a Project Board chaired by Amanda Hatton - Director CEC.  The project Board contains representation from Children's Social Care, Health, Education, Adult Services and Finance.  The project Board is accountable to CEC DMT chaired by Amanda Hatton, Director of Children, Education and Communities.  The project Sponsor is Amanda Hatton. Exec member Cllr Ian Cuthbertson Director responsible Amanda Hatton - Corporate Director of Children, Education and Communities Dependencies None Executive August 2017 - Re-Commissioning a Short Break Service for Adults with a Learning Disability based at Flaxman Avenue, York https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 190&Ver=4 Link to paper if it has been to another member meeting (e.g. executive, council, a scrutiny committee) Executive January 2018 Develop a Centre of Excellence for Disabled Children and their Families in York https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 195&Ver=4 Executive April 2018 - Revised Recommendation in Relation to the Capital Budget http://democracy.york.gov.uk/documents/s122950/Centre%20of%20Ex cellence%20for%20Disabled%20Children%20Executive%20Paper%20 April%202018%20Final.pdf ## Project Title Provision Of School Places Reporting Period March 2020 Description The need to provide sufficient school places for current and future residents is a key statutory duty of CYC and will build an educational infrastructure for the city by forecasting likely demand and supply of school places over the medium term (until 2022/23). The aims of this project are to identify where and when additional school places will be required, and work with central government and the school community to provide places in good or outstanding schools. CYC is provided with some 'Basic Need' funding from central government for this purpose and will need to ensure that this and other sources of funding are used to best effect in those areas of greatest need, and to ensure that all educational provision is sustainable in the longer term, working with the school community. The project represents a significant priority for City of York council in delivering educational opportunities for residents. Overall status this period (Mar) Overall status previous period (Feb) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Mar Feb Cost Status Explanation Future Basic Need funding is likely to be very limited and housing developer contributions may not meet the expected requirements for educational infrastructure across all sites. This is being addressed through the Local Plan required infrastructure process, but these requirements exceed any current capital for the costs. ## Current Status Capacity  Identification and prioritisation of schools requiring a review of net capacity has been assessed and visits have now been completed for those schools in the highest 2 priority categories, with assessments fed back to schools. Of those schools in the lowest prioritisation category, there remains only one assessment to finalise. ## Communication  There has been continued communication with developers of some proposed and forthcoming housing sites this period, and with those officers overseeing the draft Local Plan and future infrastructure plan for the city.  Communication is also ongoing to discuss solutions to address the pressures around secondary school place requirements in the south east of the city and put plans in place. Communication continues around plans to increase secondary school places in the east and west of the city.  Communication has taken place this month with a number of primary schools to discuss the implications of the newly released forecasts on their schools. ## Data Modelling  Formal sign off of the annual SCAP process has not yet been received and is expected later in the year.  Work continues to improve the forecasting process. ## Policy  The review of the S106 Policy is under way with more work completed this period.  The Capital Programme for 2020/21 is going through the approval process.  The admission arrangements for the school year 2021/22 have now been reported to the Executive and the determination notice published. The main focus of this period: ## Capacity  Following the initial submission of the annual 'SCAP' return, await and respond to any further queries from the Department for Education. This process continues for 2019 in coordination with the DfE, with final submission expected to take place imminently.  Feedback net capacity assessments for the final identified school. ## Communication  Continued engagement with local schools and academy trusts to gather their views and identify any potential plans about how they could assist in providing for future need.  Continue communication regarding the proposal to address secondary school place requirements in the Secondary Planning Area - East York.  Continue to liaise regarding the proposal to address secondary school place requirements in the Secondary Planning Area - South East York.  Continue to move forward proposals to address the secondary school place requirements in the Secondary Planning Area - West York.  A paper will be prepared for YSAB regarding surplus primary school places in the north of the city. ## Forecasting  Forecasts will continue to be reviewed and released. ## Policy  Continued work around a refined planning policy approach re: Housing Developer Contributions (HDCs) for current and future developers is in review with colleagues in Planning to ensure compliance with wider CYC policy and agreements re: Local Plan.  Work will continue on the admission arrangements for the school year starting September 2021. ## Project Plan  Further develop, communicate and agree the project plan. ## Reports to Project is overseen by Children, Education and Communities Directorate Management Team and Executive Member for Children and Young People as necessary. Exec member Cllr Ian Cuthbertson Amanda Hatton - Corporate Director of Children, Education and Communities Director responsible Dependencies Local Plan Policy, Economic Strategy, City Transport Policy Link to paper if it has been to another member meeting (e.g. executive, council, a scrutiny committee) Executive February 2018 Admission arrangement for the 2019/20 school year https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=101 96&Ver=4 Executive July 2019 The Provision of School Places and Allocation of School Capital Budgets 2019-2023 to Address Secondary Place Pressures https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=111 07&Ver=4 Executive October 2019 Archbishop Holgate's School - Expansion 2020-21 https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=111 11&Ver=4 ## Project Title Housing Ict Programme Reporting Period March 2020 Description The Housing ICT Programme is a major ICT enabled business transformation and culture change programme which will deliver a new operating model and systems for the Housing and Building Services teams within the Housing Services Department. Procurement of a new ICT solution will enable customer centric, holistic services to be delivered with first point of contact resolution at a place, time and manner that suits the customer. Overall status this period (Mar) Overall status previous period (Feb) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Mar Feb Quality Status Explanation  The programme has identified significant pressure against the current timeline around the quality of the programme. A full detailed review of the current programme timeline and impact assessment against the quality that the programme will deliver based on the current timeline will be completed as soon as possible.  All business requirements, ICT and BI requirements validated, signed off and ITT issued. Risks Status Explanation  Increased risk profile on the programme now we are in intricate and complex implementation activity. Lots of risks around the pressure on the current timeline and programme team are being reviewed. The overall programme status has remained at amber this month. The risk profile of the programme remains high now that the programme is well underway with an ambitious implementation plan. The programme is running at full capacity to deliver on time with minimal contingency around timeline or programme resources and has identified significant pressures on the current timeline and programme team. Although running at full capacity and the delivery risk remains high, the programme is making good progress towards the implementation date. The programme remains on track to deliver the Capita Open Housing system on Monday 23rd November 2020. A full impact assessment of the current timeline and resources is being carried out. In the next month the programme will:  Continue detailed configuration activity.  Plan and progress detailed actions following Data Cut 1 (first migration of data into new test system).  Start to plan out detailed training and testing activity.  Carry out full detailed impact assessment of the programme timeline and resources. Reports to Programme reports to the Housing ICT Programme Board. This group is chaired by the Assistant Director of Housing with key representatives from the HHASC senior management team. The Programme Manager attends the monthly HHASC Senior Management Team (SMT) and both Housing and Building Services department team meetings to update on the programme. Exec member Cllr. Denise Craghill Sharon Houlden: Corporate Director of Health, Housing and Adult Social Care Director responsible Dependencies Digital Services Programme - for delivery of other interdependent projects and technical resources N/A Link to paper if it has been to another member meeting ## Project Title Smart Travel Evolution Programme - Step Reporting Period March 2020 Description STEP is a programme of delivery that will prepare York for the coming revolution in adoption of connected and autonomous vehicles and managing whole city mobility. The project aims to achieve this by:  Improving communications to transport infrastructure and collecting more transport data.  Building a transport data platform to assist the City to meet big data challenges and making more of this data accessible.  Improving transport modelling, that allows us to run City wide models at varying scales, in near real time. This allows us to understand the way the transport network is performing and is expected to improve our transport planning activities. Overall status this period (Mar) Overall status previous period (Feb) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Mar Feb Resources Status Internal strategic modelling resource not in place. Modeller being appointed and should be with team in 3 months. Explanation - Public Transport Fare and Patronage data required for model build but requires the bus operators to co-operate in a timely manner. Risk Status - Internal Modelling resource required to ensure models can be adequately accepted and used going forward. Explanation - GLOSA is a project deliverable but is not deployed outside of research within the UK. Research has been carried out and solution is now identified, but it still presents a risk as it's new to UK. ## Current Status In The Last Reporting Period:  GLOSA tender awarded.  Real-time Time Speed Data (RTSD) quotes obtained and data put together from CYC traffic counters for comparing accuracy in next period.  Data platform specification worked on further.  RTSD contract to be appointed.  Data platform specification to be ready in draft.  GLOSA inception meeting and contracts to be signed. Reports to The STEP board reports in to Economy and Place DMT and PM updates executive member and Executive when required for updates and approvals. Key decisions are agreed by the Transport Board before reaching executive member or Executive. Exec member Cllr Andy D'Agorne Neil Ferris - Corporate Director of Economy and Place Director responsible Dependencies The Transport Capital Programme and TSAR Project Link to paper if it has been to another member meeting ## Project Title Flood Risk - York 5 Year Plan Reporting Period March 2020 Description CYC are working closely with the Environment Agency to deliver a range of localised improvements to the cities flood defences, this work - the York Five Year Plan - has been developed following the floods and is supported by Government investment. In addition to this we are working with the EA on a catchment scale study to identify opportunities for wider interventions across the River Ouse catchment to further reduce future flood risks into the long term. Overall status this period (Mar) Overall status previous period (Feb) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Mar Feb  The 19 flood cells have a range of challenging technical and environmental elements, the speed of delivery of the whole programme further complicates the delivery. Costs Status Explanation  Value engineering and robust challenge of all solutions is being carried out across all flood cells but delivery of the core outputs with the available funding will continue to be challenging.  Existing cells being taken to planning or where construction has commenced represent value for money and will deliver a robust set of flood risk management interventions, this is reviewed closely by the programme board and assured by the EA Large Project Review Group.  The project team are closely monitoring the available funding and its ability to deliver the programme of works across all flood cells.  CYC continue to work closely with the EA on the delivery of the York Flood Alleviation Scheme as part of the York Five Year Plan.  CYC are members of the Programme Board and EA continue to attend quarterly Executive Member for the Environment Decision Sessions and Economy & Place Overview and Scrutiny bi-annually.  19 flood cells have been identified and schemes to improve existing or build new defences are in varying stages of development in a prioritised manner across the city to deliver the projects stated required outcomes, as determined by Defra, to better protect 2000 homes and businesses in the city.  The Outline Business Case has been agreed by the EA Large Project Review Group for all 19 flood cells.  Planning applications are being submitted for a range of cells, construction has begun on two flood cells - North Street/Memorial Gardens and St Peters School. Planning permissions are being considered for Clementhorpe and Clifton Ings.  Several key flood cells are lined up for planning approvals in April/May, works will commence in the Clifton Ing's cell in the new financial year. Reports to The Project board sits within the Environment Agency. The Environment Agency has a formal programme board in compliance with PRINCE2 methodology, CYC are a member of the board. The lead Executive member receives a quarterly report and it is the subject of a bi-annual report to Economy and Place scrutiny committee. This approach to governance has been approved and adopted by Executive. Exec member Cllr Andrew Waller Neil Ferris - Corporate Director of Economy and Place Director responsible Dependencies None Executive February 2017: CYC Response to the Independent Flood Inquiry https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=9310& Ver=4 Link to paper if it has been to another member meeting ## Project Title City Centre Access Reporting Period March 2020 Description Project involves the feasibility and design of static and automated measures to be implemented into the area around Spurriergate, Coney Street, Parliament Street and York Racecourse to provide public protection from potential vehicle attack. The proposals follow firm Police and Counter Terror Unit advice to implement measure to protect areas of high footfall. The automated measures will retain vehicle access outside the footstreets hours and allow emergency and other urgent access during footstreets hours through a system of control by CYC. Overall status this period (Mar) Overall status previous period (Feb) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Mar Feb Scope Status Explanation Scope has been extended to include support for HVM measures for Xmas Market and Xmas Lights Switch on and this impacted on the progress of the project. Resources Current lack of CYC engineering support risks progress. Status Explanation Tasks & Work ongoing to refine programme plan. Milestones Status Explanation Risk Status Explanation Risks associated with successful implementation - Trial holes will assist in firming this up. Issues Status Clarity of scope of principal designer has been improved but is still an issue and timescales remain challenging. Explanation  Trial hole information with designers  Detailed design continuing utilising trial hole information  Procedures and protocols for city centre access being developed  Racecourse design substantially completed and tender documents prepared  Tender issue for Racecourse  Tender issue for city centre  Procedures and protocols development Reports to Programme reports to the Transport Board and is advised by the York Counter Terrorism Working Group There is a CYC internal working group working on the detail. This group is chaired by the Assistant Director for Transport, Highways and Environment. Neil Ferris - Corporate Director of Economy and Place Exec member Cllr Andy D'Agorne Director responsible Executive February 2018: City Transport Access Measures http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10196& Ver=4 Executive September 2018: City Centre Access Update and Priority 1 Proposals http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10472& Ver=4 Dependencies None Link to paper if it has been to another member meeting (e.g. executive, council, a scrutiny committee) Executive August 2019: City Centre Access Experimental Traffic Order Conclusion and Phase 1 Proposals http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11108& Ver=4 Executive February 2020: Phase 1 Proposals (Update) https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=111 16&Ver=4 ## Project Title Parking Review Reporting Period March 2020 Description This project is to research, procure and implement a new parking back office system to replace the current system that is now out of date. In turn this new system will help to bring around a change in how parking is managed and how our customers interact with us by taking forward a customer self service system, such as the purchasing of parking permits and dealing with PCNs (Penalty Charge Notices). Historically there have been a number of issues relating to the delivery of the Parking Services back office system due to issues with the supplier. Motivation for this approach is also brought about by the fact that more than 25% of footfall in the customer centre is for parking related matters. This has been attributed to complex policy, under performing IT systems and associated processes and lack of available on-line services for customers. There is an opportunity to resolve a number of issues with this change project with the delivery of an ICT back office system to deliver this change and as the catalyst to support the development of a new parking strategy and technological roadmap for the next 10+ years in line with the Local Plan and Local Transport Plan 4. As part of this project the Council ICT team are looking into how this system could interface with existing CYC systems, such as FMS and CRM but looking forward, how these systems can interface with other systems such as parking machines and the wider Smart City work the Council is taking forward (STEP). Overall status this period (Mar) Overall status previous period (Feb) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Mar Feb There is potentially some delay to the implementation of this system partly due to finalising some detailed points to allow the contract to be signed with WSP and officers being asked by Members to investigate in more detail pay monthly options for resident parking permits. This may likely be a direct debit option but this will be finalised prior to Exec Member approval at the next March project board. ## Key Progress From Last Month:  Decisions presented to board and guidance received  Continued exploration for offline user options  Further definition of UAT scripts to be shared with supplier for feedback  Integration investigations began  Identification of key business change areas for Parking to begin scoping  Further definition of internal and external communications plans  Initial budget for scoped changes received, further information required  Review of test strategy from supplier  Contract finalisation and signed  Initial scoping of key priority business change elements and handover to Parking for completion  Finalise configuration documents  Finalise the detailed scope for this phase of implementation Reports to The project is steered by the Parking working group and reports to the Transport Board Exec member Cllr Andy D'Agorne Neil Ferris - Corporate Director of Economy and Place Director responsible Dependencies None Executive February 2016: Parking Review https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=8846&V er=4 Link to paper if it has been to another member meeting. Executive November 2019: Parking Update https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11112& Ver=4 ## Project Title Children In Care Residential Commissioning Reporting Period March 2020 Description City of York Council utilises many placement options in order to look after children and young people who are not able to live within their immediate birth family. City of York Council's mainstream and short break foster carers are recruited and trained to look after York's most vulnerable children and young people. To deliver on our commitment to the Making York Home vision and the aims of the Child in Care Strategy our priorities are;  The recruitment of new foster carers  The retention of the current fostering workforce, and  Increasing the options and flexibility of other placement provisions including residential. Overall status this period (Mar) Overall status previous period (Feb) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Mar Feb Tasks & Milestones Status The rating is amber to account for some property related issues that will impact on the project plan Explanation  Current focus is on the Supported Living Accommodation due to the fact that the contract for the current provider ends in December 2020 and cannot be extended. Risk Status Explanation  Lots 1 and 2 will come on line as the properties are identified and until then existing placement commissioning frameworks are in place.  Nonetheless, searches of properties for Lots 1 and 2 have only identified one suitable property to date and so new criteria is being trialled to see if this reveals more choice. Any increase in costs will need to be agreed via the project board.  Foster care recruitment campaign is on track. ## Current Status Foster Care Recruitment  Project implementation plans developed with agreed milestones and KPIs  Website and Facebook Channels now live  Recruitment campaign has gone live and data is now being received and reviewed to identify themes, trends and respond quickly if required ## Residential - Property  The property identified for Lot 1 is no longer progressing following the consultation with the local community  Property searches are continuing for Lots 1 and 2. No other suitable properties have been identified  Property Services are trialling searches based on an increase in the property values in order to see if this reveals more suitable properties. This will also broaden the geographical range ## Residential - Procurement  Market engagement completed with 16 suppliers  Specifications drafted for residential and supported accommodation  Procurement timetable developed  Review Procurement Timetable  Develop procurement documentation for Supported Living accommodation  Review Supported living specification, identify evaluation criteria for bidders and agree costs/pricing  Children's Services lead to visit the existing accommodation to consider layout/adaptations required Reports to CEC DMT and Project Board Exec member Cllr Ian Cuthbertson Amanda Hatton - Corporate Director of Children, Education and Communities Director responsible Dependencies None Executive July 2019 - Children in Care Residential Commissioning Plan https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11 107&Ver=4 Link to paper if it has been to another member meeting ## Project Title Inclusion Review Reporting Period March 2020 Description The purpose of the inclusion review will be to ensure that The Local Authority and School Community work together to maximise the opportunity for early intervention and prevention and to improve the outcomes of children and young people with special educational needs and/or disabilities (SEND). The review will examine the current configuration of services and the use of funding to support SEND to ensure that there is greater clarity and accountability around the use and impact of resources. The pressures on the High Needs funding block within the designated schools grant (DSG) means that there are accelerating financial pressures in meeting the needs of children and young people with SEND. A key purpose of the Inclusion Review is ensuring that the pressures on High Needs funding are being managed effectively whilst ensuring that the local authority is able to deliver its statutory duties articulated in the Children and Families Act, 2014 and the SEND code of practice. Overall status this period (Mar) Overall status previous period (Feb) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Mar Feb - The actions to reduce the financial pressures are underway but are at an early stage. Detailed financial modelling will need to take place to cost the provision pathways being developed through the Steering Group meetings. This work is progressing at a slow pace due to pressures of year-end close down of accounts. Quality Status Explanation - The work that has started with IMPOWER and the commissioning contract being established with Danesgate will identify opportunities to reduce financial pressures. An element of the work with IMPOWER will be to benchmark the current financial model underpinning the SEN banding to identify opportunities to reduce costs. - Demand management is key to the management of financial pressures, currently there are increasing requests for statutory assessment and costs associated with the SEMH cohort. - Work with IMPOWER is being used to review opportunities for earlier intervention and to ensure that all processes are financially efficient. - The IMPOWER review has identified 4 fast forward projects which can be linked to managing cost pressures - these are being shared with stakeholders and a forward plan is being established. - The findings from the Local Area SEND Inspection will also be aligned with the Inclusion Review through the Written Statement of Action which needs to be submitted to Ofsted by 3rd June. Costs Status Explanation - The reduction in costs to the high needs DSG will need to be profiled over time as the changes to provision and processes will require a period of transition, particularly related to the development of capacity in mainstream settings and schools. The development of commissioning specifications for alternative provision will be developed as part of this work as will a review of ERP contracts. - Work with IMPOWER will focus on the financial models linked to current banding to identify whether York's financial banding is too generous when compared with other LAs. - IMPOWER and the SEN transport consultant have identified areas for potential savings - these will need to be brought in to the programme and will deliver opportunities in the medium to longer term. - The development of project plans needs to align closely with the Council's governance and decision making processes to ensure that capital works can take place. This needs to be carefully mapped to align with the school year. Risk Status Explanation - An internal planning group has been established to manage the capital programmes - this meets monthly and will keep an overview of all school capital projects including the SEND projects. - The Millthorpe satellite has been approved. - Developing the SEMH pathway needs to take place to begin to inform earlier intervention and better use of the MSP to meet need and reduce pressure for statutory assessment. - Further work to respond to findings in the LA SEND inspection needs to take place particularly in relation to co-production and joint commissioning. Issues Status Explanation - There is a need to ensure that a single plan is developed to incorporate the outcomes from the SEND inspection and the IMPOWER review. - The Written Statement of Action needs to focus on the four priority areas for improvement identified by Ofsted - some of these areas are not consistent with the IMPOWER review.  Phase 3 of the Inclusion Review has started and a steering group appointed. The programme plan will be developed by this group using the recommendations from phase 2 of the review.  The strategic principles developed in stage 2 have been agreed and shared with the Council's Executive, Schools forum and members of the York Schools and Academies Board.  Capital works have taken place at Hob Moor Oaks primary special school (August 2018) and capital works have been agreed to support the development of the post 19 local education offer at Blueberry academy and Askham Bryan College.  Expressions of interest for secondary satellite provision have been received and a project plan is in the early stages of development.  A feasibility study is taking place with a primary school to support the development of a proposed primary ERP provision.  Preliminary work to review the Behaviour and Attendance Partnership protocols and processes is underway.  A steering group has been established to oversee the academy conversion of the Danesgate Community. This will put in place a commissioning agreement with the South Partnership Multi-Academy Trust which will define the future relationship between the local authority and Danesgate when it becomes an alternative provision academy. The provision plan for implementation in September 2021 has been drafted and will be presented to the DCS and shared with headteachers in March 2020. The draft plan has been formed using the following principles:  Value for Money: managing pressures on the High Needs block although accepting this may be impacted by the guarantee of high quality, full provision for all.  Right students in the right settings through early and secure identification with a flexibility for those in more specialist settings to return to mainstream.  Meeting parental and student need for changes in specialist provision on offer and responding to our identified gaps in provision for CYP with C&I Needs (with and without a diagnosis) and SEMH (including ADHD).  Clarity and transparency of entry and exit routes to specialist provision and their funding arrangements.  Developing independence and preparation for adulthood - mapping the 'what next?' at each key stage to prevent future gaps in provision.  The mainstream settings improving their offer and their expertise and 'owning' their CYP more. The provision plan maps strategic routes for adapting provision within the city in two areas of need - Communication and Interaction and SEMH. The draft proposals that are very much needs led and these proposals will form the basis of the paper to be presented to Schools Forum in May 2020. Reports to CEC, DMT Exec member Cllr Ian Cuthbertson Amanda Hatton - Corporate Director of Children, Education and Communities Director responsible Dependencies None Executive November 2018: The Inclusion Review and the Special Needs Capital Grant https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=1 0474&Ver=4 Executive August 2019: Executive Report Danesgate Land Academy Conversion https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=1 1108&Ver=4 Link to paper if it has been to another member meeting (e.g. executive, council, a scrutiny committee) Executive November 2019: Millthorpe School - Enhanced Resource Provision https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=1 1112&Ver=4 ## Project Title Be Independent Reporting Period March 2020 Description Be Independent (BI) is the provider of the Council's community alarm and equipment service. This includes a 24 hour response service, assessment and installation of equipment, telecare and assistive technology services. These services play a key role in supporting better outcomes for individuals either in their own homes, supported living or in residential and nursing homes across the City. The aim is to prevent, reduce or delay the need for care, enabling people to be as independent as possible. Previously provided in-house, the service was externalised in 2014 and the Council supported the establishment of a social enterprise in the form of a Community Interest Company (CIC) to deliver the service. In June 2018 the Executive agreed to the transfer of Be Independent service back to the Council and the direct management of Health, Housing & Adult Social Care. All assets and liabilities will be transferred from Be Independent to the City of York Council and staff transfers will be agreed under TUPE. Following the transfer which was completed in August 2018, an operational review of the service has commenced to understand its core functions, purpose, strengths and areas for improvement to ensure that it is sustainable. Whilst the overarching vision for the service will be coproduced in line with the Council's vision, a 3 month IT scoping project has been commissioned to review the systems/processes currently in use as this is a key priority to move the service forward. Be Independent needs to have a robust IT infrastructure in line with CYC protocols to enhance and grow the business, and improve the customer experience of this Community Equipment & Response Service. By utilising the latest technology (GDPR compliant), workers will become agile and customers will have a seamless service from all teams including Business Support, Response, Assessment and Control Teams, where an overburden on paperwork is phased out. IT aims to integrate different software systems used for call handling, stock management and financing linked to a service manager with comprehensive performance reporting tools. Streamlining software systems and providing teams with the appropriate hardware (with internet connection) is a primary focus in order for the teams to perform efficiently and effectively. This will improve the use of resources, develop capacity and ensure a strength based approach can be implemented in the future. Overall status this period (Mar) Overall status previous period (Feb) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Mar Feb Costs Status Explanation A significant cost is involved with upgrading new servers and software with current systems in place. This needs to be evaluated and reviewed against alternative solutions in line with the vision of the service area. - The main focus of the project is to review the software system in place to enable a mobile workforce in line with the vision and direction of the service area to ensure it is future proof and fit for purpose. - Participants for the Internet of Things (IoT) trials will be included as part of wider research to consolidate the vision internally. Tasks & Milestones - Devices have been ordered, some delays with expected delivery times. Status Explanation - Mosaic user access will be live upon completion of training by all staff members. - Ongoing proof of concepts with assistive technology to further grow and develop Be Independent's ability to offer more choice for residents. Risk Status Explanation - Current infrastructure has a range of risks identified which are impacting on the efficiency of the service. Issues Status - Issues remain under review. Explanation  Call handling system upgrades have been put on hold due to review of the server hardware age and cost implications of upgrading both hardware and software  Survey questions are live with Age Friendly York Citizen group as part of wider research around how people view technology in social care their expectations and whether they feel it can help people live more independently.  Mosaic user access has completed the user acceptance phase. Training and plan moving forward will be established with the support of adult social care teams and feedback for the use cases.  "Internet of Things" trials are actively being progressed  Paper forms are being reviewed ahead of mobilising the workforce on laptops  Review current position and progress Reports to Head of ICT/Director level/CMT/Executive Exec member Cllr Carol Runciman Sharon Houlden - Corporate Director of Health, Housing and Adult Social Care Director responsible Dependencies None Executive June 2018 - Transfer of Be Independent to the direct management of City of York Council https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=1 0469&Ver=4 Link to paper if it has been to another member meeting ## Project Title Procurement Of Msa And Strategic Engagement Technology Partner Reporting Period March 2020 Description To develop a specification, procure and appoint a technology provider to deliver the City of York Council's (CYC) essential managed network services arrangements (MSA) this includes connectivity, voice and data services. CYC's current MSA contract expires following an extension period, on 31 August 2020. The contract is currently worth £2million per year and the new contract is likely to run for at least a minimum of 10 years. The procurement process was approved by Executive in November 2017, and progressed proper in April 2019 after the appointment of commercial procurement partners to support internal capacity, with the view to develop an Invitation to Tender for both CYC and Harrogate Borough Council. The scope of the review then changed in July 2019 to proceed to meet CYC requirements only, due to a change in Harrogate's local circumstances. There is continuing good relationships between the two councils and a shared management team. The new provider will be a strategic technical delivery partner enabling CYC to achieve its strategy for the delivery of digital services to its residents, businesses and partners. Progress of the original project to date includes documenting the requirements of both councils and production of a draft ITT. The changing scope of the procurement has allowed a pause in proceedings to allow for the following:  A review of work done to date and a revision of the scope of the project.  Bringing the project in line with Council's All About Projects approach  Addressing of known risk as per independent legal and technical advice commissioned given the time taken to date and learning from recent procurement practice elsewhere. The aim of this revised project is to recommence the procurement with a robust approach and assurance that the Council can secure the best MSA going forward given changed scope and lessons learned. Overall status this period (Mar) Overall status previous period (Feb) Quality Costs Resources Financial Tasks Risks Scope Benefits Non & Issues Financial Milestones Benefits Mar Feb 1. A decision taken by Project Sponsor and team to ensure separation of roles around Business as Unusual (BAU) issues with the incumbent. There is a clear lead for BAU issues which sits outside of the core project team. For any BAU issues which might impact the procurement there is a lead within the core group. 2. Expression of Interest (selection questionnaire) phase of the procurement completed 2nd of March 2020. 3. Project team assessed the selection questionnaires to ensure that they can proceed to ITT stage and there are no issues, this will be presented to the Project Board on the 17th March 2020. 4. Further refinements to the draft specification and the associated documentation continue to take place. Also work on the financial modelling for the MSA continues. 1. Next Project Board 17th March 2020 will have completed, this will include a review of all project risks and an assessment of progress so far. 2. ITT stage begins on 20th March. 3. Deadline of 8th April for all clarification questions to be submitted by suppliers. The project team will answer these questions and ensure circulation to all suppliers. 4. ITT submission deadline 17th April. Reports to  Project Board chaired by a Project Sponsor and meets on a monthly basis.  Project Steering Group chaired by the Project Manager meets weekly.  Project Sponsor and Project Manager meet weekly.  Legal and Finance/Procurement are represented at both meetings at both strategic and operational levels.  Oversight is provided by the Council's Corporate Project & Programmes' manager.  Independent assurance provided by an external adviser/consultant. Exec member Cllr Nigel Ayre ## Ian Floyd - Deputy Chief Executive & Director Of Customer & Corporate Services Director Responsible Dependencies Link to paper if it has been to another member Exec Dec 2017 - Procurement of ICT Managed Services https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId= 10194&Ver=4 ## Project Title Hyperhubs Reporting Period March 2020 Description By providing Hyper Hubs at Poppleton and Monks Cross Park and Ride sites, a solar canopy would be erected over approximately 100 parking spaces, providing space for 1,400 m2 of solar panels. This canopy is an elevated structure - essentially a roof below which cars can still park - with solar panels on the top. Adjacent to the canopy, but not on land currently used for parking, there would be an energy storage facility - a battery. At each site there would also be eight charging points for electric vehicles. Electricity generated by the solar panels would be used to hyper charge vehicles plugged in to the charging points. Electricity not used immediately would be stored in the battery. When the battery is full, this electricity could be fed into the national grid. The solar canopies would use the free space immediately above the vehicles to harvest solar energy to the site. Batteries would then store the electricity, providing it either to hyper charge electric vehicles when plugged in, or feeding it into the UK electricity grid. The electric vehicle infrastructure element of the project is to purchase and install the DC 'hyper' charging points (faster than current 'rapid' charge speed points at 50kW) which will supply the energy to the vehicles. These will be installed in a Hub of eight car bays which can supply up to 150kW power output per car, with a typical charging session taking 10-20 minutes. By way of comparison, a typical home charging point takes around eight hours to charge an electric vehicle. Overall status this period (Mar) Overall status previous period (Feb) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Mar Feb Risk Status Explanation Risks updated to reflect most significant current risks to the project.  Tender assessment has been completed.  Tender report has been produced.  Draft contract variations completed.  ERDF and OLEV progress report made.  Feedback will be issued to all tenderers during second week of March and standstill period will begin.  Contract award 25th March.  Project plan to be updated following inception meetings with appointed contractor. Reports to The project will report to the Transport board. This is an internal board that is chaired by the Assistant Director for Transport, Highways and Environment. The members also include the Head of Transport, who acts as the City of York Council client for the project and the Head of Programmes, who is responsible for the delivery of projects within the Economy and Place Directorate. The Project Manager will report to the Sustainable Transport Manager (who reports to the Head of Transport) and will be held to account for delivery by the Head of Programmes, who will also provide Project assurance. Finance also are members of the board to provide any technical input. Exec member Cllr Andy D'Agorne Neil Ferris - Corporate Director of Economy and Place Director responsible Dependencies Link to paper if it has been to another member Executive March 2019 - A Sustainable Future for York with Hyper Hubs https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11469& Ver=4 Executive Sept 2019 - Reducing York's Carbon Footprint with Electric Vehicles https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11109& Ver=4 Executive March 2020 - Electric Vehicle Charging Strategy https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11117 &Ver=4	en
2141-pdf	## Scope Of Archive Service Accreditation Scheme 1. Formal Definitions Records 1.1 "information created, received, and maintained as evidence and information by an organization or person, in pursuance of legal obligations or in the transaction of business" (ISO15489-1) ## Archives 1.2 "Materials created or received by a person, family or organisation, public or private, in the conduct of their affairs and preserved because of the enduring value contained in them or as evidence of the functions and responsibilities of their creator, especially those materials maintained using the principles of provenance, original order and collective control; permanent records." [our emphasis] (ISO 16175-1:2010) 1.3 Archives may be informal in terms of their format and the 'business' to which they relate: for example, a group of love letters may be created and maintained for 'the conduct of...affairs' of a personal and private nature. ## Archive Service 1.4 The word 'Archives' is also commonly used to refer to the place or institution where such material is kept. As the word is often misused to refer to mere 'dumping grounds' for older records which have ceased to be properly managed, but not yet destroyed, this scheme prefers the term 'archive service ', meaning: "An organisation, or part of an organisation, with a remit to manage and promote the preservation and use of archives in its custody" 1.5 Archive Services will normally have custody of the archives of their own parent organisation but may also have custody (but not necessarily ownership) of the archives of other organisations or persons. 1.6 Archive Services must offer some access to their archive collections beyond members of their own institution or organisation to seek formal accreditation under this scheme: however, this need not be their primary function, and may be more limited than services to specific user groups. ## Records Management 1.8 "field of management responsible for the efficient and systematic management and control of the creation, receipt, maintenance use and disposition of records, including the processes for capturing and maintaining evidence of and information about business activities and transactions in the form of records" (ISO 15489-1) 1.9 All individuals and organisations maintain records in order to carry out their day to day activities. Only a small minority of these will have sufficient permanent cultural or operational value to justify their preservation as archives. 1.10 While records management as a day to day business function is outside the scope of the Archive Service Accreditation Scheme, it recognises that archival activity forms part the wider records management function, and that archival institutions will be unable to carry out their own functions successfully if the records management of organisations and individuals for whose archives they have responsibility is poor. The scheme therefore brings within scope those parts of the records management function relating to the selection and transfer of records to an archival institution at the appropriate point in the records lifecycle. 2. Identifying Archives in Practice 2.1 This section is intended to assist those working in related cultural domains or other organisational functions to identify archives which may be in their custody, and therefore to what extent they meet the eligibility criteria for the scheme. (See Eligibility: Criterion 1) 2.2 As the definitions of archives given above are functional rather than physical, when assessing whether any given object can be defined as (part of) an archive, it may be helpful to consider the following questions. If the answer to any of the items other than 7 below is NO, the object is probably not archival: 1) Was it primarily created to record information or evidence, or is it linked (physically, or in terms of prior use) to something else which conveys information when the two are taken together? 2) Does the information or evidence it (they, if linked) contains relate to something specific done by the creator, or the person receiving it, in the course of their day to day business, rather than by people in general? 3) Has it been kept by its creator or the person receiving it because it provides information, or serves as evidence, which supports the transaction of their personal or work business? 4) Can the creator or receiver still be identified (at least in general terms, not necessarily a full biography), either from the object, or other information in/likely to come into your possession? 5) Does it still convey the information/evidence originally intended? 6) Is it likely to be of permanent value, either to the creator/receiver in respect of its original purpose, or to anyone else, for any purpose related to its function as a record? 7) Is it unique in content? (not conclusive, but if no, it is usually less likely to be an archive). The examples in Appendix A illustrate the principles underlying these questions in a practical context, and are indicative only. ## Appendix A - Identifying Archives 1 Principles 1.1 Function Not Format Physical format is not fundamental in identifying archives. Records (and hence archives) are defined primarily by the function for which they were originally created and used. Anything used as a substitute for fallible human memory in conveying information and evidence in a specific context may be a record, although some types of physical object are more commonly used for that purpose. 1.1.1 While usually thought of as handwritten or typed documents on paper (perhaps bound into files or volumes) they may also commonly include:  Printed documents (or books, pamphlets etc)  Photographs  Digital objects (such as e-mail, databases etc)  Audio/visual material  Sketches, drawings  Maps and plans The list is not exhaustive and may include more exotic items, such as the knotted cords used for record keeping by Andean cultures or a variety of types of object. 1.1.2 By the same token, not all material in these formats will constitute records. In some cases there will be an overlap, or potential overlap, with physically similar, but functionally different, items, in others, the same physical item could be regarded as archival or not depending upon the context in which it is managed and the purposes it serves. Some examples of this are given in the following sections. ## 1.2 Information And Memory Archives are usually things which have been created, or at least adapted, to convey information (written, numerical, visual etc) so that people can remember what was said, done, or seen. ## 1.3 Specific Context And Purpose They will usually have been created and used in a specific context , as part of wider recordkeeping systems consisting of multiple objects. The context, relationships, rules, and practices associated with such systems are an essential part of what makes them a record. Some of these may be explicit (for example, a formal filing scheme) others may be implicit (if it's on my desk, it's something to do with my job). If this context is compromised, the individual objects may no longer function effectively as records. 1.3.1 Example 1 The Bank of Puddleby keeps a register containing personal ID details of all its customers and their bank account numbers. It also keeps a ledger containing details of activity on each account number. These were created and used by bank staff to keep track of the state of their financial transactions with their customers and as evidence in case of dispute. If one of these items is destroyed, or knowledge of the relationship between them is lost, they can no longer serve that function, although they may still convey more limited information (the register will at least indicate who their customers are). If they are not physically marked to indicate this context (for example, by being labelled "Bank of Puddleby: customer register") then if displaced from the custody of the Bank, where staff know what they are, they may lose their "recordness" - becoming mere lists of unidentified names and figures. ## 1.4 Uniqueness In practice it is unusual for an organisation or individual to create and retain for reference multiple identical copies. Where this happens, it is usually where a small number of copies are created to serve different functions in different parts of an organisation. The basic principle of a record being used for the transaction of specific business by specific persons is retained therefore. 1.4.1 Example: Blankshire Museum staff have local copies of their timesheets, to manage their own work attendance. A copy, known as "the blue copy" is sent regularly to county council HR, where it supports a variety of functions such as staff absence, payroll adjustment etc. ## 1.5 Use And Permanent Preservation Archives are records which someone has decided to preserve permanently for some reason associated with their function as a record. They need not necessarily be 'old' (yet). Preservation may be on grounds of primary use (the records are of continuing value for the transaction of the same business functions in respect of which they were originally created or retained) or secondary use (anything else). In practice, the same records will often have value for both ongoing primary and secondary uses. Only a small proportion of the records maintained by most organisations or individuals will be worth preserving permanently (typically 2-5% of the total). 1.5.1 Example: A medieval market charter may have value for historical research (secondary use), while remaining of value for the legal enforcement of current market rights by the holder (primary use). ## 2 Some Common Object Types Which May Be Archives 2.1 Printed Documents (Including Books, Pamphlets Etc) The publications (electronic or hard copy) which make up the bulk of library collections would not normally be considered as 'archives' (although deposit libraries or those with major special/rare books collections have similar preservation functions to archive services and museums in that they hold material which is unique, close to unique or intended for permanent preservation as a representative of a much later print run). However, there may be instances where they need to be treated as archival or quasi-archival objects, and may be worth preserving permanently as a key record. 2.1.1 Example: master sets A publishing house keeps a set of every publication it issues, in order to carry out its business functions (such as checking for textual errors, supporting intellectual property litigation, or actions for defamation, assessing the need for further editions etc). Note that it is important that this record set is maintained intact as an accurate and complete record of what it published - if it got mixed up with another printing or edition, it could no longer support that specific business need. Its archival value derives from the context in which it is created and maintained - each item may derive from a print run of thousands of identical copies basically produced for resale. Similar considerations might exist in respect of a set maintained by an individual author. 2.1.2 Example: Annotations Author A and author B are engaged in a vigorous public debate through their written works. Author B keeps a set of author A"s works (purchased on Amazon in the normal way) in which he has marked out various phrases and passages with which he disagrees, to act as an aide memoire in writing his own counterblast. These annotations will be unique, and form a record of the things he objects to. If the works became divorced from the context of who owned and annotated them, the annotations would lose their meaning as a record of author B"s thoughts and activities, and the works would become little different to any other copy of the same work. If author A and author B are important enough, this specific set of annotated works might be retained as a permanent archival record of their controversy, along with associated correspondence etc. 2.1.3 Example: printed base Blankshire Borough highways department buys large quantities of published Ordnance Survey maps (or more likely these days, a licence for digital versions). It then adds annotations to these for various purposes eg it marks the footpaths and roads which the council has a responsibility to maintain in different colours, to help plan its highways maintenance process. These are records, and may well be kept permanently eg to indicate historic access rights. ## 2.2 Photographs Most libraries and museums will hold quantities of photographs. Whether these can be regarded as archives may vary depending upon the nature of the item itself, and the way in which it has been managed within the institution. It would not be uncommon for an institution to hold both archival and non-archival photographs. In practice, the record status of photographs is frequently compromised by the fact that few people ever label their photos in any way, making identification (let alone decisions on record status) difficult. 2.2.1 Example: archival vs non-archival Blankshire Local Studies Library holds thousands of photos. One of these is an unused Victorian picture postcard showing a local rural scene. It was taken by a local photographer at a specific time and place, but this is one of hundreds run off as stock in trade, and has not been used as a record by anyone. It is not regarded as archival in nature. Another copy of the same postcard has been written on and sent to someone in Australia, who kept it among their personal archive as a record of their birthplace and the activities of the family they left behind when they emigrated. A descendent later donated it to the library for its unique value as part of the documentary heritage. The original negative of the photo has also been acquired, along with a whole series of others, kept by the photographer as a permanent record of his output, along with a host of other related records such as customer order books, purchase ledgers etc. the whole forming his business archive. 2.2.2 Example: record vs art object John Smith takes his camera on holiday to Bournemouth and takes lots of photos. When he comes home, he stores them all away (perhaps in an album/ a box/ his PC hard drive) so that in future years he can take them out and remind himself of his holiday and what he was doing. He has no intention of discarding them. They form part of his personal archive. After his return, he sees a nice photo of the Eiffel Tower in a shop. He takes it home and hangs it on his wall in a frame because it looks nice. This is not part of his personal archive, because it was not created in the course of his own daily activity, and he is keeping it for aesthetic reasons, not as a reminder of his own activity. 2.2.3 Example : record vs stock photo Blankshire County Council gets a lot of lawsuits from people who trip over cracks in the pavements, so it take photos of potential hazards, which are used by staff to prioritise repairs, or as evidence to defend the council in court. These may well be preserved permanently as archives The BCC press department buys a stock photo of happy children from an agency to put on the front of the council"s annual report. The photo is left with a pile of material in a cupboard and never looked at again. It is not a record (though a set of annual reports including the one with it on the cover might be, if retained as the record set, see above). 2.2.4 Example: Negatives vs Prints In the examples above, Blankshire County Council may create a copy negative purely to facilitate production of additional copy prints for various purposes, but would regard the original negative as the record (and might need to produce it in court if someone suing the council over a pavement fall claimed that they had "doctored" the prints produced to the court). Conversely, John may retain the print as his record and discard the negatives. Some of the copy prints might become records in their own right: for example, John sends a copy of one of his prints to his Aunt in Australia. She keeps it as part of her personal archive (a permanent record of what members of her family have been doing). ## 2.3 Digital Objects The Archive Service Accreditation encompasses both non-digital archives and digital archives, but not Archive Services who hold digital archives alone in its initial roll-out. 2.3.1 The main source of confusion here is the distinction between digitisation (the process of creating some kind of digital copy or version of an existing hard copy record) and digital archives (records originally created in digital form, such as email received in the course of business, and preserved permanently). Digital objects produced by digitisation projects are unlikely to constitute archives, being merely a copy of the original objects. It may be inconvenient if the digitised copy is destroyed or damaged, but it does not affect the preservation of the original record. 2.3.2 Occasionally, a person or organisation may decide to digitise hard copy records (for example, to scan all incoming correspondence) and retain the digital copy instead of the hard copy for normal business purposes, in which case the resulting digital objects will have become records, and may be worth preserving permanently as archives. Note that there may be issues of reliability, authenticity and integrity in this process, as the resulting digital objects may not 'work' as records if the digitising is not properly carried out. 2.3.3 However, since the 1990s many, if not most, records created or received by organisations and individuals will originate in digital formats of various kinds. In principle, this has no effect on their archival/record status: however, the ease with which digital objects can be transmitted, copied, altered, merged or destroyed, combined with the fact that the information content is not inherently linked to the physical medium and its context makes them problematic as records. It can also be difficult to identify the boundaries of a digital 'object' which may in fact consist of a temporary aggregation of different digital information pulled from a variety of contexts. 2.3.4 The key point for digital record keeping (and permanent preservation as digital archives) is that the physical medium is of less importance than that systems, processes and 'metadata' are in place to establish the context in which digital information was created and used, and retain integrity, authenticity and reliability to a degree which enables it to be considered a record. While identical duplicate digital objects may exist in large numbers, it is these external factors which will determine which (if any) of them constitute a record. ## 2.4 Audio-Visual Material Again, purpose is the main issue here. Has the item been created and referred to for the conduct of the day to day affairs of an individual or organisation, or has it been produced (for example) for aesthetic or entertainment reasons? 2.4.1 Example: record vs publication Puddleby Community History Group has been conducting recorded oral history interviews, with a view to maintaining these recordings as a permanent resource for local history research. The master recordings will be archives of the Group: they may also create various copies for sale, or for distribution to other LHS"s, or for taking out to use in school sessions, but these are not archives. Again, some of their interviewees may keep the copies of the recordings which Group have given them as part of their own personal or family archive, to be handed on to their grandchildren etc. ## 2.5 Drawings, Paintings And Sketches 2.5.1 Similar considerations may apply to drawings, paintings or sketches, which can be created for basically aesthetic purposes (a portrait) or for the conduct of business (a police sketch of a suspect). ## 2.6 Maps And Plans 2.6.1 Manuscript maps and plans drawn up for reference and evidential purposes in the transaction of specific business are records, and will often be of sufficient value to retain as archives. Printed maps with extensive annotations made in the transaction of business may also be of sufficient value to retain as archives. As with printed books, printed record copies of maps may be retained as a core part of broader archives, such as mapmakers'. 2.6.2 Example: annotations Puddleby Borough Council highways department has a copy of the printed 1937 6" Ordnance Survey map on which they have marked those roads which are private, those maintained by the county council and those which PBC have obligations to maintain. This is a record, created and maintained for the transaction of their road maintenance activity. 2.6.3 Example: print for specific transaction Lord Puddleby sold off his estate in the 1940"s, and for purposes of the auction, had a plan of the estate drawn up and printed in small numbers for circulation to potential bidders. The copy kept by his estate office at Puddleby Hall for permanent reference forms part of his estate archive. ## 2.7 Other Objects Occasionally, objects which are not in themselves designed for the recording of information may be used as part of a record-keeping system. In most cases where a series of such objects is extensive, it may be more practical, however, to consider the objects and the recordkeeping system separately (an extensive series of rock core samples, or a herbarium, and the associated records detailing where and when each one was taken, for example). This is a grey area, but it may be helpful to consider to what degree the ongoing value of the objects derives from their intrinsic properties, and to what extent it derives from their conscious organisation into a reference system, and the degree of permanence of the latter 2.7.1 Example: object attached to file Puddleby Borough Police keeps a series of crime files (in crime number order) which mostly contain witness statements, reports, notes of phone conversations and other documents created or received in the course of an investigation. However, in a few cases they might also contain eg a blood-stained knife, along with the accompanying forensic report, or small samples of mud stains found at the crime scene. Although the blood-stained knife was not created as a record, it may in some senses have acquired record status by virtue of its association with the crime file, and may be preserved permanently as part of the PBC archive. (There may, of course be some curatorial and health and safety issues in preserving it physically in the file on a permanent basis). ## 2.8 Artificial Collections In some cases, cultural or heritage institutions with an explicit function to record the past may acquire some or all of the types of material listed above, with the aim of preserving it permanently. It is a moot point whether this constitutes an archive, as the material was not originally created or received in the course of business by that institution. However, there may be coherent archives within the artificial collection. 2.8.1 Example: community archive Puddleby Community History Group operates a small heritage centre in Puddleby village. Here they collect all sorts of material including beer mats from the Puddleby Brewing Company, old postcards of Puddleby, and some pattern books from the old Puddleby Textile Company. All this is being permanently preserved as part of the day to day business of the PCHG, but the first two items are not archives (the PBC advertising department might have kept a record set of beer mats for reference, but there is nothing to suggest that this formed part of it) while the third set of items probably is, although a very fragmentary one. ## 2.9 Internal Records Of Cultural/Heritage Institutions Cultural and heritage institutions will themselves create, receive and maintain records in the course of their normal business. Some are like those of any other organisation (HR staff files, annual accounts, receipts etc). Others are used to administer their collections, which are being permanently preserved, and therefore need to be retained permanently for that purpose (primary use), These records will therefore form part of the archive of the institution itself and may have secondary values over and above that of the collections to which they relate(for example, the study of library history). There may, of course, be practical issues relating to the management of records which remain permanently 'current'. 2.9.1 Example: museum archive Puddleby Museum originated in the gift of the private local archaeology collection of Colonel Blunt to the town in 1867. In addition to the main series of accession records, still used for day to day administration of the collections (primary use), there are a variety of other records which have value for a variety of primary and secondary purposes such as those relating to former staff, some of whom went on to become nationally famous, past exhibitions and events etc. Together these form the Museum"s own archive, which is substantial in its own right. 2.9.2 Example: private library archive Lord Puddleby used to own a nationally famous collection of rare books, but when the family fell on hard times after the war, most of these were all sold off to various collectors, and the last librarian retired in 1955. However, the librarian"s correspondence still survives, along with the old MS catalogue and other records relating to the library, and these remain of value, both in administering the remains of the collection (primary use) and for those with an interest in library and bibliographic history. Although the library no longer survives as a distinct entity within the estate management, these remaining records still form part of the overall family archive.	en
2436-pdf	## Efficiency And Reform In The Next Parliament The recent publication of a report by government into efficiency and reform in the next Parliament provides an overview of its proposals to transform service delivery across the public sector and presents an opportunity to reflect on the implications such initiatives are likely to have on London boroughs within the context of significant reductions in core funding. With one eye on London Councils' continuing work to secure greater devolution for the capital, this briefing outlines the government's thinking and highlights the issues for boroughs. ## Overview On 3 December 2014, HM Treasury and the Cabinet Office published a report titled Efficiency and Reform in the next Parliament. This set out the government's ambition to save £10 billion for 2017-18 and £15-20 billion for 2019-20 and proposed that these savings will be achieved through: improved procurement for common goods and services; a continued process of asset rationalisation; a focus on reducing fraud and debt; and, an accelerated shift towards the use of digital technology. Subsequently, on the 18 December, the Department for Communities and Local Government released the provisional local government finance settlement for 2015/16. London Councils' recent estimate, drawing on this data, is that between 2010 and 2016, borough's core funding will have fallen in real terms by 45 per cent. Against this stark financial background, this briefing provides an overview of the government's thinking on efficiency and reform in the next Parliament, considers the potential opportunities for London arising from these proposals and reflects on the alignment between nationally led proposals for service transformation alongside growing calls for greater devolution to councils. ## Analysis At the heart of the government's proposals for improving efficiency within the public sector is an accelerated shift towards the use of digital technology. Essentially, the government's aspiration is to make dealing with the public sector online as easy and efficient as the best services offered by the private sector. By 2020 the government aims to provide a series of cross-departmental digital platforms covering services such as payments, messaging and appointments booking, supported by shared programmes to keep information secure, provide postcode look-ups and supply location data. To this end, the government intends to: - Increase digital uptake of government public services by 10 per cent by mid-2016, and bring average digital uptake to 90 per cent among those who are online by 2020. - Make it easier to make payments to government online, especially from a mobile phone or device, with a new common payments platform introduced from 2016 and eventually offered to the wider public sector. - Ensure that every new digital service is available via an open Application Programme Interface (API) as well as a web browser to encourage private sector innovation. - Nominate a Government Chief Data Officer to define data standards for the public sector. - Accelerate the move of existing IT services into the Cloud using suppliers sourced through the 'G-Cloud' procurement framework and the Crown Hosting Service to reduce costs and keep information secure. " The government will continue with its process of asset rationalisation, by accelerating its programme of moving to Civil Service hubs, reducing office space per FTE to an average of eight square metres by 31 March 2018 and announcing that it expects a further £5 to 6 billion of receipts from property sales by 2020. Following the introduction of a 'Right to Contest' the public can now challenge the government's use of land and property. If a challenge is successful a Department must release the asset for sale. The government's intention is to work towards the extension of this approach across the wider public sector. The future policy direction suggested by this report presents a number of opportunities for London local government to advance and engage with the government's efficiency and reform agenda " The government also intends to improve its procurement processes. It currently spends over £40 billion on goods and services per year and its aim is to transition up to £10 billion of annual spend on common goods and services from Departments to the Crown Commercial Service by 2019-20. An ambition is to further expand the work of the Crown Commercial Service into the wider public sector, to support the NHS, local authorities, schools and the police to maximise their buying leverage. Part of this approach will be a focus on data transparency to build a culture of "comply or explain". In advance of the introduction of Universal Credit, the DWP and HM Revenue and Customs will look to see how they can reduce fraud and error in the legacy benefits system. This will be facilitated through the use of Real Time Information systems about individuals' employment and earnings. To tackle uncollected debt, the government will introduce a Debt Market Integrator to enable debt collection through a single, co-ordinated private sector approach. Finally, the government has proposed to continue exploring whether it is best placed to deliver public services in-house. This will potentially mean opening up the public sector in areas ranging from operational delivery to 'back office' services, with the ambition to save costs, improve quality and redesign services around users. This may mean the expansion of alternative delivery models such as joint ventures and mutuals, particularly across the local government sector. The future policy direction suggested by this report presents a number of opportunities for London local government to advance and engage with the government's efficiency and reform agenda. For a start, the use of digital technology in the delivery of public services continues to be an area of significant opportunity. Adopting strategies employed by market leading software companies - Amazon, Google, Microsoft and Facebook - the shift towards 'Government as a Platform' has the potential to radically transform public service delivery and improve the relationship between provision and public use. As providers and commissioners of public services, as producers of service information and as local centres of expertise and data analysis there may be a case to be made for London local government to develop a shared public service platform distinct from the GLA, but aligned with best practice developed at a city-wide and national level. Asset rationalisation also continues to offer the opportunity for London boroughs to reduce overheads and generate capital receipts. More ambitiously it creates a potential role where borough chief executives might lead local asset rationalisation schemes across the whole public sector within their borough's boundaries. The use of real-time information in tackling fraud and reducing outstanding debt has the potential to support borough resilience. Access to this information could be secured if not already available and the potential to establish an integrated debt collection service for all the London boroughs could be explored. " Efforts to improve shared procurement across London are already in place and will no doubt continue to be developed. It might be useful to explore potential synergies with the government's approach and the opportunity on offer from developing a pan-London purchasing platform for common items. ## Commentary For many in local government the proposals outlined in the government's report will be strikingly familiar " The government's efficiency and reform agenda presents a broad picture of a leaner, smarter and more effective public sector. The push to make better use of digital technology, alongside common sense approaches to asset rationalisation and joint procurement chime with thinking that has proved to be increasingly popular in recent years. However, while the scale of the potential savings on offer through these approaches underlines the extent to which Departments stand to benefit from reform, it also contributes to the sense that Whitehall has, so far, been relatively protected from the severest cuts to budgets. For many in local government the proposals outlined in the government's report will be strikingly familiar. The experience of designing and delivering efficient services within the context of declining budgets and rising demand has encouraged most if not all to explore the potential savings to be gained through such approaches. Some may even welcome the government's steps to bring Departmental practice more closely into line with the performance of local councils, who are widely recognised as one of the most efficient parts of the public sector. Others are likely to feel frustrated and concerned by the apparent focus on 'quick wins' at a time of unprecedented financial challenge. In areas such as digital technology, procurement and asset rationalisation, there is already the sense that some London boroughs are ahead of the government. These areas have delivered savings, particularly in central services, but they stand in the face of rising demand for statutory services such as those for vulnerable adults and children that have cost implications which run to the billions. Ultimately therefore, while the government's focus on increasing the efficiency of Whitehall is to be welcomed, public service reform through devolution to local councils remains the missing piece of the puzzle. Unfortunately, it seems that on this side of the general election at least, Ministers remain cautious about trusting local leaders with further devolution. With manifestos due to be published shortly, it will interesting to see which of the national parties recognises the advantages of acting radically by devolving to reform. Author: Philip Clifford, Policy and Project Manager(T: 020 7934 9792) Click here to send a comment or query to the author ## Links: Efficiency and reform in the next Parliament (policy paper) ## This Member Briefing Has Been Circulated To: Portfolio holders and those members who requested policy briefings in the following categories: Leadership, devolution and democracy	en
0362-pdf	nd Whether the CPS looked into the circumstances of a person's death having been found 'fit to work' by the DWP or following a benefit sanction by the DWP. ## Request 1. Since 2010 have the CPS looked into the circumcisers [circumstances] of a person's death having been found 'fit to work' by the DWP or following a benefit sanction by the DWP 2. Has [Have] any guidelines for handling of DWP Relate[d] cases been created? Response We, the Crown Prosecution Service (CPS), have interpreted 'looked into' to mean investigated. The CPS is a prosecuting authority and therefore has not investigated the circumstances described in part one of your request. The Police and/or the Health and Safety Executive (HSE) may be able to provide data relating to investigations into the circumstances described in part one of your FOI request. The organisations can be contacted via the following links: http://www.hse.gov.uk/foi/index.htm https://foi.directory/police-forces/ A guide to co-operation between the CPS, the Department for Work and Pensions (DWP) and the Fraud Investigation Service (FIS) exists in the format of a Memorandum of Understanding (MOU). This document is published on the Crown Prosecution Service (CPS) website and for your information can be accessed via the following link: https://www.cps.gov.uk/socpa-information Information Management Unit 020 3357 0899 IMU@cps.gov.uk Crown Prosecution Service, Information Management Unit, Floor 8, 102 Petty France, London SW1H 9AJ	en
4900-pdf	## Hm Revenue & Customs Business Expenses: 1St April 2010 - 30Th June 2010 Please note - these figures may not include some costs that have yet to be invoiced and will be updated to reflect any additional spend. ## Lesley Strathie - Chief Executive And Permanent Secretary \| DATES \| DESTINATION \| PURPOSE \| TRAVEL \| OTHER (Including \| \|-----------------\|----------------\|---------------\|-----------\|---------------------\| \| Hospitality \| \| \| \| \| \| Received/Given) \| \| \| \| \| \| Total \| \| \| \| \| \| Cost £ \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Air \| Rail \| \| Meals \| \| \| \| \| \| \| \| \| \| \| \| Other \| \| \| \| \| \| 13/04/10 \| London \| Departmental \| \| \| \| Business \| \| \| \| \| \| \| \| \| £52.10 \| \| \| 16/04/10 \| Darlington \| Staff Event \| \| £371.67 \| \| 27/04/10 \| Sunningdale \| Civil Service \| \| \| \| Business \| \| \| \| \| \| \| £20.15 \| £14.08 \| \| \| \| 04/05/10 \| London \| Departmental \| \| \| \| Business \| \| \| \| \| \| \| \| £18.05 \| \| \| \| 19/05/10 \| London \| Departmental \| \| \| \| Business \| \| \| \| \| \| \| \| £23.55 \| \| \| \| 10/06/10 \| Birmingham \| Staff Event \| \| £56.01 \| \| \| \| \| \| \| ## Dave Hartnett - Permanent Secretary For Tax \| DATES \| DESTINATION \| PURPOSE \| TRAVEL \| OTHER (Including \| \|-----------------\|----------------\|--------------\|-----------\|---------------------\| \| Hospitality \| \| \| \| \| \| Received/Given) \| \| \| \| \| \| Total \| \| \| \| \| \| Cost £ \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Air \| Rail \| \| Meals \| \| \| \| \| \| \| \| \| \| \| \| Other \| \| \| \| \| \| 08/04/10 \| London \| Meeting \| \| \| \| 13/04/10 \| London \| Departmental \| \| \| \| Business \| \| \| \| \| \| \| \| \| £52.10 \| \| \| 15/04/10 \| Leeds \| Meeting \| \| £116.00 \| \| 15/04/10 \| London \| Meeting \| \| \| \| 16/04/10 \| London \| Conference \| \| \| \| 20/04/10 \| Sunningdale \| Meeting \| \| £4.00 \| \| 20/04/10 \| London \| Meeting \| \| \| \| 21/04/10 \| Lincoln \| Speaking \| \| \| \| Engagement \| \| \| \| \| \| \| £25.00 \| £88.00 \| \| \| \| 26/04/10 \| London \| HMRC Board \| \| \| \| 28/04/10 \| \| \| \| \| \| - \| \| \| \| \| \| 29/04/10 \| \| \| \| \| \| France \| Meeting \| £133.00 \| \| £30.00 \| \| 29/04/10 \| London \| Meeting \| \| \| \| 05/05/10 \| Switzerland \| Meeting \| £173.00 \| £52.00 \| \| 17/05/10 \| London \| Meeting \| \| \| \| 18/05/10 \| London \| \| \| \| \| Departmental \| \| \| \| \| \| Business \| \| \| \| \| \| \| \| £9.00 \| \| \| \| 20/05/10 \| London \| Departmental \| \| \| \| Business \| \| \| \| \| \| \| \| £8.00 \| \| \| \| 20/05/10 \| London \| Office Visit \| \| \| \| 21/05/10 \| \| \| \| \| \| Cambridge \| Conference \| \| \| £37.00 \| \| \| \| \| \| \| \| 25/05/10 \| Netherlands \| Speaking \| \|-------------\|----------------\|-------------\| \| Engagement \| \| \| \| £118.00 \| \| £72.00 \| \| 01/06/10 \| London \| Meeting \| \| 03/06/10 \| \| \| \| - \| \| \| \| 04/06/10 \| \| \| \| Copenhagen \| Speaking \| \| \| Engagement \| \| \| \| £113.00 \| \| £33.00 \| \| 06/06/10 \| \| \| \| - \| \| \| \| 07/06/10 \| \| \| \| Switzerland \| Meeting \| £277.00 \| \| 10/06/10 \| \| \| \| - \| \| \| \| 11/06/10 \| \| \| \| France \| Meeting \| £125.00 \| \| 18/06/10 \| London \| Meeting \| \| 22/06/10 \| \| \| \| - \| \| \| \| 24/06/10 \| \| \| \| France \| Conference \| £139.00 \| \| \| \| \| ## Bernadette Kenny - Director General, Personal Tax \| DATES \| DESTINATION \| PURPOSE \| TRAVEL \| OTHER (Including \| \|-----------------\|----------------\|---------------\|-----------\|---------------------\| \| Hospitality \| \| \| \| \| \| Received/Given) \| \| \| \| \| \| Total \| \| \| \| \| \| Cost £ \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Air \| Rail \| \| Meals \| \| \| \| \| \| \| \| \| \| \| \| Other \| \| \| \| \| \| 15/04/10 \| Shipley \| Office Visit \| \| £135.55 \| \| 28/04/10 \| London \| Awards Dinner \| \| \| \| 27/05/10 \| Newcastle \| Office Visit \| £180.49 \| £52.00 \| \| \| \| \| \| \| ## Steve Lamey - Director General, Benefits And Credits \| DATES \| DESTINATION \| PURPOSE \| TRAVEL \| OTHER (Including \| \|-----------------\|----------------\|-------------\|-----------\|---------------------\| \| Hospitality \| \| \| \| \| \| Received/Given) \| \| \| \| \| \| Total \| \| \| \| \| \| Cost £ \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Air \| Rail \| \| Meals \| \| \| \| \| \| \| \| \| \| \| \| Other \| \| \| \| \| \| 07/04/10 \| London \| Meeting \| \| \| \| 15/04/10 \| Washington \| Staff Event \| \| £362.35 \| \| 23/04/10 \| Preston \| Staff Event \| \| £115.66 \| \| 28/04/10 \| Preston \| Staff Event \| \| £85.66 \| \| 12/05/10 \| \| \| \| \| \| - \| \| \| \| \| \| 13/05/10 \| \| \| \| \| \| Preston \| Meeting \| \| £86.56 \| £63.00 \| \| 14/05/10 \| Croydon \| Staff Event \| \| £7.90 \| \| 19/05/10 \| Liverpool \| Staff Event \| \| £232.94 \| \| 27/05/10 \| Preston \| Staff Event \| \| £127.56 \| \| \| \| \| \| \| ## Melanie Dawes - Director General, Business Tax \| DATES \| DESTINATION \| PURPOSE \| TRAVEL \| OTHER (Including \| \|-----------------\|----------------\|--------------\|-----------\|---------------------\| \| Hospitality \| \| \| \| \| \| Received/Given) \| \| \| \| \| \| Total \| \| \| \| \| \| Cost £ \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Air \| Rail \| \| Meals \| \| \| \| \| \| \| \| \| \| \| \| Other \| \| \| \| \| \| 19/04/10 \| \| \| \| \| \| - \| \| \| \| \| \| 20/04/10 \| \| \| \| \| \| Newcastle \| Staff Event \| \| £168.75 \| £21.00 \| \| 21/04/10 \| Home \| Speaking \| \| \| \| Engagement \| \| \| \| \| \| \| \| £11.00 \| \| \| \| 26/04/10 \| \| \| \| \| \| - \| \| \| \| \| \| 28/04/10 \| \| \| \| \| \| Riga \| Meeting \| £647.10 \| £48.00 \| £6.50 \| \| 01/06/10 \| London \| Meeting \| \| \| \| 09/06/10 \| London \| Meeting \| \| \| \| 10/06/10 \| East Kilbride \| Office Visit \| £77.80 \| £18.00 \| \| 17/06/10 \| Lincoln \| Staff Event \| \| £48.52 \| \| \| \| \| \| \| ## Mike Eland - Director General, Enforcement And Compliance \| DATES \| DESTINATION \| PURPOSE \| TRAVEL \| OTHER (Including \| \|-----------------\|----------------\|--------------\|-----------\|---------------------\| \| Hospitality \| \| \| \| \| \| Received/Given) \| \| \| \| \| \| Total \| \| \| \| \| \| Cost £ \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Air \| Rail \| \| Meals \| \| \| \| \| \| \| \| \| \| \| \| Other \| \| \| \| \| \| 26/04/10 \| London \| Departmental \| \| \| \| Business \| \| \| \| \| \| \| £1.80 \| £90.54 \| \| \| \| 28/04/10 \| London \| Office Visit \| \| \| \| 29/04/10 \| London \| Office Visit \| \| £3.60 \| \| 12/05/10 \| London \| Office Visit \| \| £3.60 \| \| 09/06/10 \| \| \| \| \| \| - \| \| \| \| \| \| 10/06/10 \| \| \| \| \| \| Birmingham \| Departmental \| \| \| \| \| Business \| \| \| \| \| \| \| £69.57 \| \| £87.00 \| \| \| 24/06/10 \| Coventry \| Office Visit \| \| £82.12 \| \| \| \| \| \| \| ## Simon Bowles - Chief Finance Officer \| DATES \| DESTINATION \| PURPOSE \| TRAVEL \| OTHER (Including \| \|-----------------\|----------------\|------------\|-----------\|---------------------\| \| Hospitality \| \| \| \| \| \| Received/Given) \| \| \| \| \| \| Total \| \| \| \| \| \| Cost £ \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Air \| Rail \| \| Meals \| \| \| \| \| \| \| \| \| \| \| \| Other \| \| \| \| \| \| NIL RETURN \| \| \| \| \| \| \| \| \| \| \| ## Mike Falvey - Chief People Officer \| DATES \| DESTINATION \| PURPOSE \| TRAVEL \| OTHER (Including \| \|-----------------\|----------------\|--------------\|-----------\|---------------------\| \| Hospitality \| \| \| \| \| \| Received/Given) \| \| \| \| \| \| Total \| \| \| \| \| \| Cost £ \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Air \| Rail \| \| Meals \| \| \| \| \| \| \| \| \| \| \| \| Other \| \| \| \| \| \| 21/04/10 \| Nottingham \| Office Visit \| \| £216.35 \| \| 13/05/10 \| Newcastle \| Office Visit \| \| £229.00 \| \| \| \| \| \| \| ## Anthony Inglese - General Counsel And Solicitor \| DATES \| DESTINATION \| PURPOSE \| TRAVEL \| OTHER (Including \| \|-----------------\|----------------\|--------------\|-----------\|---------------------\| \| Hospitality \| \| \| \| \| \| Received/Given) \| \| \| \| \| \| Total \| \| \| \| \| \| Cost £ \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Air \| Rail \| \| Meals \| \| \| \| \| \| \| \| \| \| \| \| Other \| \| \| \| \| \| 26/04/10 \| London \| Departmental \| \| \| \| Business \| \| \| \| \| \| \| \| £8.20 \| \| \| \| 27/04/10 \| London \| Meeting \| \| \| \| 05/05/10 \| London \| Speaking \| \| \| \| Engagement \| \| \| \| \| \| \| \| £20.53 \| \| \| \| 24/05/10 \| Sunningdale \| Speaking \| \| \| \| Engagement \| \| \| \| \| \| \| \| £77.99 \| \| \| \| 07/06/10 \| Zurich \| Departmental \| \| \| \| Business \| \| \| \| \| \| £325.98 \| \| \| \| \| \| 21/06/10 \| Sunningdale \| Speaking \| \| \| \| Engagement \| \| \| \| \| \| \| £16.68 \| \| \| \| \| \| \| \| \| \| ## Phil Pavitt - Chief Information Officer \| DATES \| DESTINATION \| PURPOSE \| TRAVEL \| OTHER (Including \| \|-----------------\|----------------\|--------------\|-----------\|---------------------\| \| Hospitality \| \| \| \| \| \| Received/Given) \| \| \| \| \| \| Total \| \| \| \| \| \| Cost £ \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Air \| Rail \| \| Meals \| \| \| \| \| \| \| \| \| \| \| \| Other \| \| \| \| \| \| 13/04/10 \| \| \| \| \| \| - \| \| \| \| \| \| 14/04/10 \| \| \| \| \| \| Telford \| Staff Event \| \| \| £176.32 \| \| 26/04/10 \| London \| Departmental \| \| \| \| Business \| \| \| \| \| \| \| £3.60 \| \| \| \| \| 28/04/10 \| \| \| \| \| \| - \| \| \| \| \| \| 29/04/10 \| \| \| \| \| \| Telford and \| \| \| \| \| \| Shipley \| \| \| \| \| \| Staff Visit \| \| £3.60 \| £136.77 \| £85.75 \| \| 30/04/10 \| Southend \| Staff Visit \| \| \| \| 05/05/10 \| Liverpool \| Staff Visit \| \| \| \| 10/05/10 \| Worthing and \| \| \| \| \| London \| \| \| \| \| \| Staff Visit \| \| £3.60 \| \| £7.50 \| \| 12/05/10 \| Telford \| Staff Visit \| \| \| \| 17/05/10 \| \| \| \| \| \| - \| \| \| \| \| \| 18/05/10 \| \| \| \| \| \| Telford \| Staff Visit \| \| \| £146.93 \| \| 24/06/10 \| Exeter \| Departmental \| \| \| \| Business \| \| \| \| \| \| \| £75.00 \| \| \| \| \| 26/05/10 \| Lincoln \| Speaking \| \| \| \| Engagement \| \| \| \| \| \| \| \| \| £16.41 \| \| \| 30/06/10 \| London \| Departmental \| \| \| \| Business \| \| \| \| \| \| \| £3.60 \| \| \| \| \| 06/07/10 \| \| \| \| \| \| - \| \| \| \| \| \| 07/07/10 \| \| \| \| \| \| Newcastle \| Staff Visit \| \| £229.45 \| \| ## Mike Clasper - Non Executive Chairman \| DATES \| DESTINATION \| PURPOSE \| TRAVEL \| OTHER (Including \| \|-----------------\|----------------\|--------------\|-----------\|---------------------\| \| Hospitality \| \| \| \| \| \| Received/Given) \| \| \| \| \| \| Total \| \| \| \| \| \| Cost £ \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Air \| Rail \| \| Meals \| \| \| \| \| \| \| \| \| \| \| \| Other \| \| \| \| \| \| 13/04/10 \| London \| Departmental \| \| \| \| Business \| \| \| \| \| \| \| \| £11.32 \| £52.10 \| \| \| 27/04/10 \| \| \| \| \| \| - \| \| \| \| \| \| 28/04/10 \| \| \| \| \| \| Sunningdale \| Civil Service \| \| \| \| \| Business \| \| \| \| \| \| \| \| £39.00 \| \| \| \| 29/04/10 \| London \| Departmental \| \| \| \| Business \| \| \| \| \| \| \| \| £42.27 \| \| \| \| 11/05/10 \| London \| Meeting \| \| \| \| 19/05/10 \| London \| Departmental \| \| \| \| Business \| \| \| \| \| \| \| \| £32.39 \| \| \| \| 21/06/10 \| Liverpool \| Office Visit \| \| £74.00 \| \| 22/06/10 \| Preston \| Office Visit \| \| £42.00 \| \| \| \| \| \| \| ## John Spence - Non Executive Director * John Spence is registered blind therefore the expenses claimed are higher than that of other Non Executive Directors \| DATES \| DESTINATION \| PURPOSE \| TRAVEL \| OTHER (Including \| \|-----------------\|----------------\|--------------\|-----------\|---------------------\| \| Hospitality \| \| \| \| \| \| Received/Given) \| \| \| \| \| \| Total \| \| \| \| \| \| Cost £ \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Air \| Rail \| \| Meals \| \| \| \| \| \| \| \| \| \| \| \| Other \| \| \| \| \| \| \| \| \| \| \| \| 08/04/10 \| London \| HMRC Board \| \| £14.50 \| \| 13/04/10 \| London \| Departmental \| \| \| \| Business \| \| \| \| \| \| \| \| £34.50 \| £52.10 \| \| \| 19/04/10 \| London \| Meeting \| \| £14.50 \| \| 21/04/10 \| London \| Meeting \| \| \| \| 06/05/10 \| London \| HMRC Board \| \| £14.50 \| \| 18/05/10 \| London \| Meeting \| \| £12.80 \| \| 26/05/10 \| London \| Meeting \| \| £18.50 \| \| 27/05/10 \| London \| Meeting \| \| £16.75 \| \| 03/06/10 \| London \| HMRC Board \| \| £14.50 \| \| 23/06/10 \| London \| Meeting \| \| £14.50 \| \| 24/06/10 \| London \| Meeting \| \| £14.50 \| \| \| \| \| \| \| ## Phil Hodkinson - Non Executive Director \| DATES \| DESTINATION \| PURPOSE \| TRAVEL \| OTHER (Including \| \|-----------------\|----------------\|--------------\|-----------\|---------------------\| \| Hospitality \| \| \| \| \| \| Received/Given) \| \| \| \| \| \| Total \| \| \| \| \| \| Cost £ \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Air \| Rail \| \| Meals \| \| \| \| \| \| \| \| \| \| \| \| Other \| \| \| \| \| \| 13/04/10 \| London \| Departmental \| \| \| \| Business \| \| \| \| \| \| \| \| \| £52.10 \| \| \| 03/06/10 \| London \| HMRC Board \| \| £23.50 \| \| \| \| \| \| \| ## Mark Haysom - Non Executive Director \| DATES \| DESTINATION \| PURPOSE \| TRAVEL \| OTHER (Including \| \|-----------------\|----------------\|--------------\|-----------\|---------------------\| \| Hospitality \| \| \| \| \| \| Received/Given) \| \| \| \| \| \| Total \| \| \| \| \| \| Cost £ \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Air \| Rail \| \| Meals \| \| \| \| \| \| \| \| \| \| \| \| Other \| \| \| \| \| \| 13/04/10 \| London \| Departmental \| \| \| \| Business \| \| \| \| \| \| \| \| \| £52.10 \| \| \| \| \| \| \| \| \| \| \| \| \| \| ## Colin Cobain - Non Executive Director \| DATES \| DESTINATION \| PURPOSE \| TRAVEL \| OTHER (Including \| \|-----------------\|----------------\|------------\|-----------\|---------------------\| \| Hospitality \| \| \| \| \| \| Received/Given) \| \| \| \| \| \| Total \| \| \| \| \| \| Cost £ \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Air \| Rail \| \| Meals \| \| \| \| \| \| \| \| \| \| \| \| Other \| \| \| \| \| \| NIL RETURN \| \| \| \| \| \| \| \| \| \| \| ## Philippa Hird - Non Executive Director * Philippa Hird does not make individual claims for business expenses. \| DATES \| DESTINATION \| PURPOSE \| TRAVEL \| OTHER (Including \| \|-----------------\|----------------\|--------------\|-----------\|---------------------\| \| Hospitality \| \| \| \| \| \| Received/Given) \| \| \| \| \| \| Total \| \| \| \| \| \| Cost £ \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Air \| Rail \| \| Meals \| \| \| \| \| \| \| \| \| \| \| \| Other \| \| \| \| \| \| 13/04/10 \| London \| Departmental \| \| \| \| Business \| \| \| \| \| \| \| \| \| £52.10 \| \| \| \| \| \| \| \| \| \| \| \| \| \| ## Dame Sue Street - Non Executive Director * Dame Sue Street does not make individual claims for business expenses. ## \| DATES \| DESTINATION \| PURPOSE \| TRAVEL \| OTHER (Including \| \|-----------------\|----------------\|--------------\|-----------\|---------------------\| \| Hospitality \| \| \| \| \| \| Received/Given) \| \| \| \| \| \| Total \| \| \| \| \| \| Cost £ \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Air \| Rail \| \| Meals \| \| \| \| \| \| \| \| \| \| \| \| Other \| \| \| \| \| \| 13/04/10 \| London \| Departmental \| \| \| \| Business \| \| \| \| \| \| \| \| \| £52.10 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \|	en
4207-pdf	## A3131 Expenditure Over Threshold RUN AT 01/02/2018 12:15:48 Department family Entity Date Expense Type Expense area Supplier Transaction number AP Amount (£) Department of Health NHS Newark & Sherwood CCG 31/01/2018 Travel Booking Services PATIENT TRANSPORT ARRIVA TRANSPORT SOLUTIONS 20301451 58,297.86 Department of Health NHS Newark & Sherwood CCG 31/01/2018 Travel Booking Services PATIENT TRANSPORT ARRIVA TRANSPORT SOLUTIONS 20301454 58,393.72 Department of Health NHS Newark & Sherwood CCG 31/01/2018 Travel Booking Services PATIENT TRANSPORT ARRIVA TRANSPORT SOLUTIONS 20301457 57,896.01 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS DES Minor Surgery PRC DELEGATED CO-COMMISSIONING BARNBY GATE SURGERY 20504774 1,702.97 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING BARNBY GATE SURGERY 20504774 94,040.45 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING BARNBY GATE SURGERY 20504774 8,194.56 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING BARNBY GATE SURGERY 20504774 10,221.35 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS DES Minor Surgery PRC DELEGATED CO-COMMISSIONING BILSTHORPE SURGERY 20502964 1,702.97 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING BILSTHORPE SURGERY 20502964 27,549.77 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS Prem Clinical Waste PRC DELEGATED CO-COMMISSIONING BILSTHORPE SURGERY 20502964 125.47 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING BILSTHORPE SURGERY 20502964 7,576.30 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS Prem Other PRC DELEGATED CO-COMMISSIONING BILSTHORPE SURGERY 20502964 398.70 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING BILSTHORPE SURGERY 20502964 3,467.33 Department of Health NHS Newark & Sherwood CCG 31/01/2018 Clinical&Medical-Independent Sector ACUTE COMMISSIONING BMI HEALTHCARE COLLECTIONS 20436556 127,646.77 Department of Health NHS Newark & Sherwood CCG 31/01/2018 Clinical&Medical-Independent Sector ACUTE COMMISSIONING CARE UK CLINICAL SERVICES LTD 20436705 28,197.49 Department of Health NHS Newark & Sherwood CCG 31/01/2018 Clinical&Medical-Clinical Other LEARNING DIFFICULTIES CAS BEHAVIOURAL HEALTH LTD 20572572 (60,118.29) Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-Independent Sector - CQUIN CLINICAL ASSESSMENT AND TREATMENT CENTRES CIRCLE NOTTINGHAM LTD 20436400 2,594.42 Department of Health NHS Newark & Sherwood CCG 31/01/2018 Clinical&Medical-Commercial Sector CLINICAL ASSESSMENT AND TREATMENT CENTRES CIRCLE NOTTINGHAM LTD 20436400 153,866.67 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING COLLINGHAM MEDICAL CENTRE 20504758 56,017.68 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS Prem Clinical Waste PRC DELEGATED CO-COMMISSIONING COLLINGHAM MEDICAL CENTRE 20504758 544.40 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING COLLINGHAM MEDICAL CENTRE 20504758 9,091.67 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING COLLINGHAM MEDICAL CENTRE 20504758 6,448.22 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS Cost of Drugs -Dispensing PRESCRIBING COLLINGHAM MEDICAL CENTRE 20625969 (46,173.96) Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS PrscChrgsCll&RmttdbyGPCntra PRC DELEGATED CO-COMMISSIONING COLLINGHAM MEDICAL CENTRE 20625969 (3,070.20) Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS Cost of Drugs -Dispensing PRESCRIBING COLLINGHAM MEDICAL CENTRE 20625970 96,424.23 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING COLLINGHAM MEDICAL CENTRE 20625970 14,099.75 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS PrscrptnChrgsColl&RmttdbyGP PRESCRIBING COLLINGHAM MEDICAL CENTRE 20625970 3,070.20 Department of Health NHS Newark & Sherwood CCG 31/01/2018 Rent ESTATES AND FACILITIES COMMUNITY HEALTH PARTNERSHIPS LTD 20598934 40,211.00 Department of Health NHS Newark & Sherwood CCG 31/01/2018 Hcare Srv Rec Fdtn Trust-CQUIN ACUTE COMMISSIONING DERBY TEACHING HOSPITALS NHS FT 20436544 925.89 Department of Health NHS Newark & Sherwood CCG 31/01/2018 Hcare Srv Rec Fdtn Trust-Contract Baseline ACUTE COMMISSIONING DERBY TEACHING HOSPITALS NHS FT 20436544 48,710.81 Department of Health NHS Newark & Sherwood CCG 31/01/2018 Clinical&Medical-Independent Sector NHS 111 DHU 111 (EAST MIDLANDS) CIC 20436483 27,853.82 Department of Health NHS Newark & Sherwood CCG 31/01/2018 Hcare Srv Rec Fdtn Trust-CQUIN ACUTE COMMISSIONING DONCASTER AND BASSETLAW HOSPITALS NHS FOUNDATION TRUST 20436718 2,734.00 Department of Health NHS Newark & Sherwood CCG 31/01/2018 Hcare Srv Rec Fdtn Trust-Contract Baseline ACUTE COMMISSIONING DONCASTER AND BASSETLAW HOSPITALS NHS FOUNDATION TRUST 20436718 268,145.00 Department of Health NHS Newark & Sherwood CCG 31/01/2018 Hcare Srv Rec NHS Trust-CQUIN AMBULANCE SERVICES EAST MIDLANDS AMBULANCE SERVICE NHS TRUST 20436708 4,244.83 Department of Health NHS Newark & Sherwood CCG 31/01/2018 Hcare Srv Rec NHS Trust-Contract Baseline AMBULANCE SERVICES EAST MIDLANDS AMBULANCE SERVICE NHS TRUST 20436708 339,625.17 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING HILL VIEW SURGERY 20504764 22,405.74 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING HILL VIEW SURGERY 20504764 1,805.20 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING HILL VIEW SURGERY 20504764 2,383.33 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING HILL VIEW SURGERY 20504764 2,559.10 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS DES Minor Surgery PRC DELEGATED CO-COMMISSIONING HOUNDSFIELD SURGERY 20504776 1,098.25 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING HOUNDSFIELD SURGERY 20504776 32,608.91 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING HOUNDSFIELD SURGERY 20504776 2,643.25 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING HOUNDSFIELD SURGERY 20504776 2,826.49 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS Cost of Drugs -Dispensing PRESCRIBING HOUNDSFIELD SURGERY 20625979 (44,782.70) Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS PrscChrgsCll&RmttdbyGPCntra PRC DELEGATED CO-COMMISSIONING HOUNDSFIELD SURGERY 20625979 (3,311.00) \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS Cost of Drugs -Dispensing \| PRESCRIBING \| HOUNDSFIELD SURGERY \| 20625980 \| 84,054.30 \| \|------------------------\|-----------------------------\|--------------\|------------------------------------------------\|---------------------------------------------\|-----------------------------------------------\|------------\|-------------\| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS Prof Fees Dispensing \| PRC DELEGATED CO-COMMISSIONING \| HOUNDSFIELD SURGERY \| 20625980 \| 13,413.30 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS PrscrptnChrgsColl&RmttdbyGP \| PRESCRIBING \| HOUNDSFIELD SURGERY \| 20625980 \| 3,311.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Hcare Srv Rec Fdtn Trust-Contract Baseline \| MENTAL HEALTH CONTRACTS \| LINCOLNSHIRE PARTNERSHIP NHS FOUNDATION TRUST \| 20489550 \| 31,200.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS Global Sum \| PRC DELEGATED CO-COMMISSIONING \| LOMBARD MEDICAL CENTRE \| 20504772 \| 122,882.49 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS MPIG Correction Factor \| PRC DELEGATED CO-COMMISSIONING \| LOMBARD MEDICAL CENTRE \| 20504772 \| 4,915.11 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS Prem Clinical Waste \| PRC DELEGATED CO-COMMISSIONING \| LOMBARD MEDICAL CENTRE \| 20504772 \| 6,658.51 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| LOMBARD MEDICAL CENTRE \| 20504772 \| 15,213.30 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS DES Minor Surgery \| PRC DELEGATED CO-COMMISSIONING \| MAJOR OAK MEDICAL PRACTICE \| 20504766 \| 2,531.46 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS Global Sum \| PRC DELEGATED CO-COMMISSIONING \| MAJOR OAK MEDICAL PRACTICE \| 20504766 \| 52,273.81 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS Prem Actual Rent \| PRC DELEGATED CO-COMMISSIONING \| MAJOR OAK MEDICAL PRACTICE \| 20504766 \| 8,218.60 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS Prem Rates \| PRC DELEGATED CO-COMMISSIONING \| MAJOR OAK MEDICAL PRACTICE \| 20504766 \| 700.46 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS Prem Water Rates \| PRC DELEGATED CO-COMMISSIONING \| MAJOR OAK MEDICAL PRACTICE \| 20504766 \| 88.36 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| MAJOR OAK MEDICAL PRACTICE \| 20504766 \| 6,463.24 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS DES Minor Surgery \| PRC DELEGATED CO-COMMISSIONING \| MIDDLETON LODGE SURGERY \| 20504756 \| 3,321.17 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS Global Sum \| PRC DELEGATED CO-COMMISSIONING \| MIDDLETON LODGE SURGERY \| 20504756 \| 100,431.96 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS Prem Clinical Waste \| PRC DELEGATED CO-COMMISSIONING \| MIDDLETON LODGE SURGERY \| 20504756 \| 750.32 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS Prem Notional Rent \| PRC DELEGATED CO-COMMISSIONING \| MIDDLETON LODGE SURGERY \| 20504756 \| 4,483.33 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| MIDDLETON LODGE SURGERY \| 20504756 \| 12,520.01 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Clinical&Medical-Commercial Sector \| OUT OF HOURS \| NEMS COMMUNITY BENEFIT SERVICE \| 20547578 \| 125,808.67 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Basic Sal-Rechgs to-from Other NHS \| INTERPRETING SERVICES \| NHS MANSFIELD & ASHFIELD CCG \| 20425034 \| 31,879.12 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| E'ers NHI-Rechgs to-from Other NHS \| INTERPRETING SERVICES \| NHS MANSFIELD & ASHFIELD CCG \| 20425034 \| 3,433.56 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| E'ers Pen-Rechgs to-from Other NHS \| INTERPRETING SERVICES \| NHS MANSFIELD & ASHFIELD CCG \| 20425034 \| 4,774.68 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Basic Sal-Rechgs to-from Other NHS \| Service Planning & Reform \| NHS MANSFIELD & ASHFIELD CCG \| 20425042 \| 25,358.22 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| E'ers NHI-Rechgs to-from Other NHS \| Service Planning & Reform \| NHS MANSFIELD & ASHFIELD CCG \| 20425042 \| 3,189.48 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| E'ers Pen-Rechgs to-from Other NHS \| Service Planning & Reform \| NHS MANSFIELD & ASHFIELD CCG \| 20425042 \| 3,265.31 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Recharge : Provided \| Service Planning & Reform \| NHS MANSFIELD & ASHFIELD CCG \| 20425042 \| 258.55 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Basic Sal-Rechgs to-from Other NHS \| MEDICINES MANAGEMENT - CLINICAL \| NHS MANSFIELD & ASHFIELD CCG \| 20425082 \| 21,541.09 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| E'ers NHI-Rechgs to-from Other NHS \| MEDICINES MANAGEMENT - CLINICAL \| NHS MANSFIELD & ASHFIELD CCG \| 20425082 \| 2,288.53 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| E'ers Pen-Rechgs to-from Other NHS \| MEDICINES MANAGEMENT - CLINICAL \| NHS MANSFIELD & ASHFIELD CCG \| 20425082 \| 3,091.99 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Recharge : Provided \| MEDICINES MANAGEMENT - CLINICAL \| NHS MANSFIELD & ASHFIELD CCG \| 20425082 \| 223.53 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Basic Sal-Rechgs to-from Other NHS \| CLINICAL SUPPORT \| NHS MANSFIELD & ASHFIELD CCG \| 20425095 \| 23,015.06 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| E'ers NHI-Rechgs to-from Other NHS \| CLINICAL SUPPORT \| NHS MANSFIELD & ASHFIELD CCG \| 20425095 \| 2,582.45 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| E'ers Pen-Rechgs to-from Other NHS \| CLINICAL SUPPORT \| NHS MANSFIELD & ASHFIELD CCG \| 20425095 \| 3,309.57 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Recharge : Provided \| CLINICAL SUPPORT \| NHS MANSFIELD & ASHFIELD CCG \| 20425095 \| 272.12 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Basic Sal-Rechgs to-from Other NHS \| COMMISSIONING \| NHS MANSFIELD & ASHFIELD CCG \| 20468239 \| 58,440.68 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| E'ers NHI-Rechgs to-from Other NHS \| COMMISSIONING \| NHS MANSFIELD & ASHFIELD CCG \| 20468239 \| 6,196.70 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| E'ers Pen-Rechgs to-from Other NHS \| COMMISSIONING \| NHS MANSFIELD & ASHFIELD CCG \| 20468239 \| 8,302.55 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Recharge : Provided \| COMMISSIONING \| NHS MANSFIELD & ASHFIELD CCG \| 20468239 \| 895.10 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Basic Sal-Rechgs to-from Other NHS \| FINANCE \| NHS MANSFIELD & ASHFIELD CCG \| 20468243 \| 56,929.79 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| E'ers NHI-Rechgs to-from Other NHS \| FINANCE \| NHS MANSFIELD & ASHFIELD CCG \| 20468243 \| 6,545.62 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| E'ers Pen-Rechgs to-from Other NHS \| FINANCE \| NHS MANSFIELD & ASHFIELD CCG \| 20468243 \| 8,135.56 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Recharge : Provided \| FINANCE \| NHS MANSFIELD & ASHFIELD CCG \| 20468243 \| 228.63 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Cont Care-Funded Nursing Care Allow \| FUNDED NURSING CARE \| NHS RUSHCLIFFE CCG \| 20436743 \| 78,322.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| NHS CHC/FNC Risk-Sharing Recharge between CCGs \| FUNDED NURSING CARE \| NHS RUSHCLIFFE CCG \| 20436743 \| 19,790.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Clinical&Medical-Independent Sector \| Learning Difficulties - S117 \| NHS RUSHCLIFFE CCG \| 20439775 \| 61,525.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Clinical&Medical-Independent Sector \| Mental Health Services - S117 Mental Health \| NHS RUSHCLIFFE CCG \| 20439775 \| 135,709.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Cont Care- Adult 100% Fully Funded \| CHC AD FULL FUND PERS HLTH BUD \| NHS RUSHCLIFFE CCG \| 20439775 \| 7,000.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Cont Care- Adult 100% Fully Funded \| CHC ADULT FULLY FUNDED \| NHS RUSHCLIFFE CCG \| 20439775 \| 149,484.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Cont Care- Adult Joint Funded \| ADULT JOINT FUNDED CONTINUING CARE \| NHS RUSHCLIFFE CCG \| 20439775 \| 16,015.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Cont Care- Adult Joint Funded \| Adult Joint Funded Continuing Care Personal Health Budgets \| NHS RUSHCLIFFE CCG \| 20439775 \| 3,501.00 \| \|------------------------\|-----------------------------\|--------------\|-------------------------------------------------\|--------------------------------------------------------------\|-------------------------------------------\|------------\|--------------\| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Cont Care- Children \| Children's Continuing Care \| NHS RUSHCLIFFE CCG \| 20439775 \| 29,752.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Cont Care- Children \| Children's Continuing Care Personal Health Budgets \| NHS RUSHCLIFFE CCG \| 20439775 \| 1,935.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Cont Care- Palliative Care \| CHC ADULT FULLY FUNDED \| NHS RUSHCLIFFE CCG \| 20439775 \| 48,644.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Cont Care-Learning Disab(65+) \| ADULT JOINT FUNDED CONTINUING CARE \| NHS RUSHCLIFFE CCG \| 20439775 \| 15,357.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Cont Care-Learning Disab(<65) \| ADULT JOINT FUNDED CONTINUING CARE \| NHS RUSHCLIFFE CCG \| 20439775 \| 367,482.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Cont Care-Learning Disab(<65) \| CHC AD FULL FUND PERS HLTH BUD \| NHS RUSHCLIFFE CCG \| 20439775 \| 24,747.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Cont Care-Learning Disab(<65) \| CHC ADULT FULLY FUNDED \| NHS RUSHCLIFFE CCG \| 20439775 \| 22,585.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Cont Care-Mental Health (65+) \| ADULT JOINT FUNDED CONTINUING CARE \| NHS RUSHCLIFFE CCG \| 20439775 \| 6,399.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Cont Care-Mental Health (65+) \| CHC AD FULL FUND PERS HLTH BUD \| NHS RUSHCLIFFE CCG \| 20439775 \| 3,538.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Cont Care-Mental Health (65+) \| CHC ADULT FULLY FUNDED \| NHS RUSHCLIFFE CCG \| 20439775 \| 255,203.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Cont Care-Mental Health (<65) \| ADULT JOINT FUNDED CONTINUING CARE \| NHS RUSHCLIFFE CCG \| 20439775 \| 10,901.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Cont Care-Mental Health (<65) \| CHC ADULT FULLY FUNDED \| NHS RUSHCLIFFE CCG \| 20439775 \| (29,547.00) \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Cont Care-Physical Disab (65+) \| ADULT JOINT FUNDED CONTINUING CARE \| NHS RUSHCLIFFE CCG \| 20439775 \| 11,678.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Cont Care-Physical Disab (65+) \| CHC AD FULL FUND PERS HLTH BUD \| NHS RUSHCLIFFE CCG \| 20439775 \| 64,515.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Cont Care-Physical Disab (65+) \| CHC ADULT FULLY FUNDED \| NHS RUSHCLIFFE CCG \| 20439775 \| 8,228.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Cont Care-Physical Disab (<65) \| ADULT JOINT FUNDED CONTINUING CARE \| NHS RUSHCLIFFE CCG \| 20439775 \| 36,053.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Cont Care-Physical Disab (<65) \| Adult Joint Funded Continuing Care Personal Health Budgets \| NHS RUSHCLIFFE CCG \| 20439775 \| 1,945.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Cont Care-Physical Disab (<65) \| CHC AD FULL FUND PERS HLTH BUD \| NHS RUSHCLIFFE CCG \| 20439775 \| (13,738.00) \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Cont Care-Physical Disab (<65) \| CHC ADULT FULLY FUNDED \| NHS RUSHCLIFFE CCG \| 20439775 \| 28,431.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| NHS CHC/FNC Risk-Sharing Recharge between CCGs \| ADULT JOINT FUNDED CONTINUING CARE \| NHS RUSHCLIFFE CCG \| 20439775 \| (124,965.00) \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| NHS CHC/FNC Risk-Sharing Recharge between CCGs \| Adult Joint Funded Continuing Care Personal Health Budgets \| NHS RUSHCLIFFE CCG \| 20439775 \| 6,436.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| NHS CHC/FNC Risk-Sharing Recharge between CCGs \| CHC AD FULL FUND PERS HLTH BUD \| NHS RUSHCLIFFE CCG \| 20439775 \| 30,796.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| NHS CHC/FNC Risk-Sharing Recharge between CCGs \| CHC ADULT FULLY FUNDED \| NHS RUSHCLIFFE CCG \| 20439775 \| 5,167.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| NHS CHC/FNC Risk-Sharing Recharge between CCGs \| Children's Continuing Care \| NHS RUSHCLIFFE CCG \| 20439775 \| 33,813.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| NHS CHC/FNC Risk-Sharing Recharge between CCGs \| Children's Continuing Care Personal Health Budgets \| NHS RUSHCLIFFE CCG \| 20439775 \| 4,905.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Prescribing \| PRESCRIBING \| NHS RUSHCLIFFE CCG \| 20612220 \| 26,198.11 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Hcare Srv Rec NHS Trust-CQUIN \| ACUTE COMMISSIONING \| NOTTINGHAM UNIVERSITY HOSPITALS NHS TRUST \| 20439755 \| 26,663.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Hcare Srv Rec NHS Trust-Contract Baseline \| ACUTE COMMISSIONING \| NOTTINGHAM UNIVERSITY HOSPITALS NHS TRUST \| 20439755 \| 1,105,443.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Hcare Srv Rec NHS Trust-Over/ Under Performance \| ACUTE COMMISSIONING \| NOTTINGHAM UNIVERSITY HOSPITALS NHS TRUST \| 20553918 \| 378,025.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-Independent Sector - CQUIN \| ACUTE COMMISSIONING \| NOTTINGHAM WOODTHORPE HOSPITAL \| 20436511 \| 800.61 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Clinical&Medical-Independent Sector \| ACUTE COMMISSIONING \| NOTTINGHAM WOODTHORPE HOSPITAL \| 20436511 \| 64,049.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Clinical&Medical-Othe Public Sector \| PROGRAMME PROJECTS \| NOTTINGHAMSHIRE COUNTY COUNCIL \| 20307727 \| 246,443.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Hcare Srv Rec Fdtn Trust-Contract Cost per Case \| LEARNING DIFFICULTIES \| NOTTINGHAMSHIRE HEALTHCARE NHS TRUST \| 20436341 \| 20,006.78 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Hcare Srv Rec Fdtn Trust-Contract Cost per Case \| MENTAL HEALTH SERVICES - OTHER \| NOTTINGHAMSHIRE HEALTHCARE NHS TRUST \| 20436341 \| 11,768.53 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Hcare Srv Rec Fdtn Trust-Contract Baseline \| COMMUNITY SERVICES \| NOTTINGHAMSHIRE HEALTHCARE NHS TRUST \| 20436538 \| 883,756.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Hcare Srv Rec Fdtn Trust-Contract Cost per Case \| LEARNING DIFFICULTIES \| NOTTINGHAMSHIRE HEALTHCARE NHS TRUST \| 20436665 \| 19,361.40 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Hcare Srv Rec Fdtn Trust-Contract Cost per Case \| MENTAL HEALTH SERVICES - OTHER \| NOTTINGHAMSHIRE HEALTHCARE NHS TRUST \| 20436665 \| 11,388.90 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Hcare Srv Rec Fdtn Trust-CQUIN \| MENTAL HEALTH CONTRACTS \| NOTTINGHAMSHIRE HEALTHCARE NHS TRUST \| 20439767 \| 25,342.47 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Hcare Srv Rec Fdtn Trust-Contract Baseline \| MENTAL HEALTH CONTRACTS \| NOTTINGHAMSHIRE HEALTHCARE NHS TRUST \| 20439767 \| 1,029,743.86 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Hcare Srv Rec Fdtn Trust-Non Contract \| IMPROVING ACCESS TO PSYCHOLOGICAL THERAPIES \| NOTTINGHAMSHIRE HEALTHCARE NHS TRUST \| 20489609 \| 30,906.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-APMS Contract Value \| PRC DELEGATED CO-COMMISSIONING \| PRIMARY INTEGRATED COMMUNITY SERVICES LTD \| 20369336 \| 51,000.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-APMS DES Minor Surgery \| PRC DELEGATED CO-COMMISSIONING \| PRIMARY INTEGRATED COMMUNITY SERVICES LTD \| 20369336 \| 527.16 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-APMS Prem Actual Rent \| PRC DELEGATED CO-COMMISSIONING \| PRIMARY INTEGRATED COMMUNITY SERVICES LTD \| 20369336 \| 12,629.17 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-APMS Prem Clinical Waste \| PRC DELEGATED CO-COMMISSIONING \| PRIMARY INTEGRATED COMMUNITY SERVICES LTD \| 20369336 \| 70.95 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-APMS Prem Rates \| PRC DELEGATED CO-COMMISSIONING \| PRIMARY INTEGRATED COMMUNITY SERVICES LTD \| 20369336 \| 886.73 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-APMS Prem Water Rates \| PRC DELEGATED CO-COMMISSIONING \| PRIMARY INTEGRATED COMMUNITY SERVICES LTD \| 20369336 \| 98.44 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-PMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| PRIMARY INTEGRATED COMMUNITY SERVICES LTD \| 20369336 \| 3,223.37 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-APMS Contract Value \| PRC DELEGATED CO-COMMISSIONING \| PRIMARY INTEGRATED COMMUNITY SERVICES LTD \| 20547559 \| 25,679.24 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS Global Sum \| PRC DELEGATED CO-COMMISSIONING \| RAINWORTH HEALTH CENTRE \| 20504762 \| 46,614.11 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS Prem Actual Rent \| PRC DELEGATED CO-COMMISSIONING \| RAINWORTH HEALTH CENTRE \| 20504762 \| 16,020.32 \| \|------------------------\|-----------------------------\|--------------\|--------------------------------------------------\|----------------------------------\|---------------------------------------------------\|------------\|--------------\| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS Prem Rates \| PRC DELEGATED CO-COMMISSIONING \| RAINWORTH HEALTH CENTRE \| 20504762 \| 1,000.25 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS Prem Water Rates \| PRC DELEGATED CO-COMMISSIONING \| RAINWORTH HEALTH CENTRE \| 20504762 \| 158.40 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| RAINWORTH HEALTH CENTRE \| 20504762 \| 5,629.06 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Hcare Srv Rec Fdtn Trust-Contract Baseline \| ACUTE COMMISSIONING \| SHEFFIELD TEACHING HOSPITALS NHS FOUNDATION TRUST \| 20436689 \| 28,047.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Hcare Srv Rec Fdtn Trust-CQUIN \| ACUTE COMMISSIONING \| SHERWOOD FOREST HOSPITALS NHS FOUNDATION TRUST \| 20436494 \| 49,109.07 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Hcare Srv Rec Fdtn Trust-CQUIN \| COMMUNITY SERVICES \| SHERWOOD FOREST HOSPITALS NHS FOUNDATION TRUST \| 20436494 \| 1,585.46 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Hcare Srv Rec Fdtn Trust-Contract Baseline \| ACUTE COMMISSIONING \| SHERWOOD FOREST HOSPITALS NHS FOUNDATION TRUST \| 20436494 \| 5,212,380.64 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Hcare Srv Rec Fdtn Trust-Contract Baseline \| COMMUNITY SERVICES \| SHERWOOD FOREST HOSPITALS NHS FOUNDATION TRUST \| 20436494 \| 204,626.83 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Hcare Srv Rec Fdtn Trust-Over/ Under Performance \| ACUTE COMMISSIONING \| SHERWOOD FOREST HOSPITALS NHS FOUNDATION TRUST \| 20553919 \| 184,169.29 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS DES Minor Surgery \| PRC DELEGATED CO-COMMISSIONING \| SHERWOOD MEDICAL PARTNERSHIP \| 20504768 \| 4,364.16 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS Global Sum \| PRC DELEGATED CO-COMMISSIONING \| SHERWOOD MEDICAL PARTNERSHIP \| 20504768 \| 117,093.34 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS Prem Clinical Waste \| PRC DELEGATED CO-COMMISSIONING \| SHERWOOD MEDICAL PARTNERSHIP \| 20504768 \| 900.28 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS Prem Notional Rent \| PRC DELEGATED CO-COMMISSIONING \| SHERWOOD MEDICAL PARTNERSHIP \| 20504768 \| 3,583.33 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| SHERWOOD MEDICAL PARTNERSHIP \| 20504768 \| 13,279.06 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS GP Statutory Levy \| PRC DELEGATED CO-COMMISSIONING \| SOUTHWELL MEDICAL CENTRE \| 20504777 \| (794.42) \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS Voluntary Levy \| PRC DELEGATED CO-COMMISSIONING \| SOUTHWELL MEDICAL CENTRE \| 20504777 \| (120.52) \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| ME - GMS TPS Added Years Adj EEs \| PRC DELEGATED CO-COMMISSIONING \| SOUTHWELL MEDICAL CENTRE \| 20504777 \| (478.21) \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| ME-GMS GP Pension EEs \| PRC DELEGATED CO-COMMISSIONING \| SOUTHWELL MEDICAL CENTRE \| 20504777 \| (11,707.98) \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| ME-GMS GP Pension ERs Adjustments \| PRC DELEGATED CO-COMMISSIONING \| SOUTHWELL MEDICAL CENTRE \| 20504777 \| (12,586.90) \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS DES Minor Surgery \| PRC DELEGATED CO-COMMISSIONING \| SOUTHWELL MEDICAL CENTRE \| 20504778 \| 2,615.20 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS Global Sum \| PRC DELEGATED CO-COMMISSIONING \| SOUTHWELL MEDICAL CENTRE \| 20504778 \| 80,371.80 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS MPIG Correction Factor \| PRC DELEGATED CO-COMMISSIONING \| SOUTHWELL MEDICAL CENTRE \| 20504778 \| 5,113.55 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS Prem Notional Rent \| PRC DELEGATED CO-COMMISSIONING \| SOUTHWELL MEDICAL CENTRE \| 20504778 \| 17,670.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS Prem Other \| PRC DELEGATED CO-COMMISSIONING \| SOUTHWELL MEDICAL CENTRE \| 20504778 \| 775.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| SOUTHWELL MEDICAL CENTRE \| 20504778 \| 10,040.61 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS Cost of Drugs -Dispensing \| PRESCRIBING \| SOUTHWELL MEDICAL CENTRE \| 20625981 \| (42,752.00) \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS PrscChrgsCll&RmttdbyGPCntra \| PRC DELEGATED CO-COMMISSIONING \| SOUTHWELL MEDICAL CENTRE \| 20625981 \| (3,354.00) \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS Cost of Drugs -Dispensing \| PRESCRIBING \| SOUTHWELL MEDICAL CENTRE \| 20625982 \| 89,269.41 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS Prof Fees Dispensing \| PRC DELEGATED CO-COMMISSIONING \| SOUTHWELL MEDICAL CENTRE \| 20625982 \| 13,369.65 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS PrscrptnChrgsColl&RmttdbyGP \| PRESCRIBING \| SOUTHWELL MEDICAL CENTRE \| 20625982 \| 3,354.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS DES Minor Surgery \| PRC DELEGATED CO-COMMISSIONING \| THE ABBEY MEDICAL GROUP \| 20504760 \| 9,167.62 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS Global Sum \| PRC DELEGATED CO-COMMISSIONING \| THE ABBEY MEDICAL GROUP \| 20504760 \| 94,053.51 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS PCO Locum Adop/Pat/Mat \| PRC DELEGATED CO-COMMISSIONING \| THE ABBEY MEDICAL GROUP \| 20504760 \| 2,900.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS Prem Notional Rent \| PRC DELEGATED CO-COMMISSIONING \| THE ABBEY MEDICAL GROUP \| 20504760 \| 16,604.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS Prem Water Rates \| PRC DELEGATED CO-COMMISSIONING \| THE ABBEY MEDICAL GROUP \| 20504760 \| 2,261.35 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| THE ABBEY MEDICAL GROUP \| 20504760 \| 10,605.28 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS GP Statutory Levy \| PRC DELEGATED CO-COMMISSIONING \| THE FOUNTAIN MEDICAL CENTRE \| 20504769 \| (919.81) \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS Voluntary Levy \| PRC DELEGATED CO-COMMISSIONING \| THE FOUNTAIN MEDICAL CENTRE \| 20504769 \| (139.54) \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| ME - GMS GP Prior Year ERs \| PRC DELEGATED CO-COMMISSIONING \| THE FOUNTAIN MEDICAL CENTRE \| 20504769 \| (3,956.64) \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| ME - GMS TPS Added Years Adj EEs \| PRC DELEGATED CO-COMMISSIONING \| THE FOUNTAIN MEDICAL CENTRE \| 20504769 \| (975.00) \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| ME-GMS GP Pension EEs \| PRC DELEGATED CO-COMMISSIONING \| THE FOUNTAIN MEDICAL CENTRE \| 20504769 \| (8,942.08) \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| ME-GMS GP Pension ERs Adjustments \| PRC DELEGATED CO-COMMISSIONING \| THE FOUNTAIN MEDICAL CENTRE \| 20504769 \| (9,101.10) \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| ME-GMS GP Prior Year EEs \| PRC DELEGATED CO-COMMISSIONING \| THE FOUNTAIN MEDICAL CENTRE \| 20504769 \| (4,097.92) \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS DES Minor Surgery \| PRC DELEGATED CO-COMMISSIONING \| THE FOUNTAIN MEDICAL CENTRE \| 20504770 \| 6,552.42 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS Global Sum \| PRC DELEGATED CO-COMMISSIONING \| THE FOUNTAIN MEDICAL CENTRE \| 20504770 \| 98,082.62 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS Prem Notional Rent \| PRC DELEGATED CO-COMMISSIONING \| THE FOUNTAIN MEDICAL CENTRE \| 20504770 \| 6,833.33 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| C&M-GMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| THE FOUNTAIN MEDICAL CENTRE \| 20504770 \| 12,566.63 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Hcare Srv Rec NHS Trust-CQUIN \| ACUTE COMMISSIONING \| UNITED LINCOLNSHIRE HOSPITALS NHS TRUST \| 20436429 \| 2,886.68 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/01/2018 \| Hcare Srv Rec NHS Trust-Contract Baseline \| ACUTE COMMISSIONING \| UNITED LINCOLNSHIRE HOSPITALS NHS TRUST \| 20436429 \| 391,732.42 \| TOTAL 14,305,367.17	en
3764-pdf	The London Challenge Making Devolution Work Easy Read ## The London Challenge Making Devolution Work Devolution is where some power or responsibility is passed down to local government from central government. This could mean that work that used to be done by the Government would start to be done by a Local borough council or in Scotland or Wales by their own parliaments. London Councils thinks that some of the work that is being done by central government could be done better if it is done by local councils. ## London Councils London Councils is made up of of the 32 London Boroughs and the City of London. It works with the Mayor of London. London Councils is an organisation that can work on projects that help all of London. ! ## Helping People With Complex Needs To Get A Job. We think that it would be much better if all of the work to help people with complex needs to get a job in London is done by London Boroughs. At the moment the Department for Work and Pensions (DWP) pays a few large companies to help people with complex needs to find work. At the same time some London Boroughs have been running projects which help people to overcome the barriers to getting work. We think that there should be one fund of money for employment services in London. This should include the money that is spent by central government and the money that is being spent by London Boroughs. The money would be spent by people in London Boroughs who understand the local conditions and local problems. ! ## Who Is This For? There are about half a million people in London who want a job but have difficulties in finding one. This includes people with: - Disabilities and learning difficulties - Health problems - Difficult housing problems - Problems with drugs and people who do not speak English as their first language. ## Local Employment Projects Some London Boroughs have been running projects that show that local organisations can really help people to find a long term job. For example: - Wandsworth's Workright. This project helps people with disabilities to get a real job in the council. Council departments and schools were asked to look at work that could be more flexible. Over 3 out of 10 people got a long term job. - Southwark's Vocational Recovery Service. This is a specialist training and advice programme for people with mental health problems. Nearly 3 out of 10 people got a long term job. - Brent in 2 Work is a network of organisations who are supporting the hardest to reach people to get a job. They were helping more than 1000 people a year into work. 4 out of every 10 people got a long term job. ## Pilot Projects A 'Pilot Project' Is A Small Project That Shows How Things could be done better. We have been working with central government on projects that will show how working together locally will help more Londoners with complex needs find work. - ESA Pilot - From April 2015, eight London Boroughs will work with people who have not been able to find work under the Work Programme. They will test whether a local project is better at helping people to find work than the government scheme. ESA stands for Employment and Support Allowance and it is a government benefit for people whose illness or disability affects their ability to work. The Work Programme is a Government scheme which uses mostly large companies to help people who have been unemployed for a long time to get a job. - Mental Health Trailblazer. This scheme will look at local support for people with mental health problems - Flexible Support Funding Pilot - we are working with the DWP and London Boroughs to agree how to use this fund for unemployed Londoners - Local Support Services Framework - We are looking at how Universal Credit can be used to help employment schemes. Universal Credit is a new welfare benefit from the government. It replaces 6 former benefits. ## In The Future We would like to do more:- - One funding pot for employment services in London - Involving local Government in decisions about new national employment programmes - We want to be able to work with local employers and look at how we can help people to have the skills that local employers need. ## Other Ideas We think that there are lots of other ways that we can improve services and cut costs by moving power and responsibility from central government to the local level. For example: London Councils 59 Southwark Street, London SE1 0AL	en
0879-pdf	Wi-Fi providers. This file provides information aggregated to local authority level about public Wi-Fi networks that are purposely made available to members of the public. The data is based on data collected from BT, Arqiva, Sky, Virgin Media, O2 and KCOM over a months' period in June 2015 (please note that there may be other hotspots provided by different operators that are not captured here, so the number should be seen as a reliable minimum.) This data should be viewed alongside the Connected Nations Report 2015 and methodology document, which summarise our approach to the data analysis and details how each of the metrics	en
0775-pdf	Peak District National Park Authority Tel: 01629 816200 E-mail: customer.service@peakdistrict.gov.uk Web: www.peakdistrict.gov.uk Minicom: 01629 816319 Aldern House . Baslow Road . Bakewell . Derbyshire . DE45 1AE Your ref: APP/M9496/Y/18/3201092 Our ref: NP/HPK/0316/0215 Date: 11th December 2018 Hazel Stanmore-Richards Eagle 3D Temple Quay House 2 The Square Bristol BS1 6PN Dear Hazel ## Re: App/M9496/Y/18/3201092 Appeal By David Lewis Associates At Edale House, Hope Road, Edale, S33 7Ze 1. Thank you for your letter dated 15th November 2018 in relation to the above appeal made by David Lewis Associates, I am now writing to confirm the Authority's statement of case. 2. The Authority refused listed building consent for the proposed works on the 30th October 2017 and the attached delegated report explains the Authority's reasons for refusing listed building consent (Document 1). Decision notice reference NP/HPK/0316/0215 is also attached for the Inspector's information (Document 2). 3. The Authority requests that the delegated report is treated as the Authority's statement of case alongside this covering letter. ## Statement Of Common Ground 4. The application which is the subject of this appeal sought listed building consent for various works as amendments to listed building consent reference NP/HPK/0714/0707 which are described within the submitted heritage statement. The application also refers Member of National Parks UK Holder of Council of Europe Diploma Chief Executive: Sarah Fowler Chair: Andrew McCloy Deputy Chair: David Chapman Working together for the Peak District National Park: - To speak up for and care for the Peak District National Park for all to enjoy forever ▪ to amendments to the planning permission reference NP/HPK/0714/0706 but the submitted application relates only to listed building consent. 5. The various works are referred to as listed building consent applications (numbered 1 – 13) in the heritage statement, however these works form part of a single application for listed building consent rather than separate applications. The delegated report and appeal documents refer to the same numbered works and for clarity this statement will refer to the works in the same way. APP/M9496/Y/18/3201092 6. The delegated report makes clear that some of the proposed works were considered to be acceptable, that the submission of further details were required for some of the proposed works and that some of the proposed works are unacceptable. This is common ground between the Authority and the applicant. For clarity the position on each of the proposed works is summarised below. ## Works Considered To Be Acceptable 1. (1a and 1b), Retrospective and new alternative proposal: reduced width of wall in opening in hall. 2. Retrospective: Retain Chimney-Breast in first floor enlarged study. 5. Retrospective: Omission of door from utility room to the basement staircase landing. 7. Retrospective: Introduce flitch plate to strengthen the historically reduced trimmer to the staircase aperture in the attic floor. 8. Retrospective: Rebuilding the wall to the bathroom at second floor level. 9. New: Restoration of ceiling cornice mouldings in eastern-most ground floor room (considered to be acceptable in principle subject to additional details). ## Works Where Submission Of Further Information Is Required Before The Authority Could Take A Positive Decision About The Principle Of Proposed Works 12.New: Proposed replacement of windows along with proposed double glazing on north and east elevations. ## Works Considered To Be Unacceptable 3. Retrospective: Duct to conceal pipework in master en-suite bathroom. (Originally designated bedroom 2) 4. Retrospective: Revised door location into master bedroom en-suite bathroom, and variations to the bathroom layout. 6. Retrospective: New wall, proposed further adjustment of the approved relocation of the door to first floor family bathroom, the provision of boxed-out service ducting and altered layout of the bathroom fittings. 10.Retrospective: Exchanging locations of the approved wet-room in the existing room in the north-west corner of the basement and the approved wine store in the room to the south of the central basement landing. 11.Retrospective: Exchanging locations of the approved gym and the approved cinema room in the basement. 13.New: Proposed exchanging the location of the entrance door currently on the east elevation and the window currently on the north elevation of the existing porch including providing a new door and associated making good of stonework. ## Statement Of Case Proposed Work 3: Duct To Conceal Pipework In Master En-Suite Bathroom. (Originally Designated Bedroom 2). 7. This element of the proposed works relates to the installation of stud walling within the en-suite bathroom to the master bedroom. The Authority's Officers took photographs of this work during construction and during the application site visit (Document 3). Photographs have also been provided by the appellant (see photographs 36 - 40 in appendix A8 of the appellant's submission). 8. The Authority accepts that the en-suite bathroom was created during the twentieth century at the north end of the first floor bedroom which itself is located in the midnineteenth century western extension to the house. The Authority also agrees that the proportions of the en-suite bathroom itself is not of significance in relation to the heritage asset. 9. The proposal is to retain stud walling installed within the en-suite principally to conceal pipework. The stud walling has been installed and projects out from the original walls of the mid-nineteenth century extension. The stud walling here is full height along the north wall and as a result it is not possible to distinguish the position of the original north wall or identify that the stud walling is a later alteration. 10.Consequently the proposed stud walling impacts upon the proportions of the original room within the mid-nineteenth extension by altering the apparent position of the north wall and the window reveal. The Authority considers that this has a harmful impact upon the historic plan form and also a harmful impact upon the relationship of the wall with the window opening within the en-suite. Both the plan form and window opening make a positive contribution to the significance of the listed building and the proposed works have resulted in a harmful impact upon that significance. ## Proposed Work 4: Revised Door Location Into Bedroom 2 (Originally Designated Master Bedroom) En-Suite Bathroom, And Variations To The Bathroom Layout. 11.This element of the proposed works relates to the alteration of the position of door openings into bedroom 2 and its en-suite bathroom along with changes to the en-suite including installation of stud walling. The Authority's Officers took photographs of this work during construction and during the application site visit (Document 4). Photographs have also been provided by the appellant (see photographs 28, 41 - 44 in appendix A8 of the appellant's submission). 12.The Authority accepts that the door in the corridor between the laundry and the en-suite remains in its existing position and therefore cannot be required to be moved. The Authority suggested to the applicant that this could be moved as the approved scheme positioned the door to open from the hallway which is considered to be an enhancement. There are no objections to the revised door location into the en-suite bathroom or the retention of the position of the door into the master bedroom. There is also no objection to the half-height stud walling to the west wall. 13.During works an existing chimney-breast was revealed in the north wall. The Authority agrees that it is appropriate to retain the chimney breast as part of the historic fabric. However the application proposes to retain new stud walling installed along the north and eastern walls of the house principally to conceal pipework and it is these elements that are of concern to the Authority. 14.This stud walling has been installed along and projects out from the external walls of the house. The stud walling along the north wall is full height and as a result it is not possible to distinguish the position of the original north wall or identify that this part of the stud walling is a later alteration. 15.The stud walling along the eastern wall is also full height but has been constructed to finish just short of the northern part of the window reveal and so it is possible to view the projection of the stud walling from the original external wall. 16.Consequently the proposed stud walling impacts upon the proportions of the room altering the apparent position of part of the north wall and the part of the east wall north of the window. The relationship of the stud walling to the east wall is obvious due to the projection of the stud walling resulting in an incongruous and unbalanced relationship with the window opening and reveal. 17.The Authority considers that this has a harmful impact upon the historic plan form and upon the relationship of the wall with the window opening within the en-suite. Both the plan form and window opening make a positive contribution to the significance of the listed building and the proposed works have resulted in a harmful impact upon that significance. ## Proposed Work 6: New Wall, Proposed Further Adjustment Of The Approved Relocation Of The Door To First Floor Family Bathroom, The Provision Of Boxed-Out Service Ducting And Altered Layout Of The Bathroom Fittings. 18.This element of the proposed works relates to the re-building of the wall to the family bathroom and alteration of the position of the door to the bathroom, the provision of stud walling to the east and west walls of the bathroom and the creation of a room for a cupboard in the hall. The Authority's Officers took photographs of this work during construction and during the application site visit (Document 5). Photographs have also been provided by the appellant (see photographs 46 - 48 in appendix A8 of the appellant's submission). 19.The Authority has stated that there are no objections to the re-building of the wall to the bathroom or the re-positioning of the doorway. The Authority however does maintain objections to the proposed retention of stud walling to the east and western walls of the bathroom and to the retention of the small room formed within the hall. 20.The stud walling has been installed along and projects out from the eastern and western walls of the bathroom. These walls appear on the drawings dating from 1956 and appear to form part of the original plan form and consequently are of high significance. The stud walling that has been installed is full height and as a result it is not possible when within the room to distinguish the position of either the original eastern or western walls or to identify that the stud walling is a later addition. ## App/M9496/Y/18/3201092 21.The Authority maintains its concerns that it is inevitable that the proposal has resulted in a change to the original form and proportions of the bathroom which becomes more apparent when considering that the window no longer appears central on the southern wall of the bathroom and when looking from the hall where the position of the western wall in the bathroom is more clearly different. 22.The Authority considers that this has a harmful impact upon the historic plan form and upon the relationship of the walls to the window opening within the bathroom. Both the plan form and window opening make a positive contribution to the significance of the listed building and the proposed works have resulted in a harmful impact upon that significance. 23.A small room has been formed within the hall to be used as a cupboard. The Authority maintains its concerns that the proposed cupboard has a very clear and harmful impact upon the proportions and character of the first floor landing and also acts to obscure the reading of the original walls. The installation of the cupboard has also meant that the fulllength steps up to the easternmost rooms have not been reinstated, which was part of the package of enhancements in the previously approved scheme. The Authority considers that this has a harmful impact upon the historic plan form and upon the spatial character of the hall which make a positive contribution to the significance of the listed building and that the proposed works have resulted in a harmful impact upon that significance. ## Proposed Work 10: Exchanging Locations Of The Approved Wet-Room In The Existing Room In The North-West Corner Of The Basement And The Approved Wine Store In The Room To The South Of The Central Basement Landing. 24.The proposal is to retain works carried out to facilitate the use of parts of the basement as a wet-room and wine store respectively. 25.The Authority does not possess photographs of either of these two rooms within the cellar prior to the work taking place. A photograph has been provided by the appellant (see photograph 66 in appendix D20 of the appellant's submission and the appeal statement). The photograph shows blockwork either side of a corner which does not appear to match up with the areas indicated on drawing EDB-001 T-002 Rev F and it is not clear which room this photograph shows. 26.The Authority does however possess a file note in relation to pre-application discussions between the Authority's Historic Buildings Architect (now retired), the owners and the previous agent (Document 6). This file note refers to proposals within the cellar and says "Whereas the rear and gable sections of cellar have been effectively spoilt, this area plus the proposed Wine Cellar are relatively unaltered and should be left this way. This implies no lining out of the walls, or visible heating." 27.This assessment is followed through in the heritage and design and access statement and approved plans submitted with the previous approved listed building consent application (NP/HPK/0714/0707) which states that the least altered cellar is to be retained 'as it is' as a wine cellar. 28.There are no objections to the use of the approved wet room as a wine cellar. This room was accepted to have been significantly altered in the past and therefore that dry lining to facilitate conversion to habitable accommodation would not be harmful to the significance of the listed building. The use of the space as either a wet room or wine cellar does not change this conclusion. 29.The Authority maintains its concerns in relation to the works to facilitate the use of the room formerly proposed to be used as a wine cellar as a wet room. These works are detailed on drawing EDB-001 T-002 Rev F and include tanking the external walls and constructing an independent internal wall constructed with studs and waterproof plasterboard to avoid penetration of the tanking system and to conceal pipework. 30.From the evidence available this part of the cellar was relatively unaltered and as such will have retained its original character and made a positive contribution to the significance of the listed building, especially taking into account that large parts of the remainder of the cellar had been altered. In the Authority's view the works to facilitate conversion to a wet room have resulted in a clear and harmful change to the character of this part of the basement and to the significance of the listed building. 31.The appeal statement and drawing EDB-001 T-002 Rev F refer to information provided by the owner in relation to water penetration and historic works including lining some of the walls in the basement with concrete blocks and floor sumps. Drawing EDB-001 T-002 Rev F does not indicate that any of these historic alterations had been carried out within this part of the cellar. 32.The statement goes on to say that to address the water penetration problem the basement was fully tanked including the floor and internal and external walls and describes this work as essential. 33.The evidence within the appeal describes the scope and extent of water penetration with water pumps placed within the proposed wine cellar and gym and frequent flooding in the proposed gym, wine cellar, stair area and utility. However, critically, there is no indication of water penetration or flooding within the proposed wet room, and there is no assessment of the different options available to address the water penetration issue and the relative impacts of these options upon the character and significance of the listed building. 34.Similarly no issues in regard to water penetration within the proposed wet room were described either during the course of the approved listed building consent application or during pre-application discussions with the Authority's Historic Buildings Architect. 35.There is therefore no evidence to support the assertion within the appeal statement that the works undertaken were clearly essential to sustain and enhance the significance of the heritage asset. There is also no evidence or assessment to support the assertion that this basement room had no special architectural or historic interest. ## Proposed Work 11: Exchanging Locations Of The Approved Gym And The Approved Cinema Room In The Basement. 36.The proposal is to retain works carried out to facilitate the use of parts of the basement as a gym and cinema room respectively. ## Continued Overleaf… Page 7 App/M9496/Y/18/3201092 37.The Authority possesses one photograph of the room proposed to be used as a gym prior to the work taking place (Document 7), the photograph shows a large gritstone slab which is referenced in the file note by the Authority's Historic Buildings Architect. A photograph has been provided by the appellant (see photograph 66 in appendix D20 of the appellant's submission and the appeal statement), but this photograph shows blockwork either side of a corner, which does not appear to match up with the areas indicated on drawing EDB-001 T-002 Rev F or the Authority's photograph and it is not clear which room this photograph shows. 38.The file note in relation to pre-application discussions between the Authority's Historic Buildings Architect, the owners and the previous agent (Document 6) is also relevant to this proposal. 39.There are no objections to switching the use of the rooms to a gym and cinema room respectively. Both rooms were approved with works to facilitate conversion to habitable rooms, the main change, now being that the walls to the proposed gym would be dry lined and plaster boarded, whereas as approved they were to be damp proofed and finished in lime plaster. 40.The main proposed change is therefore the treatment of the proposed gym and the appeal seeks to retain the tanking and plaster board finish that has been installed. 41.Authority maintains its concerns in relation to these works. The appellant states that this room was unlikely to have been considered an important or architecturally interesting space and that prior to the works taking place this room was not more interesting or significant than the other cellar rooms where dry lining was approved (as part of listed building consent NP/HPK/0714/0707). However this is an assertion and supposition by the appellant and there is no assessment of the character or significance of the room prior to works taking place. 42.The appellant's assessment conflicts with the file note provided by the Authority's Historic Building's Architect who describes the room following a site visit as relatively unaltered, implying that this part of the cellar retained at least a significant part of its original character. 43.From the evidence available, therefore, this part of the cellar appears to have been relatively unaltered and as such would have retained its original character and made a positive contribution to the significance of the listed building, especially taking into account that large parts of the remainder of the cellar had been altered. In the Authority's view the works to install tanking with a plasterboard finish have potentially resulted in a harmful change to the character of this part of the basement and to the significance of the listed building. 44.The appeal statement and drawing EDB-001 T-002 Rev F refer to information provided by the owner in relation to water penetration and historic works including lining some of the walls in the basement with concrete blocks and floor sumps. The statement goes on to say that to address the water penetration problem the basement was fully tanked including the floor and internal and external walls and describes this work as essential. Continued overleaf… Page 8 APP/M9496/Y/18/3201092 45.The evidence within the appeal describes the scope and extent of water penetration with water pumps placed within the proposed wine cellar and gym and states that there was frequent flooding in the proposed gym, wine cellar, stair area and utility. However, there is no assessment of the different options available to address the water penetration issue and the relative impacts of these options upon the character and significance of the listed building. 46.Other options for finishes within the proposed gym were considered appropriate during the previous application, with damp proofing with a lime plaster treatment proposed rather than dry lining with plaster board. 47.There is therefore no evidence to support the assertion within the appeal statement that the works undertaken were clearly essential to sustain and enhance the significance of the heritage asset. There is also no evidence or assessment to support the assertion that this basement room (i.e. the proposed gym) had no special architectural or historic interest. ## Proposed Work 12: Proposed Replacement Of Windows Along With Proposed Double Glazing On North And East Elevations. 48.The proposal is to replace windows indicated on the drawings along with the provision of double glazing on the north and east elevations. The approved scheme (listed building consent NP/HPK/0714/0707) proposed new window openings but did not propose to replace existing windows. 49.The Authority has no objection in principle to the replacement of these windows. However the proposal involves the provision of double glazing to the replacement windows. The acceptability of double glazing in this case is heavily dependent upon assessment of the existing window frames and the detailing proposed which must represent an enhancement over the existing various frame designs. 50.The Authority possesses various photographs of the affected elevations (Document 8). Assessment of these photographs shows that the north elevation windows to the east side of the current porch are not original, contrary to the assertion in the appeal statement. A photograph from 1993 shows the first floor landing window as a 6-paned door. A scanned black and white photograph from 1993 and photographs from 1999, following removal of the former brick built porch, show that the ground floor window consisted of a lower, 6-paned opening light and an upper 2-paned light. 51.Between 1993 and 1996, the first floor window (above the former glazed door) was replaced with the existing 6-paned light. The Authority granted listed building consent in 1999 (application number NP/HPK/1099130) for the replacement of the former brick porch and three windows (Document 9). The elevation drawings approved by that consent show that this window was to have been replaced with a 6-paned light, and that the ground floor window was to be replaced with a 6-paned light, with sill raised and with stone lintel to match that above: the 2 windows would therefore have matched each other. ## Continued Overleaf… Page 9 APP/M9496/Y/18/3201092 52.The photographs (Document 8) show that the original north elevation casement windows in locations N3, N4 and N5 (positions on appeal drawing EDB-000 T-100), in situ when the building was listed, had narrow frames and glazing bars, putty rather than beads and traditional moulded detailing to the glazing bars and internal frames. These windows, and the two narrow windows (N1 and N2, which were inappropriate top-hung outward-opening lights when listed, inserted as new openings in 1956) were replaced in 1999, as part of separate grant-aided works. These works were to replace the windows 'like for like' which would not have required listed building consent. 53.A condition of the grant was that the replacement windows were to be single glazed and exact copies of the existing with details and sections sizes of frames and glazing bars to be agreed with the Authority's Architect prior to manufacture. The glazing bars were to have a moulded profile repeated around the inside of the window frames. However, the windows that were installed were made and installed with thick glazing bars, nontraditional routed joints and non-traditional moulding details, and with glazing held in place with beads rather than putty (these are the existing windows). The Authority assessed that these were not in accordance with the grant conditions and grant was not paid for these new windows. 54.The existing windows to the north gable appear to have been in situ when the building was listed. 55.In assessing proposals for replacement windows an assessment of the significance of the existing lawful windows is required. Any proposal for replacement windows must conserve or enhance the listed building. Historic windows of traditional frame design, glazing and furniture will typically make an important positive contribution to significance and normally as such should be retained or re-instated where there is evidence of unauthorised works. 56.The Authority's position is that double glazing to listed buildings (typically slim profile units with individual panes of glass held in place with glazing compound, between glazing bars) can be acceptable when these will result in an enhancement to the character of the listed building. For example when modern windows of inappropriate design in place at the time the building was listed are replaced with windows of a more appropriate traditional design and detailing. 57.The evidence available is that the north elevation windows N3, N4 and N5 were of traditional design and detailing when the building was listed and that these were replaced incorrectly with windows to a similar design but with inappropriate detailing in 1999. The Authority would welcome the re-instatement of windows to match those in situ when the building was listed (with traditional detailing) would, therefore, be welcomed, but there is no justification for double-glazing these windows. Any replacement windows in these locations should, therefore, be single-glazed. 58.Any proposal to double-glaze any of the other windows to the north or east elevation would require a very strong justification in terms of achieving an enhancement to the listed building. This has not been provided to date. 59.The Authority therefore maintains its position that replacement of the existing windows is acceptable in principle, however that the principle of the proposed design and double glazing has not been established. In the absence of this the Authority's view is that the proposed works would harm the significance of the listed building. ## Continued Overleaf… Page 10 App/M9496/Y/18/3201092 Proposed Work 13: Proposed Exchanging The Location Of The Entrance Door Currently On The East Elevation And The Window Currently On The North Elevation Of The Existing Porch, Including Providing A New Door And Associated Making Good Of Stonework. 60.The proposal is to retain the porch which was proposed to be demolished in the approved scheme (listed building consent NP/HPK/0714/0707) and alter it by moving the position of the entrance door currently on the east elevation to the position of the window on the north elevation. A window would be inserted in the position of the door. 61.The Authority accepts that the porch can be retained as there was no planning condition requiring the works to demolish the porch to be carried out within a specified timeframe and therefore the focus of this proposed work relates to the proposed alterations. 62.The existing porch was approved as part of a proposal to remove a flat roofed porch and external stair of brick construction (Document 8). The replacement porch that exists today represented a significant enhancement over the brick constructions in terms of materials, form and detailing. As part of the design the position of the door was changed to the east elevation with a window in the north elevation to make the porch appear less obvious as an entrance to the building. 63.The Authority maintains concerns in relation to the proposed alterations to the porch because this would reverse the position of the openings and make this element of the building read much more obviously as a main entrance to the house. The Authority's Supplementary Design Guidance, "Alterations and Extension", advises that lean-to porches are appropriate on less formal elevations where the door is not central to the composition. The principal elevation and main entrance to Edale House is on the south elevation, whereas the north is clearly a rear, lower-status elevation. 64.The purpose of locating the doorway on the side (gable) elevation of the existing lean-to porch at Edale House was to ensure that the north elevation retained its character as the informal rear of the property, and that the relationship between more formal, higher status south entrance and lower-status rear entrance was maintained. The Authority also has significant concerns about the width of the proposed door into the porch which would be considerably wider than the inner door from the porch or the front door to the property. ## Conclusion 65.The Authority maintains that it was right to refuse listed building consent on the basis that when taken as a whole the proposed works would harm the significance of the listed building. In this case there are no overriding public benefits to justify the harm that has been identified. Therefore the Authority maintains that the proposal is contrary to Core Strategy policy L3, Saved Local Plan policy LC6 and the National Planning Policy Framework. 66.The Authority respectively requests that the appeal is dismissed. APP/M9496/Y/18/3201092 ## Draft Conditions (Without Prejudice) 1. The works hereby approved shall not be carried out other than in complete accordance with the following approved plans: drawing numbers T-000 Rev B, T- 002 Rev F, T-003 Rev C and T-005 Rev B, subject to the following conditions or modifications: 2. Prior to the commencement of works to install ceiling cornice mouldings in the eastern-most ground floor room a detailed drawn scheme of the design and profile of the ceiling cornice to be installed shall be submitted to and approved in writing by the National Park Authority. The works thereafter shall not be carried out in accordance with the approved scheme. 3. The replacement windows hereby approved shall not be carried other than complete accordance with approved plan: drawing number T-000 Rev B. 4. At the time of erection the replacement window frames shall be finished to match the colour of the existing window frames on the south elevation of the house. 5. Prior to the commencement of works to alter the porch a detailed drawn scheme of the size and detailed design of the new door shall be submitted to and approved in writing by the National Park Authority. The works thereafter shall not be carried out in accordance with the approved scheme.	en
0335-pdf	# The Office Of Rail And Road 166Th Board Meeting 10 December 2019, 09:00 - 13:45 ORR London Office, 10th floor, 25 Cabot Square, London E14 4QZ Non-executive members: Declan Collier (Chair), Stephen Glaister, Anne Heal, Bob Holland, Michael Luger, Justin McCracken Executive members: John Larkinson (Chief Executive), Graham Richards (Director Railway Planning and Performance); Ian Prosser (Director Railway Safety). In attendance: Russell Grossman (Director of Communications), Freya Guinness (Director Corporate Operations), Dan Brown (Director, RME and Strategy), Tess Sanford (Board Secretary). Other ORR staff in attendance are shown in the text. Item 1 WELCOME AND APOLOGIES FOR ABSENCE ## 1. The chair welcomed everyone to the meeting. 2. Graham Mather had sent apologies for the meeting. Item 2 DECLARATIONS OF INTEREST ## 3. No new relevant interests were declared. ## Item 3 Approval Of Previous Minutes And Matters Arising 4. The minutes were agreed and the chair would sign them1. 5. The chair reported on two meetings the previous day which closed matters arising. - The meeting with the Chair and CEO of Network Rail (NR) to discuss the notices on track worker safety had gone well. The FOI request in relation to Margam had been mentioned: documents to be released would be shared in advance as a courtesy for information only. The board asked to see the legal advice in relation to disclosure [Action]. - Declan Collier had observed the meeting of Route Supervisory Board chairs (including the system operator) with the chair of NR. He reported on shared areas of concern which emerged. The board noted the variety of approach between the route boards and the way the nature of the RSBs had changed since the original concept had been included in NR's plans for route based devolution. These changes meant that they would be of inconsistent value to ORR as an indicator of the quality of stakeholder engagement at a route level in terms of providing input to ORR holding NR to account. There was a new performance architecture emerging within NR and it was important that ORR found sources of the necessary information to hold NR to account. Staff were asked to circulate the background briefing given to the chair to other board members [action]. ## Item 4 Executive Director Updates2 6. John Larkinson reported on an approach by BEIS to explore whether ORR wished to take on additional enforcement powers on consumer matters in Europe. The exact proposition was still unclear and the obligations that would go with the powers needed to be understood before any advice could be prepared for the board (to whom the response on changes to powers is reserved). The board noted the report. 7. John reported on a conversation with the Rail Minister on the delay to opening of Worcestershire Parkway. John had been able to assure the Minister that the delay was not in relation to ORR processes. The board asked to see the current authorisations tracker to help them understand how the executive tracked and reported on this important work. [Action - include all parts including rolling stock] 8. John also reported on a recent meeting with the Minister in Scotland, which he would be following up in correspondence with evidence to counter some of the claims made by Transport Scotland officials in the meeting. 9. Ian Prosser reminded the board of the policy position on DCO and said that the last trap and drag incident involving DCO had been in 2015. He would write to RMT to counter the recent misrepresentation of the safety record in the media [action]. The board discussed the desirability of challenging untrue statements made in the media both with the individual making the claim and with the broadcaster/publisher. The current approach of pragmatic intervention on claims that were repeated was a balance between stopping false stories and the available resources. Strong relationships with media outlets and a reputation for helpfulness and objectivity were key in maintaining this balance. 10. Ian reported on a near miss on a level crossing in East Anglia: a further report on the technical issues (track geometry and wheel profile) which this had highlighted would be included in the January report [Action]. Some mitigation measures have been put in place by operators, including manning some high-risk crossings. 11. Graham Richards reported that NR were reviewing how scorecards were built and agreed, noting that the Secretary of State approved them each year. The board discussed risks around the forthcoming December timetable change, particularly train crew availability and the openness with which operators communicated with the PMO as well as the PMO's ability to challenge. ORR would include these concerns in the forthcoming letter to NR on the system operator. [Action] This issue would be covered in the January reports: it was anticipated that the new System Operator managing director would drive improvements in behaviours over time. 12. Dan Brown reported that Ministers had signed derogations for rolling stock, but not replacement bus services, although these were understood to be pending. ORR would write to TOCs after purdah asking TOCs to demonstrate their position on providing information to passengers on derogations. 13. Russell Grossman reported on recent activity and the imminent launch of the stakeholder survey. The board asked to see the proposed question list for information [Action]. 14. Freya Guinness updated the board on remaining snagging at 25CS and work to hand back OKS to the landlord by the end of the week. New printers and other IT kit were being rolled out in the regions 15. Freya also reported on the headline results of the staff survey which had just been received by directors. The headlines figures had improved, particularly on areas that had been subject to focus in-year. Renco would see and discuss the full results in January. [forward prog] ## Item 5 Memorandum Of Understanding: Btp/Raib/Orr 16. Ian Prosser explained that this was an update on an existing MOU which reflected the improvement in relationships and was now principlerather than process-based. 17. Justin McCracken confirmed that Health and Safety Regulatory Committee had also discussed the MOU at its meeting the day before. The board agreed to adopt the MOU and delegated [Ian Prosser] to sign it. ## Item 6 Hs1 - Pr19 Final Determination Steve Fletcher, Carl Hetherington, Feras Alshaker, Joe Quill, Debbie Daniels, Laura Majithia, Steven Dennis joined the meeting for this item. 18. Graham Richards introduced the item. HS1 had produced an updated 5YAMS (the November 5YAMS) in response to the draft determination issued by the board in September. HS1 had not adjusted it to reflect all of the provisions in the draft determination and this meant that the board was required to determine whether to impose some of the detail of the determination. This was a novel intervention for ORR, leading it to direct a limited company to change its five year plan. Such direction would also introduce a further consultation stage, as a consequence of the contractual requirements for implementing the periodic review, which had not been envisaged at the time of the original plan. This consultation would require the board to meet and review any responses to the consultation very early in the New Year in order to meet the timetable required by the concession agreement for issuing the final determination. The decisions made today would be consulted on with key stakeholders before Christmas and the board would be asked to consider any new evidence and representations made before confirming the final determination. 19. The November 5YAMS had been received on 29 November. ORR's due diligence had identified some errors in HS1's financial model and HS1 had now agreed to get third party assurance of the model. The board asked that the team consider the quality of this assurance, when issued. The quantum of errors in the model included a £4m wrongside cost shift in O&M. The team explained that the percentage changes in charges shown in the paper remained a broadly applicable guide to the impact on operators. 20. The board reminded itself of its role and duties in regard to the PR19 determination, including those areas it could not take into account. It discussed the importance of weighing up the different interests and of understanding fully the commercial and operational impact of any decision - particularly on the level of charges to be levied and affordability for operators. The board also noted that the current set of decisions were for the next five year period and could be reviewed and re-set at the next review if events delivered different outcomes from those currently projected. 21. The decisions before the board now comprised three sets: ten issues to be confirmed as set out in the draft determination, five issues where HS1 had not accepted or adjusted their November 5YAMS to reflect ORR's draft determination and three issues where staff advice had changed since the draft determination as a result of further information received. Matters to be approved because there is alignment between the draft determination and the November 5YAMS. 22. No new evidence had been offered by stakeholders on the treatment of the new signalling system. The board approved its earlier decision that the new ETCS signalling system should be treated as a Specified Upgrade. It noted that this required a decision by DfT. 23. Staff had reviewed HS1's evidence underpinning the 4.33% risk premium figure, which was reduced from 5% in CP2. No evidence of double counting of risk had been identified. The board approved a level of 4.33% contract risk allowance between HS1 and NR(HS). 24. Eurostar had argued that the efficiency target of 6.7% was less challenging than it should be, but not provided any evidence to support this argument. No benchmarks could be identified to assess this claim. The board approved HS1's proposals for operations and maintenance efficiency as set out in the 5YAMS at 6.7%. 25. The board noted that no response was received on funding for preparations for future control periods and approved a figure of £5.6m. 26. The board noted that HS1 would be required to develop business cases for future projects to ensure best value for money from its budget. No new evidence had been offered in relation to this decision. The board approved delivery integrator costs as 10% management fee and 10% risk funding. 27. The board discussed again the proposal to adopt a 40 year approach to renewals funding for the HS1 network. This is consistent with the concession agreement and also aligns with the government's treatment of stations. The board noted that no comparable concession agreements internationally had been identified for use as benchmarks. Counsel's advice had been sought and no further challenge had been presented to this interpretation of the Concession Agreement. This was an important issue in securing the best interests of future users as funding over 40 years better achieves sustainable asset stewardship. The board approved a 40 year approach to renewals funding for the HS1 Network. 28. The board approved an increase of £1.2m to the renewals annuity to address underfunding of the escrow account in CP1 and CP2, as built into the November 5YAMS by HS1. 29. The board noted that there had been no further evidence offered by EIL on the issue of the renewals fund adjustment to avoid an 'overdrawn' escrow account. EIL had previously offered to fund spending directly as it became necessary. This offer was rejected on principle as it was not securing the funding needed in advance. Although it was tempting to ease-in operators in relation to the increase in annuity, it is in the public interest to ensure sufficient funding. The board discussed the importance of efficient management of the escrow account and noted that the highest future balance in the current model was about £140m. Future thinking on funding would be able to further reflect this issue. The board approved an increase of £0.4m to the renewals annuity to remove a predicted 'overdrawn' escrow account in the future. 30. The November 5YAMS included a frontier shift of 0.5% from CP4-CP10 - to reflect the expectation that an efficient company today would be more efficient in future. The board noted other regulators' approaches and the broad basis of the figure. This was a 'best judgement' figure and there was no evidence to support an alternative. The board approved a 0.5% annual efficiency overlay for frontier shift from CP4 onwards. 31. The November 5YAMS had adopted the charging model for directly incurred costs on a per train km basis3. This change did not include non-direct costs, which continue to be charged on a per train-minute basis and HS1 intends to conduct a structure of charges review in CP3. The board approved HS1's revised charging model in accordance with Commission Implementing Regulation 2015/909. Matters to be determined because the draft determination and the November 5YAMS do not align and there is inconsistency with the General Duty as a result 32. The board heard about work done by staff to assess the underlying asset life modelling undertaken by HS1 and the application of best practice in terms of rates and volumes of renewals which would be necessary to maintain asset quality. It is too early in the life of the system to make definitive judgements about future asset life and this was one area open for discussion at the next control period. There is the opportunity to revisit in the 5YAMS for PR24. For now, the board agreed to determine a less conservative approach to asset life modelling over 40 years. 33. The board noted the parallel with its earlier decision on delivery integrator costs for CP4-10, the availability of relevant benchmarking data, and the potential for portfolio management to reduce costs overall. The board also noted that the projects planned for CP3 are straightforward, non-complex projects. The board determined an allowance of 10% for project management costs in CP3. 34. The board discussed again the commitment required in the draft determination for HS1 to maintain adequate levels of research and development in CP3, in line with industry best practice and, over time, to deliver technical innovation and improvements leading to overall efficiencies for its customers. HS1's proposal in the November 5YAMS included £2m for CP3 only in O&M, ORR staff proposed that the funds should be managed through the escrow account to provide additional governance and transparency to the spending on research projects. The board noted this was a direct imposition of additional costs on operators, and that it was part of an overall package designed to deliver a package of benefits to future users and operators. The board determined that HS1 should be funded for £2m of research and development in CP3. 35. Staff reported on discussions with HS1 around the allowance for risk in CP4- 10 renewals costs. The board determined a 13% risk allowance for CP4-10 and approved a rate of 12.6% in CP3 to reflect the different inputs. 36. The board discussed the interest rate assumptions made by HS1 and the basis of any recommendation to use different rates. Better evidence had been offered to support the rates for CP3 investments on the basis of an agreed investment strategy between HS1 and operators. Carl Hetherington tabled a new slide setting out the evidence to change the assumptions for CP3. The board approved that average interest rate assumption for deposits and bonds to be 1.22% for CP3, as set out in the November 5YAMS instead of the 2.5% from the draft determination but determined the allocation of 80%-20% between deposits and bonds and the current account from the draft determination. 37. The board discussed the process leading to the proposed rate of 2.5% for CP4-10 and asked that it be clearly set out in the final determination. The governance of investment is set out in the concession agreement. The board determined that an average interest rate assumption of 2.5% should be used for 'deposits and bonds' for CP4-10. Matters to be determined because further evidence provided since publication of the draft determination means ORR had changed its position as expressed to achieve consistency with the General Duty. 38. In the draft determination deferrals had been proposed from CP3 to CP4 workbank to address issues around deliverability. The board approved HS1's revised CP3 plans as acceptable. 39. The board noted the proposed adjustment from 26% in CP3 to 12.6% to reflect current modelling. This reflected some double counting in the original figures. The board approved a 12.6% risk allowance for CP3 renewals as consistent with the General Duty. 40. The board noted that the November 5YAMS included additional un-evidenced costs. The board determined that HS1's internal costs remain as set out in the draft determination save the reduction in pass-through costs. Discussion of the overall impact on charges 41. The board noted that the exact charges levied on operators would be levied by HS1 following the implementation of the final determination. The impact of the changes on the overall annuity figure gave a final annuity of £26.3m. The likely impact of this was increases in charges in the order of 18% for international passenger operators, 15% for domestic passenger operators and 13% for freight operators. 42. The board noted that the determination was commercially sensitive but that all stakeholders would be consulted before the board was asked to approve the final determination on 2 January 2020. This very short timetable was required by the terms of the track access agreements. ## Item 7 Williams White Paper 43. The board received an update on progress with the draft white paper from Dan Brown and John Larkinson. There had been little further detail on the implementation phase yet. It looked as if a number of policy issues would only be covered at a high level with further consultations on the detail. 44. The chair also updated the board on his discussions with senior DfT officials on the emerging picture for ORR. 45. ORR needed to be ready to brief its own people on what the published document might mean for them. It would also be essential to mobilise a team quickly to respond to the emerging policy implementation challenges. 46. The main focus of activity for ORR should be around how assurance and scrutiny of the new rail body could be carried out to safeguard the long term public interest. 47. At this stage, best estimates were that it would take at least 18 months to deliver primary legislation and a further minimum 18 months on implementation. 48. The board noted the report. The amount of resource dedicated to next steps would depend on the outcome of the election on 12 December. ## Item 8 Feedback From Committees And Panels 49. The board deferred feedback from the committee meetings to their meeting on 26 January 2020. ## Item 16 Any Other Business 50. There was no other business and the meeting closed.	en
2163-pdf	## Delivering Savings, Better Outcomes And Growth Using the new EU procurement rules - a guide for councillors and senior managers ## Contents \| Why this guide? \| 3 \| \|--------------------------------------------------\|-----\| \| How are we working with others? \| 5 \| \| What improvements can we make to the way we buy? \| 7 \| \| What are our options for major projects? \| 11 \| \| How should we use technology? \| 14 \| \| How do we maximise social value? \| 16 \| \| Annex: The EU rules in a nutshell \| 19 \| ## Why This Guide? Councils in England are facing an unprecedented set of challenges and leadership by councillors and senior managers has never been more important than now. The drive to provide better outcomes for citizens in key public services and to promote local economic growth must continue at the same time as realising savings on a very large scale. As a consequence, public services are being 'rewired' and innovative new models of service delivery are being developed ('commercialisation'). This includes the devolution of further responsibilities to the local level, increased integration of services across health and social care and beyond and the creation of vehicles for trading and income generation. This guide provides a briefing for councillors and senior managers on some recent changes to the public procurement rules (the 'EU rules') which will help councils and their partners respond boldly to the challenges which lie ahead. The guide has been produced to support implementation of the 'National Procurement Strategy for Local Government in England 2014' and the modernisation theme in particular. The EU procurement rules were reformed in 2014 and the changes for councils (goods, services and works contracts) have been implemented in this country in the Public Contract Regulations 2015 ('PCR 2015'). The reform was carried out with a number of objectives in mind: • simplify the rules for bidders and contracting authorities and make them more flexible • enable 'strategic' use of public procurement (delivering social and environmental objectives, supporting SMEs, stimulating innovation) • incorporate European case law (exclusion of 'in house' contracts between public bodies, limits on changes to contracts) • introduce stronger measures on conflicts of interest, procurement fraud and corruption etc. New options and flexibilities are now available which councils can make use of. These are outlined in the guide. The guide is in the form of a checklist that councillors and senior managers can use to check whether their own council is taking full advantage of the new rules to secure better outcomes and savings and to promote local economic growth. An annex explaining the EU rules 'in a nutshell' has been included for those less familiar with the procurement rules. A toolkit is being launched in parallel with this guide to provide more in depth coverage of the topics. Its audience is those in service delivery, programme and project management roles who need to be familiar with procurement routes as well as procurement and commissioning professionals. Councillors and senior managers who would like to explore the new possibilities in further depth can access the toolkit through: www.local.gov .uk/web/lg-procurement. Look for 'PCR 2015 - Local Government Toolkit'. In addition they can access the Government's guidance and training slides through: www.gov .uk/guidance/transposing-eu-procurement-directives However, the EU rules are complex and the first point of contact for councillors and seniors managers should be the council's own procurement team. More general guidance for councillors on good practice in local government procurement can be found in 'A councillor's guide to procurement' (LGA/LP , 2013). Note that the information provided here is intended to be only a general guide to opportunities presented by PCR 2015. It is not legal advice. Councils should take their own legal advice. ## How Are We Working With Others? What Is The Challenge? Councils need to consider whether they are making use of the best available models for joint working on procurement. By working together on procurement and on contract and supplier management councils and their public sector partners can make best use of commercial skills, benefit from economies of scale, achieve efficiencies in the use of resources and realise savings. A lot has been achieved already, but councils need to review their use of joint procurement models including: • professional buying organisations (PBOs) like the local government PBOs like YPO, ESPO, NEPO and CBC and the Government's Crown Commercial Service (CCS) • shared management and shared services models for procurement (for examples, see: www.local.gov .uk/shared-services-map) • occasional joint procurement projects, eg for waste management. In any model, the keys to success are joint planning (across council departments and across authorities and other public sector organisations), including early stakeholder and user involvement, and a joint approach to market engagement. This can then inform a joint procurement strategy as part of the business case for the procurement. Traditionally, much collaborative activity has been focused on the buying of 'commodities' (commonly-used goods and services). The challenge for the future is for councils and others to work together to a greater extent on strategic requirements including infrastructure projects, back office functions and social care (a national category strategy for social care is being developed as part of the 'National Procurement Strategy'). The establishment of combined authorities together with the devolution of further responsibilities to the local level and the continuing integration of services (including health and social care) provides a further opportunity to consider city-region and county-region models for procurement including the joint commissioning of major projects in the region (see What are our options for major projects?). ## How Can We Use The New Eu Rules? PCR 2015 is clear about the importance of public authorities working together on procurement and they enable the full range of models for joint working to be used. Councils and other public authorities can: ## Choose The Best Model For Joint Working On Procurement • buy goods and services directly from a 'central purchasing body' (CPB) • buy goods, works and services through contracts, framework agreements and 'dynamic purchasing systems' (see How should we use technology?) set up by a CPB. CPBs are contracting authorities that carry out centralized purchasing on a permanent basis. PCR 2015 also clarifies roles and responsibilities where authorities undertake 'occasional joint procurement' and where authorities in different countries work together on international procurement. ## What Improvements Can We Make To The Way We Buy? What Is The Challenge? Councils need to be sure that they are focusing their efforts in the right places and keeping the procurement process itself as simple as possible. In the public sector the importance of 'procurement' in the narrow sense (the stage between the contract notice and contract award) has often been overstated. Overall, the real keys to commercial success (striking a good deal and making sure it is delivered) are pre-procurement planning (including being clear about the outcomes you want), good contract design and specification, effective market engagement and robust contract and supplier management. The main objective in the procurement phase should be to minimise the time, cost and effort to procure for both the authority and bidders including, in particular, SME bidders. The pre-procurement focus should be on: • signalling of future requirements to the marketplace • market shaping ('market facilitation' in the social care context) to stimulate activity where there are gaps • two-way engagement with potential suppliers ('market engagement') • getting the contract design, specification and other procurement documents right. All the benefits of this planning will be lost without effective contract and supplier relationship management once the contract has been awarded. This includes performance management, continuous improvement and cost control (see, for example, LGA: 'Making savings from contract management'). As mentioned above, all of this activity can be undertaken by authorities working together. Among other things, a joint approach enables councils to take a more strategic approach to the management of key suppliers to the local government sector. Finally, councils need to have confidence that they have appropriate strategies and internal controls in place to manage the risk of fraud and corruption in both procurement and contract management as the losses in this area can be significant not to mention damage to the council's reputation (see LGA/CIPFA: 'Managing the risk of procurement fraud'). ## How Can We Use The New Eu Rules? Focus On Market Engagement PCR 2015 now expressly allows market engagement ('preliminary market consultations') as part of pre-procurement planning and describe appropriate measures to be taken to prevent competition being distorted. This confirms the value-adding role of market engagement and provides reassurance that it does not conflict with the EU rules. ## Use A Pin Instead Of A Contract Notice There are new options for the notices used to advertise contracts in Europe ('OJEU notices'). Under PCR 2015 councils can now choose to publish a prior information notice (PIN) to advertise requirements (a contract or group of contracts) and invite interested suppliers to confirm their interest in bidding for specific contracts at a later date. This does away with the need for individual contract notices. This use of a PIN is allowed when the council is using the restricted procedure or the competitive procedure with negotiation to award the contract (see below on new procurement routes). A PIN can also be used to advertise requirements for Light Touch Regime services (see below on designing special procedures for social care). Normally, a PIN used in this way is valid for up to 12 months but when used for Light Touch Regime services it can cover a longer period. The period between publication of the PIN and the invitation to confirm interest is an opportunity to carry out a type of market engagement before deciding on the final approach to the market. This can be particularly helpful in social care and health with all the complex changes that are taking place. ## Speed Up Procurement Minimum time limits for procurement procedures relating to time limits for suppliers to respond to tenders have been reduced by approximately one third in most cases. Of course, councils would make a decision on timescales based on the procurement in question. As the procurement phase is now short, effort can be focused on the value-adding parts of the process: • pre-market engagement and getting the contract design and specification right • effective contract and supplier management. Councils can continue to use the familiar open procedure or restricted procedure for 'off the shelf' requirements. Choose the best procurement route The restricted procedure is most useful where there is a genuine need to pre-qualify bidders or there are potentially a very large number of bidders in the market (this will be confirmed through market engagement). Otherwise, the open procedure is fastest and simplest route. However, there is now greater flexibility to use negotiation for complex or innovative requirements. There are three different routes to choose from: • competitive procedure with negotiation (CPN) • competitive dialogue (CD) • innovation partnership (IP). For more information on those routes see What are our options for major projects? There is now a requirement to advertise contracts for social care in Europe (meaning competition for the contracts). Design appropriate procedures for social care However, provided that councils stick to certain general principles (equal treatment, transparency etc) there is an opportunity to design procurement procedures which are appropriate to these services. There is no obligation to use the main EU procedures for social care. This is referred to as the Light Touch Regime. It applies to social care procurements above a Euro 750,000 threshold (currently £625,050). It applies in the same way to health, education, cultural and certain other services. As mentioned above, advertising can take the form of a prior information notice (PIN) which remains valid for a considerable period of time. PCR 2015 has clarified that references can be taken up to establish whether bidders have the necessary professional and technical ability to perform a contract (ie they meet 'selection criteria'). ## Tackle Poor Performance By Suppliers In addition, councils have discretion to exclude bidders which have shown 'significant or persistent deficiencies' in performance ('exclusion grounds'). In order to take advantage of these new opportunities it will be important for councils to record supplier performance, including the use of sanctions under contracts, and for councils to be willing and geared up to provide references to others. Councils have the right to receive information on sub-contractors and can carry out checks on sub-contractor suitability. ## Improve Control Of Sub-Contracting This includes the sub-contractor's past performance. Where necessary, a main contractor can be required to replace a sub-contractor. ## Control Changes To Contracts A series of European Court cases created uncertainty about the extent to which contracts can be varied without triggering an obligation to go back out to tender. The case law has been incorporated into PCR 2015. The new clearer rules on changes to contracts ('modifications') will give councils confidence to make necessary changes to the way services are delivered in order to achieve better outcomes or make savings. The new flexibilities in the rules have been balanced with stronger controls which councils can use to help combat procurement fraud and corruption. ## Combat Procurement Fraud And Corruption There are strengthened 'audit trail' requirements including documenting the progress of procurement procedures. A report must be prepared on every contract, recording information such as the reason for using certain procedures (CPN, CD and negotiation without prior advertising) and decisions that have been taken. It must also identify any conflicts of interest and the measures that were taken in response. Suppliers convicted of offences such as bribery must be excluded from bidding for council contracts and councils have discretion to exclude suppliers where there is a conflict of interest, anticompetitive agreement or the like. ## What Are Our Options For Major Projects? What Is The Challenge? Councils need to choose the best procurement route for high value, high risk projects ('major projects'). Increasingly, councils are responding to local needs and budget pressures by taking a more commercial approach which involves major projects ('commercialism'). For example, councils are creating local authority companies and joint ventures and are exploring innovative funding mechanisms. The formation of property companies to buy-to-rent or build-to-rent is a recent example where councils are seeking new solutions to the problem of homelessness. When set up to trade, local authority companies and joint ventures can be an important means of generating income to help close the gap in council finances (although risks must be understood and mitigated). See LGA/LP: 'Enterprising councils'. Shared services are being created for a wide variety of functions in order to realise economies of scale (see www.local.gov .uk/shared-services-map). Services are also being transferred to social enterprises and spun-out 'public service mutuals' and the financial position of councils may result in further outsourcing or competing of services. Private Finance 2 (PF2) projects may become an option in the infrastructure area, alongside more conventional construction contracts, although activity is at much lower levels than under the old PFI regime due to the absence of additional government funding to support financing. In major projects the development of a business case including a procurement strategy is established best practice. In spin out/outsourcing situations, it is important that the business case addresses the viability of the services which remain in house as well as those to be transferred out. The procurement strategy needs to be informed by early market engagement to establish the viability of the project and should determine the procurement route for the project taking account of the EU rules as discussed below. ## How Can We Use The New Eu Rules? Contract With Other Public Bodies PCR 2015 incorporates rules on contracts between public bodies which were first established in European Court cases (ie rules on when contracts count as being 'in house' and therefore excluded from the procurement rules). In the process of incorporating the rules, certain things have been clarified. This greater certainty should help clarify the choices available and enable councils to be bolder for example when setting up local authority companies and shared services arrangements. The Regulations exempt contracts from procurement in three situations: • contracts with a controlled body (eg a local authority company) • contracts with a jointly controlled body (eg jointly controlled company) • contracts concerning cooperation between councils (no separate controlled body). There are limits on trading. In the first two cases, the controlled body can undertake up to 20 per cent outside activity (ie not with the controlling authority or authorities). In a cooperation arrangement the participating authorities can perform up to 20 per cent of the activities concerned on the open market. ## Reserve Contracts For Social Enterprises And Mutuals Under the new rules, contracts for certain Light Touch Regime services can be 'reserved' for organisations with a public service mission, reinvested profits and a degree of employee or stakeholder participation (provided they haven't been awarded a reserved contract for the services in the past three years). Both social enterprises and public service mutuals that meet the criteria can qualify for these reserved contracts. The contracts must be advertised but the council is otherwise free to design the procurement procedure provided that principles such as equal treatment and transparency are observed (see How can we improve the way we buy?). The contracts can last for up to three years. PCR 2015 offers a broad range of procurement routes. For complex or innovative projects, councils can now choose any of the following procedures: ## Choose The Best Procurement Route For A Major Project • competitive dialogue (CD) • competitive procedure with negotiation (CPN) • innovation partnership (IP). Councils already have considerable experience of using CD. However, there have been some changes. There is no longer an obligation to specify minimum requirements at the outset and PCR 2015 now expressly allows negotiations to be carried out with the preferred bidder (within certain limits) in order to confirm financial commitments or other terms before contracts are finalised. CD continues to be the most suitable procedure for highly complex procurements including those which involve third party finance (PF2 and the like). Alternatively, in the same circumstances councils can choose to use CPN. A version of this procedure has existed for some time but PCR 2015 has introduced changes. CPN allows councils to negotiate on initial tenders, including on price. However, councils can choose to reserve the right to award a contract on the basis of an initial tender without negotiation. CPN has been made available for use in a much wider set of circumstances than before and is therefore likely to be used more frequently for requirements that are not 'off the shelf'. These need not necessarily be major projects. The IP procedure is completely new. An IP is set up using a modified version of the competitive procedure with negotiation. The IP procedure enables the council to develop innovative products, works or services where no suitable solution exists in the market (sharing the risk with suppliers) and then to purchase the resulting products, services etc. An IP could be used to develop new medical or environmental technologies, for example. But it could equally well be used to develop and purchase a new delivery model for a public service. ## How Should We Use Technology? What Is The Challenge? Technology plays an important role in reducing the time, cost and effort to procure ('e-procurement') and councils need to have confidence that they have the right solutions in place (see above on What can we do to improve the way we buy?). Larger councils use electronic tools for sourcing (advertising opportunities, making procurement documents available, receiving pre-qualification questionnaires and tenders, running online electronic auctions etc). Electronic tools for tender evaluation and contract management are less widely used and electronic invoicing is not widespread at the present time. Electronic invoicing is an important development as it can both help reduce costs and drive compliance. Smaller councils may have access to electronic sourcing tools (for example, those made available via regional portals) but overall face a bigger challenge moving to fully electronic procurement. Councils have made good use of electronic auctions but have found so-called 'dynamic purchasing systems' as defined in the old EU rules too cumbersome to use. The new rules have brought major improvements. As outlined below, the use of dynamic purchasing systems is likely to increase as a consequence. The new EU rules make electronic communications mandatory for sourcing (including electronic submission of pre-qualification questionnaires and tenders) from 18 October 2018 and smaller councils in particular need to gear up for this deadline. There are earlier deadlines for some other new obligations. Most importantly, it is already a requirement that procurement documents are made available on the internet from the date of publication of the OJEU notice (or invitation to confirm interest where a PIN is used). It will not become mandatory to use electronic tools for tender evaluation or contract management. However, as part of a broader strategy for end-to-end e-procurement, it has been agreed at EU level that a new European data standard for core electronic invoices will be developed and councils will be required to accept invoices received in this form. This will not happen before 2018 (and the UK Government has discretion to postpone it for another year for councils). ## How Can We Use The New Eu Rules? In the old rules, the 'dynamic purchasing system' (DPS) was too cumbersome to use and take up was minimal. The rules have been greatly simplified and councils are likely to find many new uses for the DPS. ## Open Up Markets And Get Better Prices With 'Dynamic Purchasing Systems' Essentially, the DPS is an electronic database of pre-qualified suppliers that can be invited to tender for goods, works or services contracts. It differs from a framework agreement in that new suppliers can be admitted at any time. It is not the same as an approved list because all suppliers on the system (or all suppliers in the relevant category) must be invited to tender every time. The DPS is an efficient way of meeting EU advertising obligations while sustaining competition at the local level. Applications could include minor works, facilities management and agency staff. An important feature of the DPS is that it enables new entrants to challenge dominant suppliers. Modified versions of the DPS are already being used for social care placements. Social care now comes under the Light Touch Regime meaning that modified versions of the DPS can still be used as appropriate (see section above on designing appropriate procedures for social care). Speed up procurement It is possible to reduce further the time taken to procure if electronic submission of tenders is requested or allowed (shorter time limits are permitted in the open procedure and restricted procedure). The legal obligation to make specifications available electronically as part of the procurement documents from the time the contract notice is published (or invitation to confirm interest is sent where a PIN is used) reflects good practice and is a good discipline on specifiers. Ensure specifications are ready for inclusion in the procurement documents Gone are the days when specifications were still being written after the procurement process had started. ## How Do We Maximise Social Value? What Is The Challenge? Councils want to maximise the value of every pound they spend including in terms of promoting jobs, skills and supply chain opportunities in the local community (see LGA/LP: 'Buying into communities'). This is established practice in regeneration projects and construction and infrastructure projects more generally. It is being extended to other services. The Public Services (Social Value) Act 2012 provides a framework for considering, preprocurement, how the social, economic and environmental wellbeing of the area could be improved when buying goods and services. The Act sits alongside the public sector equality duty in the Equality Act 2010. The old EU rules have sometimes hampered implementation of the preferred approach. One of the main objectives of the new EU rules is to enable authorities to use procurement more 'strategically'. Social and environmental issues can now be taken into account at many points in a procurement procedure. For short, this is referred to as a 'cross-cutting social clause'. This stops short of allowing preferential treatment of UK nationals or UK suppliers (including 'local' suppliers within the authority's boundary) but it represents an important change to the rules. The new opportunities to consider 'social value', including SME-friendly procurement and contracts with businesses employing disabled and disadvantaged people, are outlined below. See also What are our options for major projects? on procurement from social enterprises and mutuals. ## How Can We Use The New Eu Rules? Under PCR 2015 social, economic and environmental considerations can now be addressed in many different parts of the procurement procedure (a 'cross- cutting social clause') including: ## Take A Cross-Cutting Approach To Social Value • specifications including specification of production processes and social and environmental labels • special contract performance conditions • selection criteria, including references and environmental management systems, and exclusion grounds (which also apply to sub-contractors) • contract award criteria including lifecycle costing and rejection of abnormally low tenders. This provides an extensive opportunity to implement plans developed using the Public Services (Social Value) Act framework. ## Make Contract Packaging Sme- Friendly The new rules challenge councils to consider whether requirements should be divided into lots. This can be used as an opportunity to stimulate thinking on innovative procurement models including those which increase the flow of contracts to SMEs where this provides value for money. It is now possible to reserve contracts for businesses whose main aim is the social and integration of disadvantaged and disabled people (it was previously only disabled people) or to provide for the contracts to be performed in the context of supported employment programmes. ## Reserve Contracts For Social Businesses Employing Disabled/ Disadvantaged People Only 30 per cent of the workforce need qualify as disadvantaged or disabled (it used to be 50 per cent) if the main test is met. 'Disadvantaged' is not defined. It could include, for example, the unemployed, members of disadvantaged minorities or otherwise socially marginalised groups. ## What Do The Lord Young Rules Say? Note also that PCR2015 includes national rules intended to improve SME access to public contracts, particularly lower value ones. These follow a review by Lord Young and do not come from the EU. The Lord Young rules: • introduce a standardised approach to pre-qualification questionnaires (PQQ) for above-threshold procurement • oblige councils to publish information on the Government's Contracts Finder portal when above-threshold opportunities and below-threshold opportunities valued £25,000 or more are advertised and when the contracts are awarded • abolish the pre-qualification stage for below-threshold procurements • require payment of invoices within 30 days (including payments along the supply chain). ## Annex: The Eu Rules In A Nutshell There are three elements to the EU public procurement rules: • Treaty rules and principles (currently the Treaty on the Functioning of the European Union, TFEU, and the principles derived from it) • procurement directives (implemented in the UK through statutory instruments, principally, for councils in England, the Public Contracts Regulations 2015 but note that a new directive on concession contracts must also be implemented before April 2016) • case-law of the Court of Justice of the European Union (and increasingly case-law of the UK courts). The Internal Market (originally the 'Common Market') is founded on the 'four freedoms' which form the core of the Treaty - the free movement of goods, labour and capital and the freedom to provide services/freedom of establishment. EU Member States cannot obstruct the operation of the four freedoms (ie the Internal Market) by direct or indirect means. The Court of Justice, in its case-law, has derived a number of 'general principles' of EU law from the Treaty that have now been incorporated into the procurement directives. These include: • non-discrimination • equal treatment • transparency • proportionality. Procurement directives first began to be introduced in the 1970s. Their purpose is to harmonise procedures in use in the Member States to ensure that Treaty rules and principles are followed when there is likely to be cross-border interest in the contract (ie high value contracts in particular markets) and to provide effective remedies for suppliers where they are not (in England council decisions can be challenged in the High Court and the remedies include damages and fines). For English councils the rules are now those set out in the Public Contracts Regulations 2015, PCR 2015, which implements the 2014 Public Contracts Directive. A further new directive on concession contracts above a €5,186,000 threshold (currently £4,322,012) must be implemented before April 2016 (when new rules on utility contracts replacing the existing utilities regime must also be brought into force). The concessions regime is light touch and based largely on the EU general principles. The EU rules contained in PCR 2015 applies only to contracts and framework agreements exceeding certain threshold values (currently £172,514 for services and goods and £4.3 million for works; note that the sterling values will be revised in January 2016). However, the regulations also include Lord Young rules on below-threshold contracts. For the procurement of certain services (including health and social care) above a specific threshold value (currently £625,050) there is a 'light touch regime' (LTR) which allows councils greater freedom to design an appropriate procurement procedure provided the general principles are followed. In specified circumstances contracts between public bodies are exempt. The rules allow the use of framework agreements, dynamic purchasing systems (a type of electronic database that new suppliers can join at any time and be invited to bid for contracts as they come up) and electronic auctions. The main objective of the EU rules is to ensure that above-threshold requirements are advertised in the Official Journal of the European Union (OJEU) so that suppliers from across the EU (and beyond) are aware of the opportunity and can tender for it (transparency principle). The remainder of the EU rules concern the procedures that can be used to award contracts and framework agreements with the objective that all suppliers should receive equal treatment and face no discrimination on nationality grounds. Time limits and the information which can be sought from suppliers (selection criteria and exclusion grounds) are regulated as are the criteria that can be used to award contracts. In addition there are rules on specifications. The main procedures in PCR 2015 are: • open procedure (a single stage procedure: any supplier can tender) • restricted procedure (a two-stage procedure: only suppliers selected by the council can tender) • competitive procedure with negotiation (for use in complex and innovative procurements and use must be justified: permits negotiation prior to final tenders) • competitive dialogue (for use in complex and innovative procurements and use must be justified: permits dialogue before final tenders and negotiation with preferred bidder) • innovation partnership (a way to both commission R&D and purchase the resulting services or products) • negotiated procedure without prior advertising (an exceptional procedure involving no OJEU notice: for use in tightly controlled circumstances including extreme urgency). Court of Justice cases have helped clarify many aspects of the procurement rules by applying the Treaty rules and principles. PCR 2015 'codifies' much of this case-law including rules on contracts between public bodies and rules on the modification of contracts during their term. However, the Court of Justice of the EU will continue to clarify the rules and in some cases it may create further new rules. For example, the law on the treatment of development agreements under the EU rules is complex and continues to evolve through decisions of the European and UK courts. ## Notes Local Government Association Local Government House Smith Square London SW1P 3HZ Telephone 020 7664 3000 Fax 020 7664 3030 Email info@local.gov .uk www.local.gov .uk © Local Government Association, November 2015 For a copy in Braille, larger print or audio, please contact us on 020 7664 3000. We consider requests on an individual basis.	en
0192-pdf	2013 UK Greenhouse Gas Emissions, Provisional Figures and 2012 UK Greenhouse Gas Emissions, Final Figures by Fuel Type and End-User ## Statistical Release © Crown copyright 2014 You may re-use this information (not including logos) free of charge in any format or medium, under the terms of the Open Government Licence. To view this licence, visit www.nationalarchives.gov.uk/doc/open-government-licence/ or write to the Information Policy Team, The National Archives, Kew, London TW9 4DU, or email: psi@nationalarchives.gsi.gov.uk. Any enquiries regarding this publication should be sent to us at: ClimateChange.Statistics@decc.gsi.gov.uk. The responsible statistician for this publication is Laura Bates. Contact telephone: 0300 068 2948. This document is also available from our website at: https://www.gov.uk/government/publications/final-uk-emissions-estimates ## Contents \| Executive summary \| 4 \| \|--------------------------------------------------------------------------\|-----\| \| \| \| \| Coverage of emissions reporting \| \| \| \| \| \| 2013 Provisional Emissions \| \| \| \| \| \| Energy supply \| 13 \| \| \| \| \| Transport \| 15 \| \| \| \| \| Residential \| 15 \| \| \| \| \| Business \| 15 \| \| \| \| \| Industrial Process \| 16 \| \| \| \| \| Public Sector \| \| \| \| \| \| Agriculture, waste management and land use, land use change and forestry \| \| \| \| \| \| Carbon dioxide emissions by fuel type \| \| \| \| \| \| 2012 Greenhouse Gas emissions by end-user \| 19 \| \| \| \| \| Transport \| 23 \| \| \| \| \| Business \| 24 \| \| \| \| \| Residential \| 26 \| \| \| \| \| Agriculture \| \| \| \| \| \| Waste management \| \| \| \| \| \| Industrial process \| \| \| \| \| \| Public sector \| 32 \| \| \| \| \| Land Use, Land Use Change and Forestry (LULUCF) \| 34 \| \| \| \| \| Exports \| \| \| \| \| \| Revisions to the estimates of end-user emissions \| 37 \| \| \| \| \| Embedded Emissions \| 37 \| \| \| \| \| Uncertainties around the 2012 estimates \| 39 \| \| \| \| \| UK performance against emissions reduction targets \| 41 \| \| \| \| \| Future updates to emissions estimates \| 42 \| \| \| \| \| Further information and feedback \| \| \| \| \| \| Notes for editors \| 43 \| \| \| \| \| \| \| \| \| \| ## Executive Summary  This publication provides the latest provisional estimates of 2013 UK greenhouse gas emissions by source, and final estimates of 2012 UK greenhouse gas emissions by fuel type and end-user.  In 2013, UK emissions of the basket of six greenhouse gases covered by the Kyoto Protocol were provisionally estimated to be 569.9 million tonnes carbon dioxide equivalent (MtCO2e). This was 1.9 per cent lower than the 2012 figure of 581.1 million tonnes.  The largest decrease between 2012 emissions and provisional 2013 emissions was a 7.5 per cent (14.5MtCO2e) decrease in the energy supply sector, due to a decrease in fossil fuel use for electricity generation.  In 2013, UK net emissions of carbon dioxide were provisionally estimated to be 464.3 million tonnes (Mt). This was 2.1 per cent lower than the 2012 figure of 474.1Mt. Carbon dioxide (CO2) is the main greenhouse gas, accounting for 82 per cent of total UK greenhouse gas emissions in 2012, the latest year for which final results are available.  The sectoral breakdowns for provisional emissions are based on the source of the emissions. Emissions related to electricity generation are therefore attributed to power stations, the source of these emissions, rather than homes and businesses where electricity is used. For 1990-2012 emissions, an end-user breakdown is presented which reallocates emissions to where the "end-use" occurred. The main impact is to reallocate emissions from the energy supply sector to other sectors, the business and residential sectors in particular. \| \| 2012 \| 2013(p) \| Change \| \|--------------------------------\|---------\|------------\|-----------\| \| Total greenhouse gas emissions \| 581.1 \| 569.9 \| -1.9% \| \| Carbon dioxide emissions \| 474.1 \| 464.3 \| -2.1% \| ## Note: 1. (p) 2013 estimates are provisional 2. Carbon dioxide emissions figures are for the UK and Crown Dependencies. Total greenhouse gas emissions figures are for UK emissions under the Kyoto Protocol, which include some Overseas Territories and a narrower definition for the Land Use, Land Use Change and Forestry (LULUCF) sector. 3. Emissions are reported as net emissions, to include removals from the atmosphere by carbon sinks. Note: (p) 2013 estimates are provisional. ## Introduction This publication provides provisional estimates of UK greenhouse gas emissions by source only for 2013, and final estimates of 2012 UK greenhouse gas emissions by end-user. It also includes uncertainty estimates for 2012 emissions by gas and sector. Emissions by end user and by fuel type, and uncertainty data, are published in updated data tables alongside the final estimates for 2012 UK greenhouse gas emissions by source. Also published in this dataset are uncertainties analysis for 2012 emissions by gas and sector. Note that this publication does not discuss 2012 emissions by fuel type, but these are included in the updated data tables. The estimates of 2012 UK greenhouse gas emissions by fuel type and end-user are based on, and consistent with, final estimates of 2012 UK greenhouse gas emissions by source which were published on 4th February 2014. For the purposes of reporting, greenhouse gas emissions are allocated into sectors as follows:  Energy supply o Emissions from fuel combustion for electricity and other energy production sources.  Business o Emissions from combustion in industrial/commercial sectors, industrial off-road machinery and refrigeration and air conditioning.  Transport o Emissions from aviation, road transport, railways, shipping, fishing and aircraft support vehicles.  Public o Emissions from combustion of fuel in public sector buildings.  Residential o Emissions from fuel combustion for heating/cooking, garden machinery and fluorinated gases released from aerosols/metered dose inhalers.  Agriculture o Emissions from livestock, agricultural soils, stationary combustion sources and offroad machinery.  Industrial processes o Emissions from industry except for those associated with fuel combustion (for example, emissions from cement manufacture).  Land use land use change and forestry (LULUCF) o Emissions from forestland, cropland, grassland, settlements and harvested wood products.  Waste management. o Emissions from waste disposed of to landfill sites, waste incineration, and the treatment of waste water. When emissions are reported by source, emissions are attributed to the sector that emits them directly. The end-user breakdown reallocates emissions by source in to where the "end-use" occurred. The main impact is to reallocate emissions from the energy supply sector to other sectors, the business and residential sectors in particular These high-level sectors are made up of a number of more detailed sectors, which follow the definitions set out by the Intergovernmental Panel on Climate Change (IPCC), and which are used in international reporting tables which are submitted to the United Nations Framework Convention on Climate Change (UNFCCC) every year. Provisional emissions are calculated based on the latest energy statistics to give an early indication of emissions estimates for 2013. Final emissions estimates for 2013 based on data from the UK's National Atmospheric Emissions Inventory and the Digest of UK Energy Statistics for 2013 will be published in February 2015. No temperature or seasonal adjustments are applied to data in this publication. Note that all 2013 greenhouse gas emissions and energy statistics figures in this statistics release are provisional and subject to change. ## Coverage Of Emissions Reporting The basket of greenhouse gases covered by the Kyoto Protocol consists of six gases: carbon dioxide, methane, nitrous oxide, hydrofluorocarbons, perfluorocarbons and sulphur hexafluoride. The last three gases are collectively referred to as fluorinated gases or F-gases. In accordance with international reporting and carbon trading protocols, each of these gases is weighted by its global warming potential (GWP), so that total greenhouse gas emissions can be reported on a consistent basis. The GWP for each gas is defined as its warming influence relative to that of carbon dioxide. Greenhouse gas emissions are then presented in carbon dioxide equivalent units. Carbon dioxide (CO2) is reported in terms of net emissions, which means total emissions from burning fuel minus total removals of carbon dioxide from the atmosphere by carbon sinks. Carbon sinks are incorporated within the Land Use, Land Use Change and Forestry (LULUCF) sector, which covers afforestation, reforestation, deforestation and forest management. They are defined by the United Nations Framework Convention on Climate Change (UNFCCC) as "any process, activity or mechanism which removes a greenhouse gas, an aerosol or a precursor of a greenhouse gas from the atmosphere". Unless otherwise stated, any figures included in this release represent emissions from within the UK and its Crown Dependencies (Jersey, Guernsey, and the Isle of Man) and are expressed in millions of tonnes of carbon dioxide equivalent (MtCO2e). Reporting of greenhouse gas emissions under the Kyoto Protocol is based on emissions in the UK, its Crown Dependencies, and those Overseas Territories (Bermuda, Cayman Islands, Falkland Islands, Gibraltar and Montserrat) that are party to the UK ratification of the Kyoto Protocol. This now includes emissions from all direct flights and shipping between the UK and these Territories. The Kyoto Protocol also uses a narrower definition of carbon sinks than that applied for domestic UK carbon dioxide reporting, which therefore results in a slightly different total. These adjustments mean that the greenhouse gas basket reported for Kyoto differs slightly from the sum of the individual gases as shown. ## 2013 Provisional Emissions Provisional estimates of carbon dioxide emissions are produced based on provisional inland energy consumption statistics which are being published at the same time in DECC's quarterly Energy Trends publication. Details of the provisional energy consumption statistics which have been used to estimate emissions can be found in Energy Trends. Carbon dioxide accounts for the majority of UK greenhouse gas emissions (82 per cent in 2013). However, in order to give an indication of what the latest provisional carbon dioxide emissions estimates imply for the basket total, an estimate of emissions is produced of the remaining gases in the basket. This estimate is based on a simple approach which assumes that the trend for these gases will be half-way between no change on 2012 and a repeat of the trend indicated by the last 12 years' data (2000-2012). Finally, in order to establish an estimate of total emissions which is consistent with the Kyoto Protocol definition for the basket as a whole, a further adjustment is made in respect of emissions from Overseas Territories and the narrower definition of carbon sinks used by the Protocol. These provisional emissions estimates will be subject to revision when the final estimates are published in February 2015; however, they provide an early indication of emissions in the most recent full calendar year. The majority of provisional estimates in the past have been within 2 per cent of the final figures. To ensure consistency with other National Statistics publications on UK greenhouse gas emissions, the sectoral breakdowns in this statistical release are based on the UK's National Communication sectors, by which we report our greenhouse gas emissions to the UNFCCC. In 2013, an estimated 38 per cent of carbon dioxide emissions were from the energy supply sector, 25 per cent from transport, 17 per cent from the residential sector and 16 per cent from business. Between 2012 and 2013, provisional estimates indicate that carbon dioxide emissions decreased by 7.5 per cent (14.5Mt) in the energy supply sector driven by a decrease in fossil fuel use for electricity generation. Emissions increased by 2.9 per cent (2.1Mt) in the business sector and 2.6 per cent (2.0Mt) in the residential sector. Emissions from the transport sector were much the same as in 2012. Since 1990, UK carbon dioxide emissions have decreased by around 21 per cent. This fall in emissions has coincided with a decrease in overall energy consumption over the period, of around 4 per cent. If this figure is adjusted to allow for the effect of temperature, energy consumption has fallen by around 9 per cent between 1990 and 2013. A number of factors explain this effect, such as changes in the efficiency in electricity generation and switching from coal to less carbon intensive fuels such as gas. \| \| 1990 \| 1995 \| 2000 \| 2005 \| 2010 \| 2012 \| 2013(p) \| \|---------------\|---------\|---------\|---------\|---------\|---------\|---------\|------------\| \| Energy Supply \| 241.5 \| 210 \| 203.1 \| 217.3 \| 195.5 \| 192.9 \| 178.5 \| \| Transport \| 119.6 \| 119.9 \| 124.9 \| 129.2 \| 119.1 \| 116.9 \| 116.7 \| \| Business \| 113.7 \| 107.3 \| 108.2 \| 97.6 \| 77.2 \| 73.3 \| 75.4 \| \| Residential \| 79 \| 80.8 \| 87.1 \| 84.3 \| 86.6 \| 74.9 \| 76.9 \| \| Other \| 37.3 \| 34.8 \| 28.9 \| 24.5 \| 16.8 \| 16 \| 16.8 \| \| Total \| 591.1 \| 552.9 \| 552.2 \| 552.8 \| 495.2 \| 474.1 \| 464.3 \| Note: (p) 2013 estimates are provisional. Note: (p) 2013 estimates are provisional. Greenhouse gas emissions: weighted by global warming potential (million tonnes carbon dioxide equivalent) 1990 1995 2000 2005 2006 2007 2008 2009 2010 2011 2012 2013 (p) Energy supply 241.5 210.0 203.1 217.3 224.4 219.2 212.7 189.7 195.5 182.0 192.9 178.5 from power stations 203.5 163.4 158.5 172.8 182.0 177.8 172.8 151.1 156.6 144.1 158.1 145.1 other Energy supply 38.0 46.6 44.6 44.5 42.4 41.4 39.9 38.6 38.9 37.8 34.8 33.4 Business 113.7 107.3 108.2 97.6 94.6 92.9 88.4 77.1 77.2 72.7 73.3 75.4 Transport 119.6 119.9 124.9 129.2 129.7 132.7 125.5 120.7 119.1 117.4 116.9 116.7 Net CO2 emissions Public 13.1 12.7 11.5 11.0 10.0 9.3 9.9 9.7 10.5 9.7 10.1 10.4 (emissions minus Residential 79.0 80.8 87.1 84.3 81.7 78.1 79.9 74.8 86.6 66.5 74.9 76.9 removals) Agriculture 5.2 5.3 4.8 4.6 4.3 4.1 4.1 4.0 4.1 4.2 4.1 4.1 Industrial process 16.7 15.3 15.2 15.0 14.3 15.6 14.1 9.3 9.9 9.5 9.3 9.8 Waste Management 1.3 0.9 0.5 0.4 0.3 0.3 0.3 0.3 0.3 0.3 0.3 0.3 LULUCF 1.0 0.6 -3.0 -6.5 -7.0 -7.4 -7.6 -7.7 -8.0 -8.2 -7.7 -7.7 Total CO2 591.1 552.9 552.2 552.8 552.3 544.9 527.3 477.9 495.2 454.0 474.1 464.3 Other greenhouse gases 187.8 173.7 137.6 117.7 114.9 112.3 110.5 106.4 104.6 102.7 101.3 99.9 Kyoto greenhouse gas basket 777.6 725.2 692.2 676.3 673.2 663.7 644.2 590.7 606.2 563.2 581.1 569.9 Note: 1. (p) 2013 estimates are provisional. 2. Provisional 2013 CO2 emissions for the agriculture, waste and LULUCF sectors have not been estimated; 2012 estimates have been used for this component of the provisional estimates of total UK emissions. 3. Kyoto basket total differs slightly from sum of individual pollutants above as the basket uses a narrower definition for LULUCF, and includes emissions from UK Overseas Territories, as well as emissions from direct flights between the UK and these Territories. 4. The entire time series is revised each year to take account of methodological improvements in the UK emissions inventory. 5. Emissions are presented as carbon dioxide equivalent in line with international reporting and carbon trading. To convert carbon dioxide into carbon equivalents, divide figures by 44/12. 6. Figures shown do not include any adjustment for the effect of the EU Emissions Trading System (EUETS), which was introduced in 2005. 7. Totals for CO2 emissions and Energy Supply may not sum due to rounding. ## Energy Supply The energy supply sector was the largest contributor to the decrease in carbon dioxide emissions between 2012 and 2013. Emissions from this sector were provisionally estimated to be 178.5Mt in 2013, a decrease of around 7.5 per cent compared to 2012. The decrease in emissions from this sector since 2012 can largely be attributed to an 8 per cent decrease in emissions from electricity generation. There was a change in the fuel mix used at power stations for electricity generation, with a 9 per cent decrease in coal use for generation and a 7 per cent decrease in gas use. In 2013, carbon dioxide emissions from power stations, at 145.1Mt, accounted for just under a third of all carbon dioxide emissions. Carbon dioxide emissions from the energy supply sector were estimated to be around 26 per cent lower in 2013 than they were in 1990. Between 1990 and 2013, final consumption of electricity is provisionally estimated to have increased by around 11 per cent; domestic electricity consumption in particular was around 21 per cent higher in 2013 than in 1990. However, emissions from electricity generation have decreased by 29 per cent over the same period. The decrease in emissions from power stations since 1990 has resulted from a combination of changes in the fuel mix over the period together with greater efficiency due to improvements in technology. It is difficult to assess the relative impacts of the two, but it is likely that the majority of the saving since 1990 will have been due to fuel switching from coal to gas for electricity generation. Note: (p) 2013 estimates are provisional. ## Transport In 2013, carbon dioxide emissions from the transport sector, at 117Mt, accounted for about a quarter of all carbon dioxide emissions. Between 2012 and 2013, transport emissions decreased by 0.2 per cent (0.2Mt). Emissions from this sector are similar to 1990 levels (down 2 per cent, or 3Mt). There was a general increase in these emissions throughout the period up to 2007, but they have been decreasing since then. It should be noted that these estimates do not include emissions from international aviation and shipping; domestic aviation and shipping, however, are included. ## Residential In 2013, the residential sector, with emissions of 77Mt, accounted for around 17 per cent of all carbon dioxide emissions. Between 2012 and 2013 there was a 3 per cent increase in emissions from this sector. The average temperature for 2013 was very similar to the average temperature for 2012, but the first quarter of 2013 was on average 2.7 degrees Celsius cooler than the first quarter of 2012 which has contributed to an increase in the use of natural gas for space heating. In 2013, emissions from this sector were estimated around 3 per cent lower than in 1990. It should be noted that emissions from this sector do not include emissions from power stations related to domestic electricity consumption, as these emissions are included in the energy supply sector. ## Business Carbon dioxide emissions from the business sector, at 75Mt, accounted for around 16 per cent of all carbon dioxide emissions in 2013. This was 3 per cent higher than in 2012, which is largely due to increased use of manufactured fuels in the iron and steel industry caused by the re-opening of Teesside Steelworks in April 2012 since when it has gradually increased operations, and the opening of a furnace at Port Talbot in February 2013. There has been a 34 per cent decrease in business sector emissions since 1990. ## Industrial Process In 2013, carbon dioxide emissions from the industrial process sector were estimated to be 10Mt, an increase of around 6 per cent compared with 2012. Between 1990 and 2013, emissions from this sector are estimated to have decreased by around 41 per cent. ## Public Sector Carbon dioxide emissions from the public sector, at 10Mt, were estimated to have increased by about 2 per cent from 2012 emissions. Between 1990 and 2013, emissions from this sector are estimated to have decreased by around 21 per cent. ## Agriculture, Waste Management And Land Use, Land Use Change And Forestry Updated emissions estimates for these sectors are not yet available for 2013, so for these provisional estimates of 2013 carbon dioxide emissions, emissions from these sectors are assumed to be the same as in 2012. On this basis, 2013 carbon dioxide emissions from the agriculture sector are estimated to be 4Mt, 1Mt lower than in 1990. Carbon dioxide emissions from waste management were estimated to be 0.3Mt in 2013, and net land use, land use change and forestry emissions are estimated to be -8Mt in 2013 as the sector is currently a net carbon sink, with removals of carbon dioxide from the atmosphere being greater than emissions. ## Carbon Dioxide Emissions By Fuel Type The amount of carbon dioxide released by the consumption of one unit of energy depends on the type of fuel consumed. For example, since coal has a higher carbon content than gas, more carbon dioxide emissions result from burning one unit of coal than from one unit of gas. Emissions per unit of electricity supplied by major power producers from fossil fuels are estimated to have been 640 tonnes of carbon dioxide per GWh in 2013 overall; within this, emissions from electricity generated from coal (870 tonnes of carbon dioxide per GWh electricity supplied) were over two times higher than for electricity supplied by gas (330 tonnes of carbon dioxide per GWh). For all sources of electricity (including nuclear, renewables and autogeneration), the average amount of carbon dioxide emitted in 2013 amounted to 410 tonnes per GWh of electricity supplied. In 2013, carbon dioxide emissions from the use of fossil fuels, including fuel used for generating electricity, were estimated at 457Mt. This was 2 per cent lower than the 2012 figure of 467Mt. The biggest change in emissions was from the use of coal, down 10Mt (8 per cent) from 131Mt in 2012 to 121Mt in 2013. This largely resulted from decreased use of coal for electricity generation at power stations. Over the period 1990 to 2013, carbon dioxide emissions from fossil fuels decreased by 20 per cent. Over the same period, overall primary consumption of fossil fuels has dropped by nearly 10 per cent. The relatively higher decrease in emissions can be attributed to an increase in the use of gas accompanied by a decrease in the use of coal and other solid fuels; gas consumption as a proportion of all fossil fuels has increased from 26 per cent in 1990 to 41 per cent in 2013, whilst the proportion used of coal and other solid fuels has decreased from 34 per cent to 22 per cent over the same period. Oil use, as a proportion of all fossil fuels, has remained relatively stable over the period; this accounted for almost 40 per cent of all fossil fuels used in 1990 and 37 per cent in 2013. 1990 1995 2000 2005 2010 2011 2012 2013 (p) Gas 146.0 188.2 241.8 235.2 228.4 193.5 183.8 184.5 Oil 191.1 178.6 166.1 170.0 150.5 144.0 143.1 141.7 Coal 217.7 151.4 116.7 124.7 100.7 101.3 130.9 120.5 Other solid fuels 15.4 12.5 11.9 10.2 8.3 8.0 8.9 10.2 Non-fuel 20.8 22.2 15.7 12.7 7.3 7.2 7.3 7.3 Total 591.1 552.9 552.2 552.8 495.2 454.0 474.1 464.3 Note: (p) 2013 estimates are provisional. Note: (p) 2013 estimates are provisional. ## 2012 Greenhouse Gas Emissions By End-User These results are based on, and consistent with, the breakdown by gas and national communication sector of 2012 emissions by source which was published on 4th February 2014. Total 2012 greenhouse gas emissions for the UK and Crown Dependencies were 575.4Mt CO2e. The end-user breakdown reallocates emissions by source to where the "end-use" occurred. The main impact is to reallocate emissions from the energy supply sector to flows of energy i.e. to other sectors, the business and residential sectors in particular. Amongst other things, this therefore reallocates emissions occurring at power stations in generating electricity to where the electricity is actually consumed. It should be noted that the results shown by this breakdown are based on a number of assumptions, and we would therefore expect them to be subject to a wider margin of error than the breakdown of emissions by source. Greenhouse gas emissions are reported here in two ways: by gas, and by the end-user sector of the emissions. Looking at the breakdown by end-user sector, in 2012 31 per cent of greenhouse gas emissions were from the business sector, 23 per cent from transport, 25 per cent from the residential sector and 10 per cent from agriculture. The remainder were attributable to waste management, industrial processes, the public sector, exports and LULUCF emissions. Fluorinated Carbon dioxide Methane Nitrous oxide gases Total Transport 131.8 0.6 1.2 0.0 133.6 Business 161.3 2.9 1.6 12.4 178.2 Residential 139.2 3.5 0.6 2.0 145.3 Agriculture 6.6 22.3 30.3 0.0 59.1 Waste Management 0.3 20.1 1.2 0.0 21.6 Industrial Process 9.9 0.2 0.1 0.3 10.6 Public 19.4 0.5 0.1 0.0 19.9 LULUCF -7.7 0.1 0.7 0.0 -7.0 Exports 13.4 0.5 0.2 0.0 14.0 Total 474.1 50.6 36.0 14.7 575.4 emissions, excluding LULUCF (MtCO2e) Fluorinated Carbon dioxide Methane Nitrous oxide gases Total Transport 22.9% 0.1% 0.2% 0.0% 23.2% Business 28.0% 0.5% 0.3% 2.2% 31.0% Residential 24.2% 0.6% 0.1% 0.3% 25.3% Agriculture 1.1% 3.9% 5.3% 0.0% 10.3% Waste Management 0.0% 3.5% 0.2% 0.0% 3.8% Industrial Process 1.7% 0.0% 0.0% 0.1% 1.8% Public 3.4% 0.1% 0.0% 0.0% 3.5% Exports 2.3% 0.1% 0.0% 0.0% 2.4% Total 82.4% 8.8% 6.3% 2.6% 100.0% Note: This Table does not include emissions from the LULUCF sector, since in 2012 this sector acted as a net sink, and emissions were therefore effectively negative. Sector values may sum to more than gas totals due to exclusion of LULUCF emissions. A summary of the changes in the end-user breakdown for each gas between 2011 and 2012 can be found in Table 17 towards the end of this statistical release. This also shows a comparable summary of the breakdown of emissions by source, which was published in February 2014. The data tables for full end-user breakdown by National Communications category, from 1990 to 2012, can be found on the Final Greenhouse Gas Emissions Statistics page of the Gov.uk website. These tables were originally published on 4th February 2014 showing emissions by source only, but were updated with the end-user and fuel type breakdowns on 27th March 2014. \| 1990 \| 1995 \| 2000 \| 2005 \| 2010 \| 2011 \| 2012 \| \|--------------------\|---------\|---------\|---------\|---------\|---------\|---------\| \| \| \| \| \| \| \| \| \| Transport \| 139.4 \| 143.1 \| 146.6 \| 149.6 \| 136.9 \| 134.9 \| \| Business \| 248.5 \| 215.5 \| 215.4 \| 210.5 \| 181.4 \| 171.6 \| \| Residential \| 169.7 \| 156.5 \| 158.5 \| 163.3 \| 157 \| 129.8 \| \| Agriculture \| 74.9 \| 73.2 \| 69.5 \| 64.7 \| 60.1 \| 59.7 \| \| Waste Management \| 47.3 \| 47.9 \| 38.8 \| 29.8 \| 23.2 \| 22.7 \| \| Industrial Process \| 57.3 \| 47.3 \| 26.6 \| 19.7 \| 12.6 \| 11 \| \| Public \| 30.9 \| 28.2 \| 23.6 \| 22.2 \| 20.1 \| 18.7 \| \| LULUCF \| 1.9 \| 1.5 \| -2.1 \| -5.7 \| -7.3 \| -7.5 \| \| Exports \| 9.1 \| 13.3 \| 13 \| 16.4 \| 15.9 \| 15.7 \| \| Total \| 778.9 \| 726.6 \| 689.8 \| 670.5 \| 599.8 \| 556.7 \| Note: All figures are for the UK and Crown Dependencies only, and exclude Overseas Territories. Details of changes over time for each sector are set out in the following sections of this statistical release. In each case, information about the trend between 1990 and 2011 provides some context, alongside details of the changes since 2011 now seen in the 2012 estimates. ## Transport The transport sector was responsible for around 23 per cent of UK greenhouse gas end-user emissions in 2012, almost entirely through carbon dioxide emissions. Emissions of carbon dioxide are closely related to the amount of fuel used, whilst nitrous oxide and methane emissions are influenced more by the vehicle type and age. Between 2011 and 2012 there was very little change in end-user emissions from the transport sector. In both years, transport end-user emissions were around 16Mt higher than by source emissions. Between 1990 and 2011, there was relatively little overall change in the level of greenhouse gas end-user emissions from the transport sector (emissions were around 3 per cent lower in 2011 than in 1990), although emissions actually increased slightly up to 2007 and then fell again from 2008 onwards. This is similar to the trend seen for by source emissions from the transport sector. Road transport is the most significant source of emissions in this sector, in particular passenger cars, and the changes which have been seen over the period were heavily influenced by this category. Although there has been an increase in both the number of passenger vehicles and the vehicle kilometres travelled, emissions from passenger cars have decreased due to lower petrol consumption outweighing an increase in diesel consumption. However, this decrease has been partially offset by an increase in emissions from light duty vehicles. 1990 1995 2000 2005 2010 2011 2012 Carbon dioxide 136.2 139.6 143.8 147.5 135.3 133.1 131.8 Methane 1.7 1.5 1.0 0.7 0.5 0.6 0.6 Nitrous oxide 1.5 2.0 1.8 1.5 1.1 1.2 1.2 F-gases 0.0 0.0 0.0 0.0 0.0 0.0 0.0 Total 139.4 143.1 146.6 149.6 136.9 134.9 133.6 Note: All figures are for the UK and Crown Dependencies only, and exclude Overseas Territories. ## Business The business sector was responsible for 31 per cent of UK greenhouse gas end-user emissions in 2012, with carbon dioxide being the most prominent gas. Emissions from this sector primarily relate to fossil fuel combustion in industry and commerce, although emissions of F-gases from the use of fluorinated compounds in certain applications, particularly refrigeration and airconditioning, are significant. The business sector is responsible for the majority of emissions from F-gases. Between 2011 and 2012 there was an increase in business sector end-user emissions of around 6.6MtCO2e (3.8 per cent). This was mostly due to an increase in emissions from electricity use. Between 1990 and 2011, there was a general downward trend in greenhouse gas end-user emissions from the business sector, resulting in an overall decrease of around 31 per cent. This has been largely due to a reduction in emissions from industrial combustion (including iron and steel) meaning emissions of carbon dioxide have reduced over the period by 33 per cent. However, emissions from F-gases have increased significantly, mainly due to an increase in emissions from refrigeration and air-conditioning as between 1993 and 2002, hydrofluorocarbons (HFCs) were used to replace other, ozone depleting (not shown in emissions data below), substances which were previously used as refrigerants. This increasing trend has since slowed, as tighter controls on emissions leakages have been introduced. The overall downward trend for end-user emissions is similar to the trend for by source emissions, though end-user emissions are much higher due to the inclusion of emissions from electricity generation. \| 1990 \| 1995 \| 2000 \| 2005 \| 2010 \| 2011 \| 2012 \| \|----------------\|---------\|---------\|---------\|---------\|---------\|---------\| \| \| \| \| \| \| \| \| \| Carbon dioxide \| 232.1 \| 201.7 \| 201.8 \| 195.1 \| 164.8 \| 154.9 \| \| Methane \| 13.2 \| 9.9 \| 6.3 \| 4.1 \| 3.1 \| 3.1 \| \| Nitrous oxide \| 2.5 \| 2.1 \| 1.9 \| 2 \| 1.5 \| 1.4 \| \| F-gases \| 0.6 \| 1.8 \| 5.4 \| 9.4 \| 12 \| 12.2 \| \| Total \| 248.5 \| 215.5 \| 215.4 \| 210.5 \| 181.4 \| 171.6 \| Note: All figures are for the UK and Crown Dependencies only, and exclude Overseas Territories. ## Residential The residential sector was responsible for around 25 per cent of UK greenhouse gas end-user emissions in 2012, with carbon dioxide being the most prominent gas for this sector. It should be noted that, unlike emissions by source, which only cover activities related to residential fossil fuel use, emissions reported by end-user also include residential electricity use which have been re-allocated from the energy supply sector. Between 2011 and 2012 there was an increase of around 11.9 per cent (15.5MtCO2e) in enduser emissions from this sector, due to an increase in emissions from gas and electricity consumption. The increase in gas consumption was due to increased use of gas for space heating (as 2012 was a colder year on average than 2011), and was also seen in the by source emissions. However, the emissions from electricity use were included in the energy supply sector for the by source emissions. Between 1990 and 2011, there was considerable variation in greenhouse gas end-user emissions from year to year in the residential sector. Both the end-user and by source emissions from this sector are heavily influenced by external temperatures. End-user emissions have seen a bigger overall decrease since 1990 than by source emissions, due to a decrease in emissions from electricity consumption which are included in the residential end-user emissions but are in the energy supply sector for the by source emissions. 1990 1995 2000 2005 2010 2011 2012 Carbon dioxide 156.5 146.5 150.5 156.5 151.0 124.2 139.2 Methane 12.2 8.9 5.5 4.0 3.6 3.1 3.5 Nitrous oxide 1.0 0.7 0.6 0.6 0.6 0.5 0.6 F-gases 0.0 0.4 1.8 2.2 1.9 1.9 2.0 Total 169.7 156.5 158.5 163.3 157.0 129.8 145.3 Note: All figures are for the UK and Crown Dependencies only, and exclude Overseas Territories. ## Agriculture The agriculture sector was responsible for 10 per cent of UK greenhouse gas end-user emissions in 2012. Emissions of nitrous oxide (51 per cent) and methane (38 per cent) dominate this sector. End-user and by source emissions are very similar for this sector, with the most significant sources being emissions of methane due to enteric fermentation from livestock, particularly cattle, and nitrous oxide emissions related to the use of fertilisers on agricultural soils. Between 2011 and 2012 there was very little change in end-user emissions from the agriculture sector. Between 1990 and 2011, greenhouse gas end-user emissions from agriculture decreased by around 20 per cent, due to a general downward trend since the late 1990s. This reduction was driven by a fall in animal numbers over the period, together with a decrease in synthetic fertiliser use. The same trend is seen for by source emissions from this sector. 1990 1995 2000 2005 2010 2011 2012 Carbon dioxide 8.7 8.3 7.3 7.2 6.6 6.5 6.6 Methane 28.4 27.6 26.3 23.9 22.5 22.3 22.3 Nitrous oxide 37.8 37.3 35.9 33.5 31.0 30.8 30.3 F-gases 0.0 0.0 0.0 0.0 0.0 0.0 0.0 Total 74.9 73.2 69.5 64.7 60.1 59.7 59.1 Note: All figures are for the UK and Crown Dependencies only, and exclude Overseas Territories. ## Waste Management For the waste management sector, emissions measured by end-user are the same as those measured by source, since no emissions from the energy supply sector are reallocated to waste management. The waste management sector was responsible for around 4 per cent of UK greenhouse gas emissions in 2012, with methane being by far the most prominent gas (93 per cent). The vast majority of these emissions are from landfill sites. Between 2011 and 2012, emissions from waste management fell by just under 5 per cent (1.1MtCO2e), reflecting a continuation of the trend seen in recent years of a decrease in emissions from landfill waste. Between 1990 and 2011, greenhouse gas emissions from the waste management sector decreased by 52 per cent. This was due to a combination of factors, including improvements in the standards of landfilling, changes to the types of waste going to landfill (such as reducing the amount of biodegradable waste), and an increase in the amount of landfill gas being used for energy. Emissions of methane alone have reduced by 53 per cent over the period. \| 1990 \| 1995 \| 2000 \| 2005 \| 2010 \| 2011 \| 2012 \| \|----------------\|---------\|---------\|---------\|---------\|---------\|---------\| \| \| \| \| \| \| \| \| \| Carbon dioxide \| 1.3 \| 0.9 \| 0.5 \| 0.4 \| 0.3 \| 0.3 \| \| Methane \| 44.8 \| 45.8 \| 36.9 \| 28.2 \| 21.7 \| 21.2 \| \| Nitrous oxide \| 1.2 \| 1.2 \| 1.3 \| 1.2 \| 1.2 \| 1.2 \| \| F-gases \| 0 \| 0 \| 0 \| 0 \| 0 \| 0 \| \| Total \| 47.3 \| 47.9 \| 38.8 \| 29.8 \| 23.2 \| 22.7 \| Note: All figures are for the UK and Crown Dependencies only, and exclude Overseas Territories. ## Industrial Process The industrial process sector was responsible for 2 per cent of UK greenhouse gas end-user emissions in 2012, with carbon dioxide being the most prominent gas. The main source of emissions is cement production, with other processes such as sinter and lime production also worth mentioning. Between 2011 and 2012, end-user emissions from the industrial process sector fell by around 4 per cent (0.5MtCO2e). Between 1990 and 2011, there was a large reduction in greenhouse gas end-user emissions from the industrial process sector, with an overall decrease of around 81 per cent. This was most notably due to a large reduction in emissions from adipic acid production and halocarbon production between 1998 and 1999 (combined emissions of which are now almost zero), although there has been a general downward trend in emissions over the period. The end-user emissions are only slightly higher than by source emissions, and follow a very similar trend between 1990 and 2011. \| 1990 \| 1995 \| 2000 \| 2005 \| 2010 \| 2011 \| 2012 \| \|----------------\|---------\|---------\|---------\|---------\|---------\|---------\| \| \| \| \| \| \| \| \| \| Carbon dioxide \| 17.8 \| 16.3 \| 16.2 \| 15.4 \| 10.5 \| 10 \| \| Methane \| 1.6 \| 1.3 \| 0.9 \| 0.4 \| 0.3 \| 0.3 \| \| Nitrous oxide \| 24.7 \| 14.9 \| 5.6 \| 3 \| 1.4 \| 0.2 \| \| F-gases \| 13.1 \| 14.7 \| 3.9 \| 0.9 \| 0.5 \| 0.5 \| \| Total \| 57.3 \| 47.3 \| 26.6 \| 19.7 \| 12.6 \| 11 \| Note: All figures are for the UK and Crown Dependencies only, and exclude Overseas Territories. ## Public Sector The public sector was responsible for 3 per cent of UK greenhouse gas end-user emissions in 2012, with carbon dioxide making up almost all of these emissions. Between 2011 and 2012 end-user emissions from the public sector increased by 6.5 per cent (1.2MtCO2e). This is a bigger increase than was seen for by source emissions, due to increased emissions from electricity consumption. Between 1990 and 2011, there was a general downward trend in greenhouse gas end-user emissions from the public sector, with an overall decrease of around 39 per cent. This has been largely driven by a reduction in the use of oil and coal in this sector. Public sector end-user emissions are roughly double by source emissions from the sector. \| 1990 \| 1995 \| 2000 \| 2005 \| 2010 \| 2011 \| 2012 \| \|----------------\|---------\|---------\|---------\|---------\|---------\|---------\| \| \| \| \| \| \| \| \| \| Carbon dioxide \| 28.9 \| 26.7 \| 22.7 \| 21.6 \| 19.5 \| 18.2 \| \| Methane \| 1.8 \| 1.4 \| 0.8 \| 0.5 \| 0.4 \| 0.4 \| \| Nitrous oxide \| 0.2 \| 0.1 \| 0.1 \| 0.1 \| 0.1 \| 0.1 \| \| F-gases \| 0 \| 0 \| 0 \| 0 \| 0 \| 0 \| \| Total \| 30.9 \| 28.2 \| 23.6 \| 22.2 \| 20.1 \| 18.7 \| Note: All figures are for the UK and Crown Dependencies only, and exclude Overseas Territories. ## Land Use, Land Use Change And Forestry (Lulucf) For the LULUCF sector, emissions measured by end-user are the same as those measured by source, since no emissions from the energy supply sector are reallocated to LULUCF. The LULUCF sector acted as a net sink of UK greenhouse gas emissions in 2012, dominated by carbon dioxide. In general, land being converted to cropland is the dominant source of carbon dioxide emissions, and forest land which remains as forest land is the dominant sink. Between 2011 and 2012, net emissions from the LULUCF sector increased slightly, by around 0.5MtCO2e, largely due to increases in emissions from biomass burning. Between 1990 and 2011, the UK went from being a net source of LULUCF emissions to a net sink. This was largely due to changes in land use over the period. The downward trend in net emissions over the period has largely been driven by land converted to cropland and forest land, with an increasing uptake of carbon dioxide by trees as they reach maturity, in line with the historical planting pattern. There has also been some reduction in emissions since 1990 due to less intensive agricultural practices. \| 1990 \| 1995 \| 2000 \| 2005 \| 2010 \| 2011 \| 2012 \| \|----------------\|---------\|---------\|---------\|---------\|---------\|---------\| \| \| \| \| \| \| \| \| \| Carbon dioxide \| 1 \| 0.6 \| -3 \| -6.5 \| -8 \| -8.2 \| \| Methane \| 0 \| 0 \| 0 \| 0 \| 0 \| 0 \| \| Nitrous oxide \| 0.8 \| 0.9 \| 0.9 \| 0.8 \| 0.7 \| 0.7 \| \| F-gases \| 0 \| 0 \| 0 \| 0 \| 0 \| 0 \| \| Total \| 1.9 \| 1.5 \| -2.1 \| -5.7 \| -7.3 \| -7.5 \| Note: All figures are for the UK and Crown Dependencies only, and exclude Overseas Territories. ## Exports The exports sector represents emissions associated with the production of fuels within the UK (for example, from a refinery or a coal mine) which are subsequently exported or sent to bunkers for use outside the UK. Since these fuels are ultimately used for activities which occur outside the UK, it would not be appropriate to allocate the emissions from their production to any of the National Communication sectors, so they are reported under a separate, additional sector. The exports sector was responsible for around 2 per cent of UK greenhouse gas emissions in 2012, with carbon dioxide representing almost the entirety of these emissions. Between 2011 and 2012 emissions from the exports sector decreased by 1.7Mt (11 per cent). Between 1990 and 2011, there was a general upward trend in greenhouse gas emissions from exports, with an overall increase of around 72 per cent. This has largely been driven by changes in throughput at refineries, which have fed through to increased exports rather than increased deliveries to the domestic market. \| \| 1990 \| 1995 \| 2000 \| 2005 \| 2010 \| 2011 \| 2012 \| \|----------------\|---------\|---------\|---------\|---------\|---------\|---------\|---------\| \| Carbon dioxide \| 8.5 \| 12.5 \| 12.3 \| 15.8 \| 15.3 \| 15 \| 13.4 \| \| Methane \| 0.6 \| 0.7 \| 0.5 \| 0.4 \| 0.5 \| 0.6 \| 0.5 \| \| Nitrous oxide \| 0.1 \| 0.1 \| 0.2 \| 0.2 \| 0.2 \| 0.2 \| 0.2 \| \| F-gases \| 0 \| 0 \| 0 \| 0 \| 0 \| 0 \| 0 \| \| Total \| 9.1 \| 13.3 \| 13 \| 16.4 \| 15.9 \| 15.7 \| 14 \| ## Revisions To The Estimates Of End-User Emissions It should be noted that the historical time series of emissions by end-user is revised each year to reflect any revisions made to either the estimates of emissions by source or the other energy consumption data used in the end-user emissions calculation. In this publication, this has resulted in revisions to some end-user emissions figures for all years up to and including 2011. Further details of these revisions can be found in the National Statistics release of 4th February 2014, which covered 2012 UK greenhouse gas emissions by source. ## Embedded Emissions End-user emissions do not take account of the emissions "embedded" within the manufactured goods and services which the UK imports and exports. Embedded emissions capture what is sometimes referred to as the UK's "carbon footprint". This calculation of emissions on a "consumption" basis, reporting on emissions embedded in goods and services across international borders, is considerably more challenging. Department of Environment, Food and Rural Affairs (Defra) provide the lead in this area. They publish annual statistics on the UK's Carbon Footprint that investigates the impact the UK consumption has on carbon dioxide emissions. These are published in December of each year and are reported 23 months in arrears. source and end-user, National Communication categories \| \| \| \|-------------------------------\|-------------\| \| Source \| End User \| \| Greenhouse Gas \| NC Category \| \| Energy supply \| 190.8 \| \| Transport \| 118.5 \| \| Business \| 85.9 \| \| Residential \| 69.0 \| \| Agriculture \| 57.2 \| \| All Greenhouse gases (million \| \| \| tonnes carbon dioxide \| \| \| Waste management \| 22.7 \| \| equivalent) \| \| \| Industrial process \| 10.3 \| \| Public sector \| 9.7 \| \| Land use change \| -7.5 \| \| Exports \| - \| \| Total \| 556.7 \| \| Energy supply \| 182.0 \| \| Transport \| 117.4 \| \| Business \| 72.7 \| \| Residential \| 66.5 \| \| Agriculture \| 4.2 \| \| Carbon dioxide (million \| \| \| Waste management \| 0.3 \| \| tonnes) \| \| \| Industrial process \| 9.5 \| \| Public sector \| 9.7 \| \| Land use change \| -8.2 \| \| Exports \| - \| \| Total \| 454.0 \| \| Energy supply \| 350.8 \| \| Transport \| 3.4 \| \| Business \| 6.3 \| \| Residential \| 22.2 \| \| Agriculture \| 1060.0 \| \| Methane (thousand tonnes) \| \| \| Waste management \| 1011.2 \| \| Industrial process \| 4.3 \| \| Public sector \| 0.9 \| \| Land use change \| 2.1 \| \| Exports \| - \| \| Total \| 2461.3 \| \| Energy supply \| 4.6 \| \| Transport \| 3.2 \| \| Business \| 2.6 \| \| Residential \| 0.4 \| \| Agriculture \| 99.4 \| \| Nitrous oxide (thousand \| \| \| Waste management \| 3.9 \| \| tonnes) \| \| \| Industrial process \| 0.8 \| \| Public sector \| 0.0 \| \| Land use change \| 2.2 \| \| Exports \| - \| \| Total \| 117.1 \| ## Uncertainties Around The 2012 Estimates We are now also able to publish the uncertainty ranges associated with the final 2012 emissions estimates by source, which were published on 4th February 2014. For details of how the uncertainty estimates are calculated, see the Uncertainties Annex of the UK's National Inventory Report. The uncertainty estimates vary a lot for different sectors and gases. For gases, carbon dioxide estimates have the least uncertainty associated with them while nitrous oxide estimates are the most uncertain. At sector level, the land use change, agriculture and waste management sectors are the most uncertain. The overall uncertainty around total GHG emissions for 2012 is estimated to be 5 per cent. Uncertainty estimates for nitrous oxide and the agriculture sector were not published last year due to a highly skewed distribution. There has since been a review of the way that uncertainty estimates for emissions from agricultural soils are calculated, which has allowed us to publish uncertainty estimates this year. This is also the main cause of a decrease in overall uncertainty for emissions from all greenhouse gases weighted by GWP, which is estimated to be 5 per cent for 2012 emissions compared to the 2013 estimate of 17 per cent for 2011 emissions. \| 2012 \| Uncertainty around 2012 estimate, expressed \| \|----------------------\|------------------------------------------------\| \| emissions \| as a 95% confidence interval \| \| \| \| \| \| \| \| Lower bound \| Upper bound \| \| Carbon dioxide \| 475.7 \| \| Methane \| 50.8 \| \| Nitrous Oxide \| 36.1 \| \| Hydrofluorocarbons \| 14.1 \| \| Perfluorocarbons \| 0.2 \| \| Sulphur hexafluoride \| 0.5 \| \| Total \| 577.5 \| \| 2012 \| Uncertainty around 2012 estimate, expressed \| \|--------------------\|------------------------------------------------\| \| emissions \| as a 95% confidence interval \| \| \| \| \| \| \| \| Lower bound \| Upper bound \| \| Energy Supply \| 203.1 \| \| Transport \| 118.5 \| \| Residential \| 77.6 \| \| Business \| 86.8 \| \| Public \| 10.1 \| \| Industrial Process \| 9.8 \| \| Agriculture \| 56.8 \| \| Land Use Change \| -7.0 \| \| Waste Management \| 21.7 \| \| Total \| 577.5 \| ## Uk Performance Against Emissions Reduction Targets The UK has both international and domestic targets for reducing greenhouse gas emissions. Internationally the UK has a target for the first commitment period of the Kyoto Protocol to reduce its emissions by an average 12.5 per cent below base year levels over the five-year period 2008-12; and domestically it has the Carbon Budgets set out under the UK Climate Change Act, which set legally-binding limits on the total amount of GHG can emit for a given five-year period. In reporting emissions reductions against these targets, the UK is required to take account of emissions trading through the various flexible mechanisms which have been established, including the European Union Emissions Trading System (EU ETS). DECC reported on performance against these targets in detail in the National Statistics release of 4th February 2014, which covered 2012 UK greenhouse gas emissions final figures. Performance was reported so as to take account of the latest available EU ETS data, also covering the 2012 calendar year. Since these are still the latest available data from the EU ETS, it is not possible to produce a further update showing performance against targets based on the provisional 2013 emissions estimates. DECC will report in the summer on progress towards targets once 2013 EU ETS data have become available. ## Future Updates To Emissions Estimates Final estimates of UK greenhouse gas emissions for 2013 will be published as National Statistics on 3rd February 2015. These estimates will be based on the UK's National Atmospheric Emissions Inventory for 2013. ## Further Information And Feedback Further information on UK greenhouse gas emissions statistics, including Excel tables with additional data on UK emissions, can be found on the Gov.uk website at: https://www.gov.uk/government/organisations/department-of-energy-climate-change/series/ukgreenhouse-gas-emissions ## Notes For Editors A full set of data tables can be accessed via the UK greenhouse gas emissions pages of the Gov.uk website. 1. The figures for 1990 to 2012 in this statistical release are from the National Atmospheric Emissions Inventory (NAEI), produced for DECC and the Devolved Administrations by Ricardo-AEA. Additional results will be released as they become available, including a full report to be published later in the year. For further information on the UK Greenhouse Gas Inventory, see the NAEI web site. 2. Further information about the Kyoto Protocol can be found on the UNFCCC's website. 3. Further details of the European Union Emissions Trading System can be found at the EU ETS section of the Gov.uk website. 4. There are uncertainties associated with all estimates of greenhouse gas emissions. Although for any given year considerable uncertainties may surround the emissions estimates for a pollutant, it is important to note that trends over time are likely to be much more reliable. It is also important to note that the provisional 2013 estimates are subject to a greater range of uncertainty than the final figures for earlier years. For more information on these uncertainties see the page on the UK greenhouse gas inventory on the Gov.uk website. 5. The latest UK energy statistics, including revisions to earlier years' data, can be found in the 2013 Digest of UK Energy Statistics. 6. Detailed UK temperature data can be found on both the Met Office website and the Energy Statistics section of the Gov.uk website. 7. When emissions are measured on this basis, UK emissions account for less than 2 per cent of the global total, based on a range of estimates produced by the UN, the IEA, the World Resources Institute and the EIA, amongst others. A National Statistics publication National Statistics are produced to high professional standards set out in the Official Statistics Code of Practice. They undergo regular quality assurance reviews to ensure they meet customer needs. © Crown copyright 2014 Department of Energy & Climate Change 3 Whitehall Place London SW1A 2AW www.gov.uk/decc	en
2383-pdf	PSMA Licence Number - 100019741 Natural Resources Wales	en
1162-pdf	## Approvals Committee - March 2011 1. Since the last Board meeting, our approval committee has met on 2 March, 14 March and 30 March 2011 to consider applications requiring approval of consultancy contracts over £20,000 and all external recruitment. One application was also considered by correspondence on 16 March 2011 2. The cases considered are listed below: Meeting date Ref: No. & directorate Summary of application Consultancy/ recruit Committee Decision Recruitment Approved 2 March 2011 92 RME Contract extension - economist Consultancy Approved 2 March 2011 93 RME Call off contract - economic advice £100,000 Consultancy Approved 2 March 2011 91 EA Development of line managers' toolkit £6,600* 14 March 2011 Appointment of temporary economist Recruitment Approved 95 RME Consultancy Approved 30 March 2011 98 RPP HS1 data assurance review £30,000 Consultancy Approved 30 March 2011 99 RME Understanding consumer behaviour £50,000 Consultancy Approved 30 March 2011 100 CS Extension to FRISS Phase 2 consultancy £10,000 ** Recruitment Approved 30 March 2011 101 CS Temporary agency cover - post distribution 30 March 2011 103 CS IS interim manager Recruitment Approved Consideration by correspondence 16 March 2011 Extension to contract - secretary VfM study Recruitment Approved 96 RME * This was referred to the committee because the original budget for the work was £17k and this additional request took the spend above the committee threshold of £20k Further details of any of the above applications and decisions are available from Brian Warrener 3. The committee were also provided with details of any applications below £20,000 which are subject to approval by the director of corporate services. One application was approved at a cost of £18,000.	en
0925-pdf	## Adult Services Pathway Transformation Mark Lobban, Director of Commissioning Social Care, Health and Wellbeing, KCC Steven Phillips, Director, Newton ## Transformation (Approach) Transformation (Phasing) Transformation (Phasing) Transformation (Phasing) What The Work Looked At realise a 5-15% improvement within each wave of ## Findings Can Patients Arriving At A&E Be Treated Elsewhere? Mr F, 72: • A gentleman with a known history of falls, has fallen for the 4th time and hurt his back - no preventative falls service has been provided to this point ## Could Preventative Support Have Been Provided Prior To Attendance? Findings Could The Treatment Provided In Hospital Be Provided Outside Of The Hospital For Any Patients? Mrs V, 88: • A lady ready to leave hospital after 9 days, delayed for a further 28 days (so far) whilst agreement is sought over the funding arrangements for her Nursing home. Acquired pneumonia in hospital ## Findings When Patients Are Discharged From The Hospital, Are The Correct Options Available And Selected? Mr G, 81: • IDT correctly planned to discharge patient into a community hospital bed with physical therapy - no capacity available. Then discharged to a basic short term bed by the Ward without therapy and Mr G eventually ended up in a residential home ## For Sus Referred To Social Services, Are The Correct Options Available And Routinely Accessed? \| Attendance \| Admission \| Location \| Discharge & Social Care \| \|--------------\|-------------\|------------\|---------------------------\| 20% 44% ## Findings Community Nurse (Band 6) Quotes On Work They Are Doing: Is There Opportunity To Better Coordinate Services For Citizens Receiving Both Community Nursing And Social Care Provisions? "The specialist diabetes nurses used to train residential staff to deliver insulin - that doesn't happen anymore and we do the work" ## Are Packages Of Care Appropriate In Community Nursing? "Of course [low level wounds] could be managed by Care workers" \| Attendance \| Admission \| Location \| Discharge & Social Care \| \|--------------\|--------------\|------------\|---------------------------\| \| 35% \| 36% \| 20% \| 44% \| \| DN not Req. \| DN Skill Mix \| \| \| \| 26% \| 30% \| \| \| ## Findings Summary Of Where The System Benefit Arises % case notes reviewed % of total financial where a pathway Averages across areas savings identified improvement was attributable to this area identified ED attendances 35% 3% ED admissions 36% 42% Acute settings of care 20% 21% 44% 17% Acute discharge and local authority intake (together) 56% 12% Community nursing (overlap with LA provision and correct work/skill mix) CCG Commissioning 4% Total 41% 100% *Note for the financial modelling confidence weightings have been applied to the total opportunities identified based on practitioner input and Newton delivery experience. Additionally variable costs of alternative pathways have been modelled. These confidence factors vary between 10% and 75%. ## Key Messages • By focussing on the correct care pathway for citizens, significant patient / service user and financial benefit can be realised (~7-10% of budget assessed) • Opportunities are driven by a variation in front line decision making • The findings have identified two main areas where resources could be saved: – Avoidance of admissions to acute hospitals – Discharge planning, whilst maximising independent outcomes – Redeploying community nursing resource is a priority to realise the whole system opportunity ## Key Messages • By focussing on the correct care pathway for citizens, significant patient / service user and financial benefit can be realised (~7-10% of budget assessed) • Opportunities are driven by a variation in front line decision making • The findings have identified two main areas where resources could be saved: – Avoidance of admissions to acute hospitals – Discharge planning, whilst maximising independent outcomes – Redeploying community nursing resource is a priority to realise the whole system opportunity ## Case Example - Acute Demand Case Example - Acute Demand Case Example - Acute Demand Case Example - Acute Demand Case Example - Acute Demand Case Example - Acute Demand 1 1 1 1 2 1 2 2 1 1 Care Navigator 1 2 1 1 1 1 1 Carers Assessment 1 2 1 2 1 1 ## Preventative Families / Unpaid Carer 1 1 1 1 1 1 Postural Stability Clinic 2 1 2 2 1 1 1 Specialist Services 1 2 2 2 1 1 1 0 Hour GP Services 1 1 1 1 1 1 1 Advocate Services 1 2 1 2 1 1 1 Community Geriatrician 1 1 1 2 1 1 1 Multidisciplinary Meeting 1 1 1 1 1 1 1 Equipment Support 2 2 1 1 1 1 House Clearance 2 1 1 2 1 1 Kent Enablement Service 1 1 1 1 1 1 1 Learning Disabilities Team 1 1 2 1 1 1 1 Mental Capacity Act 1 1 1 1 1 1 1 Occupational Therapist Clinics 1 1 2 2 1 2 2 2 1 1 2 1 1 2 Occupational Therapist Technician Psychiatric Liaison 1 1 1 1 1 1 1 Re-ablement Beds 1 1 1 1 1 1 1 Telecare 1 1 2 1 1 1 1 Ambulatory Care Pathways 1 1 1 1 1 1 2 Coastal Beds 2 2 1 1 1 1 1 Community Matrons 1 1 1 1 1 1 1 Community Pharmacy 1 1 2 2 2 1 1 Day Centre 1 1 1 1 1 1 1 Day Hospital 1 1 2 1 1 1 1 District Nurses 1 1 1 1 1 1 1 Domestic Violence Support 1 1 2 1 1 1 1 Early Supported Discharge 1 1 1 2 1 1 1 Fast Track 1 1 1 1 1 1 1 1 1 1 2 1 1 1 Health and Social Care Village ## Community Bed Home Self Management 1 1 1 1 1 1 1 ## Or At Home Home with ICT 1 1 1 1 1 1 1 Home with Care Package 1 1 1 1 1 1 1 Hospice 1 1 1 1 1 1 1 Integrated Care Centre 1 1 1 1 2 1 1 KMPT Mental Health Services 1 1 1 1 1 1 1 Outpatients Physio 1 1 2 1 1 1 2 Post ITU Rehab 1 1 2 2 1 1 1 Red Cross 1 1 1 1 1 1 1 Social Services 1 1 1 1 1 1 1 Specialist Nurses 1 1 1 1 1 1 1 Stepdown Bed 1 1 1 1 1 1 1 Continuing Health Care 1 1 1 1 1 1 1 KCC Care Home 1 1 1 1 1 1 1 NHS Care Home 1 1 1 1 1 1 1 ## Residential/ Nursing Home 1 1 1 1 1 1 1 Private Care Home 1 1 1 1 1 1 1 ## Nursing Residential Care 1 1 1 1 1 1 1 Specialist Placement 1 2 1 2 1 1 1 Ward Staff Team Leader: "I don't know half of what's on there, the girls on the ward don't stand a chance" Matron: "Were all talking different languages and patients are totally confused" Pathway Team Manager: "Social Care can often only share previous care package details verbally and not in print, thus picking the most appropriate care is made far harder." It is not expected that every professional would know every service, but it is clear that the ward staff are not the best people to discuss postacute services with the citizen and their family System needs to be designed so that the correct option is the easiest option Vision: "A united team having open discussions to achieve the best outcomes for patients in a timely manner" KCC Hospital Team Acute Hospital 2 - The progress of each case is tracked and each client on the board is discussed at the daily washup meeting - Meeting focuses on how to get each client home safely - Promotes peer review and ensures senior support as required Feedback from WHH team: "The new process provides more support for us" "It's changed the way we think" "Makes us work more similarly and be more consistent in the way we work" Improving the decision making process and availability of alternative services (e.g. Hilton recovery service) has helped to dramatically reduce the number of inappropriate STB & LTB placements Integral to this improvement has been a change of culture, processes, practice and awareness of performance. This has now been rolled out across the 7 Acute hospitals in Kent with excellent results "The daily wash-up process provides us with a mechanism to ensure we are applying an evidence-based method of approaching cases and achieve the best outcome for service users"54% Figures correct as of Apr '16 ## Change Model Each example of best practice observed during the review had followed a broadly consistent approach to implementing the change, highlighting the importance of the change model 1. Identifies, quantifies, and prioritises the opportunity 2. Set up for success 3. Top down alignment: Aligns the work with each organisation's vision and incentives 4. Bottom up change: Co-designs solutions with front line users 5. Measures the performance 6. Tests the solutions in a live area, then redesigns and iterates as required 7. Standardises the new approach and only then rolls out at scale in implementation 8. Rationalises the subsequent menu of service and removes superseded options ## Have We Been Successful? All Long Term Care Home Placements	en
0558-pdf	## Tackling Modern Slavery A Council Guide Contents \| Forewords \| 4 \| \|--------------------------------------------------------------------------------------\|-----\| \| Councillor Simon Blackburn, Chair, LGA Safer and Stronger Communities Board \| 4 \| \| Kevin Hyland OBE, Independent Anti-Slavery Commissioner \| 5 \| \| Modern slavery - an overview \| 6 \| \| What is modern slavery? \| 6 \| \| Types of modern slavery \| 6 \| \| Victims and perpetrators \| 7 \| \| Overview of the role of councils in tackling modern slavery \| 13 \| \| Identification and referral \| 15 \| \| Identifying a potential victim \| 15 \| \| Referring victims \| 16 \| \| Reasonable grounds decision \| 18 \| \| Support for victims and conclusive grounds decisions \| 18 \| \| National Referral Mechanism reform \| 20 \| \| Supporting victims \| 23 \| \| Safeguarding: the legislative context \| 23 \| \| Access to housing \| 26 \| \| Community safety and disruption \| 31 \| \| Role of community safety partnerships \| 32 \| \| Serious and organised crime \| 32 \| \| Anti-social behaviour \| 33 \| \| Use of local regulatory services to identify, disrupt and investigate modern slavery \| 33 \| \| Public procurement \| 39 \| \|---------------------------------------------\|------\| \| Steps councils can take on procurement \| 39 \| \| Role of partners in tackling modern slavery \| 45 \| \| Key partners and partnership arrangements \| 46 \| \| Other organisations \| 48 \| \| Annex A Indicators of modern slavery \| 50 \| \| Annex B Links to other information \| 53 \| ## Photographic Acknowledgement The Dark Figure* is an ongoing photographic project by Amy Romer, which seeks to raise awareness about slavery in Britain by mapping neighbourhoods where such crimes have taken place. To experience each story in full, visit: www.thedarkfigure.co.uk ## Forewords Councillor Simon Blackburn The purpose of this guide for councils is to increase awareness of modern slavery and provide clarity for councils on their role in tackling it. In developing this, the LGA's Safer and Stronger Communities Board has worked with the Independent Anti-Slavery Commissioner, Kevin Hyland OBE. We would encourage all our members to draw on the resources of the Commissioner and other local partners to help stop slavery and are grateful for their work and input. It is a shocking fact that while most people consider the slave trade to have ended when slavery was abolished in 1833, there are more slaves today than ever before in human history. Figures from the International Labour Organisation (ILO) suggest that there are more than 40 million people in modern slavery across the world, with nearly 25 million held in forced labour. They have previously estimated that forced labour is generating criminal profits of approximately £150 billion a year.1 In a speech on slavery to the House of Commons in 1791, William Wilberforce famously closed his remarks by saying 'Having heard all of this you may choose to look the other way, but you can never say again that you did not know'. More than 200 years later we cannot look the other way, but must ensure that all of our authorities are well equipped and active in tackling this abhorrent crime. As councillors and leaders of local places, we all need to be aware that the UK is a source, transit and destination country for modern slavery. The Home Office estimated that in 2013 there were between 10,000 and 13,000 potential victims of modern slavery in the UK.2 This means that there is a good chance modern slavery is taking place in the towns, cities and villages where we live. Modern slavery is hidden, often in plain sight; on our high streets, in local businesses and even suburban streets. Unwittingly, our communities may be using victims of modern slavery to wash their cars, paint their nails and lay their drives. They may even be living next door. 2 www.gov.uk/government/uploads/system/uploads/ attachment_data/file/386841/Modern_Slavery_an_ application_of_MSE_revised.pdf ## Kevin Hyland Obe There are an estimated 40.3 million people living in slavery today,3 and the Home Office estimates that up to 13,000 of those are based in the UK. These are shocking numbers to contemplate in a society which thought it had consigned slavery to the records of 19th century history, but while statistics are important, it is the human beings behind them who should inspire us to fight the crime. In years to come, numbers will be forgotten; the names, faces and voices of brave yet vulnerable victims who ask for our help will not. The help which councils are able to give, bolstered by the passing of the Modern Slavery Act 2015, is crucial. The Act provides victims with greater protections and police with greater powers. It also requires businesses to report on the action they are taking to identify and address slavery in their supply chains, and introduced the office I currently hold, that of Independent Anti- Slavery Commissioner. As Commissioner I am tasked with spearheading the UK's response to modern slavery and have a statutory footing over law enforcement, the health sector, immigration bodies and local authorities. While such a role can help bring organisations to task, it is only professionalism and team work which will ultimately help victims to heal and put dangerous slave masters behind bars. Council employees are already working incredibly hard, rescuing and caring for victims while reducing the risk of repeat trauma. From the identification, referral and support of victims through to providing shelter, safeguarding and ensuring its own supply chains are slavery-free, local government is central to every facet of the slavery fight. Going forward, I am therefore calling on all local councils to build on this best practice and consider how they can ensure a collaborative approach to modern slavery across every department. All councils have expertise in partnership working. Whether collaborating with schools to protect children or consulting with the housing sector to keep tenants safe, many local government employees lead the way in good, diligent and professional teamwork. This is a model I want to build into the antislavery response in every sector of society over the coming years. I therefore urge you to continue shining this light to build even stronger partnerships which will lead to more streamlined responses to victim identification. Safer environments for modern slavery victims and even stronger deterrents for unsavoury criminals are the responsibility of all of us, everywhere. This important guide will help councils understand their role in addressing modern slavery, and I have been pleased to work with the Local Government Association (LGA) in its development. ## Modern Slavery - An Overview What Is Modern Slavery? Types Of Modern Slavery Modern slavery is an umbrella term, encompassing human trafficking, slavery, servitude and forced labour. Someone is in slavery if they are: There are a number of different types of exploitation that victims of modern slavery may be subjected to, and victims may experience more than one type of exploitation at the same time. The most common forms of exploitation are: • forced to work through mental or physical threat • owned or controlled by an 'employer', usually through mental or physical abuse or the threat of abuse • Sexual exploitation: victims may be forced into prostitution, pornography or lap dancing for little or no pay. They may be deprived of their freedom of movement and subjected to threats and violence. • dehumanised, treated as a commodity or bought and sold as 'property' • physically constrained or have restrictions placed on their freedom.4 • Labour exploitation: a victim is made to work with little or no pay, and may face violence or threats. If they are foreign nationals, their passports may be confiscated by their exploiters and they may be made to live in terrible conditions and under constant threat. • Forced criminality: victims can be forced to participate in a range of illegal activities including pick pocketing, shop lifting, cannabis cultivation, county lines exploitation7 and other activities. The Modern Slavery Act provides for a defence for victims who have been forced into criminality . Servitude is similar to slavery, in that a person is under an obligation to provide a service which is imposed on them, but there is no element of ownership.5 Forced work is defined as 'work or service which is exacted from any person under the menace of any penalty and for which the person has not offered himself voluntarily'6 and has been found in a number of different industries including manufacturing, food processing, agriculture and hospitality. • Organ harvesting: victims are trafficked in order for their internal organs (typically kidneys or the liver) to be harvested for transplant. • Domestic servitude: victims work in a household where they may be ill-treated, humiliated, subjected to exhausting hours, forced to work and live under unbearable Finally, human trafficking is when men, women and children are moved and forced into exploitation. The movement could be international but also within the country, from one city to another or even just a few streets. A person is a victim of human trafficking even if they haven't yet been exploited but have been moved for the purposes of exploitation. 4 www.unseenuk.org/about/the-problem/modern-slavery 5 www.equalityhumanrights.com/en/human-rights-act/article- 4-freedom-slavery-and-forced-labour 6 www.ilo.org/global/topics/forced-labour/definition/lang--en/ index.htm 7 County lines is the police term for urban gangs supplying drugs to suburban areas and towns using dedicated mobile phone lines - these are the county lines. It involves child criminal exploitation (CCE) as gangs use children and vulnerable people to move drugs and money. conditions or forced to work for little or no pay.8 In some cases forced marriage can lead to domestic servitude.9 Debt bondage can be present in many forms of exploitation, and can take a range of forms. Debts may arise out of the exploitation itself, for example in relation to accommodation or travel fees, with victims having little or no control over their debt and little or no way to pay it back. Costs may be deducted from their wages, leading to further debts being accrued. A person may be forced to work to pay off the debt and it can also be used as a means of controlling a victim and keeping them enslaved. Other forms of exploitation include: • forced marriage: where people are forced into marriage for a range of reasons including exploiting the rights conferred on them by citizenship or for domestic servitude • financial exploitation: for example benefit fraud, where benefits are falsely claimed by perpetrators on behalf of their workers; bank accounts being opened in a victim's name but used by perpetrators; or workers' wages being paid directly into the exploiters, own bank accounts by companies who think they are paying a worker individually. In October 2017 the Government produced 'A Typology of Modern Slavery Offences in the UK' to categorise modern slavery offences and provide an evidence base for responding to the crime of modern slavery. The research classified modern slavery offences in the UK into 17 distinct types. For each type, the report outlined the characteristics of the typical victims and offenders, and the nature of the offence, including the recruitment, transportation and exploitation involved. The Typology report can be read here: www.gov .uk/government/publications/atypology-of-modern-slavery-offences-in-the-uk www.gov.uk/government/uploads/system/uploads/ ## Victims And Perpetrators Anyone can become a victim of modern slavery, and in all types of exploitation, victims can be women, men, girls or boys. National Crime Agency (NCA) figures for 2016 showed that of 3,805 potential victims identified and referred to the National Referral Mechanism (NRM)10 for modern slavery, 1,936 were female, 1,864 were male and five transgender; 2,527 were adults and 1,278 were referred for exploitation as a minor. The NCA's NRM data for 2016 indicates that the most common recorded type of exploitation for potential adult victims was labour exploitation, including criminal exploitation. Men were particularly vulnerable to labour exploitation, while adult women were more likely to be recorded as having been subjected to sexual exploitation, although there were male, female and child victims of each type. The most common exploitation for people first exploited as a minor was labour exploitation, which includes forced criminality such as cannabis cultivation11, although as with adult figures, more boys (400) were recorded as potential victims of labour exploitation (compared to 68 girls), and more girls (118) were recorded as potential victims of sexual exploitation (compared to 29 boys12). This is a crime that affects British victims as well as those trafficked into the UK. Albania, Vietnam and the UK were the most common nationalities of all the potential victims referred to the NRM in 2016, though there were referrals from 108 different nationalities.13 victims of human trafficking or modern slavery and ensuring they receive the appropriate support 11 www.nationalcrimeagency.gov.uk/publications/788-nationalreferral-mechanism-statistics-end-of-year-summary-2016/ file 12 Ibid 13 Ibid involved in criminal activities, because of their immigration status, or due to a sense of misplaced loyalty to the perpetrators. There is no single type of victim or pathway into modern slavery. However, the Home Office's front-line staff guidance identifies certain groups as particularly vulnerable to being exploited through modern slavery: • unaccompanied, internally displaced children • children accompanied by an adult who is not their relative or legal guardian • young girls and women • former victims of modern slavery or trafficking.14 They might have been given a prepared story, by traffickers or modern slavery facilitators, to use when talking to the authorities. They may also be aggressive or hostile to the authorities or have difficulties in recalling what they've experienced as a result of trauma. Victims may have undergone juju or witchcraft rituals; these rituals are used to instil fear and make the victim compliant. They may be threatened with or have experienced violence, may be controlled through debt, or have been groomed. Perpetrators of modern slavery can be serious and organised crime groups, but may also be an individual close to the victim, such as family members, friends, individual employers or partners.16 Different types of perpetrator are more likely to be involved in different types of exploitation; domestic servitude in particular can be committed by individual perpetrators often family, partners or family friends, who've promised a better life to the victim.17 The NCA's latest work on the threat of serious and organised crime in the UK included the threat of modern slavery and human trafficking crime groups. They found that the most prevalent offender nationalities in the UK were British and Romanian, with Eastern Europe the most cited wider region of origin. Traffickers or modern slavery facilitators are also known to target vulnerable men, such as those with substance misuse issues, debts (in their country of origin or as a result of their illegal migration) mental health problems or learning disabilities. A recent report from the Independent Anti-Slavery Commissioner titled 'Understanding and Responding to Modern Slavery within the Homelessness Sector'15 found that those who are homeless are vulnerable to rogue employers offering work and accommodation, and that victims of modern slavery could be at risk of destitution and homelessness if no longterm support is provided to them. Of those homeless organisations that participated in the research, 64 per cent reported coming across potential victims of modern slavery. The report outlined a set of twelve recommendations, including a number for local authorities to consider in their work. Offenders were most likely to target people from within their own nationality or ethnicity, in the majority of cases, though they found that British offenders targeted victims from a broad range of nationalities. They found that the majority of crime groups involved in human trafficking were small with limited hierarchies often predicated on familial or social links, although larger, more structured groups do exist.18 16 http://glaconservatives.co.uk/wp-content/uploads/2013/10/ Shadow-City.pdf Victims of modern slavery have often been promised a better life or a legitimate job before they are exploited, and by the time they find out that the job doesn't exist they are already enslaved. Some victims might not see that they have been exploited or feel that the life they are living is better than the one they might have lived at home. Others may be too scared to seek help from the authorities because of the threats that they have endured, because they have been 14 www.gov.uk/government/uploads/system/uploads/ attachment_data/file/509326/victims-of-modern-slaveryfrontline-staff-guidance-v3.pdf 17 www.gov.uk/government/uploads/system/uploads/ attachment_data/file/383764/Modern_Slavery_Strategy_ FINAL_DEC2015.pdf 15 www.antislaverycommissioner.co.uk/media/1115/ understanding-and-responding-to-modern-slavery-withinthe-homelessness-sector.pdf 18 www.nationalcrimeagency.gov.uk/publications/807-nationalstrategic-assessment-of-serious-and-organised-crime-2017/ file ## Sophia'S Story Sexual Exploitation One day she was given some provocative clothing and high heels and told to put them on and ordered into a car. When the car stopped at traffic lights she managed to escape despite being chased by one of the men. She grabbed a female passer-by and pulled at her arm begging for help. The woman telephoned the police and the man who had been following her, left. Sophia was a student living in Albania. She was studying to become a primary school teacher at university when she met her boyfriend. After five months together they arranged to go on holiday to Italy where her boyfriend had friends they could stay with. After claiming asylum in Croydon she was dispersed to Wales where she received help through the organisation, BAWSO. Sophia is now married and works full time. ## Stephan'S Story Labour Exploitation The couple travelled together and after arriving at his friend's house her boyfriend said they would stay a few nights before moving on. After finding a number of women's passports in her boyfriend's possession and confronting him, Sophia was physically assaulted. After reconciling he talked about visiting his cousins in Belgium. When Sophia arrived in Belgium the cousins took her to what looked like an abandoned house. She asked to speak to her boyfriend on the phone who told her "We have nothing to do with each other, it ends here". Stephan grew up in Latvia. He wasn't working when he was introduced to the 'Boss' by a friend. Stephan was told he could earn good money in the UK legally. When he arrived in the UK his passport was taken from him, however, he was supported by the 'Boss' to gain a national insurance number and to open a bank account. The men then told her that she was going to start working for them. They brought customers to her for sexual services. They threatened to kill her brother back in Albania if she refused any customers. Despite this Sophia often refused, resulting in her being beaten. They would often force her to drink alcohol, beat and torture her. Stephan was brought to England by car and taken to the Derby area. He initially worked in a meat factory working 12 hour shifts, three or four days a week. At Christmas time it would be every day for a week. He worked at the meat factory for a year and a half. His accommodation was very basic. Stephan received £25 per week from the 'Boss' for basic essentials and food. The second factory he worked in he was controlled by the same 'Boss'. He worked 12 hours shifts and was given £10 per shift from the 'Boss'. The 'Boss' took cash withdrawals from Stephan's bank account. From March 2017 to May 2017, Stephan worked in a flower factory with the 'Boss' paying him £7 for a 12 hour shift. She was then forcibly trafficked to the UK and threatened with a gun to make her comply. Once in the UK she was transported to a house, where again she was told that she would provide sexual services. Sophia told her exploiters she was not willing to do this kind of work anymore. She was tied up and the men sat down next to her and lit up cigarettes. When they had finished smoking them they stubbed them out on her. They beat her and she was regularly given vodka to drink. The 'Boss' was not an internal employee of any of the organisations in which Stephan worked, however he did control his money, living accommodation and transport to and from work. Collectively, these laws and protocols set out agreed definitions and obligations on countries to identify and support victims. The Government has stated that it intends to maintain close cooperative links and partnerships with the EU in criminal justice after the UK exits the European Union, including around serious and organised crime. In March 2015 the Coalition Government enacted the Modern Slavery Act 2015. The Act: Stephan returned one evening to his accommodation and contacted a female friend. He went to stay with this friend and the next day this woman introduced Stephan to two of her English friends. These men supported Stephan in calling the police and the bank to freeze his account. Stephan was then taken to the police station where he made a statement and was put him in touch with the British Red Cross. • consolidated and clarified existing modern slavery and human trafficking offences and increased the maximum sentences for committing these offences The above victim's stories were provided by the subcontractors of the Adult Victims of Modern Slavery Victim Care Service. • introduced slavery and trafficking prevention orders and slavery and trafficking risk orders - which can be used to disrupt activities by modern slavery perpetrators • created the role of the Independent Anti- Slavery Commissioner ## The Legislative Framework For Tackling Modern Slavery The Government's approach to tackling modern slavery has been heavily shaped by a number of international laws, conventions and protocols which the UK has opted in to, ratified or is already bound by, including the: • introduced support and protection for victims including a defence for victims of slavery or trafficking who commit an offence, measures on the presumption of age of child victims of modern slavery and introduced the role of Independent Child Trafficking Advocates • 1950 European Convention on Human Rights (ECHR) • introduced a requirement for certain businesses to produce and publish a modern slavery statement on what they are doing to tackle modern slavery and trafficking in their supply chains. • United Nations Protocol to Prevent, Suppress and Punish Trafficking in Persons, especially Women and Children (Palermo Protocol 2000) • Council of Europe Convention on Action against Trafficking in Human Beings 2005 (ECAT) • EU Directive on Preventing and Combatting Trafficking in Human Beings and Protecting its Victims Directive 2011 (the Anti- Trafficking Directive). Most of the provisions of the Act concern England and Wales only, apart from the creation of the Independent Anti-Slavery Commissioner, who has a UK wide remit, and particular provisions around maritime enforcement powers. Scotland and Northern Ireland have both introduced separate legislation. As well as the Modern Slavery Act 2015 there are a number of other pieces of legislation that have an impact on local authorities' role in supporting victims of, and tackling, modern slavery, including: • Crime and Disorder Act 1998 • Housing Act 1996 • Care Act 2014 • Children Act 1989 The Act includes a number of provisions for local authorities. Section 52 of the Act places a duty on them to identify and refer modern slavery child victims and consenting adult victims through the National Referral Mechanism (NRM). Councils also have a duty to notify the Home Secretary of adults who do not consent to enter the NRM. There are different forms for the NRM for adults and children and another form for adults who do not consent, called the MS1 form. • Immigration Act 2016. Section 43 of the Act states that specified public authorities (including councils) have a duty to cooperate with the Commissioner. The Modern Slavery Act 2015 builds on the Modern Slavery Strategy published by the Coalition Government in 2014. Like the Serious and Organised Crime Strategy, it is based around the 4Ps framework of pursue, prevent, protect and prepare. • Pursue: prosecute and disrupt individuals and groups responsible for modern slavery. • Prevent: prevent people from engaging in modern slavery. • Protect: strengthen safeguards against modern slavery by protecting vulnerable people from exploitation. • Prepare: reduce the harm caused by modern slavery through improved victim identification and enforcement support. The Modern Slavery Strategy is particularly focussed on the law enforcement response, though councils' role in safeguarding and caring for children and tackling child sexual exploitation is particularly mentioned, and outlines the expectation that Police and Crime Commissioners would reflect the local threat within their policing plans and strategies. ## Staverton, Cheltenham March 2011 Gloucestershire constabulary carried out warrants at three properties in Gloucestershire, Derbyshire and Leicestershire after a year-long investigation, including a five month surveillance operation of the Connors family was triggered by the discovery of the remains of a body, which was found near the Connors family home in May 2008. 19 vulnerable people were found living at Beggers Roost caravan park in Staverton living in squalid conditions and were subject to assault, theft of benefits and exploitation. All five members of the Connors family were found guilty of the conspiracy to require a person to perform forced or compulsory labour between April 2010 and March 2011. To experience the story in full, visit: www.thedarkfigure.co.uk ## Overiew Of The Role Of Councils In Tackling Modern Slavery Councils can play a key role in tackling modern slavery. Their role can be separated into four distinct areas, each of which is explored in more detail in the following sections: 1. identification and referral of victims • Trading Standards, licensing and environmental health and other regulatory services (eg fire safety) may encounter victims or perpetrators whilst inspecting premises such as nail bars and regulating other businesses, such as taxis and private hire vehicles • councillors may hear concerns from residents about particular businesses or houses in their areas 2. supporting victims - this can be through safeguarding children and adults with care and support needs and through housing/ homelessness services 3. community safety services and disruption activities • those working with local partners on resettling new arrivals may find that trafficking or modern slavery has been present in refugees and asylum seekers' routes into the UK 4. ensuring that the supply chains councils procure from are free from modern slavery. • customer services may come into contact with victims through their ordinary dealings with the public Modern slavery intersects with many different areas that councils are involved with, and a number of different officers may come across it whilst going about their everyday duties: • children's safeguarding services will deal with trafficked children or children who have been exploited • adult safeguarding services may have a role supporting adult victims with care and support needs. • in housing and homelessness services, councils may see people who are at risk of trafficking through the provision of homelessness services, or through inspections of houses in multiple occupation (HMOs) they might come across modern slavery victims living in substandard accommodation This list is not exhaustive and there will be many other places where council staff and councillors may come across modern slavery or trafficking. • community safety officers may come across trafficking or modern slavery whilst working on issues around serious and organised crime, gangs, drug selling and other crimes committed within their area - like cannabis cultivation and begging Given the different services which may come into contact with modern slavery, councils should consider how they can ensure a joined-up approach to the issue across their organisation. This is particularly important in terms of identifying and referring victims, being aware of suspected modern slavery in their areas and ensuring that any intelligence and information about modern slavery is collated centrally within the council - without this, councils will not have an overall picture of the scale of the problem or full understanding of their own work in this area. There are a number of local and regional areas that have set up modern slavery partnerships bringing together partners from a range of different areas to coordinate work across the area. A joint report by the Independent Anti-Slavery Commissioner and the University of Nottingham, entitled 'Collaborating for Freedom', has mapped the anti-slavery partnerships in existence across the UK. An interactive map of these partnerships can be viewed here: http://iascmap.nottingham.ac.uk.19 These partnerships have brought together a wide range of participants, which have included district and county councils, police and crime commissioners, fire and rescue services, NGOs, the GLAA, safeguarding services, health, police services and government agencies, among others. Although the numbers of suspected modern slavery cases in some areas will be small, this may nevertheless require councils to designate a lead officer or team who can collect this data from across different teams and act as a point of contact and expertise on the issue. Alternatively, councils may wish to have a single point of contact and expertise within the relevant teams potentially impacted by modern slavery . Councils should consider how this role could link up with other existing roles working within the local justice systems. Councils should think about their engagement with the wider private, community and voluntary sector in their local area. Forums such as local enterprise partnerships or local strategic partnerships can be used to ensure that there is awareness of modern slavery and the potential risk in supply chains, that it can be referred appropriately and joint initiatives can be launched. Again, councils should think about the most effective way for their authority to engage in partnership work on modern slavery, including ensuring that they have the appropriate local contacts for national agencies, considering whether a single point of contact per team or at the authority would be useful approach. Underpinning councils own work in this area will of course be effective partnership working. Councils will already be part of numerous partnerships that have a role in sharing information, identifying those at risk of exploitation and tackling modern slavery as part of their broader work. Working with community safety partnerships, local child safeguarding arrangements, adult safeguarding boards, or other local partnerships, as well as with other partners such as the Gangmasters and Labour Abuse Authority (GLAA), will be a critical part of councils' work. See more in the section on 'Role of partners in tackling modern slavery'. ## Identification And Referral The National Referral Mechanism Process The National Referral Mechanism (NRM) provides a framework to identify, refer and record potential victims of modern slavery. Reflecting the fact that councils may come across potential victims of modern slavery in many aspects of their work, councils have a formal role as first responders to the NRM. First responders are organisations with a responsibility to identify and refer potential adult or child victims of modern slavery. There are five basic stages in identifying a potential victim and their journey through the NRM. This chapter will examine these in more detail, focusing on the existing process; recent changes to the NRM announced by the Home Office are set out at the end of this section. ## Identifying A Potential Victim Everyone should be aware of the signs to spot potential victims of modern slavery. In October 2016 the Independent Anti-Slavery Commissioner, jointly with South East England Councils and NHS England produced a set of three modern slavery awareness raising videos for local councils, emergency services and health professionals. The aim of these is to emphasise the vital role front-line professionals have in tackling modern slavery and helping victims to exit exploitation, and to equip them to spot initial signs of modern slavery. The videos for local government and the emergency services are publicly available on the LGA website: www.local.gov .uk/modern-slavery The Salvation Army is contracted by the Government to provide support to adult victims of modern slavery referred to the NRM in England and Wales. It has produced a number of questions to support the identification of victims: Is the victim in possession of a passport, identification or travel documents? Are these documents in possession of someone else? Does the victim act as if they were instructed or coached by someone else? Do they allow others to speak for them when spoken to directly? Was the victim recruited for one purpose and forced to engage in some other job? Councils are first responders into the NRM, alongside the organisations listed below: Was their transport paid for by facilitators, whom they must pay back through providing services? • National Crime Agency • police forces • UK Border Force Does the victim receive little or no payment for their work? Is someone else in control of their earnings? • Home Office Immigration and Visas • Gangmasters and Labour Abuse Authority Was the victim forced to perform sexual acts? • health and social care trusts (Northern Ireland) Does the victim have freedom of movement? • The Salvation Army • Migrant Help Has the victim or family been threatened with harm if the victim attempts to escape? • The Medaille Trust • Kalayaan Is the victim under the impression they are bonded by debt, or in a situation of dependence? • Barnardo's • Unseen • TARA Project (Scotland) Has the victim been harmed or deprived of food, water, sleep, medical care or other life necessities? • NSPCC (CTAC) • BAWSO (Wales) • New Pathways Can the victim freely contact friends or family? Do they have limited social interaction or contact with people outside their immediate environment?20 • Refugee Council.22 Further information on the indicators and signs of modern slavery is available in Annex A of this document. Council staff should be familiar with the referral processes that their council has in place when they come across a potential victim of modern slavery. ## Referring Victims Under Section 52 of the Modern Slavery Act 2015, local authorities are under a duty to notify the Home Office when they identify a potential victim of modern slavery (where it is believed a potential victim's life is in immediate danger, the advice is to call 999). All referrals to the NRM initially go to the National Crime Agency's Modern Slavery Human Trafficking Unit (MSHTU) as the competent authority . However, potential victims who are non EU/EEA nationals and are subject to immigration control are referred to the Home Office Visas and Immigration (UKVI) to act as the competent authority instead. For children this means referring them into the NRM through children's services. For adults, a NRM referral can also be made if they consent to the referral. If an adult doesn't consent to enter the NRM, councils are still under a duty to notify and should refer them to the Home Office by submitting the MS1 form.21 Making a referral for adults In the case of adult victims consent must be given before a referral can be put into the NRM. If an adult doesn't consent to enter the NRM, councils are still under a duty to notify and should instead complete an MS1 form which is then sent to the NCA. The purpose of the MS1 form is to allow government to gather statistics and build a more comprehensive picture of the nature and scale of modern slavery. The MS1 form allows the potential victim to remain anonymous and it does not entitle potential victims to any specialist government support. If councils are submitting an MS1 form the case should also be separately referred to the police, this should be done in advance of submitting the MS1 form.23 If a person is deemed incapable of giving informed consent under the Mental Capacity Act 2005, a guardian should be appointed to help him or her make decisions. The person, however, should still be placed at the centre of the decision making process. Councils and their partners will wish to develop other routes to ensure that adult victims of modern slavery who do not wish to be referred into the NRM either immediately or in the long term receive any support from the council they are eligible for and are signposted to any support available locally. More information is available below. Making a referral for children Children's social services departments are able to make a referral into the NRM. Other areas of a council should refer potential child victims via their local children's services, to make sure that any safeguarding measures can be put in place, and that the police are notified. Those child protection processes should continue to take place regardless of subsequent decisions made though the NRM. Professionals should consider the wider circumstances around the individual child when making an assessment. It is also important to note that children might not show obvious signs of distress or abuse. A potential child victim does not need to consent to an NRM referral being made, but it is good practice to let them know that it is happening and to explain the benefits, the possible outcomes and discuss any concerns. If a child is part of a family in modern slavery, referrals still take place in the same way, and child safeguarding procedures should still be undertaken. A referral form should include as much information as possible, including documentary evidence where available. Since all potential child victims should be referred to the NRM, an MS1 form is not used for children. Sometimes there may be a dispute over whether the potential victim is a child. Under section 51 of the Modern Slavery Act, where a council has reasonable grounds to believe a person is under 18 then they will be treated as a child, until an age assessment is carried out. An age assessment should be commissioned where appropriate, but referral to the NRM should not be delayed. Once a reasonable grounds decision has been made the decision will be reported to the first responder and the child's social worker, not to the child directly . If there has been enough evidence to take the child into local authority care, there are specific risks that councils and carers will need to be aware of. Nearly two thirds of trafficked children in local authority care go missing at some point; nearly a third of these go missing within one week.24 Councils must make sure a strong multi-agency approach is in place to protect victims from further harm from their abusers. In particular , there should be a clear understanding between the local authority and the police of roles in planning for this protection and responding if a child goes missing. ## Reasonable Grounds Decision Support For Victims And Conclusive Grounds Decisions The process for adults If a positive reasonable grounds decision is made the adult potential victim will be: Once an NRM form has been completed potential victims will receive a 'reasonable grounds' decision from the competent authority. A reasonable grounds decision is made using the threshold of 'I suspect but cannot prove' that the individual is a potential victim of modern slavery or trafficking.25 • allocated a place within government funded safe house accommodation, if required • granted a reflection and recovery period of a minimum of 45 calendar days. The first responder and the victim are notified of the decision. Competent authorities aim to make reasonable grounds decisions within five days. This may involve seeking additional information from the first responder, from specialist NGOs or local authorities, especially where there may be a negative reasonable grounds decision. Where a negative reasonable grounds decision is taken this decision must be reviewed by a 'second pair of eyes'. If victims receive a negative reasonable grounds decision they do not receive specialist government support. The reflection and recovery period allows the victim to begin to recover from their ordeal and to reflect on what they want to do next. There may be a range of outcomes for victims, including cooperate with police, apply for discretionary leave to remain, ask for asylum or help to return home, etc - a full list can be found on the NCA's website.26 During the reflection and recovery period the competent authority will gather further information to see if a conclusive grounds decision can be reached on whether a person has been a victim of trafficking or modern slavery. The competent authority can increase the length of the rest and recovery period to allow them to gather more information. During those five days if the victim is destitute, support can be provided through the Government's contract with The Salvation Army. To activate any support during these five days, alongside sending in the NRM referral form, the first responder would need to contact The Salvation Army separately to arrange this (via the 24 hour referral number: 0300 303 8151). The NRM form alone would not alert The Salvation Army to emergency support needs. If someone has received a positive conclusive grounds decision then they are normally given 14 days to exit the support provided through the NRM. The person can also be offered support to return to their country if they have been trafficked or are a victim of modern slavery and do not wish to stay in the UK. If it is decided by the competent authority that the person was not trafficked nor is a victim of modern slavery, and there are no other circumstances that would give them a right to live in the UK, they are typically given 48 hours to exit support.27 The process for children Councils might need more time to work with a child to get enough information for the competent authority to reach a conclusive grounds decision, for example where a child has experienced significant trauma or is in fear of speaking to authorities. In these circumstances you may request of the competent authority that the 45 day reflection period be extended, where this is in the best interests of the child, so that all relevant information can be obtained. If a child receives a positive conclusive grounds decision, appropriate support should be put in place to help them deal with the trauma they may have suffered, and to minimise the risk of their going missing and returning to those seeking to exploit them. This information should be contained within the child's care plan if they are in local authority care. Transfer to the care of another council or an out of area placement might in some cases be appropriate to put distance between the child and where their traffickers expect them to be. In the case of unaccompanied asylum seeking children, there should also be information in the care plan on the asylum seeking process to ensure that children are kept informed and well supported throughout the process to minimise fear and uncertainty. If the child receives a negative asylum or immigration decision, discussions about their status will need to be handled sensitively and social workers should be alert to a heightened risk of the child going missing and take all necessary steps to prevent this. Where a negative conclusive grounds decision is reached, councils should revert to their normal child protection assessments to identify what support is needed for the child. Independent Child Trafficking Advocates Following an initial pilot roll-out of the Independent Child Trafficking Advocates (ICTAs) approach, the Government made a decision28 to implement ICTAs across three early adopter sites in England and Wales - Hampshire and Isle of Wight, Greater Manchester and Wales. The role of ICTAs is to represent and support children who there are reasonable grounds to believe are victims of modern slavery. They ensure the best interests of children are represented in decision-making. ## National Referral Mechanism Reform The NRM system has been under review for a number of years. In October 2017 the Government announced a number of changes to the NRM process. The key changes announced were: • The length of move on support for victims who have received a positive conclusive ground decision, will be increased from 14 days to 45 days. This will be in addition to the minimum 45 days victims receive after a positive reasonable grounds decision. • The Government will fund 'places of safety' so that adult victims leaving exploitative situations can be given support, including safe accommodation and advice for three days before deciding whether to enter the NRM. • Victims who have received a positive conclusive grounds decision will also have access to drop-in services for up to six months after they leave NRM support. ## Further Information And Guidance • The first responder role will be strengthened and criteria will be established on who should be a first responder and how they should be trained. • ICTAs will be rolled out nationally. The Government will also be looking at how to make the NRM decision-making process 'child-friendly' including how NRM decisions are communicated to children. Under Section 49 of the Modern Slavery Act 2015 the Home Secretary must issue guidance for public authorities and other organisations on modern slavery . In October 2017 the Government announced that it would be launching a consultation on the preparation of statutory guidance on identification and support for victims of slavery . There is guidance for front-line staff in the Home Office to help them, identify and help potential victims of modern slavery and human trafficking: • A single, expert unit will be created in the Home Office to act as the competent authority and handle all cases referred from first responders and to make decisions about whether somebody is a victim of modern slavery. This will replace the two current competent authorities, and will be completely separate from the immigration system. www.gov .uk/government/uploads/system/ uploads/attachment_data/file/509326/victimsof-modern-slavery-frontline-staff-guidance-v3. pdf • An independent panel of experts will be established to review all negative conclusive grounds decisions. For first responders there is guidance on the duty to notify and the NRM form: www.gov .uk/government/publications/duty-tonotify-the-home-office-of-potential-victims-ofmodern-slavery Modern slavery victims: referral and assessment forms: • A new digital system to support the NRM process, including submitting NRM referral form online, making it easier for those on the front line to refer victims for support and enabling data to be captured and analysed to better aid prevention and law enforcement. www.gov .uk/government/publications/humantrafficking-victims-referral-and-assessmentforms • Adoption of the Trafficking Survivor Care Standards29 produced by the Human Trafficking Foundation as a minimum standard of victim support in all future contracts providing support to adult victims of modern slavery. The Government will also be seeking to work with councils to come up with best practice for victims to transition into a community and access local services. There are a number of non-government organisations (NGOs) councils can contact to discuss modern slavery or receive further information from including: • Human Trafficking Foundation • Unseen • ECPAT UK • The Salvation Army • Migrant Help • The Medaille Trust • Kalayaan • Barnardo's. This is not an exhaustive list of national organisations, and there may also be local or regional organisations and partnerships which councils can talk to as well. There is also a 24/7 Referral Helpline hosted by The Salvation Army on 0300 3038151 or the Modern Slavery Helpline on 08000 121 700. ## Brixton, Lambeth, London Autumn 2013 Three women were rescued from a residential address in October 2013 having been held against their will for more than 30 years. Aishah Wahab, a 69-year-old Malaysian woman and Josephine Herivel, a 57-year-old Irish woman met the male suspect, also known as "Comrade Bala" in London through a shared political ideology, as he was the former Maoist leader of the Workers' Institute of Marxism– Leninism–Mao Zedong Thought. Rosie Davies, a 30 year old British woman is thought to have spent her whole life in servitude under Balakrishnan. In January 2016, 73-year-old Aravindan Balakrishnan was sentenced to 23-years imprisonment. To experience the story in full, visit: www.thedarkfigure.co.uk ## Supporting Victims Depending on the age and needs of victims of modern slavery, councils may have statutory responsibilities to provide support to them. This section outlines what these are, and how processes and responsibilities differ in relation to child and adult victims of modern slavery. ## Safeguarding: The Legislative Context Children Under the Children Act 1989, where a council has reason to believe that a child (irrespective of immigration status) may suffer, or is suffering, significant harm, they are under a duty to investigate to decide whether any action is needed to protect the welfare of that child. Guidance from the Home Office on child trafficking is clear: 'child trafficking is child abuse. When an agency comes into contact with a child who may have been trafficked children's services and police should be notified immediately. All children, irrespective of their immigration status, are entitled to protection'. The Home Office guidance also highlights that: 'Any child who is recruited, transported or transferred for the purposes of exploitation is considered to be a trafficking victim, whether or not they have been forced or deceived. Even when a child appears to have submitted willingly to what they believe to be the will of their parents or accompanying adults, it is not considered possible for a child to give informed consent'.30 Local government responsibilities around child slavery are, therefore, part of a council's existing responsibilities, with the addition of specific responsibilities around referrals (as set out in the previous section). Local authorities are recommended to nominate a local professional who can develop specialist knowledge in relation to trafficked children - a 'local trafficked children lead' - and act as an adviser to other professionals in cases where the concerns in relation to a child are related to trafficking. Your local area may have a trafficked children toolkit to help with identification of children that have potentially been trafficked. An example of this would be the London Safeguarding Trafficked Children Toolkit which can be accessed via the Croydon Council website: www.croydon.gov .uk/sites/default/files/articles/ downloads/lonsafetraff.pdf Adults The Care Act 2014 sets out local responsibilities and roles for assessing and supporting adults in need of care and support. It outlines how councils should carry out a 'needs assessment' where it appears that an adult may have care and support needs. Key to this assessment is meeting eligibility criteria around how 'a physical or mental impairment or illness' impacts on being unable to achieve certain specified outcomes such has getting dressed or preparing food and whether this then has a significant impact on wellbeing. support from the council they are eligible for and are signposted to any support available locally. The reform of NRM should lead to greater clarity around how adult victims of modern slavery are supported before and after referral. If the individual is eligible for support under the Care Act, the Act is clear that it is for local authorities to decide what support or services people are eligible for when they are assessed as having care and support needs, dependent on their financial circumstances. The 'care and support planning process' is used to help decide the best way to meet the person's needs, the cost of arranging the necessary care and support for that person and where the care should be provided. The Act also set out local responsibilities and roles for protecting adults assessed as having care and support needs from abuse or neglect for the first time in legislation. Adult safeguarding duties apply to any adult who: • has care and support needs as defined by the Act • is experiencing, or is at risk of, abuse or neglect Differences between children and adults safeguarding Safeguarding adults differs from the safeguarding and protection of children in a number of ways, including the different legislative basis to each. A key difference is that while there is a legal expectation that children are protected from physical or psychological damage, adults with mental capacity have a right to make their own choices, take risks, be free from coercion, and to make decisions about their own safeguarding plans. Reflecting this, under current Home Office first responder guidance, a referral cannot be made to the NRM unless the adult gives informed consent to the referral. • is unable to protect themselves because of their care and support needs. The Act requires that local authorities must make enquiries, or cause others to do so, if it believes an adult is experiencing, or is at risk of, abuse or neglect. An enquiry should establish whether any action needs to be taken to prevent or stop abuse or neglect and if so by whom, commonly called a 'Section 42' duty. Adults without mental capacity have legal safeguards under the Mental Capacity Act 2005 and must have the representation of an advocate or representative to act in their best interests. An independent advocate to represent and support an adult where the adult has 'substantial difficulty' in being involved in safeguarding enquiry or review and where there is no other suitable person to represent and support them. Victims of modern slavery therefore may not necessarily have the impairment or injury that would meet eligibility for care and support under the Act. However, there may be victims of modern slavery identified via local safeguarding processes; and there may be victims of modern slavery who are subsequently identified as having care and support needs, and thus will be entitled to support under current legislation later in the process. Partnership working Councils will be working with partners to safeguard children as outlined in the statutory guidance 'Working Together to Safeguard Children', for example through local safeguarding partnerships and work with schools. These partnerships should be utilised to develop strong responses to the issue of modern slavery, from prevention, to identification of potential victims, to postreferral support. Responding to child sexual exploitation, professionals should be aware that children may have been trafficked prior to exploitation, and of the vulnerabilities of looked after children. Councils will recognise they have a role in protecting vulnerable adults at risk. Councils and their partners will wish to develop other routes that ensure that adult victims of modern slavery who are not eligible for support under the Care Act obtain any other The Care Act gives local authorities overall responsibility for adult safeguarding locally. However, it also recognises that safeguarding people requires partnerships with other statutory bodies, close working with other key organisations and greater awareness from people in their communities. It requires that councils: • lead a multi-agency local adult safeguarding system that seeks to prevent abuse and neglect and stop it quickly when it happens • set up a statutory safeguarding adult board (SAB) including the local authority, NHS and police, which will develop, share and implement a joint safeguarding strategy • cooperate with each of its relevant partners in order to protect the adult and in turn, each relevant partner must also cooperate with the local authority • assure itself that local safeguarding arrangements are effective and that all partners act to help and protect adults in its area.31 The Care Act also gave councils a general duty to promote the wellbeing of the wider population in their communities. Action to safeguard adults should include: • promoting wellbeing and prevent abuse and neglect from happening in the first place • ensuring the safety and wellbeing of anyone who has been subject to abuse or neglect • taking action against those responsible for abuse or neglect taking place • learning lessons and making changes that could prevent similar abuse or neglect happening to other people. In meeting this duty, local areas will choose how safeguarding adult boards discuss and report on the many complex issues which can contribute to the wellbeing of its community and the prevention of abuse and neglect. However, there may be other local partnerships that will take the lead on issues such as modern slavery, as well as other key issues associated with police and the criminal justice system such as hate crime, domestic violence, forced marriage, Prevent, female genital mutilation, and sexual exploitation. ## Key Considerations For Councils Safeguarding: local leadership and scrutiny Growing awareness of the prevalence of abuse in care and health makes it all the more urgent and necessary for local leaders to ensure that everyone, including ward councillors, council staff, the voluntary sector and the general public are made aware of abuse and neglect, how to recognise and report it, who is responsible for intervening, and what people's rights are to protection, support, choice and advocacy . Local leaders can play a key role in reinforcing this need for collective responsibility for safeguarding. They can help build the system leadership needed to ensure that every local partner is clear what their responsibilities are and is able to communicate what the local safeguarding system is to local people. They should know what questions to ask to hold to account those responsible for adult safeguarding, including ensuring that everyone is following agreed multi-agency procedures and that appropriate links are made between agencies so that people at risk and needing help are not missed. There are also crucial roles for local leaders in examining how safeguarding is experienced by local people, how people were consulted and involved in developing policies and monitoring services, and how they were involved in their own safeguarding plans and procedures. Councillors can have a key role in ensuring a focus on outcomes and a proportionate approach to risk, rather than just on the process of safeguarding. Training, appropriate pathways and joint working with other partners can help housing staff support these opportunities. Overview and scrutiny committees can also play a vital role in challenging their councils, and others, to justify their actions, or lack of them. There may be other partnership structures used locally to discuss modern slavery, dependent on local circumstances and capacity. Many councils are under significant pressure to provide housing, including temporary accommodation for homeless people. Councils will do their best to house people in appropriate accommodation, within the constraints of what is available. Whatever route is chosen, local leaders will want to assure themselves that clear governance processes are in place to discuss and continually improve the response to, and support for, victims and potential victims of modern slavery. ## Access To Housing Settling someone into accommodation is an opportunity to ensure that they are adequately supported and can be protected from further exploitation. Housing Services will not have the resources or expertise to do this on their own, and joint working will be required to bring key partners together. After exiting the support provided by the NRM, and depending on an individual's circumstances, their next step may be to approach a council for housing if they are staying in the UK. Homelessness legislation provides a framework for councils to decide whether an individual is owed a statutory duty by the councils. Council policies will also take case law and the wider legal framework into account. The Homelessness Code of Guidance for Local Authorities will shortly be updated to meet the requirements of homelessness legislation and to include information on the Homelessness Reduction Act. It also will include information on modern slavery. No recourse to public funds Some victims may exit the NRM and have no recourse to public funds (NRPF). NRPF is a term used for people who are subject to immigration control and have no entitlement to welfare benefits, to Home Office asylum support or to public housing.32 There are provisions which require local authorities to provide some people with NRPF with housing and/or financial support in order to prevent homelessness or destitution. Such assistance can be provided to adults requiring care and support as defined by the Care Act due to a disability, illness or mental health condition, or young people who were formerly looked after by a local authority, for example, because they were an unaccompanied asylum seeking child (UASC), or other separated migrant child. Decisions on whether a duty is owed by the council ultimately rely on the judgement of the officer reviewing the application. Whilst they must have regard to legislation and case law, councils will take account of each person's needs and circumstances in making a decision on their legal obligation. Homelessness services are busy front-line services. Housing officers will be used to dealing with people who are vulnerable and have suffered traumatic experiences. The hidden nature of modern slavery can make it difficult to detect, particularly if the victim is reluctant to reveal their experiences. Front-line staff can play an important role in supporting victims of modern slavery. ## Peterstone, Newport 2000 33-year-old Darrell Simester from Kidderminster, Worcestershire, was picked up from the side of a duelcarriageway whilst hitchhiking in South Wales. For the next 13 years, Darrell Simester lived in a rat infested shed and then a cold, squalid caravan on the property of David Daniel Doran, and was made to work sixteen hour days for no money with only a horse trough to wash in. ## 2014 Darrell Simester's family found him at the Doran's farm following a social media campaign. In October 2014, David Daniel Doran was jailed for four and a half years. To experience the story in full, visit: www.thedarkfigure.co.uk ## Newcastle City Council Victim strategy The council has an agreed hierarchical strategy for all those who present as victims of MSTE. The accommodation type and layout is integral to delivering this victim centred strategy: • initial and ongoing safeguarding within either a victim reception centre (VRC) or specialist accommodation Over recent years, Newcastle City Council has been involved in a number of police operations in relation to modern slavery, trafficking and exploitation (MSTE). Their involvement led to the council identifying a role in supporting victims of MSTE, and highlighted that work was required to ensure appropriate accommodation was available within the city. The council identified that it needed to: • support from all appropriate agencies to identify and address social care, health and welfare needs • implement a holistic victim strategy appropriate to the needs of the individual • provide evidence for prosecution through the completion of Achieving Best Evidence (ABE) interviews in a supportive environment. • recognise the housing and supporting needs of people who have been made homeless because of MSTE Accommodation options Three operating models have been explored and used to date. • acknowledge the impact MSTE support has on council budgets and resources. Homelessness accommodation This type of accommodation cannot be guaranteed; victims of MSTE may not be deemed as being statutorily homeless, and this resource is in high day-to-day demand. This accommodation is also not designed to support a multi-agency approach of this type. Issue The council identified a role in providing emergency accommodation whilst potential victims are awaiting a reasonable grounds decision. The council found that due to the complexity of individuals' circumstances and the interaction between homelessness legislation and MSTE, finding appropriate emergency accommodation was challenging. Pre-planned strategies are essential to ensure provisions are in place for the large numbers predicted in planned operations. Dormitory style Unoccupied council offices provided dormitory style accommodation. This incorporated beds, a communal area, showers and multiple ABE suites. Although this accommodation was suitable for certain situations, it was deemed unsuitable for victims who have additional vulnerabilities or have experienced additional trauma. It is also not appropriate should one victim self-present and require short-term accommodation. Newcastle have experience of planned responses for; women and men exploited for labour, sexual exploitation of women, and victims of domestic servitude. The council have also responded to the need to house individuals who have fled from a situation of MSTE and self-presented. This has highlighted that one size does not fit all, and a flexible accommodation solution is needed. Self-contained flats The options above worked but the council felt that it could do more and provide more appropriate alternative accommodation. Long-term low demand void properties were identified within existing council housing stock and was allocated to support the council's MSTE response. A multi-agency approach is adopted when supporting victims so all partners were consulted through operational planning meetings to determine the most appropriate use of the properties. Partners included: • NHS England, who provide onsite medical assessments and subsequent referrals to sexual health and other specialist services • Northumbria Police, who conduct ABE interviews at the VRC and manage the site if used for pre-planned strikes • British Red Cross, who provide victim support. Council services, including: • Strategic Housing who manage the allocation, refurbishment, repairs and management of the properties in partnership with Your Homes Newcastle and Building and Commercial Enterprise teams • Adult Safeguarding who carry out victim assessments • The Homelessness Housing Advice Team • Adult Safeguarding and Domestic Violence teams who provide advice on the potential needs of victims and appropriate use of the VRC • Resilience Planning Team who coordinated the approach. Support was also required from: • Tyne and Wear Fire and Rescue Service who provided advice and materials to ensure the flats were fire safety complaint • teams working with migrants who have no recourse to public funds • Environmental Health who undertook housing assessments and provided fire safety advice. Regional use of the accommodation As MSTE operations often cross boundaries it was recognised that partners could not support multiple VRCs. As such a Memorandum of Understanding was established between two council areas to allow all victims, irrelevant of location to be housed in the Newcastle VRC. Going forward The current accommodation is only a short-term option; the council also believe improvements can be made. They are therefore looking for alternative accommodation. This will be developed with all partners including other councils to identify a VRC that can be a fully utilised resource that offers a flexible approach to victim accommodation and support, whilst ensuring the police can achieve best evidence. ## Sandwell Metropolitan Borough Council Thirteen victims of modern slavery were found being paid less than £1 per hour. They were taken from those addresses to a reception centre. Victims were offered the chance to enter the National Referral Mechanism and six of the thirteen victims decided to enter the NRM. In June 2016 Sandwell Metropolitan Borough Council's Private Sector Housing Quality Team (PSH) attended a meeting at West Bromwich Police Station and became aware of the problem of modern slavery in the borough. Three suspects were arrested, interviewed and released on bail. Their trial is pending. The Fire Service served a Prohibition Order on a flat housing two of the victims. The flat contained category one health and safety hazards, which posed a serious threat to the health or/and safety of those living there. Further information will be shared between the council and police to strengthen the case for proceeding with the Proceeds of Crime Act. Following that meeting the council immediately became members of the West Midlands Anti-Slavery Network. They set up a council-wide modern slavery task and finish group to establish that they were acting in accordance with the Modern Slavery Act 2015. The group then established policies, procedures, awareness raising, training and reporting mechanisms to identify and report modern slavery. Lessons learned Operation Sunlight introduced the team to working with the police on an organised raid. In most cases, however, discovery of modern slavery will not have the backing of the police in this way. The PRS Housing Quality Team set up a Sandwell Housing Operation Partnership (SHOP) group which is a partnership of council officials, West Midlands Police, West Midlands Fire Service and Hope for Justice to investigate issues with properties which may result in modern slavery issues. The council also worked with The Salvation Army, Hope for Justice and a range of interpreters. The council learned that they quickly needed to set up a system whereby the whole of the council was made aware of modern slavery immediately and a robust system of reporting was introduced. This has now been established and went live on 1 September 2017. Further in-depth training will be provided for the staff that are most likely to be in a position to identify victims. The issue Through this group, the council became aware of intelligence from the police which informed us that there were cases of modern slavery at two recycling plants in West Bromwich and some of the victims were living in properties in Sandwell. What has been the impact? This work has raised awareness considerably and the council has already provided awareness training to organisations outside the council, eg private landlords, voluntary sector organisations and Department for Work and Pensions. The council therefore took part in Operation Sunlight. It was led by the police and Sandwell PSH team were involved. There were joint raids on two residential properties and two commercial recycling centres in Sandwell. ## Community Safety And Disruption Modern slavery is a complex, serious and often organised crime. Under Section 17 of the Crime and Disorder Act councils have a duty to do all that they reasonably can to prevent crime and disorder in their areas, which will include modern slavery and trafficking. There are a range of crimes where councils may come across victims of modern slavery, including county lines, child sexual exploitation, gangs, violent crime, drugs and begging, amongst others. Councils are a part of a number of partnerships whose work may have an impact on tackling modern slavery, including community safety partnerships and serious and organised crime partnerships. Information sharing through these partnerships is key to ensuring that disruption activities and enforcement work is targeted effectively. Many parts of the council have powers of entry and inspection that can be used to disrupt the activities of traffickers and criminal networks including; Trading Standards, environmental health, planning enforcement, and housing inspection. ## County Lines Exploitation County lines is a widespread form of harm and is present in many areas. It is a major cross cutting issue involving trafficking, gangs, drugs, violence safeguarding, criminal and sexual exploitation and missing persons. County lines is the police term for urban gangs supplying drugs to suburban areas and towns using dedicated mobile phone lines - these are the county lines. These phone numbers are often passed down. It involves child criminal exploitation (CCE) as gangs use children and vulnerable people to move drugs and money . Gangs establish a base in the market location, typically by taking over the homes of local vulnerable adults by force or coercion in a practice referred to as 'cuckooing'. Victims maybe trafficked to new locations to sell drugs and therefore could be considered to enter the NRM. www.gov .uk/government/publications/ criminal-exploitation-of-children-andvulnerable-adults-county-lines ## Role Of Community Safety Partnerships Serious And Organised Crime Community safety partnerships (CSPs) are statutory partnerships bringing together councils, fire and rescue services, police, health and probation services as responsible authorities. They work together to reduce crime and disorder and anti-social behaviour, reduce reoffending and combat drugs and alcohol misuse. They do this through a range of statutory duties including: • setting up a strategic group to direct the work of the partnership As previously stated, serious and organised crime groups are engaged in modern slavery offences. The Government's Serious and Organised Crime Strategy set out ways of working to tackle this issue locally. The strategy required PCCs to establish local multi-agency groups to tackle serious and organised crime, representatives would be drawn from local authorities, education, health and social care and Immigration Enforcement, amongst others. As a part of the work to tackle serious and organised crime, police forces and the NCA have to produce serious and organised crime local profiles to support multi-agency partners, including councils, to: • regularly engaging and consulting with the community about their priorities and progress achieving them • setting up protocols and systems for sharing information • develop a common understanding among local partners of the threats, vulnerabilities and risks relating to serious and organised crime • provide information on which to base local programmes and action plans • analysing a wide range of data, including recorded crime levels and patterns, in order to identify priorities in an annual strategic assessment • setting out a partnership plan and monitor progress • support the mainstreaming of serious and organised crime activity into day–to-day policing, local government and partnership work • producing a strategy to reduce reoffending • allow a targeted and proportionate use of resources.33 • commissioning domestic violence homicide reviews. CSPs bring together a range of public bodies to assess the crime profiles of their local area, share information and work with local police and crime commissioners (PCCs). The local profile has been used to brief local multi-agency partnerships and other policing and law enforcement teams on the threat from serious and organised crime in their area. The local profile should therefore provide partners with a common understanding of the risks of modern slavery within their own areas. These groups provide an opportunity to share information and to support common activity across partners on modern slavery in their areas to deliver a coordinated approach to disruption and other activities based on local intelligence. PCCs are under a duty to cooperate with community safety partnerships to reduce crime and disorder and re-offending. When a PCC puts together their police and crime plan for their area they must have regard to the priorities of the responsible authorities in their force area, while the CSPs will have to have regard to the objectives in the PCC's police and crime plan when exercising their functions. It is important that people within councils know how, and who, to feed in their concerns around serious and organised crime activities to, and that there is an understanding of the potential risk of modern slavery within these activities. ## Anti-Social Behaviour Councils and their partners may also consider the powers given to them by the Anti-Social Behaviour, Crime and Policing Act 2014 in their disruption activities. Again these powers are best used in a coordinated way across all partners. Disruption activities could include community protection notices for people, businesses or organisations committing types of anti-social behaviour or closure orders to quickly close premises being used or likely to be used to commit nuisance or disorder. These could be used in cases where other approaches have failed. ## Use Of Local Regulatory Services To Identify, Disrupt And Investigate Modern Slavery Earlier sections of this guide have already set out how various council services may encounter victims of modern slavery through their routine work overseeing and supporting local businesses and housing. Alongside their potential role in identifying victims of modern slavery, local regulatory services, and specifically the powers conferred to them, can also be an important tool in seeking to disrupt modern slavery, as they can also be with other forms of serious and organised crime. Local authority regulatory services include Trading Standards, environmental health and licensing, planning, building control and private sector housing, and fire safety. Notably, these services have relatively broad powers of entry that may be exercised where there are concerns about a specific business or premises under a relevant piece of legislation. In prescribed circumstances, authorised officers of the council will be able to: enter into a premises; seize and detain goods and documents; sample products, processes and the environment; require certain actions to be stopped or undertaken; bring legal proceedings, and initiate injunctive actions and seek the recovery of proceeds of crime. The table on page 34 sets out just some of the areas in which councils have powers that may be used to disrupt modern slavery. ## Overview Of Local Regulatory Powers Which May Prove Useful In Disrupting Modern Slavery \| Legislation \| \|----------------------------------\| \| Food Safety and Hygiene \| \| (England) Regulations 2013 \| \| Powers of entry (regulation 16) \| \| Power to seize and detain any \| \| records \| \| Health and Safety at Work Act \| \| 1974 \| \| Powers of entry (section 20) \| \| Request to examine any \| \| document, equipment, premises \| \| or part of them, and detain any \| \| articles or substances \| \| Powers of entry (various \| \| sections under the three Acts) \| \| Some powers afford right of \| \| entry with a warrant, others \| \| without. \| \| • Town and Country Planning \| \| Act 1990 \| \| • Planning (listed Building and \| \| Conservation Areas) Act 1990 \| \| • Hazardous Substances Act \| \| 1990 \| \| • Environmental Protection Act \| \| 1990 \| \| • Housing Act 2004 \| \| Powers of entry under section \| \| 81 and section 239 respectively. \| \| Under the EPA 1990, any \| \| authorised officer may enter a \| \| premises at any reasonable time \| \| for the purposes of ascertaining \| \| whether or not a statutory \| \| nuisance exists, or for the \| \| purposes of taking action. \| \| Under the HA 2004, there is a \| \| requirement to give at least 24 \| \| hours written notice of a visit \| \| unless evidence proves that the \| \| premises is an HMO and that \| \| notice would negate the purpose \| \| of the visit. \| \| Consumer Rights Act 2015, \| \| Schedule 5 \| \| Power of entry (section 23) \| \| Power to seize and detail \| \| goods (section 28) or to retain \| \| documents required as evidence \| \| (section 29) \| \| Source: Cornwall Council \| Authorised officer has the right to enter at any reasonable time upon producing documented authorisation, to ascertain if these has been any breach of the 2013 (or 2002) regulations and to perform functions under the regulations. An authorised officer can be accompanied by any such persons the officer considers necessary. If admission is refused a warrant can be obtained from the magistrates. Authorised officer has the right to enter at any reasonable time upon producing documented authorisation. If obstruction is anticipated, the authorised officer can be accompanied by the police. Section 32 of the Act provides for power to enter a domestic premises with a warrant issued by a justice of the peace. These powers have proved extremely useful in enabling councils and their partners to jointly enter or otherwise target a business or premises suspected of involvement in crimes such as modern slavery and child sexual exploitation. In relation to modern slavery specifically, councils can work collaboratively with partners such as the police, Gangmasters and Labour Abuse Authority (GLAA) and HM Revenue and Customs (HMRC), all of whom have an interest in investigating labour market offences and slavery. The GLAA has recently expanded its remit to include investigating offences in the Employment Agencies Act 1973, National Minimum Wages Act 1998, and the Modern Slavery Act 2015. Their expanded remit provides a number of opportunities for close cooperation with councils in a number of areas. Where a council has concerns about suspected modern slavery in its area (or other criminal activity), it should consider whether a joint operation and investigation with other partners is appropriate. Councils' statutory powers support joint investigations by allowing for the sharing of information in support of the prevention or detection of crime and in support of legal proceedings. The LGA has a memorandum of understanding on data sharing with HMRC which all councils are able to sign up to in order to share and receive data from HMRC. Additionally, the GLAA have a standard data sharing agreement, similar to the LGA-HMRC memorandum, which a number of councils have already signed up to and which is available to other authorities to agree to. ## Cornwall County Council In 2015, Cornwall Council was one of five local authorities which took part in the Cabinet Office's Better Business Compliance pilots, which aimed to trial a different approach to securing better compliance amongst local businesses. Finally, Cornwall has established a formal partnership arrangement, the Serious and Organised Crime Partnership, under the auspices of the Cornwall Safer Communities Partnership to address the threat of serious and organised crime, including modern slavery, child sexual exploitation, terrorism and organised crime groups, etc. Local authority regulators are represented via representatives from Trading Standards and housing. The pilots sought to better identify those businesses that were likely to pose the highest risk of non-compliance and to target interventions to turn the business around or to cease illegal business practices. In Cornwall there was an emphasis on tackling modern slavery and human exploitation. Multi-agency awareness raising training was provided (including an explanation of each agency's roles, remits and powers), joint operations were undertaken (private sector housing, fire service and HMRC), and a mechanism was established for sharing intelligence and incident reports/concerns. Examples of how this arrangement has proved effective include a Trading Standards 'doorstep crime' investigation (with associated entry warrant and record examination) designed to facilitate access to a premises by police officers investigating a potential modern slavery case by diverting the attention of the offender away from the suspected victim. Similar access to restaurants suspected of using modern slavery to provide cheap labour have been arranged in conjunction with environmental health food safety officers and/or fire safety officers. Since the pilot, the council has used other mechanisms to try to tackle modern slavery. The MIGWAG (Migrant Workers Action Group) is a multi-agency approach to tackling human exploitation, modern slavery and unfair/unsafe employment practices. 'Week of action' joint operations are undertaken each year, targeting those businesses (including farms) who tend to employ temporary and non-UK national employees. Councils' and other agencies' powers of entry are used to ensure access to all businesses targeted during these weeks of action. Typically, issues are uncovered concerning unsatisfactory housing conditions, illegal immigration, minimum wage breaches, health and safety/unsafe working conditions, etc. ## Derby City Council The council established an information sharing agreement and multi-agency response team to develop intelligence and undertake operational responses. Not all intelligence will lead to an arrest or police response. The council needed to consider alternative enforcement and disruption powers across the partnership group. Also, there were instances where the intelligence is insufficient and additional actions were needed to understand the potential crime. What did the council do? The council set up a multi-agency response team, bringing together a range of partners to: • identify those individuals who present a serious risk of harm to individuals and communities • identify potential victims of modern slavery • share information in relation to criminal activity, specifically, but not limited to all forms of exploitation • sensitively map vulnerable individuals, businesses and offenders and share information on locations, relationships, needs and concerns • make sure of a joined up multi-agency response to incidents of modern slavery and make sure coordinated responses are made in relation to ◦ ◦enforcement ◦ ◦protection ◦ ◦disruption ◦ ◦ensure vulnerable individuals are referred to the appropriate service and/or agency responsible for meeting their needs ◦ ◦enable the most appropriate action and intervention to be developed and implemented ◦ ◦actions under Pursue and Prevent are intended to reduce the threat from modern slavery crime through disruption and deterrence ◦ ◦actions taken under Protect and Prepare are intended to reduce overall vulnerability to modern slavery, through protecting vulnerable people raising awareness and resilience and improving victim identification and support. To undertake this work the council worked with a wide number of partners including: • Department for Work and Pensions • Derbyshire Constabulary • Derbyshire County Council • Derbyshire Fire and Rescue Service • Gangmasters and Labour Abuse Authority • HM Revenue & Customs • Home Office Immigration Enforcement • The Bishop of Derby. Lessons learned It is critical to establish single points of contact for each service to ensure swift and accurate dissemination of information. In large organisations, it is also critical that investigating officers are aware of agreed processes and directed to engage with partners in planning operations and responses. What has been the impact? Whilst it is early days, the council has seen the team start to develop regular information exchanges and use of partner resources to enhance intelligence. The work to disrupt through non police powers is beginning to be evidenced - such as housing standards interventions. ## Union Street, Plymouth September 2014 Eight men were arrested on suspicion of trafficking persons into the UK for the purpose of labour exploitation during dawn raids at five properties across three neighbourhoods in Plymouth, Devon, as part of Operation Triage. Eight victims were recovered along with thirteen children, all of whom were believed to be linked to the suspects. To experience the story in full, visit: www.thedarkfigure.co.uk ## Public Procurement Overview The abuse of human rights in our supply chains through modern slavery is gaining greater awareness. The United Nations Guiding Principles on Business and Human Rights require that states should promote respect for human rights by the businesses which they transact with; in the UK, the Modern Slavery Act contained a number of provisions around procurement and supply chains. It sought to make supply chains more transparent for consumers and to push for a movement for the eradication of modern slavery from the supply chains of businesses operating in the UK. It requires commercial organisations, turning over in excess of £36 million annually, to report on their efforts to identify, prevent and mitigate the risk of modern slavery in their commercial operations by publishing an annual Slavery and Human Trafficking Statement. Councils should consult with their monitoring officers on their council's position on the Modern Slavery Act 2015 and the accompanying guidance with regards to procurement and supply chains. Further information about modern slavery statements and transparency in supply chains can be found on the Government's website: www.gov .uk/government/uploads/system/ uploads/attachment_data/file/649906/ Transparency_in_Supply_Chains_A_Practical_ Guide_2017.pdf In April 2017, Parliament's Joint Committee on Human Rights recommended that 'If the Government expects business to take human rights issues in their supply chains seriously, it must demonstrate at least the same level of commitment in its own procurement supply chains'. The same can be said of councils. Procurement of services is an important part of councils' expenditure with, local government third party revenue expenditure totalling around £60 billion a year. Councils will therefore want to ensure that the risks of modern slavery within their supply chains are understood, and can show leadership in promoting a human rights approach towards procurement. Councils may also wish to promote an environment where local business and other public bodies are both aware of the potential for modern slavery in their supply chains for goods and services, and able to cooperate on identifying this and responding to it, for example as part of their local economic partnerships. ## Steps Councils Can Take On Procurement There are a wide range of activities councils could engage in to promote human rights, including establishing policies and processes to make sure the council's activities don't harm others and that they conduct business with respect for human rights. Getting started Promoting respect for human rights is not only a compliance issue, it requires action to understand supply chains, identify the risks involved and act upon them. This is what is referred to as human rights due diligence. Councillors can play a key role in ensuring that human rights due diligence is a part of their council's procurement practice through: • gaining organisational commitment Public authorities should work alongside suppliers to tackle the issue. Positive, proactive engagement with suppliers is necessary at all times in order to implement an effective human rights due diligence approach. • promoting supplier engagement • encouraging collaboration. Collaborating with others Understanding and addressing the risks for people working in supply chains is a major task for councils. It is important that councils consider how they can work in collaboration with other councils to have a greater impact and return on resources. Working with other councils on these issues could save resources and maximise the potential for a positive outcome, and will also help as a collective learning experience. Councils should consider when is the best time to look at human rights due diligence. This may not always be during the competitive tendering process, when there may not be enough time to look into a supplier's supply chains. Councils should consider how they can work with and support the market to broaden and deepen competencies in this area as well as encourage a close working relationship with suppliers. Prioritising risks Councils can work to ensure that the risk of modern slavery in each of their supply chains is understood. This is particularly important in areas that will present higher risks for people working in them, such as services in which low pay is prevalent, eg cleaning, security and construction. Procurement staff should be able to recognise these risks. Gaining organisational commitment Many public bodies have clearly defined values and have a strong commitment to sustainable and socially responsible procurement. Councillors may wish to consider how they can reflect human rights due diligence by including policy commitments in social sustainability policies and strategies. They could also consider adopting responsible procurement as a core value, to help ensure that considering the impact of purchasing decisions is at the forefront. Again councils should consider asking staff to collaborate with other councils to engage in supply chain mapping, monitoring of supply chains or factory audits, recognising that only the very largest councils are likely to have the resources to do this individually. Purchasing consortia may provide a route to do this collectively. Awareness training, so that people can identify potential victims of modern slavery, and know what action to take when they are identified is key to ensuring that it can be tackled appropriately. What is supply chain mapping? Supply chain mapping helps build a picture, locating assembly plants, component factories and sources of raw materials. This provides an overall viewpoint from which the risks can be identified - by industry, by source country, or both. Engaging with the council's suppliers Councils should always aim to work with suppliers on human rights due diligence, to ensure that they know what the council's strategy is and that they can work together to tackle the issue and deliver the strategy. Whilst councils may wish to end a contract if issues are discovered this can be counterproductive, as it could move the problem, and could create an atmosphere of fear and concealment in the industry. Monitoring supply chains: Once councils have identified risks in their supply chains they'll need to monitor them for potential violations. In industry and commerce, monitoring supply chains is accepted as a fairly costly activity. Councils will need to consider how they can work and share these costs with other public authorities, with improvements in both efficiency and effectiveness. Monitoring can be both proactive and reactive. What is a factory audit? Factory audits help identify how goods are being produced and provide a snapshot in time of the conditions in a particular factory. Audits have the advantage of systematically gathering information and those that provide the best information on a factory involve independent expert analysis of worker conditions. Responding to human rights abuse in a supply chain Councillors should ensure that their procurement practitioners put in place procedures to monitor performance. Public authorities will need to consider how they respond to reports of human rights abuses in their supply chain. Councillors should ensure that practitioners develop a detailed response plan to deal with issues as they occur. ## Telford And Wrekin Council 1.4. This policy does not form part of any employee's contract of employment and we may amend it at any time. Telford and Wrekin council have developed an Anti-Slavery and Human Trafficking Policy as well as a Modern Slavery Transparency Statement. ## 2. Responsibility For The Policy Telford And Wrekin Council: Anti-Slavery And Human Trafficking Policy 1. Policy Statement 2.1. The council's members and senior management team have overall responsibility for ensuring this policy complies with our legal and ethical obligations, and that all those under our control comply with it. 2.2. The council's service delivery managers have primary and day-to-day responsibility for implementing this policy, monitoring its use and effectiveness, dealing with any queries about it, and auditing internal control systems and procedures to ensure they are effective in countering modern slavery. 1.1. Modern slavery is a crime and a violation of fundamental human rights. It takes various forms, such as slavery, servitude, forced and compulsory labour and human trafficking, all of which have in common the deprivation of a person's liberty by another in order to exploit them for personal or commercial gain. We have a zero-tolerance approach to modern slavery and we are committed to acting ethically and with integrity in all our business dealings and relationships and to implementing and enforcing effective systems and controls to ensure modern slavery is not taking place anywhere in our own business or in any of our supply chains. 2.3. Management at all levels are responsible for ensuring those reporting to them understand and comply with this policy and are given adequate and regular training on it and the issue of modern slavery in supply chains. 2.4. Council employees are invited to comment on this policy and suggest ways in which it might be improved. Comments, suggestions and queries are encouraged and should be addressed to the compliance manager . ## 3. Compliance With The Policy 3.1. All employees must read, understand and comply with this policy. 1.2. We are also committed to ensuring there is transparency in our own business and in our approach to tackling modern slavery throughout our supply chains, consistent with our disclosure obligations under the Modern Slavery Act 2015. We expect the same high standards from all of our contractors, suppliers and other business partners, and as part of our contracting processes, we include specific prohibitions against the use of forced, compulsory or trafficked labour, or anyone held in slavery or servitude, whether adults or children, and we expect that our suppliers will hold their own suppliers to the same high standards. 3.2. The prevention, detection and reporting of modern slavery in any part of the council's business or supply chains is the responsibility of all those working for the council or under its control. Employees are required to avoid any activity that might lead to, or suggest, a breach of this policy. 1.3. This policy applies to all persons working for us or on our behalf in any capacity, including employees at all levels, directors, officers, agency workers, seconded workers, volunteers, interns, agents, contractors, external consultants, third-party representatives and business partners. 3.3. Employees must notify their manager or call the confidential whistle blowing helpline as soon as possible if they believe or suspect that a conflict with this policy has occurred, or may occur in the future. 3.4. Employees are encouraged to raise concerns about any issue or suspicion of modern slavery in any parts of our business or supply chains of any supplier tier at the earliest possible stage. 3.5. Employees should note that where appropriate, and with the welfare and safety of local workers as a priority, the council will give support and guidance to our suppliers to help them address coercive, abusive and exploitative work practices in their own business and supply chains. 3.6. If an employee is unsure about whether a particular act, the treatment of workers more generally, or their working conditions within any tier of our supply chains constitutes any of the various forms of modern slavery, raise it with your manager or through the whistle blowing helpline. 3.7. The council aims to encourage openness and will support anyone who raises genuine concerns in good faith under this policy, even if they turn out to be mistaken. The council are committed to ensuring no one suffers any detrimental treatment as a result of reporting in good faith their suspicion that modern slavery of whatever form is or may be taking place in any part of our own business or in any of our supply chains. Detrimental treatment includes dismissal, disciplinary action, threats or other unfavourable treatment connected with raising a concern. If an employee believes that they have suffered any such treatment, they should report this immediately via the whistle blowing helpline immediately. ## 4. Communication And Awareness Of This Policy 4.1. Training on this policy, and on the risk our business faces from modern slavery in its supply chains, is available via Ollie and will form part of the induction process for all individuals who work for the council, and regular training will be provided as necessary. 4.2. The council's zero-tolerance approach to modern slavery must be communicated to all suppliers, contractors and business partners at the outset of the business relationship with them and reinforced as appropriate thereafter. ## 5. Breaches Of This Policy 5.1. Any employee who breaches this policy will face disciplinary action, which could result in dismissal for misconduct or gross misconduct. 5.2. The council may terminate its relationship with other individuals and organisations working on our behalf if they breach this policy. Telford and Wrekin Council's Transparency Statement is available on their website: www.telford.gov .uk/download/downloads/ id/5287/modern_slavery_transparency_ statement.pdf Another example of a transparency statement is available on Nottinghamshire County Council's website: www.nottinghamshire.gov .uk/media/117112/ modern-slavery-and-human-traffickingstatement-appendix.pdf ## Key Considerations For Councils Councils should consult with their monitoring officers on their council's position on the Modern Slavery Act 2015 and the accompanying guidance with regards to procurement and supply chains. Councils may wish to consider how they can incorporate human rights due diligence within their procurement practices and what opportunities there are for working jointly with other local authorities on some of these issues. Working in conjunction with suppliers and other councils will help to ensure that there is a shared awareness of the issues and commitment to tackling them. This will also enable councils to share resources to deal with some of these issues. Councils should consider what training is required within their councils and who needs to be trained to recognise the issues. It is important to consider what levels of training different people within the council may need and what specialist training may be necessary. Again joining up with other councils may be helpful to consider when looking at training. ## Role Of Partners In Tackling Modern Slavery Overview As has been highlighted throughout this document, the broad nature of the threat of modern slavery means that effective partnership working is key to tackling the issue successfully. Community safety partnerships, local serious and organised crime partnerships, health and wellbeing boards, local strategic partnerships, as well as local safeguarding boards all have a role to play in identifying victims, sharing information, tackling modern slavery and supporting victims. Joint working means that areas are better able to tackle modern slavery through a common understanding of the risk of modern slavery in their area, sharing intelligence and targeting disruption activities effectively. There are some dedicated regional and local partnerships on modern slavery which are already active throughout the country and which may provide training or tools that can be used locally. These are some examples of existing modern slavery partnerships, though this is not an exhaustive list: • East Midlands - East Midlands Strategic Migration Partnership • Hampshire and the Isle of Wight - Modern Slavery Partnership • South East - South East Strategic Migration Partnership • South West - Anti-Slavery Partnership • Wales - Welsh Anti-Slavery Leadership Group • West Midlands - West Midlands Anti- Slavery Network • West Yorkshire - West Yorkshire Anti- Trafficking and Modern Slavery Network. Councils may also wish to consider contacting their Regional Strategic Migration Partnership for more advice or information. In 2017 the Independent Anti-Slavery Commissioner in partnership with the University of Nottingham carried out a research project mapping out multi-agency modern slavery partnerships, identifying a range of local, regional and sub-regional partnerships across the UK. A final report called 'Collaborating for Freedom: anti-slavery partnerships in the UK'34 was published in November 2017 and digital map of all UK modern slavery partnerships has been produced and is publicly available: http://iascmap.nottingham.ac.uk/about.35 It is worth considering how councils can join up across council and police boundaries. Whilst councils will need to think how they can join up with other agencies in their immediate local area, modern slavery and trafficking traverses organisational boundaries, covering wider geographical areas. For instance in county lines exploitation, the victim's home council and the council where the exploitation is taking place may be many miles apart however the issues in tackling it will need both councils to work together. ## Key Partners And Partnership Arrangements There are a number of partners that councils can work with to share information and direct work on tackling modern slavery and supporting victims, including: \| Organisation \| Role \| \|------------------------------------------------------------------------------------\|---------------------------------------------------------------------\| \| Police \| \| \| The police's primary role in tackling modern slavery is to investigate, though \| \| \| local forces may also be involved in a range of preventative activities with \| \| \| partners. \| \| \| Regional Organised Crime Units (ROCUs) are responsible for coordinating and \| \| \| supporting the regional response to serious and organised crime. The police \| \| \| also produce local profiles of the threats to their local areas from serious and \| \| \| organised crime. \| \| \| The police should work jointly with local authority children's social care, and \| \| \| should follow the procedures prepared by their local safeguarding children \| \| \| board and in accordance with Working Together to Safeguard Children: www. \| \| \| gov \| .uk/government/ publications/working-together-to-safeguard-children \| \| Police and crime \| \| \| commissioners \| \| \| The police and crime commissioner (PCC) is a directly elected official \| \| \| responsible for creating a five-year policing plan based on local priorities, \| \| \| appointing the chief constable, deciding the police budget and council tax \| \| \| precept alongside commissioning for survivors of crime and commissioning \| \| \| groups to work on local priorities. \| \| \| The PCC's role is specifically mentioned in the Modern Slavery Strategy. The \| \| \| strategy supported PCCs and chief constables reviewing their approach to \| \| \| tackling modern slavery, ensuring it responds to the local threat and is reflected \| \| \| within their own policing plans and strategies. PCCs can work with community \| \| \| groups on specific projects around the issues, and with community safety \| \| \| partnerships. \| \| \| In January 2016, the PCC for West Yorkshire and Association of Police and \| \| \| Crime Commissioners (APCC) lead for modern slavery and human trafficking, \| \| \| Mark Burns-Williamson, launched the National Anti-Trafficking and Modern \| \| \| Slavery Network. This is a forum for PCCs in England and Wales to specifically \| \| \| focus on human trafficking and modern slavery, raise awareness of the nature \| \| \| and scale of the issue and help enable them to hold their forces to account \| \| \| more effectively on their response to modern slavery crime. \| \| \| Education \| \| \| Schools, colleges, etc may be aware of pupils in their schools who may be \| \| \| vulnerable to being trafficked or exploited through modern slavery. Schools can \| \| \| ensure that pupils have access to information, appropriate advice and support if \| \| \| pupils are considered vulnerable to trafficking or modern slavery. Safeguarding \| \| \| leads in schools should also be aware of the practice and have the ability to \| \| \| deal with trafficking or modern slavery claims. \| \| \| Local criminal \| \| \| justice boards \| \| \| Local criminal justice boards (LCJBs) bring together a number of criminal \| \| \| justice system agencies, including the police, the Crown Prosecution Service, \| \| \| the Courts and Tribunal Service, the Prison Service, probation trusts, and the \| \| \| Youth Offending Service. The role of the LCJB is to coordinate activity and share \| \| \| responsibility for delivering criminal justice in their areas. \| \| \| LCJBs can help to ensure that each part of the criminal justice system works \| \| \| closely on suspected case of human trafficking and modern slavery. \| \| \| Local child \| \| \| safeguarding \| \| \| arrangements \| \| \| The council, NHS clinical commissioning group and police in each local \| \| \| authority area have a responsibility under the Children and Social Work Act 2017 \| \| \| to work together to safeguard and promote the welfare of children in their area. \| \| \| They must also work with any other agencies that they consider relevant within \| \| \| the area to safeguard children. \| \| \| Organisation \| \|-----------------------------------------------------------------------------------\| \| Local enterprise \| \| partnerships \| \| Local enterprise partnerships (LEPs) are voluntary partnerships between \| \| councils and businesses set up to help determine local economic priorities \| \| and lead economic growth and job creation within the local area. \| \| LEPs may provide a forum for raising the issue of modern slavery with a wide \| \| variety of partners, can provide a forum for discussion and maybe able to raise \| \| awareness of the risks of modern slavery in supply chains. \| \| Local strategic \| \| partnerships \| \| Local strategic partnerships (LSPs) are non-statutory bodies, with membership \| \| that includes parts of the public, private, voluntary and community sectors, who \| \| are working in the local area. LSPs encourage different initiatives and services \| \| to support one another and work together more effectively. \| \| LSPs can play a part in information sharing, ensuring that the signs of slavery \| \| are well known in the local area. They may be able to engage in awareness \| \| raising activities. \| \| Health and \| \| wellbeing boards \| \| Health and wellbeing boards produce joint strategic needs assessments \| \| (JSNAs), which analyse the needs of the local population to inform the \| \| commissioning process for health services, and encourage closer working \| \| between health and social care. \| \| Multi-agency \| \| safeguarding hubs \| \| Some local authorities have developed multi-agency safeguarding hubs \| \| (MASHs), which include members from children's social care, the police, health \| \| and education as well as other local partners. MASHs facilitate early information \| \| sharing between agencies to help professionals identify children or vulnerable \| \| adults at risk of harm, and work together to ensure they are effectively \| \| safeguarded. \| \| Children who are at risk of exploitation may be referred to a MASH, and using \| \| the multi-agency protocols the MASH has in place a coordinated and cross- \| \| organisational response to modern slavery referrals can be made. \| \| MASHs may already be doing work with victims of modern slavery through \| \| their work in child sexual exploitation or county lines exploitation. \| ## Other Organisations There are a number of other organisations that work to tackle modern slavery. \| Organisation \| Role \| \|-----------------------------------------------------------------------------------\|------------------------------------------\| \| Gangmasters and \| \| \| Labour Abuse \| \| \| Authority \| \| \| The Gangmasters Licensing Authority was created in 2004 to police labour \| \| \| exploitation, using both its licensing regime and criminal investigations of \| \| \| unlicensed supply of labour. Often unlicensed supply has been used to mask \| \| \| labour exploitation. In the Immigration Act 2016 the GLA was re-formed into the \| \| \| Gangmasters and Labour Abuse Authority (GLAA). As part of this change it was \| \| \| given powers to investigate labour market offences in addition to the offences in \| \| \| the Gangmasters (Licensing) Act 2004. \| \| \| It now has the authority in England and Wales to investigate offences in the \| \| \| Employment Agencies Act 1973, National Minimum Wages Act 1998, and \| \| \| the Modern Slavery Act 2015. It can use the new sanctions of labour market \| \| \| enforcement undertakings and orders to bring about compliance where \| \| \| prosecution is not deemed appropriate. It also has the authority to independently \| \| \| apply for Slavery and Trafficking Risk Orders and Slavery and Trafficking \| \| \| Prevention Orders. To enable it to provide this wider response the GLAA has \| \| \| been granted additional powers under the Police and Criminal Evidence Act \| \| \| 1984, including arrest and search and seizure powers. \| \| \| The GLAA is the UK's specialist labour exploitation inspectorate, recognised as \| \| \| such internationally by the ILO, and which works closely with Europol projects, \| \| \| and other EU labour inspectorates on cross border investigations into alleged \| \| \| labour exploitation. \| \| \| National Crime \| \| \| Agency \| \| \| The National Crime Agency's role is to protect the public from the most serious \| \| \| threats by disrupting and bringing to justice those serious and organised \| \| \| criminals who present the highest risk to the UK. Modern slavery is one of \| \| \| these risks. \| \| \| The NCA's Modern Slavery Human Trafficking Unit (MSHTU) is a multi-agency \| \| \| team. They provide a central point of expertise, support and coordination for the \| \| \| UK's response to modern slavery and the trafficking of human beings working \| \| \| within the UK and internationally \| \| \| They provide updates of the NRM figures as well as publishing the 'National \| \| \| Strategic Assessment of Serious and Organised Crime' including modern \| \| \| slavery: \| \| \| www.nationalcrimeagency.gov \| .uk/publications/807-national-strategic- \| \| assessment-of-serious-and-organised-crime-2017/file \| \| \| Director of Labour \| \| \| Market Enforcement \| \| \| Professor Sir David Metcalf CBE is the current Director of Labour Market \| \| \| Enforcement. \| \| The Director of Labour Market Enforcement is responsible for setting priorities for these enforcement bodies: • Employment Agency Standards Inspectorate (EAS) • Gangmasters and Labour Abuse Authority (GLAA) • HMRC National Minimum Wage (HMRC-NMW). The Director will set a strategy and create an intelligence hub enabling data sharing between the director, enforcement bodies and other bodies with intelligence. ## Essex And Kent Police And Partners Issue Several intelligence reports were received suggesting that there were potential victims of modern slavery on a Traveller family site who may have been subjected to forced labour. Eastern European nationals were reported to be living under inhumane conditions, not being paid, being assaulted, not being fed and working 20 hours a day. The police worked alongside the Department for Work and Pensions, Essex Fire and Rescue Services, HMRC, Immigration Enforcement and the local council to research and develop the intelligence further. The RSPCA were also involved. What did you do? A warrant was secured for a site check to be carried out. It was established that every statutory agency had an interest in the site and the family living there. The warrant was executed and eight Eastern European nationals were found living on the site. Out of the eight, four were a family - a mother and three children in one caravan - and four were men living in two other caravans. The state of the caravans was poor. There were no cooking facilities, there were communal portable shower facilities, there was general waste surrounding the caravans, there were no food storage facilities, no heating facilities, and the site was guarded by dogs. The individuals also did not speak any English and they were reported to have poverty or homelessness present, as well as potential alcohol or drug dependency and debt bondage. The workers reported similar patterns in their recruitment and arrival on the site. Word of mouth had secured the workers a contact that made all the arrangements for the worker's transport into or within UK, their arrival on the site and the working conditions, which included a hot meal a day and cheap accommodation in caravans at £40 a week rent per person. Once on site, Essex Fire and Rescue Service, Immigration teams, the Police and the RSPCA all began talking to all the parties present - this included 14 members of the family as well as the eight Eastern European individuals living on the site and believed to be working for the family. It was established that the eight individuals were not willing to engage with the agencies present and gave very similar answers to questions, which lead to some concerns about the responses being potentially scripted. Only three of the men choose to be spoken to in more detail at the police station where they maintained the answers given on site. Lessons learned The visit helped the partnership to gather useful information for ongoing inquiries and helped to establish the use a partnership approach. It improved understanding of what the different agencies could do to support further action, such as monthly fire service checks to ensure the caravans are to the standard expected if tenants are present. They also ensured that the individuals working on the site are supported by the partners present to ensure they are acknowledged as workers and their rights as such are respected. Following the visit they have been able to carry out a number of visits on other sites that were identified through intelligence sharing across the partners. The multi-agency approach is now standard practice in all site checks, ongoing investigations and in developing new intelligence. What has been the impact? The multi-agency approach has had a positive impact on victim identification and safeguarding and data capture. It has also enabled the use of a range of different specialist powers and investigative options as well as penalties such as restrictions/ audits/fines. It has helped to focus resources purposely and with greater success. ## Annex A Indicators Of Modern Slavery • Being placed in a dependency situation ## Adult Victims General Indicators For Modern Slavery • No or limited access to bathroom or hygiene facilities • Distrustful of authorities • Self identifies • Expression of fear or anxiety • Signs of psychological trauma (including post-traumatic stress disorder) ## Indicators Of Forced Or Compulsory Labour • The person acts as if instructed by another • No or limited access to earnings or labour contract • Injuries apparently a result of assault or controlling measures • Excessive wage reductions, withholding wages, or financial penalties • Evidence of control over movement, either as an individual or as a group • Found in or connected to a type of location likely to be used for exploitation • Dependence on employer for a number of services for example work, transport and accommodation • Restriction of movement and confinement to the workplace or to a limited area • Any evidence workers are required to pay for tools, food or accommodation via deductions from their pay • Passport or documents held by someone else • Imposed place of accommodation • Lack of access to medical care • Found in poor living conditions • Limited social contact/isolation • Limited contact with family • Evidence of excessive working days or hours • Signs of ritual abuse and witchcraft (juju) • Deceived about the nature of the job, location, or employer • Substance misuse • Person forced, intimidated or coerced into providing services • Employer or manager unable to produce documents required when employing migrant labour • Doesn't know home or work address • Perception of being bonded by debt • Employer or manager unable to provide record of wages paid to workers • Money is deducted from salary for food or accommodation • Poor or non-existent health and safety equipment or no health and safety notices • Threat of being handed over to authorities • Any other evidence of labour laws being breached • Threats against the individual or their family members ## Indicators Of Domestic Servitude Spotting The Signs In Children • Living with and working for a family in a private home or place of accommodation A comprehensive list of indicators that could indicate child trafficking or modern slavery is available in the NRM child referral form. There is a wide range of signs to look out for, including: • Not eating with the rest of the family or being given only leftovers, or inadequate food • No private sleeping place or sleeping in shared space for example the living room Contact with others • Receives unexplained phone calls whilst in placement • No private space • Forced to work in excess of normal working hours or being 'on-call' 24 hours per day • Is being cared for by adult/s who are not their parents and the quality of the relationship between the child and their adult carers is not good • Employer reports them as a missing person • Is one among a number of unrelated children found at one address • Employer accuses person of theft or other crime related to the escape • Phone calls or letters from adults outside the usual range of social contacts • Never leaving the house without permission from the employer • Adults loitering outside the child's usual place of residence • Significantly older boyfriend ## Indicators Of Sexual Exploitation • Entering or leaving vehicles driven by unknown adults • Adverts for sexual services offering individuals from particular ethnic or national groups • Sleeping on work premises Contact with authorities • Has not been registered with or attended a GP practice • Has not been enrolled in school • Movement of individuals between brothels or working in alternate locations • Truancy or disengagement with education ## Physical Signs • Shows Signs Of Physical Or Sexual Abuse • Individuals with very limited amounts of clothing or a large proportion of their clothing is 'sexual' • Sexually transmitted infection or unwanted pregnancy • Only being able to speak sexual words in local language or language of client group • Having tattoos or other marks indicating 'ownership' by their exploiters Behaviours • Has a history with missing links and unexplained moves • Has gone missing from local authority care • Person forced, intimidated or coerced into providing services of a sexual nature • Person subjected to crimes such as abduction, assault or rape • Persistently missing for periods of time, staying out overnight or returning late without explanation • Has limited freedom of movement • Someone other than the potential victim receives the money from clients • Performs excessive housework chores and rarely leaves the residence • Health symptoms (including sexual health issues) • Is excessively afraid of being deported • The child has been seen in places known to be used for sexual exploitation • Evidence of drug, alcohol or substance misuse • Leaving home/care setting in clothing unusual for the individual child (inappropriate for age, borrowing clothing from older people) • Care placement breakdown • Pattern of street homelessness • Low self-image, low self-esteem, selfharming behaviour including cutting, overdosing, eating disorder, promiscuity Money • Has to pay off a large 'debt' (eg for travel costs) before having control over own earnings • Is permanently deprived of much of their earnings by another person • Accounts of social activities, expensive clothes, mobile phones or other possessions with no plausible explanation of the source of necessary funding The NRM referral form outlines a comprehensive list of indicators for modern slavery. More information can be found on the Government's website: www.gov .uk/ government/publications/human-traffickingvictims-referral-and-assessment-forms ## Annex B Links To Other Information General Glaa - Labour Exploitation: Spot The Signs www.gla.gov .uk/media/3178/spot-the-signsglaa.pdf The Dark Figure An ongoing photographic project by Amy Romer, which seeks to raise awareness about slavery in Britain by mapping neighbourhoods where such crimes have taken place. www.thedarkfigure.co.uk Modern slavery training: resource page www.gov .uk/government/publications/modernslavery-training-resource-page/modernslavery-training-resource-page Safeguarding Human Trafficking Foundation: Trafficking Survivor Care Standards www.humantraffickingfoundation.org/sites/ default/files/Trafficking%20Survivor%20 Care%20Standards%202015.pdf Home Office: Victims of modern slavery frontline staff guidance (for guidance on identifying potential victims of modern slavery) Criminal exploitation of children and vulnerable adults: County Lines guidance www.gov .uk/government/uploads/system/ uploads/attachment_data/file/509326/victims-ofmodern-slavery-frontline-staff-guidance-v3.pdf www.gov .uk/government/uploads/system/ uploads/attachment_data/file/626770/6_3505_ HO_Child_exploitation_FINAL_web__2_.pdf Home Office: Modern slavery awareness and victims identification guidance Safeguarding children National referral mechanism NRM - guidance for child first responders www.gov .uk/government/uploads/system/ uploads/attachment_data/file/655504/6.3920_ HO_Modern_Slavery_Awareness_Booklet_ web.pdf www.gov .uk/government/uploads/system/ uploads/attachment_data/file/510091/NRM_-_ guidance_for_child_first_responders_v2.0_ EXT .PDF Government's National Strategy on modern slavery ## Nrm Child Referral Form www.gov .uk/government/uploads/system/ uploads/attachment_data/file/383764/ Modern_Slavery_Strategy_FINAL_DEC2015. pdf www.gov .uk/government/publications/humantrafficking-victims-referral-and-assessmentforms United Nations Office on Drugs and Crime have produced a document on human trafficking indicators Safeguarding children who may have been trafficked www.unodc.org/pdf/HT_indicators_E_ LOWRES.pdf www.gov .uk/government/uploads/system/ uploads/attachment_data/file/177033/DFE- 00084-2011.pdf Department for Education Draft guidance on the care of unaccompanied trafficked children • Must know on safeguarding for lead members www.local.gov .uk/sites/default/files/ documents/must-know-lead-membersan-c38.pdf https://consult.education.gov .uk/children-incare/care-of-unaccompanied-and-traffickedchildren/supporting_documents/Revised%20 UASC%20Stat%20guidance_final.pdf • Adult Safeguarding Community of Practice https://khub.net/web/ adultsafeguardingcommunityofpractice London Safeguarding Trafficked Children Toolkit Making safeguarding personal (MSP): provides access to all the reports, tools and resources resulting from the MSP approach: www.ecpat.org.uk/sites/default/files/london_ safeguarding_trafficked_children_toolkit_ feb_2011.pdf www.local.gov .uk/topics/social-care-healthand-integration/adult-social-care/makingsafeguarding-personal Child Sexual Exploitation: definition and guide for practitioners (includes specific guidance around indicators of child sexual abuse) www.gov .uk/government/publications/childsexual-exploitation-definition-and-guide-forpractitioners Mental Capacity Act including Deprivation of Liberty Safeguards: a list of key resources for councils and their partners on implementing the Mental Capacity Act including the Deprivation of Liberty Safeguards Tackling child sexual exploitation: a resource pack for councils www.local.gov .uk/topics/social-care-healthand-integration/adult-social-care/mentalcapacity-act-including-dols www.local.gov .uk/tackling-child-sexualexploitation-resource-pack-councils There are a number of case studies on child sexual exploitation on the LGA's website: The safeguarding adult board locally can be an important source of advice and assistance for example in helping local organisations improve their safeguarding awareness and mechanisms and in sharing practice. www.local.gov .uk/sites/default/files/ documents/CSE%20Case%20Studies%20 Feb%202017.pdf Procurement Protecting Human Rights in the Supply Chain: a guide for public procurement practitioners, ©London Universities Purchasing Consortium, University of Greenwich, Chartered Institute of Procurement and Supply 2017 Safeguarding adults The LGA 's list of safeguarding resources (www. local.gov .uk/topics/social-care-health-andintegration/adult-social-care/safeguardingresources) provides a consolidated list of key safeguarding and includes the following resources for local leaders: https://static.uk-plc.net/library/londonuniversities-purchasing-consortium/ documents/knowledge-lupc---protectinghuman-rights-in-the-supply-chain.pdf Transparency in Supply Chains, etc: A practical guide • Advice and guidance to directors of adults social services https://www.local.gov .uk/ topics/social-care-health-and-integration/ adult-social-care/safeguarding-adviceand-guidance-to-directors-of-adult-socialservices www.gov .uk/government/uploads/system/ uploads/attachment_data/file/649906/ Transparency_in_Supply_Chains_A_Practical_ Guide_2017.pdf • Councillors' briefing: safeguarding adults www.local.gov .uk/topics/social-carehealth-and-integration/adult-social-care/ councillors-briefing-safeguarding-adults ## Acknowledgements We are grateful to those people who assisted with the production of this document through participating in our expert reference group and producing case studies. Adi Cooper, Association of Directors of Adult Social Services (ADASS) Andy Davies, London Universities Purchasing Consortium Annette Hines, London Borough of Greenwich Antony Botting, London Borough of Croydon Chris Spencer, London Borough of Harrow Claire Singers, London Borough of Merton Cristina Gavrilovic, Kent and Essex Police Darryl Dixon, Gangmasters and Labour Abuse Authority (GLAA) David Walker, Nottingham City Council Hilary Paxton, Association of Directors of Adult Social Services (ADASS) James Bullion, Norfolk County Council John Boulter, Hertfordshire County Council Kate Cochrane, Newcastle City Council Liz Mooney, Sandwell Metropolitan Borough Nigel Strick, Cornwall County Council Paul Marshall, Manchester City Council Pop Gill, Derby City Council Rebecca Hurlock, Office of the Police and Crime Commissioner West Yorkshire Stuart Douglass, Sunderland City Council Subcontractors of the Adult Victims of Modern Slavery Victim Care Service for The Salvation Army Local Government Association 18 Smith Square London SW1P 3HZ Telephone 020 7664 3000 Fax 020 7664 3030 Email info@local.gov .uk www.local.gov .uk For a copy in Braille, larger print or audio, please contact us on 020 7664 3000. 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3097-pdf	# Hmrc Tax Transparency Sector Board Special Session Venue: 100 Parliament Street, London Room 2/39 Chancellors Room Date / Time: Friday 4th October 2013 ‐ 10:30 to 12:30pm Attendees: Apologies: Chris Franklin Colin Yeend Dyfed Alsop Johanna Edwards Paul Boyle Paul Maltby Simon Woodside HMRC Jonathan Athow ‐ HMRC ‐ Knowledge, Analysis and Intelligence (KAI) Chair Bill Elmore – HMRC ‐ KAI Data Policy & Co‐ordination Bruce Stewart – HMRC – Customs Directorate Cindy Bell – HMRC ‐ Central Policy Daniele Bega – HMRC ‐ KAI Data Policy & Co‐ordination James Templeton – HMRC Business Customer and Strategy John Fegan ‐ HMRC ‐ Security and Information Kevin Sams – HMRC – Customs Trade Statistics Ian Parfitt – HMRC ‐ KAI Data Policy & Co‐ordination Mike Hawkins – HMRC ‐ KAI Data Policy & Co‐ordination Sandra Tudor – HMRC – Customs Trade Statistics Executive agencies Adrian Ball ‐ Valuation Office Agency (VOA) Other Government Departments Ed Parkes ‐ Cabinet Office (CO) External representatives Andrew Sheffield ‐ Experian Chris Taggart – OpenCorporates (OC) Dominique Lazanski – Open Data User Group/Taxpayers Alliance (TPA) Fiona Armstrong ‐ Economic & Social Research Council (ESRC) Jonathan Shaw ‐ Institute for Fiscal Studies (IFS) Judith Jones – Information Commissioners Office (ICO) Keith Dugmore ‐ Demographics User Group (DUG) Melanie Hosker – Equifax Peter Fanning ‐ Chartered Institute of Taxation (CIOT) Rory Meakin ‐ Taxpayers Alliance (TPA) Richard Wild ‐ Chartered Institute of Taxation (CIOT) / BDO Stephen Herring ‐ Institute of Directors (IOD) 1. Welcome and introductions (Jonathan Athow ‐ HMRC ‐ Knowledge, Analysis and Intelligence) - Jonathan Athow (Chair) welcomed everyone to the HMRC Tax Transparency Sector Board. 2. Update on the VAT register public consultation: (James Templeton – HMRC Business Customer and Strategy) - HMRC provided an update on the public consultation on the VAT Register that closed on 24 September 2013. - So far, about 50 responses have been received, providing views that can be clustered around three strands: ‐ One group of respondents agreed that HMRC should be able to share this information with specific third parties with a view to secure wider public benefits ‐ A second group felt that a release should be open, and that privacy implications were important and needed to be reflected in shaping the disclosure. ‐ A third group was opposed to any form of data release, either on principle or because of skepticism about potential benefits. - HMRC said they intended to publish a response to the public consultation in the autumn Discussion - The Chartered Institute of Taxation suggested dialog with organisations that will be mostly affected by the release of the VAT Register. CIOT also recommended involving the banking sector in any initiative, as key players in the credit lending environment. - HMRC confirmed that they will take into account the views of various credit providers. - OpenCorporates suggested a staged release for the VAT Register, starting with publishing information on incorporated businesses, where privacy issues are less of a concern and moving gradually to include the rest of the population. - HMRC agreed to look into this. - Cabinet Office asked how the consultation would shape advice for ministers and if there would be an opportunity to see the content of the response to the consultation before release. - HMRC stated they would share findings from the consultation with the group and take account of views from the Tax Transparency Sector Board when preparing advice to Ministers and senior officials. - CIOT advised to use HMRC's online systems to engage with people affected by the release. ## 3. Trade Statistics Overview By Hmrc (Kevin Sams – Hmrc – Customs Trade Statistics) - HMRC collects trade in goods declarations from businesses through: o Intrastat – EU transactions o CHIEF – Non EU transactions - Trade statistics are published on a monthly basis on www.uktradeinfo.com . The newly designed website won the Royal Statistical Society's 2013 Excellence in Official Statistics Award. - The site provides a facility to customise analyses of the data and allows downloading versions of the Overseas Trade Statistics datasets and importers details, as open data. - Aggregated information on imports and export is also delivered to: o Eurostat o The ONS for the production of Balance of Payments and National Accounts. - Legislation for publishing data: o Commissioners for Revenue and Customs Act (CRCA) 2005. Section 18 Confidentiality : (1) Revenue and Customs officials may not disclose information which is held by Revenue and Customs in connection with a function of the Revenue and Customs. (3) Subsection (1) is subject to any other enactment permitting disclosure. o European Regulation (EC) no 223/2009. Article 18 allows the dissemination of European trade statistics. Article 20, allows dissemination applying the 'passive confidentiality' principle o European Regulation (EC) No 1982/2004 (IP). Article 13a allows dissemination of annual statistics on trade by business characteristics. o Finance Act 1988 Section 8 (3) allows the release of names and addresses of persons of Non EU imported goods by classification. This does not cover Exporters. 4. HMRC led discussion on CHIEF (Customs Handling of Import and Export Freight ‐ Bruce Stewart & Sandra Tudor ‐ HMRC ‐ Customs Directorate) - HMRC clarified that CHIEF was not a database but a processing system. The major function of CHIEF is to manage the data behind import and export movements and calculate revenues due on those movements - The system records the movement of goods by land, air and sea. It allows importers, exporters and freight forwarders to complete customs formalities electronically and automatically checks for entry errors. - Businesses are required to submit a declaration if they import or export from Non EU countries. Over 50 boxes are requested on the customs declaration (using the Single Administrative Document form ‐ SAD). - Not all boxes are completed depending on the import/export customs regime. Some information is only for customs administration or Statistical purposes, feeding into the Trade Stats described above. - Traders have the option to go onto? the Trusted Trader database, allowing for customs simplified procedures. - CHIEF will be replaced in 2017. There are a number of developments which will come into force, which are currently being discussed, with the aim to de‐regulate/streamline the process. AP11 04.10.13 - The Chair suggested to have more detailed discussions on data requirements on CHIEF with Cabinet Office at a later date Discussion - In response to a question from the Institute of Directors on the drivers for publishing this information, HMRC highlighted EU legal requirements and UK Government/BIS commitment to increase the number of UK business exporting. - Cabinet Office requested a follow‐up discussion to understand whether data from CHIEF can be used to develop a system similar to Panjiva. This is a U.S. based database relying on customs data made public by the U.S. government on global suppliers – "A Google for Finding Suppliers". - OpenCorporates asked whether CHIEF and Intrastat overlapped and whether there had been any plans of merging the systems. - HMRC responded that for analytical purposes the two datasets were combined for companies trading in both systems. Anonymised information has also been made available in the Datalab. However, it was pointed out that Intrastat only included information on large exporters. ## 5. Access To Valuation Office Data (Adrian Ball ‐ Valuation Office Agency (Voa)) - The VOA opened by pointing out that their business model for sharing information with the general public is quite recent. In the last three years, VOA had progressed from 1 analyst to 25, responsible for the publication of a wide range of National Statistics tables including: o Business Rates o Council Tax Challenges, Changes, Property Attributes, Summary tables for England and Wales o Non Domestic Rates summary o Private rental market for England o Generation of Housing Price Elements for ONS - VOA also regularly releases online individual data on : o Non domestic rating o Council Tax o Rent Register and Rent Officers - Upon payment of fees (£1,000‐£2,000), they also release national datasets on Non domestic rates under an Open Government Licence. - The VOA operates under the same legislation as HMRC's, the Commissioners for Revenue and Customs Act 2005. - Going forward, the VOA is planning to develop an Open Data Strategy, promoting a culture to release information where possible, reducing costs and looking for efficiencies. Longer term, the VOA will conduct a systematic review of what datasets can published – aiming to release more information. Discussion - The Demographics Users Group enquired whether the VOA were taking steps towards standardising address files to have common properties. - The VOA stated that key part of their strategy involves being able to make the system more efficient, looking into changing keying systems and working with the National Address Gazetteer to create a national unique property number. - The Taxpayers Alliance asked whether there was any difference between Business Rates and Non Domestic Rates information. - The VOA clarified that the systems were the same and the term Non Domestic Rates formed part of old VOA legacy and should not be used. - OpenCorporates asked how much money the VOA cost recovery model brought in. They mentioned some discussions they had with representatives from the Belgian Government, highlighting that the money generated through their cost recovery was the same as their cost for supplying the information. - The VOA stated that they did not hold information on their cost recovery, but that they highlighted that these costs had been significantly reduced in the last few year and they were looking to get these down to zero. - Cabinet Office pointed out that price paid on sale or transfer of property datasets was already provided by Land Registry for free in open format. - VOA mentioned that some of their information came from the Land Registry and that the two organisations were working closely to ensure sensible data structures. - Cabinet office were also concerned that data, at present, only allowed individual searches but not bulk downloads. - VOA said they were looking at future developments to their IT platform to make it more data driven and currently scoping to develop new systems - The Institute of Directors asked whether there were any opportunities to fast track the release of data on non domestic properties and number of small organisations? - VOA confirmed that they were currently involved in meetings to understand the best way to release this information. AP12 04.10.13 - HMRC suggested that Cabinet Office and VOA held discussions to develop options on the release VOA data going forward ## 6. National Information Infrastructure (Guidance)/ Nii) (Ed Parkes ‐ Cabinet Office (Co)) - In the Government Response to the Shakespeare Review of June 2013, the Government set out its aim to create a National Information Infrastructure (NII). - Since then Cabinet Office have been developing a collaborative process for identifying Government data that could be potentially released as open data. - The first step of the NII has included identifying and maintaining an inventory of data held by Government: prioritising data to be included in the NII; and supporting organisations to release data. - This exercise resulted in the release of an inventory of over 3,200 datasets on data.gov.uk. - At the end of October 2013, 60 Governments will be meeting as part of the Open Government Partnership. As part of this initiative the UK will review the commitments made in the Action Plan that was released in September 2011 and highlight further datasets being considered for release under transparency. Discussion - HMRC highlighted that there are some barriers to making the information available, which should be communicated to the general public - OpenCorporates remarked that www.data.gov.uk would be good platform to inform the general public/Other Government Departments about the information that is available. - Chartered Institute of Taxation stressed the importance that any policy changes introduced by HMT took into considerations practical implications, underlining that, as tax evolves, more demands arise on HMRC's data collection and administration. - The Institute of Directors asked whether there was any plan to make information on the calculations surrounding the Budget book available to the general public. - HMRC said that information surrounding Budget calculations was released on the Tax Information and Impact Note (TIIN), however, there were some constraints on some of the information that can be released publicly. ## 7. Aob And Summary - OpenCorporates asked about the practical, political and philosophical restrictions to publishing the Gift Aid paid to charities. In particular, they highlighted that Gift Aid required matching grant to charities and that the transfer of money to a charity did not contain any personal data. - HMRC agreed to discuss this topic as an agenda item for future tax transparency sector board meetings, while noting that the Commissioners for Revenue and Customs Act does not distinguish between data relating to identifiable individuals and data relating to identifiable charities. - The Chair thanked the participants for their contributions. Next meeting: Monday 3rd February 2014 ‐ 14:00 to 16:00 (Room 2/39 Chancellors Room ‐ 100 Parliament Street London SW1A 2BQ)	en
1905-pdf	## Nacap National Asthma And Chronic Obstructive Pulmonary Disease Audit Programme (Nacap) COPD clinical audit 2017/18 (people with COPD exacerbations discharged from acute hospitals in England and Wales between September 2017 and 2018) ## Clinical Audit Report Published May 2019 In association with: Commissioned by: The Royal College of Physicians The Royal College of Physicians (RCP) plays a leading role in the delivery of high‐quality patient care by setting standards of medical practice and promoting clinical excellence. The RCP provides physicians in over 30 medical specialties with education, training and support throughout their careers. As an independent charity representing over 36,000 fellows and members worldwide, the RCP advises and works with government, patients, allied healthcare professionals and the public to improve health and healthcare. Healthcare Quality Improvement Partnership (HQIP) The National Asthma and Chronic Obstructive Pulmonary Disease (COPD) Audit Programme (NACAP) is commissioned by the Healthcare Quality Improvement Partnership (HQIP) as part of the National Clinical Audit (NCA) Programme. HQIP is led by a consortium of the Academy of Medical Royal Colleges, the Royal College of Nursing and National Voices. Its aim is to promote quality improvement, and in particular, to increase the impact that clinical audit, outcome review programmes and registries have on healthcare quality in England and Wales. HQIP holds the contract to commission, manage and develop the National Clinical Audit and Patient Outcomes Programme (NCAPOP), comprising around 40 projects covering care provided to people with a wide range of medical, surgical and mental health conditions. The programme is funded by NHS England, the Welsh government and, with some individual projects, other devolved administrations and crown dependencies www.hqip.org.uk/national-programmes. National Asthma and Chronic Obstructive Pulmonary Disease (COPD) Audit Programme NACAP is a programme of work that aims to improve the quality of care, services and clinical outcomes for patients with asthma and COPD in England, Scotland and Wales. Spanning the entire patient care pathway, NACAP includes strong collaboration with asthma and COPD patients, as well as healthcare professionals, and aspires to set out a vision for a service which puts patient needs first. To find out more about the NACAP visit: www.rcplondon.ac.uk/nacap. COPD: clinical audit 2017/18 This report was prepared by the following people, on behalf of the COPD advisory group (the full list of members can be found on the NACAP resources page: www.rcplondon.ac.uk/nacap-resources). Professor John Hurst, COPD clinical lead, NACAP, Care Quality Improvement Department (CQID), RCP, London; and professor and honorary consultant in respiratory medicine, University College London/Royal Free London NHS Foundation Trust, London. Ms Viktoria McMillan, programme manager, NACAP, CQID, RCP, London. Ms Kajal Mortier, project manager, NACAP, CQID, RCP, London. Mr Liam Shanahan, project manager, NACAP, CQID, RCP, London. Ms Myriam Moussaif, programme coordinator, NACAP, CQID, RCP, London. Mr Alex Adamson, research assistant in medical statistics, National Heart & Lung Institute, Imperial College London. Mr Philip Stone, research assistant in statistics/epidemiology, National Heart & Lung Institute, Imperial College London. Dr Jennifer Quint, analysis lead, NACAP, CQID, RCP, London; reader in respiratory epidemiology, National Heart & Lung Institute, Imperial College London; and honorary respiratory consultant, Royal Brompton and Imperial NHS Trusts. Professor C Michael Roberts, senior clinical lead, NACAP, CQID, RCP, London; consultant integrated respiratory care, The Princess Alexandra NHS Trust; and clinical academic lead for population health, UCL Partners. Citation for this document: Hurst J, McMillan V, Mortier K, Shanahan L, Moussaif M, Adamson A, Stone P, Quint J, Roberts CM. National Asthma and Chronic Obstructive Pulmonary Disease Audit Programme (NACAP). COPD clinical audit 2017/18 (people with COPD exacerbations discharged from acute hospitals in England and Wales between September 2017 and 2018). Clinical audit report. London: RCP, May 2019. Royal College of Physicians Care Quality Improvement Department 11 St Andrews Place, Regent's Park London NW1 4LE Registered charity no 210508 www.rcplondon.ac.uk/nacap @NACAPaudit #COPDAudit #COPDauditQI Contents Report at a glance ................................................................................................................................... 4 How to use this report ............................................................................................................................ 5 Foreword by John Hurst, COPD audit clinical lead.................................................................................. 7 Key findings and quality improvement priorities ................................................................................... 8 Section 1: General information .......................................................................................................... 8 Section 2: Provision of timely care ..................................................................................................... 9 Section 3: Oxygen ............................................................................................................................. 10 Section 4: Non-invasive ventilation (NIV) ......................................................................................... 10 Section 5: Spirometry ....................................................................................................................... 12 Section 6: Smoking ........................................................................................................................... 13 Section 7: Dyspnoea, eosinopenia, consolidation, acidaemia and atrial fibrillation (DECAF) score 15 Section 8: Discharge processes ......................................................................................................... 15 Recommendations ................................................................................................................................ 16 Appendix A: NICE Quality standard [QS10] - Chronic obstructive pulmonary disease in adults ......... 17 Appendix B: NICE guideline [NG115] - Chronic obstructive pulmonary disease in over 16s: diagnosis and management .................................................................................................................................. 19 Appendix C: British Thoracic Society (BTS) Quality Standards for acute NIV in adults ......................... 22 Appendix D: Document purpose ........................................................................................................... 23 Appendix E: References ........................................................................................................................ 24 Report at a glance How to use this report The purpose of this report is to outline the key messages and recommendations from NACAP's latest round of the COPD clinical audit.* The COPD clinical audit, which captures the process and clinical outcomes of treatment in patients admitted to hospital in England and Wales with COPD exacerbations, launched on 1 February 2017. This report, which is the second report post-launch of continuous data collection, presents the results of the cohort of patients discharged between 14 September 2017 and 30 September 2018. Key process measures included in this report are provision of timely review by a member of the respiratory team, oxygen prescription, provision of noninvasive ventilation, spirometry, recording of smoking status and prescription of smoking cessation pharmacotherapy, DECAF scores (an indicator of the risk of mortality in hospital) and discharge processes. Key short-term outcome measures included in this report are length of stay and inpatient mortality. Comparisons to the results of the 2017 report (www.rcplondon.ac.uk/working-together) have been provided where appropriate. However, it should be noted that in 2017, in order for the report to be published in line with the National COPD Audit Programme's contract end date, the data were extracted prior to completion of a full year of data collection. Consequently, the 2017 report presented the results of a slightly truncated patient cohort (patients discharged over a 7.5 month period between 1 February and 13 September 2017). In late 2019 / early 2020, an addendum to this report will be published detailing the longer-term outcomes of this patient cohort, namely 30- and 90-day mortality and hospital readmission rates.† Together, this report and its addendum will provide a comprehensive picture of the care provided to patients admitted to hospital with exacerbations of COPD and what happens after they are discharged. This report's audience includes healthcare professionals; NHS managers, chief executives and board members; service commissioners; policymakers and voluntary organisations. A separate report has been produced for patients and the public and is available at: www.rcplondon.ac.uk/copd-2017-18. Key indicators, presenting results for England, Wales and both countries combined have been highlighted at the top of some of the sections of the report. These were selected based on national guidelines and standards. The indicators are the same as those presented in the nationally benchmarked results table in the data analysis and methodology report (see paragraph below for more information on this report). References to the appropriate National Institute for Health and Care Excellence (NICE) quality standards1,2 (Appendix A), clinical guidelines3 (Appendix B) and British Thoracic Society (BTS) non-invasive ventilation (NIV) quality standards4 (Appendix C) are inserted throughout the key findings. The report also highlights the top three areas for quality improvement (QI) in 2019, and providers and commissioners should consider how these might best be delivered locally to the benefit of patients and the system. A separate data analysis and methodology report is available at: www.rcplondon.ac.uk/copd-2017- 18. It contains the following:  The full data analysis is presented with England, Wales and both countries combined results in tables and figures, with explanatory notes throughout. Although these data are available to the interested reader, it is not necessary to review them to appreciate the key messages.  Nationally benchmarked results for participating hospitals. The indicators have been selected based on national guidelines and standards.  Appendices, including the methodology for the audit. Provider level audit data will also be made publicly available on www.data.gov.uk, in line with the government's transparency agenda. Copies of our datasets, our good practice repository and all other resources can be found via our website: www.rcplondon.ac.uk/nacap-copd-resources. ## Foreword By John Hurst, Copd Audit Clinical Lead COPD is common, and exacerbations are burdensome both to people affected by the condition and to health services.5,6 There is a long history of the audit of COPD care in the UK, dating back to 1997.7,8 The COPD audit programme was transformed in February 2017 with the move to continuous audit, associated with real-time feedback of data to individual clinical teams allowing them to develop local quality improvement (QI) initiatives. We are now realising the benefits of this change: the data contained in this report represent an improvement in the quality of care received by people admitted to hospital with COPD exacerbations, and are a vindication of the hard work and dedication provided by multi-professional clinical teams across England and Wales. Thank you to everyone who has been involved in delivering this audit on the ground. The improvements here represent your hard work. This is the second report since the move to continuous audit, and contains data on 74,645 admissions across 179 hospitals in England and Wales. The median case ascertainment across both countries for the period 1 April 2017 to 31 March 2018 was 54.0%. Based on a median length of stay of 4 days, this means clinical teams were responsible for caring for patients admitted with COPD for a total of approximately 600,000 bed days this year.‡ Let's be clear: we have a lot more to do. We aspire for the care delivered for every admission of COPD to meet recognised standards and guidelines regardless of where or when the admission takes place. The care delivered both within and between hospitals remains variable. The recording of diagnostic spirometry remains poor (just 40.5%). Support for smoking cessation is improving, however, only 67.1% of smokers were offered smoking cessation pharmacotherapy at a time where access to services is challenging. The proportion of people being treated with acute non-invasive ventilation (NIV) is 10.3%, yet of those that receive NIV only 21.0% receive it within 2 hours of arrival§ despite the fact that late NIV is associated with longer length of stay. Consequently, timely NIV, spirometry and smoking cessation support remain our improvement priorities for 2019. We should, however, pause to celebrate improvements in access to timely specialist care with 64.0% of patients seen by a respiratory specialist within 24 hours, and a reduction in the median time for this review (15 hours). This matters; the report provides evidence that seeing a specialist within 24 hours is associated with a reduction in inpatient mortality, increased use of smoking cessation pharmacotherapy and increased use of discharge bundles. In other good news, 67.2% of patients in this cohort received a discharge bundle. Such evidence provides a strong argument for investment in audit for those hospitals struggling to secure assistance, and investment in acute respiratory services. Together we are improving the care of people with COPD and by continuing to work together we can embed these improvements and improve outcomes and experience further. Our patients deserve it. ## Key Findings And Quality Improvement Priorities Section 1: General Information To see the data analysis in full, please access the data analysis and methodology report available at www.rcplondon.ac.uk/copd-2017-18 Median length of stay ## Admission And Demographics  A higher proportion of COPD admissions were females (53.3%) (51.3% in 2017).  The median age at admission was 73 years, which remains unchanged since 2017.  The highest proportion of COPD admissions were from the most deprived areas in England (34.2%) and Wales (39.2%) compared with 33.1% and 38.4% respectively in 2017.  The median time from arrival to admission was 3.9 hours (3.4 hours in 2017).  There were more admissions for COPD during weekdays than at weekends with the busiest admission period across the week falling on a Monday between 2pm and 8pm. ## Length Of Stay  The median length of stay for admissions remained the same at 4 days. ## Inpatient Mortality  Inpatient mortality remained stable at 3.8% compared with 3.9% reported in 2017. This outcome measure is reported as it is a proxy for the provision of quality care.9 ## Case Ascertainment  The median case ascertainment for the period 14 September 2017 to 30 September 2018 was 53.7%.†† Possible reasons why this figure is lower than may be expected include: o Patients with COPD tend to be admitted across the hospital, rather than solely to respiratory wards. This can make local case identification challenging. o The volume of admitted cases (over 140,000 per annum10) is high, which poses a considerable administrative challenge for local teams to enter into the audit. o Local coding procedures which can make retrospective case identification difficult, such as potential over-coding of COPD admissions (falsely reducing case ascertainment) due to the frequent overlap between respiratory tract infections (eg pneumonia) and COPD exacerbations. ## Section 2: Provision Of Timely Care To see the data analysis in full, please access the data analysis and methodology report available at www.rcplondon.ac.uk/copd-2017-18 86.2% of admissions were reviewed by an acute physician of grade specialty trainee 3 (ST3) or above (compared with 82.3% in 2017). 84.7% of admissions were reviewed by a member of the respiratory team compared with  The median time from admission to respiratory team review was 15.0 hours (16.2 hours in 2017).  Respiratory team review was associated with: o inpatient mortality; patients who received a specialist review were 14% less likely to die as an inpatient compared with those who did not receive a review within 24 hours. o smoking cessation pharmacotherapy; smokers who received a specialist review at any time during their admission were over six times more likely to be offered smoking cessation pharmacotherapy compared with those who did not receive a review. o discharge bundles; patients who received a specialist review were over 30 times more likely to receive a discharge bundle compared with those who did not receive a review.  Respiratory team review within 24 hours had an impact on: o oxygen prescription; patients who received a specialist review within 24 hours and required oxygen were 65% more likely to receive it compared with those who received a review after 24 hours. o smoking cessation pharmacotherapy; smokers who received a specialist review within 24 hours were 2.5 times more likely to be offered smoking cessation pharmacotherapy compared with those who received a review after 24 hours. o discharge bundles; patients who received a specialist review within 24 hours were nearly six times more likely to receive a discharge bundle compared with those who received a review after 24 hours. ## Section 3: Oxygen To see the data analysis in full, please access the data analysis and methodology report available at www.rcplondon.ac.uk/copd-2017-18 ## Section 4: Non-Invasive Ventilation (Niv) To see the data analysis in full, please access the data analysis and methodology report available at www.rcplondon.ac.uk/copd-2017-18 If the patient received acute treatment with NIV, was it received within 2 hours of arrival? 1 QI priority: Ensure that all patients requiring NIV on presentation receive it within 120 minutes of arrival for those patients who present acutely. (BTS NIV QS4) Rationale: Timely NIV is associated with reduced length of stay. Patients admitted with respiratory acidosis are the sickest with high mortality.11 There remains significant variability in the speed at which hospitals administer NIV that is unexplained, suggesting that it relates to process of care. ## Case Study: Pinderfields Hospital (Mid Yorkshire Hospitals Nhs Trust)  Since the launch of the continuous audit in February 2017, two of the respiratory services at Mid Yorkshire Trust have merged (Dewsbury and District Hospital and Pinderfields General Hospital).  This has meant that all patients requiring acute treatment with NIV are cared for in a dedicated acute care unit rather than just on the respiratory ward, as previously at Dewsbury and District Hospital.  The acute care unit has increased from 11 to 14 beds and is led by a 7-day respiratory consultant service with a high nursing ratio.  There has also been a change to include a 24-hour respiratory consultant on-call service.  Daily respiratory ward rounds take place on the medical admission units.  An NIV checklist for patients is available on hospital intranet A&E guidelines. Tips to achieve this priority:  Ensure close working relationships with accident and emergency (A&E) and acute medicine teams.  Have a dedicated respiratory contact to call for patients requiring assessment for NIV.  Use the data from the audit to develop local QI projects to understand local challenges and test methods for mitigating against these. ## Section 5: Spirometry To see the data analysis in full, please access the data analysis and methodology report available at www.rcplondon.ac.uk/copd-2017-18 Was a spirometry result available for the patient? Rationale: The diagnosis of COPD can only** be made using quality assured post-bronchodilator spirometry. (NICE [QS10] statement 1) In someone admitted to hospital with symptoms suggestive of a COPD exacerbation, access to diagnostic spirometry provides assurance that COPD is the correct underlying diagnosis, or excludes COPD prompting consideration of other diagnoses. Tips to achieve this priority:  Ensure close working links between hospital, community and primary care teams to facilitate sharing and access to spirometry results.  Conduct pre-discharge spirometry thus providing the opportunity to confirm or exclude airflow obstruction in people with no available spirometry.  Spirometry results should be accessible from routine clinical stations and computers.  Keep a record of previous spirometry results such that the information on patients being readmitted is easy to locate. Case study: Royal Bournemouth Hospital (The Royal Bournemouth and Christchurch Hospitals NHS Foundation Trust)  Every patient has their notes reviewed checking for recent spirometry.  If there is no spirometry available or the spirometry is inconclusive, the team are able to access inpatient spirometry via the lung function test department or the integrated respiratory service.  There has been a big focus on teaching activities locally to ensure that the diagnosis of COPD has been made with spirometry. ## Section 6: Smoking To see the data analysis in full, please access the data analysis and methodology report available at www.rcplondon.ac.uk/copd-2017-18 admission (61.0% in 2017). 3 QI priority: Ensure that all current smokers are identified, offered, and if they accept, prescribed smoking cessation pharmacotherapy. (NICE [NG115] 1.2.3, 1.2.4) Rationale: Although the recording of smoking status has improved, the prescribing of smoking cessation pharmacotherapy remains poor. It is higher when the patient is seen by a respiratory specialist. Smoking cessation is the only intervention applicable to everyone with COPD that has a proven mortality benefit. ## Case Study: Queen Alexandra Hospital (Portsmouth Hospitals Nhs Trust)  Since September 2017 Queen Alexandra Hospital has had a designated COPD specialist team of nurses and physiotherapists who aim to review those admitted with an exacerbation of COPD within 24 hours of admission and ensure they are receiving optimal treatment.  All current smokers (including those who have smoked in the last 6 weeks, or who use an ecigarette/vape) receive very brief advice (VBA)* on smoking and are offered nicotine replacement therapy (NRT) for use during their stay in hospital.  NRT is prescribed according to a trust NRT drug therapy guideline which assesses dependency and guides choice of single or dual NRT products.  Also, as part of the COPD discharge bundle, appropriate patients receive further VBA and are offered the opportunity to be referred to their local smoking cessation service.  Patients are discharged with a 2-week supply of NRT if they have agreed to a prescription during their hospital stay.  Local smoking cessation services often contact the patient within 24 hours of referral being sent. opportunistically in less than 30 seconds in almost any situation with a smoker. Tips to achieve this priority:  Take the opportunity at the time of hospital admission, a significant event, to emphasise the importance of smoking cessation.  Ensure smoking cessation pharmacotherapy is on the hospital formulary.  Provide early smoking cessation follow up for smokers who have successfully started a quit attempt during the admission. ## Section 7: Dyspnoea, Eosinopenia, Consolidation, Acidaemia And Atrial Fibrillation (Decaf) Score To see the data analysis in full, please access the data analysis and methodology report available at www.rcplondon.ac.uk/copd-2017-18  The DECAF score is a predictor of mortality in patients hospitalised with an acute exacerbation of COPD. It combines the five strongest predictors of mortality (extended Medical Research Council dyspnoea score, eosinopenia, consolidation, acidaemia and atrial fibrillation) and may assist clinical decision making with regard to hospital discharge, escalation of care or early discussion of palliative care.12  A DECAF score was recorded in 17.5% of admissions compared with 14.5% reported in 2017.  The DECAF score was originally included as a dataset item to allow case mix adjustment. However as the score was so poorly completed it could not be used in this way. To see the recorded DECAF scores please refer to the data analysis and methodology report. ## Section 8: Discharge Processes To see the data analysis in full, please access the data analysis and methodology report available at www.rcplondon.ac.uk/copd-2017-18 The lowest number of discharges took place on a weekend (8.3% on Saturdays and 6.4% Follow up the dataset (18.8% in 2017). ## Recommendations For Providers We defined three key QI priorities for 2018. They were chosen on a strong evidence base for their effectiveness in improving outcomes. These priorities still stand as there is still further improvement required: 1. QI priority 1:** Ensure that all patients requiring NIV on presentation receive it within 120 minutes of arrival for those patients who present acutely. (BTS NIV QS4) 2. QI priority 2: Ensure that a spirometry result is available for all patients admitted to hospital with an acute exacerbation of COPD. (NICE [NG115] 1.1.4, NICE [QS10] statement 1) 3. QI priority 3: Ensure that all current smokers are identified, offered, and if they accept, prescribed smoking cessation pharmacotherapy. (NICE [NG115] 1.2.3, 1.2.4) ## For Commissioners / Health Boards / Sustainability And Transformation Partnerships (Stps) And Integrated Care Systems (Icss) 1. Ensure all acute trusts/units are taking part in the audit, and using audit data to support QI. There should be sight of this at board level. 2. Support working across traditional primary, community and secondary care boundaries to facilitate information sharing of spirometry results therefore enabling seamless care. 3. Invest in high-value interventions with robust evidence of benefit in COPD, notably smoking cessation services and pulmonary rehabilitation†††. ## For Primary Care 1. Support data sharing across primary, community and secondary care teams, notably in the provision of diagnostic spirometry. ## For People Living With Copd And Their Families And Carers 1. For these recommendations please view the patient-specific report that can be downloaded here: www.rcplondon.ac.uk/copd-2017-18 Appendix A: NICE Quality standard [QS10] - Chronic obstructive pulmonary disease in adults Please note, in 2016 this quality standard was updated and statements prioritised in 2011 were either updated [2011, updated 2016] or replaced [new 2016]. To see the full quality standard please use the following link: www.nice.org.uk/guidance/qs10. \| No. \| \|-----------------------------------------------------------------------------------------\| \| 1 \| \| \| \| People aged over 35 years who present with a risk factor and one or more symptoms of \| \| COPD have post-bronchodilator spirometry. \| \| \| \| [2011, updated 2016] \| \| \| \| 2 \| \| \| \| People with COPD who are prescribed an inhaler have their inhaler technique assessed \| \| when starting treatment and then regularly during treatment. \| \| \| \| [2011, updated 2016] \| \| \| \| 3 \| \| \| \| People with stable COPD and a persistent resting stable oxygen saturation level of 92% \| \| or less have their arterial blood gases measured to assess whether they need long-term \| \| oxygen therapy. \| \| \| \| [2011, updated 2016] \| \| \| \| 4 \| \| \| \| People with stable COPD and exercise limitation due to breathlessness are referred to a \| \| pulmonary rehabilitation programme. \| \| \| \| [2011, updated 2016] \| \| \| \| 5 \| \| \| \| People admitted to hospital for an acute exacerbation of COPD start a pulmonary \| \| rehabilitation programme within 4 weeks of discharge. \| \| \| \| [2011, updated 2016] \| \| \| \| 6 \| \| \| \| People receiving emergency oxygen for an acute exacerbation of COPD have oxygen \| \| saturation levels maintained between 88% and 92%. [new 2016] \| \| \| \| 7 \| \| \| \| People with an acute exacerbation of COPD and persistent acidotic hypercapnic \| \| ventilatory failure that is not improving after 1 hour of optimal medical therapy have \| \| non-invasive ventilation. \| \| \| \| [2011, updated 2016] \| \| \| \| 8 \| \| \| \| (Placeholder \| \| ‡‡‡ \| \| ) Hospital discharge care bundle. \| \| \| \| [new 2016] \| \| \| ## Statements From The 2011 Quality Standard For Copd That May Still Be Useful At A Local Level, But Are No Longer Considered National Priorities For Improvement:  People with COPD have a current individualised comprehensive management plan, which includes high-quality information and educational material about the condition and its management, relevant to the stage of disease.  People with COPD have a comprehensive clinical and psychosocial assessment, at least once a year or more frequently if indicated, which includes degree of breathlessness, frequency of exacerbations, validated measures of health status and prognosis, presence of hypoxaemia and comorbidities.  People with COPD who smoke are regularly encouraged to stop and are offered the full range of evidence based smoking cessation support.  People who have had an exacerbation of COPD are provided with individualised written advice on early recognition of future exacerbations, management strategies (including appropriate provision of antibiotics and corticosteroids for self-treatment at home) and a named contact.  People with COPD receiving long term oxygen therapy are reviewed in accordance with NICE guidance, at least annually, by a specialist oxygen service as part of the integrated clinical management of their COPD.  People admitted to hospital with an exacerbation of COPD are cared for by a respiratory team, and have access to a specialist early supported discharge scheme with appropriate community support.  People admitted to hospital with an exacerbation of COPD are reviewed within 2 weeks of discharge.  People with advanced COPD, and their carers, are identified and offered palliative care that addresses physical, social and emotional needs. Appendix B: NICE guideline [NG115] - Chronic obstructive pulmonary disease in over 16s: diagnosis and management NICE clinical guideline [CG101], June 2010, was updated and replaced by NICE guideline [NG115] in December 2018. Below is a summary of the NICE guideline [NG115] sections that are referred to in this report. To see the full guideline please use the following link: www.nice.org.uk/guidance/NG115 Recommendations marked [2004] or [2010] last had an evidence review in 2004 or 2010. ## 1.1 Diagnosing Copd Spirometry 1.1.4 Perform spirometry:  at diagnosis  to reconsider the diagnosis, for people who show an exceptionally good response to treatment  to monitor disease progression. [2004, amended 2018] 1.1.5 Measure post-bronchodilator spirometry to confirm the diagnosis of COPD. [2010] 1.1.6 Think about alternative diagnoses or investigations for older people who have an FEV1/FVC ratio below 0.7 but do not have typical symptoms of COPD. [2010] 1.1.7 Think about a diagnosis of COPD in younger people who have symptoms of COPD, even when their FEV1/FVC ratio is above 0.7. [2010] 1.1.8 All healthcare professionals who care for people with COPD should have access to spirometry and be competent in interpreting the results. [2004] 1.1.9 Spirometry can be performed by any healthcare worker who has had appropriate training and has up-to-date skills. [2004] 1.1.10 Spirometry services should be supported by quality control processes. [2004] 1.1.11 It is recommended that GLI 2012 reference values are used, but it is recognised that these values are not applicable for all ethnic groups. [2004, amended 2018] Referral for specialist advice 1.1.30 When clinically indicated, refer people for specialist advice. Referral may be appropriate at all stages of the disease and not solely in the most severely disabled people. [2004] 1.1.31 People who are referred do not always have to be seen by a respiratory physician. In some cases they may be seen by members of the COPD team who have appropriate training and expertise. [2004] ## 1.2 Managing Stable Copd 1.2.1 For guidance on the management of multimorbidity, see the NICE guideline on multimorbidity. [2018] Smoking cessation 1.2.2 Document an up-to-date smoking history, including pack years smoked (number of cigarettes smoked per day, divided by 20, multiplied by the number of years smoked) for everyone with COPD. [2004] 1.2.3 At every opportunity, advise and encourage every person with COPD who is still smoking (regardless of their age) to stop, and offer them help to do so. [2004] 1.2.4 Unless contraindicated, offer nicotine replacement therapy, varenicline or bupropion as appropriate to people who want to stop smoking, combined with an appropriate support programme to optimise smoking quit rates for people with COPD. [2010] 1.2.5 For more guidance on helping people to quit smoking, see the NICE guideline on stop smoking interventions and services. [2010] 1.2.6 For more guidance on varenicline, see the NICE technology appraisal guidance on varenicline for smoking cessation. [2010] Non-invasive ventilation 1.2.70 Refer people who are adequately treated but have chronic hypercapnic respiratory failure and have needed assisted ventilation (whether invasive or non-invasive) during an exacerbation, or who are hypercapnic or acidotic on long-term oxygen therapy, to a specialist centre for consideration of long-term non-invasive ventilation. [2004] ## 1.3 Management Of Exacerbations Of Copd Oxygen therapy during exacerbations of COPD 1.3.27 Measure oxygen saturation in people with an exacerbation if there are no facilities to measure arterial blood gases. [2004] 1.3.28 If necessary, prescribe oxygen to keep the oxygen saturation of arterial blood (SaO2) within the individualised target range. [2010] 1.3.29 Pulse oximeters should be available to all healthcare professionals involved in the care of people with exacerbations of COPD, and they should be trained in their use. Clinicians should be aware that pulse oximetry gives no information about the PaCO2 or pH. [2004] 1.3.30 Measure arterial blood gases and note the inspired oxygen concentration in all people who arrive at hospital with an exacerbation of COPD. Repeat arterial blood gas measurements regularly, according to the response to treatment. [2004] ## Non-Invasive Ventilation (Niv) And Copd Exacerbations 1.3.31 Use NIV as the treatment of choice for persistent hypercapnic ventilatory failure during exacerbations despite optimal medical therapy. [2004] 1.3.32 It is recommended that NIV should be delivered in a dedicated setting, with staff who have been trained in its application, who are experienced in its use and who are aware of its limitations. [2004] 1.3.33 When people are started on NIV, there should be a clear plan covering what to do in the event of deterioration, and ceilings of therapy should be agreed. [2004] Discharge planning 1.3.42 Measure spirometry in all people before discharge. [2004] 1.3.43 Re-establish people on their optimal maintenance bronchodilator therapy before discharge. [2004] 1.3.44 People who have had an episode of respiratory failure should have satisfactory oximetry or arterial blood gas results before discharge. [2004] 1.3.45 Assess all aspects of the routine care that people receive (including appropriateness and risk of side effects) before discharge. [2004] 1.3.46 Give people (or home carers) appropriate information to enable them to fully understand the correct use of medications, including oxygen, before discharge. [2004] 1.3.47 Make arrangements for follow-up and home care (such as visiting nurse, oxygen delivery or referral for other support) before discharge. [2004] 1.3.48 The person, their family and their physician should be confident that they can manage successfully before they are discharged. A formal activities of daily living assessment may be helpful when there is still doubt. [2004] Appendix C: British Thoracic Society (BTS) Quality Standards for acute NIV in adults Below is a summary of the BTS NIV Quality Standards, published April 2018, that are referred to within this report. To see the full standards and rationales please use the following link: www.britthoracic.org.uk/standards-of-care/quality-standards/bts-niv-quality-standards/. \| No. \| Quality statement \| \|-----------------------------------------------------------------------------------------\|----------------------\| \| 1 \| \| \| Acute non-invasive ventilation (NIV) should be offered to all patients who meet \| \| \| evidence based criteria. Hospitals must ensure there is adequate capacity to provide \| \| \| NIV to all eligible patients. \| \| \| \| \| \| 2 \| \| \| All staff who prescribe, initiate or make changes to acute NIV treatment should have \| \| \| evidence of training and maintenance of competencies appropriate for their role. \| \| \| \| \| \| 3 \| \| \| Acute NIV should only be carried out in specified clinical areas designated for the \| \| \| delivery of acute NIV. \| \| \| \| \| \| 4 \| \| \| Patients who meet evidence-based criteria for acute NIV should start NIV within 60 min \| \| \| of the blood gas result associated with the clinical decision to provide NIV and within \| \| \| 120 min of hospital arrival for patients who present acutely. \| \| \| \| \| \| 5 \| \| \| All patients should have a documented escalation plan before starting treatment with \| \| \| acute NIV. Clinical progress should be reviewed by a healthcare professional with \| \| \| appropriate training and competence within 4 hours of starting NIV and by a consultant \| \| \| with training and competence in acute NIV within 14 hours of starting acute NIV. \| \| \| 6 \| \| \| All patients treated with acute NIV should have blood gas analysis performed within 2 \| \| \| hours of starting acute NIV. Failure of these blood gas measurements to improve \| \| \| should trigger specialist healthcare professional review within 30 min. \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| ## Appendix D: Document Purpose Document purpose To disseminate the results of the national COPD clinical audit of people with COPD exacerbations admitted to acute hospitals in England and Wales 2017/18. Title COPD clinical audit 2017/18. Authors National Asthma and Chronic Obstructive Pulmonary Disease Audit Programme (NACAP), Royal College of Physicians 9 May 2019 Publication date Audience Healthcare professionals; NHS managers, chief executives and board members; service commissioners; policymakers and voluntary organisations. Description This report presents the results of the cohort of patients discharged between 14 September 2017 and 30 September 2018. The information, key findings and recommendations outlined in the report are designed to provide readers with a basis for identifying areas that are in need of change and to facilitate the development of improvement programmes that are relevant not only to secondary care providers but also to commissioners and policymakers. There is no scheduled review date for the report. Supersedes Stone RA, McMillan V, K Mortier, Holzhauer-Barrie J, Robinson S, Stone P, Quint J, Roberts CM. COPD: Working together. National Chronic Obstructive Pulmonary Disease (COPD) Audit Programme: Clinical audit of COPD exacerbations admitted to acute hospitals in England and Wales 2017. National clinical audit report. London: RCP, April 2018. Contact COPD@rcplondon.ac.uk ## Appendix E: References 1 National Institute for Health and Care Excellence. Chronic obstructive pulmonary disease in adults. NICE Quality standard 10 (QS10). London: NICE, 2016. www.nice.org.uk/Guidance/QS10 [Accessed December 2018] 2 National Institute for Health and Care Excellence. Chronic obstructive pulmonary disease in adults. NICE Quality standard 10 (QS10). 2011 edition. London: NICE, 2011. www.nice.org.uk/Guidance/QS10 [Accessed December 2018] 3 National Institute for Health and Care Excellence. Chronic obstructive pulmonary disease in over 16s: diagnosis and management. NICE Guideline 115 (NG115). London: NICE, 2018. www.nice.org.uk/guidance/NG115 [Accessed December 2018] 4 Davies M, Allen M, Bentley A et al. British Thoracic Society Quality Standards for acute noninvasive ventilation in adults. BMJ Open Respiratory Research 2018;5:e000283. 5 World Health Organization. Chronic Respiratory Diseases, Burden of COPD. www.who.int/respiratory/copd/burden/en/ [Accessed January 2019] 6 British Lung Foundation. Chronic obstructive pulmonary disease (COPD) statistics. https://statistics.blf.org.uk/copd [Accessed January 2019] 7 Anstey K, Lowe D, Roberts CM and Hosker H. Report of the 2003 National COPD Audit. London: RCP and BTS 2004. 8 Buckingham RJ, Lowe D, Pursey NA et al. Report of The National Chronic Obstructive Pulmonary Disease Audit 2008: clinical audit of COPD exacerbations admitted to acute NHS units across the UK. London: RCP, BTS and BLF 2008. 9 Hartl S, Lopez-Campos JL, Pozo-Rodriguez F et al. Risk of death and readmission of hospitaladmitted COPD exacerbations: European COPD Audit. European Respiratory Journal 2016;47:113–21. 10 British Lung Foundation. Lung disease in the UK - Big picture statistics. https://statistics.blf.org.uk/lung-disease-uk-big-picture [Accessed April 2019]. 11 Roberts CM, Stone RA, Buckingham RJ et al. Acidosis, non-invasive ventilation and mortality in hospitalised COPD exacerbations. Thorax 2011;66:43–8. 12 Steer J, Gibson J, Bourke SC. The DECAF score: predicting hospital mortality in exacerbations of chronic obstructive pulmonary disease. Thorax 2012;67:970–6. ## National Asthma And Copd Audit Programme (Nacap) Royal College of Physicians 11 St Andrews Place Regent's Park London NW1 4LE Tel: +44 (020) 3075 1526 Email: copd@rcplondon.ac.uk www.rcplondon.ac.uk/nacap @NACAPaudit #COPDaudit #COPDauditQI	en
1535-pdf	RUN AT 05/11/2018 10:41:58 \| Department family \| Entity \| Date \| Expense Type \| Expense area \| Supplier \| Transaction number \| AP Amount (£) \| \|----------------------\|------------------------------\|------------\|---------------------------------------------------------------\|-------------------------------------------\|-----------------------------------------------------------\|----------------------\|-----------------\| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS DES Minor Surgery \| PRC DELEGATED CO-COMMISSIONING \| ACORN MEDICAL PRACTICE \| 24330183 \| 2,087.01 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Global Sum \| PRC DELEGATED CO-COMMISSIONING \| ACORN MEDICAL PRACTICE \| 24330183 \| 22,187.02 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS MPIG Correction Factor \| PRC DELEGATED CO-COMMISSIONING \| ACORN MEDICAL PRACTICE \| 24330183 \| 454.54 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Prem Clinical Waste \| PRC DELEGATED CO-COMMISSIONING \| ACORN MEDICAL PRACTICE \| 24330183 \| 539.57 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Prem Notional Rent \| PRC DELEGATED CO-COMMISSIONING \| ACORN MEDICAL PRACTICE \| 24330183 \| 4,333.33 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| ACORN MEDICAL PRACTICE \| 24330183 \| 2,319.10 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| ME-GMS GP Prior Year EEs \| PRC DELEGATED CO-COMMISSIONING \| ACORN MEDICAL PRACTICE \| 24330183 \| 534.93 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Travel Booking Services \| PATIENT TRANSPORT \| ARRIVA TRANSPORT SOLUTIONS \| 24135848 \| 26,912.03 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Travel Booking Services \| PATIENT TRANSPORT \| ARRIVA TRANSPORT SOLUTIONS \| 24135853 \| 90,747.15 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS DES Minor Surgery \| PRC DELEGATED CO-COMMISSIONING \| ASHFIELD HOUSE SURGERY \| 24330168 \| 657.92 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Global Sum \| PRC DELEGATED CO-COMMISSIONING \| ASHFIELD HOUSE SURGERY \| 24330168 \| 53,685.06 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Prem Notional Rent \| PRC DELEGATED CO-COMMISSIONING \| ASHFIELD HOUSE SURGERY \| 24330168 \| 2,833.33 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| ASHFIELD HOUSE SURGERY \| 24330168 \| 5,513.85 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Clinical&Medical-Independent Sector - Over/ Under Performance \| ACUTE COMMISSIONING \| BMI HEALTHCARE COLLECTIONS \| 24102501 \| 37,597.81 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Clinical&Medical-Independent Sector \| ACUTE COMMISSIONING \| BMI HEALTHCARE COLLECTIONS \| 24283603 \| 133,635.38 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-APMS Contract Value \| PRC DELEGATED CO-COMMISSIONING \| BULL FARM PRIMARY CARE CENTRE \| 24238996 \| 26,276.94 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-APMS DES Minor Surgery \| PRC DELEGATED CO-COMMISSIONING \| BULL FARM PRIMARY CARE CENTRE \| 24238996 \| 87.86 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-APMS Prem Actual Rent \| PRC DELEGATED CO-COMMISSIONING \| BULL FARM PRIMARY CARE CENTRE \| 24238996 \| 9,605.02 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-APMS Prem Rates \| PRC DELEGATED CO-COMMISSIONING \| BULL FARM PRIMARY CARE CENTRE \| 24238996 \| 749.32 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-APMS Prem Water Rates \| PRC DELEGATED CO-COMMISSIONING \| BULL FARM PRIMARY CARE CENTRE \| 24238996 \| 98.91 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS List Size Adjustment \| PRC DELEGATED CO-COMMISSIONING \| BULL FARM PRIMARY CARE CENTRE \| 24238996 \| 919.86 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| BULL FARM PRIMARY CARE CENTRE \| 24238996 \| 2,313.23 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Clinical&Medical-Independent Sector \| ACUTE COMMISSIONING \| CARE UK CLINICAL SERVICES LTD \| 24283610 \| 56,611.13 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Clinical&Medical-Independent Sector - Over/ Under Performance \| ACUTE COMMISSIONING \| CARE UK CLINICAL SERVICES LTD \| 24376357 \| 42,142.56 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Hcare Srv Rec Fdtn Trust-CQUIN \| ACUTE COMMISSIONING \| CHESTERFIELD ROYAL HOSPITAL NHS FOUNDATION TRUST \| 24283630 \| 880.00 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Hcare Srv Rec Fdtn Trust-Contract Baseline \| ACUTE COMMISSIONING \| CHESTERFIELD ROYAL HOSPITAL NHS FOUNDATION TRUST \| 24283630 \| 76,389.00 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS DES Learn Dsblty Hlth Chk \| PRC DELEGATED CO-COMMISSIONING \| CHURCHSIDE MEDICAL PRACTICE \| 24346984 \| 280.00 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS DES Minor Surgery \| PRC DELEGATED CO-COMMISSIONING \| CHURCHSIDE MEDICAL PRACTICE \| 24346984 \| 1,444.54 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Global Sum \| PRC DELEGATED CO-COMMISSIONING \| CHURCHSIDE MEDICAL PRACTICE \| 24346984 \| 50,071.79 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS PCO Locum Adop/Pat/Mat \| PRC DELEGATED CO-COMMISSIONING \| CHURCHSIDE MEDICAL PRACTICE \| 24346984 \| 6,331.23 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Prem Clinical Waste \| PRC DELEGATED CO-COMMISSIONING \| CHURCHSIDE MEDICAL PRACTICE \| 24346984 \| 90.30 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Prem Other \| PRC DELEGATED CO-COMMISSIONING \| CHURCHSIDE MEDICAL PRACTICE \| 24346984 \| 480.50 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| CHURCHSIDE MEDICAL PRACTICE \| 24346984 \| 4,054.04 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-Independent Sector - CQUIN \| CLINICAL ASSESSMENT AND TREATMENT CENTRES \| CIRCLE NOTTINGHAM LTD \| 24283569 \| 2,096.64 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Clinical&Medical-Commercial Sector \| CLINICAL ASSESSMENT AND TREATMENT CENTRES \| CIRCLE NOTTINGHAM LTD \| 24283569 \| 85,884.75 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Rent \| RECHARGES NHS PROPERTY SERVICES LTD \| COMMUNITY HEALTH PARTNERSHIPS LTD \| 24258481 \| 103,136.00 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Hcare Srv Rec Fdtn Trust-CQUIN \| COMMUNITY SERVICES \| DERBYSHIRE COMMUNITY HEALTH SERVICES NHS FOUNDATION TRUST \| 24464395 \| 197.00 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Hcare Srv Rec Fdtn Trust-CQUIN \| LEARNING DIFFICULTIES \| DERBYSHIRE COMMUNITY HEALTH SERVICES NHS FOUNDATION TRUST \| 24464395 \| 130.00 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Hcare Srv Rec Fdtn Trust-Contract Baseline \| COMMUNITY SERVICES \| DERBYSHIRE COMMUNITY HEALTH SERVICES NHS FOUNDATION TRUST \| 24464395 \| 15,820.00 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Hcare Srv Rec Fdtn Trust-Contract Baseline \| LEARNING DIFFICULTIES \| DERBYSHIRE COMMUNITY HEALTH SERVICES NHS FOUNDATION TRUST \| 24464395 \| 10,424.00 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Clinical&Medical-Not For Profit \| NHS 111 \| DHU HEALTH CARE CIC \| 24135799 \| 166,257.05 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Hcare Srv Rec Fdtn Trust-CQUIN \| ACUTE COMMISSIONING \| DONCASTER AND BASSETLAW HOSPITALS NHS FOUNDATION TRUST \| 24283609 \| 622.00 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Hcare Srv Rec Fdtn Trust-Contract Baseline \| ACUTE COMMISSIONING \| DONCASTER AND BASSETLAW HOSPITALS NHS FOUNDATION TRUST \| 24283609 \| 53,632.00 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Hcare Srv Rec NHS Trust-CQUIN \| AMBULANCE SERVICES \| EAST MIDLANDS AMBULANCE SERVICE NHS TRUST \| 24283607 \| 7,107.00 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Hcare Srv Rec NHS Trust-Contract Baseline \| AMBULANCE SERVICES \| EAST MIDLANDS AMBULANCE SERVICE NHS TRUST \| 24283607 \| 568,507.00 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Hcare Srv Rec NHS Trust-Contract Baseline \| AMBULANCE SERVICES \| EAST MIDLANDS AMBULANCE SERVICE NHS TRUST \| 24283626 \| 66,570.00 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS DES Minor Surgery \| PRC DELEGATED CO-COMMISSIONING \| FAMILY MEDICAL CENTRE \| 24330174 \| 395.37 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Global Sum \| PRC DELEGATED CO-COMMISSIONING \| FAMILY MEDICAL CENTRE \| 24330174 \| 35,804.28 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Prem Notional Rent \| PRC DELEGATED CO-COMMISSIONING \| FAMILY MEDICAL CENTRE \| 24330174 \| 4,958.00 \| \|------------------------\|--------------------------------\|--------------\|-------------------------------------\|---------------------------------------------\|---------------------------------------------\|------------\|------------\| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| FAMILY MEDICAL CENTRE \| 24330174 \| 3,428.15 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS Contract Value \| PRC DELEGATED CO-COMMISSIONING \| HARWOOD CLOSE SURGERY \| 24215204 \| 72,995.55 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS Funding Differential Review \| PRC DELEGATED CO-COMMISSIONING \| HARWOOD CLOSE SURGERY \| 24215204 \| 17.20 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS List Size Adjustment \| PRC DELEGATED CO-COMMISSIONING \| HARWOOD CLOSE SURGERY \| 24215204 \| 261.24 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| HARWOOD CLOSE SURGERY \| 24215204 \| 4,503.78 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS Contract Value \| PRC DELEGATED CO-COMMISSIONING \| HEALTH CARE COMPLEX \| 24215218 \| 34,215.33 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS DES Minor Surgery \| PRC DELEGATED CO-COMMISSIONING \| HEALTH CARE COMPLEX \| 24215218 \| 1,136.00 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS Prem Clinical Waste \| PRC DELEGATED CO-COMMISSIONING \| HEALTH CARE COMPLEX \| 24215218 \| 259.58 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS Prem Notional Rent \| PRC DELEGATED CO-COMMISSIONING \| HEALTH CARE COMPLEX \| 24215218 \| 3,133.33 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| HEALTH CARE COMPLEX \| 24215218 \| 3,312.34 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Global Sum \| PRC DELEGATED CO-COMMISSIONING \| HUTHWAITE MEDICAL PRACTICE \| 24330177 \| 74,678.06 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| HUTHWAITE MEDICAL PRACTICE \| 24330177 \| 7,217.48 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Clinical&Medical-Independent Sector \| IMPROVING ACCESS TO PSYCHOLOGICAL THERAPIES \| INSIGHT HEALTHCARE LTD \| 24248367 \| 30,124.50 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS Contract Value \| PRC DELEGATED CO-COMMISSIONING \| JACKSDALE MEDICAL CENTRE \| 24215220 \| 32,332.65 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS DES Minor Surgery \| PRC DELEGATED CO-COMMISSIONING \| JACKSDALE MEDICAL CENTRE \| 24215220 \| 1,091.04 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS List Size Adjustment \| PRC DELEGATED CO-COMMISSIONING \| JACKSDALE MEDICAL CENTRE \| 24215220 \| 672.48 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS Prem Clinical Waste \| PRC DELEGATED CO-COMMISSIONING \| JACKSDALE MEDICAL CENTRE \| 24215220 \| 392.41 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS Prem Notional Rent \| PRC DELEGATED CO-COMMISSIONING \| JACKSDALE MEDICAL CENTRE \| 24215220 \| 1,883.33 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| JACKSDALE MEDICAL CENTRE \| 24215220 \| 2,716.34 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-APMS Contract Value \| PRC DELEGATED CO-COMMISSIONING \| KIRKBY COMMUNITY PRIMARY CARE CENTRE (PICS) \| 24215222 \| 40,891.90 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-APMS DES Minor Surgery \| PRC DELEGATED CO-COMMISSIONING \| KIRKBY COMMUNITY PRIMARY CARE CENTRE (PICS) \| 24215222 \| 3,583.72 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-APMS Other Baseline Adjustment \| PRC DELEGATED CO-COMMISSIONING \| KIRKBY COMMUNITY PRIMARY CARE CENTRE (PICS) \| 24215222 \| 20,333.33 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| KIRKBY COMMUNITY PRIMARY CARE CENTRE (PICS) \| 24215222 \| 4,668.95 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS DES Minor Surgery \| PRC DELEGATED CO-COMMISSIONING \| KIRKBY HEALTH CENTRE \| 24330166 \| 351.44 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Global Sum \| PRC DELEGATED CO-COMMISSIONING \| KIRKBY HEALTH CENTRE \| 24330166 \| 35,201.81 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Prem Clinical Waste \| PRC DELEGATED CO-COMMISSIONING \| KIRKBY HEALTH CENTRE \| 24330166 \| 304.74 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Prem Notional Rent \| PRC DELEGATED CO-COMMISSIONING \| KIRKBY HEALTH CENTRE \| 24330166 \| 6,100.00 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| KIRKBY HEALTH CENTRE \| 24330166 \| 3,109.44 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Global Sum \| PRC DELEGATED CO-COMMISSIONING \| MEDEN MEDICAL SERVICES \| 24330161 \| 55,265.28 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Prem Actual Rent \| PRC DELEGATED CO-COMMISSIONING \| MEDEN MEDICAL SERVICES \| 24330161 \| 10,074.06 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Prem Notional Rent \| PRC DELEGATED CO-COMMISSIONING \| MEDEN MEDICAL SERVICES \| 24330161 \| 4,707.75 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Prem Rates \| PRC DELEGATED CO-COMMISSIONING \| MEDEN MEDICAL SERVICES \| 24330161 \| 821.34 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Prem Water Rates \| PRC DELEGATED CO-COMMISSIONING \| MEDEN MEDICAL SERVICES \| 24330161 \| 70.00 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| MEDEN MEDICAL SERVICES \| 24330161 \| 4,625.01 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS DES Extended Hours Access \| PRC DELEGATED CO-COMMISSIONING \| MILL VIEW SURGERY \| 24346986 \| 4,011.85 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS DES Minor Surgery \| PRC DELEGATED CO-COMMISSIONING \| MILL VIEW SURGERY \| 24346986 \| 788.68 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Global Sum \| PRC DELEGATED CO-COMMISSIONING \| MILL VIEW SURGERY \| 24346986 \| 77,759.48 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Prem Clinical Waste \| PRC DELEGATED CO-COMMISSIONING \| MILL VIEW SURGERY \| 24346986 \| 150.18 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Prem Notional Rent \| PRC DELEGATED CO-COMMISSIONING \| MILL VIEW SURGERY \| 24346986 \| 5,479.17 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Prem Water Rates \| PRC DELEGATED CO-COMMISSIONING \| MILL VIEW SURGERY \| 24346986 \| 243.03 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| MILL VIEW SURGERY \| 24346986 \| 6,534.90 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Clinical&Medical-Not For Profit \| OUT OF HOURS \| NEMS COMMUNITY BENEFIT SERVICE \| 24283635 \| 204,883.45 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Basic Sal-Rechgs to-from Other NHS \| FINANCE \| NHS NEWARK & SHERWOOD CCG \| 24090375 \| 22,992.19 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| E'ers NHI-Rechgs to-from Other NHS \| FINANCE \| NHS NEWARK & SHERWOOD CCG \| 24090375 \| 2,528.08 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| E'ers Pen-Rechgs to-from Other NHS \| FINANCE \| NHS NEWARK & SHERWOOD CCG \| 24090375 \| 2,658.49 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Recharge : Provided \| FINANCE \| NHS NEWARK & SHERWOOD CCG \| 24090375 \| 381.70 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Basic Sal-Rechgs to-from Other NHS \| PRIMARY CARE INVESTMENTS \| NHS NEWARK & SHERWOOD CCG \| 24090377 \| 29,834.21 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| E'ers NHI-Rechgs to-from Other NHS \| PRIMARY CARE INVESTMENTS \| NHS NEWARK & SHERWOOD CCG \| 24090377 \| 3,089.02 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| E'ers Pen-Rechgs to-from Other NHS \| PRIMARY CARE INVESTMENTS \| NHS NEWARK & SHERWOOD CCG \| 24090377 \| 4,290.17 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Recharge : Provided \| PRIMARY CARE INVESTMENTS \| NHS NEWARK & SHERWOOD CCG \| 24090377 \| 691.34 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Basic Sal-Rechgs to-from Other NHS \| PRIMARY CARE SUPPORT \| NHS NEWARK & SHERWOOD CCG \| 24090380 \| 20,732.74 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| E'ers NHI-Rechgs to-from Other NHS \| PRIMARY CARE SUPPORT \| NHS NEWARK & SHERWOOD CCG \| 24090380 \| 2,346.64 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| E'ers Pen-Rechgs to-from Other NHS \| PRIMARY CARE SUPPORT \| NHS NEWARK & SHERWOOD CCG \| 24090380 \| 1,995.02 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Recharge : Provided \| PRIMARY CARE SUPPORT \| NHS NEWARK & SHERWOOD CCG \| 24090380 \| 323.10 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Basic Sal-Rechgs to-from Other NHS \| CEO/ BOARD OFFICE \| NHS NEWARK & SHERWOOD CCG \| 24090382 \| 19,467.00 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| E'ers NHI-Rechgs to-from Other NHS \| CEO/ BOARD OFFICE \| NHS NEWARK & SHERWOOD CCG \| 24090382 \| 2,594.79 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| E'ers Pen-Rechgs to-from Other NHS \| CEO/ BOARD OFFICE \| NHS NEWARK & SHERWOOD CCG \| 24090382 \| 2,799.36 \| \|------------------------\|--------------------------------\|--------------\|--------------------------------------------\|---------------------------------------------\|-------------------------------------------\|------------\|--------------\| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Recharge : Provided \| CEO/ BOARD OFFICE \| NHS NEWARK & SHERWOOD CCG \| 24090382 \| 599.40 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Basic Sal-Rechgs to-from Other NHS \| PROGRAMME PROJECTS \| NHS NEWARK & SHERWOOD CCG \| 24090385 \| 29,593.70 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| E'ers NHI-Rechgs to-from Other NHS \| PROGRAMME PROJECTS \| NHS NEWARK & SHERWOOD CCG \| 24090385 \| 3,567.19 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| E'ers Pen-Rechgs to-from Other NHS \| PROGRAMME PROJECTS \| NHS NEWARK & SHERWOOD CCG \| 24090385 \| 4,275.09 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Recharge : Provided \| PROGRAMME PROJECTS \| NHS NEWARK & SHERWOOD CCG \| 24090385 \| 206.82 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Basic Sal-Rechgs to-from Other NHS \| Nursing and Quality Programme \| NHS NEWARK & SHERWOOD CCG \| 24090399 \| 60,686.48 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| E'ers NHI-Rechgs to-from Other NHS \| NURSING AND QUALITY PROGRAMME \| NHS NEWARK & SHERWOOD CCG \| 24090399 \| 6,680.61 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| E'ers Pen-Rechgs to-from Other NHS \| NURSING AND QUALITY PROGRAMME \| NHS NEWARK & SHERWOOD CCG \| 24090399 \| 8,263.02 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Recharge : Provided \| NURSING AND QUALITY PROGRAMME \| NHS NEWARK & SHERWOOD CCG \| 24090399 \| 158.06 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Clinical&Medical-Serv Recd-CCGs \| LEARNING DIFFICULTIES \| NHS NEWARK & SHERWOOD CCG \| 24262027 \| 229,843.00 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Rent \| ESTATES AND FACILITIES \| NHS PROPERTY SERVICES LTD \| 24258482 \| 25,584.00 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Rent \| RECHARGES NHS PROPERTY SERVICES LTD \| NHS PROPERTY SERVICES LTD \| 24258482 \| 114,667.00 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Clinical&Medical-Serv Recd-CCGs \| COMMUNITY SERVICES \| NHS RUSHCLIFFE CCG \| 24283659 \| 236,157.07 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Hcare Srv Rec NHS Trust-CQUIN \| ACUTE COMMISSIONING \| NOTTINGHAM UNIVERSITY HOSPITALS NHS TRUST \| 24283623 \| 25,263.00 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Hcare Srv Rec NHS Trust-Contract Baseline \| ACUTE COMMISSIONING \| NOTTINGHAM UNIVERSITY HOSPITALS NHS TRUST \| 24283623 \| 1,045,736.00 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-Independent Sector - CQUIN \| ACUTE COMMISSIONING \| NOTTINGHAM WOODTHORPE HOSPITAL \| 24283589 \| 396.84 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Clinical&Medical-Independent Sector \| ACUTE COMMISSIONING \| NOTTINGHAM WOODTHORPE HOSPITAL \| 24283589 \| 31,747.04 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Clinical&Medical-Othe Public Sector \| PROGRAMME PROJECTS \| NOTTINGHAMSHIRE COUNTY COUNCIL \| 24117526 \| 414,453.00 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Clinical&Medical-Clinical Other \| CHC ADULT FULLY FUNDED \| NOTTINGHAMSHIRE COUNTY COUNCIL \| 24466214 \| 1,000,000.00 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Hcare Srv Rec Fdtn Trust-Non Contract \| IMPROVING ACCESS TO PSYCHOLOGICAL THERAPIES \| NOTTINGHAMSHIRE HEALTHCARE NHS TRUST \| 24246967 \| 50,552.00 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Hcare Srv Rec Fdtn Trust-Non Contract \| IMPROVING ACCESS TO PSYCHOLOGICAL THERAPIES \| NOTTINGHAMSHIRE HEALTHCARE NHS TRUST \| 24248057 \| 68,596.50 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Hcare Srv Rec Fdtn Trust-Contract Baseline \| COMMUNITY SERVICES \| NOTTINGHAMSHIRE HEALTHCARE NHS TRUST \| 24283598 \| 1,356,473.00 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Hcare Srv Rec Fdtn Trust-CQUIN \| MENTAL HEALTH CONTRACTS \| NOTTINGHAMSHIRE HEALTHCARE NHS TRUST \| 24283601 \| 40,465.73 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Hcare Srv Rec Fdtn Trust-Contract Baseline \| MENTAL HEALTH CONTRACTS \| NOTTINGHAMSHIRE HEALTHCARE NHS TRUST \| 24283601 \| 1,624,795.84 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS Contract Value \| PRC DELEGATED CO-COMMISSIONING \| OAKWOOD SURGERY \| 24215206 \| 111,334.93 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS DES Minor Surgery \| PRC DELEGATED CO-COMMISSIONING \| OAKWOOD SURGERY \| 24215206 \| 3,282.39 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS Prem Actual Rent \| PRC DELEGATED CO-COMMISSIONING \| OAKWOOD SURGERY \| 24215206 \| 2,812.33 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS Prem Clinical Waste \| PRC DELEGATED CO-COMMISSIONING \| OAKWOOD SURGERY \| 24215206 \| 112.78 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS Prem Rates \| PRC DELEGATED CO-COMMISSIONING \| OAKWOOD SURGERY \| 24215206 \| 1,097.49 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS Prem Water Rates \| PRC DELEGATED CO-COMMISSIONING \| OAKWOOD SURGERY \| 24215206 \| 2,994.30 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| OAKWOOD SURGERY \| 24215206 \| 11,915.28 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS GP Statutory Levy \| PRC DELEGATED CO-COMMISSIONING \| ORCHARD MEDICAL PRACTICE \| 24215211 \| (627.17) \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS Out of Hours Opt Outs \| PRC DELEGATED CO-COMMISSIONING \| ORCHARD MEDICAL PRACTICE \| 24215211 \| (6,932.53) \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS Voluntary Levy \| PRC DELEGATED CO-COMMISSIONING \| ORCHARD MEDICAL PRACTICE \| 24215211 \| (94.35) \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| ME - PMS GP Prior Year ERs \| PRC DELEGATED CO-COMMISSIONING \| ORCHARD MEDICAL PRACTICE \| 24215211 \| (1,294.20) \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| ME-PMS GP Pension EEs-PMS \| PRC DELEGATED CO-COMMISSIONING \| ORCHARD MEDICAL PRACTICE \| 24215211 \| (10,317.91) \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| ME-PMS GP Pension ERs Adjs - PMS \| PRC DELEGATED CO-COMMISSIONING \| ORCHARD MEDICAL PRACTICE \| 24215211 \| (10,796.97) \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| ME-PMS GP Prior Year EEs \| PRC DELEGATED CO-COMMISSIONING \| ORCHARD MEDICAL PRACTICE \| 24215211 \| (837.00) \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS Contract Value \| PRC DELEGATED CO-COMMISSIONING \| ORCHARD MEDICAL PRACTICE \| 24215212 \| 154,310.52 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS DES Minor Surgery \| PRC DELEGATED CO-COMMISSIONING \| ORCHARD MEDICAL PRACTICE \| 24215212 \| 2,798.13 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS List Size Adjustment \| PRC DELEGATED CO-COMMISSIONING \| ORCHARD MEDICAL PRACTICE \| 24215212 \| 1,583.02 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS Prem Actual Rent \| PRC DELEGATED CO-COMMISSIONING \| ORCHARD MEDICAL PRACTICE \| 24215212 \| 22,907.42 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS Prem Rates \| PRC DELEGATED CO-COMMISSIONING \| ORCHARD MEDICAL PRACTICE \| 24215212 \| 960.85 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| ORCHARD MEDICAL PRACTICE \| 24215212 \| 14,585.69 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| ME - PMS GP Prior Year ERs \| PRC DELEGATED CO-COMMISSIONING \| ORCHARD MEDICAL PRACTICE \| 24215212 \| 2,276.84 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| ME-PMS GP Pension EEs Adjs - PMS \| PRC DELEGATED CO-COMMISSIONING \| ORCHARD MEDICAL PRACTICE \| 24215212 \| 5,343.75 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| ME-PMS GP Pension ERs Adjs - PMS \| PRC DELEGATED CO-COMMISSIONING \| ORCHARD MEDICAL PRACTICE \| 24215212 \| 5,692.10 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| ME-PMS GP Prior Year EEs \| PRC DELEGATED CO-COMMISSIONING \| ORCHARD MEDICAL PRACTICE \| 24215212 \| 2,137.50 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS DES Minor Surgery \| PRC DELEGATED CO-COMMISSIONING \| PLEASLEY SURGERY \| 24330181 \| 263.58 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Global Sum \| PRC DELEGATED CO-COMMISSIONING \| PLEASLEY SURGERY \| 24330181 \| 30,773.31 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Prem Clinical Waste \| PRC DELEGATED CO-COMMISSIONING \| PLEASLEY SURGERY \| 24330181 \| 180.60 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Prem Notional Rent \| PRC DELEGATED CO-COMMISSIONING \| PLEASLEY SURGERY \| 24330181 \| 2,750.00 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| PLEASLEY SURGERY \| 24330181 \| 2,479.40 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS Contract Value \| PRC DELEGATED CO-COMMISSIONING \| RIVERBANK MEDICAL SERVICES \| 24215208 \| 38,300.45 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS DES Learn Dsblty Hlth Chk \| PRC DELEGATED CO-COMMISSIONING \| RIVERBANK MEDICAL SERVICES \| 24215208 \| 1,400.00 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS DES Minor Surgery \| PRC DELEGATED CO-COMMISSIONING \| RIVERBANK MEDICAL SERVICES \| 24215208 \| 523.04 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS Prem Actual Rent \| PRC DELEGATED CO-COMMISSIONING \| RIVERBANK MEDICAL SERVICES \| 24215208 \| 12,024.11 \| \|------------------------\|--------------------------------\|--------------\|--------------------------------------------------\|---------------------------------------------\|---------------------------------------------------\|------------\|--------------\| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS Prem Clinical Waste \| PRC DELEGATED CO-COMMISSIONING \| RIVERBANK MEDICAL SERVICES \| 24215208 \| 91.66 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS Prem Rates \| PRC DELEGATED CO-COMMISSIONING \| RIVERBANK MEDICAL SERVICES \| 24215208 \| 980.32 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS Prem Water Rates \| PRC DELEGATED CO-COMMISSIONING \| RIVERBANK MEDICAL SERVICES \| 24215208 \| 83.55 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| RIVERBANK MEDICAL SERVICES \| 24215208 \| 3,816.26 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS DES Minor Surgery \| PRC DELEGATED CO-COMMISSIONING \| ROSEMARY STREET HEALTH CENTRE \| 24330163 \| 8,538.54 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Global Sum \| PRC DELEGATED CO-COMMISSIONING \| ROSEMARY STREET HEALTH CENTRE \| 24330163 \| 118,760.91 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Prem Clinical Waste \| PRC DELEGATED CO-COMMISSIONING \| ROSEMARY STREET HEALTH CENTRE \| 24330163 \| 2,200.52 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Prem Notional Rent \| PRC DELEGATED CO-COMMISSIONING \| ROSEMARY STREET HEALTH CENTRE \| 24330163 \| 9,895.83 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Prem Rates \| PRC DELEGATED CO-COMMISSIONING \| ROSEMARY STREET HEALTH CENTRE \| 24330163 \| 2,030.36 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Prem Water Rates \| PRC DELEGATED CO-COMMISSIONING \| ROSEMARY STREET HEALTH CENTRE \| 24330163 \| 42.00 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| ROSEMARY STREET HEALTH CENTRE \| 24330163 \| 10,995.60 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS DES Minor Surgery \| PRC DELEGATED CO-COMMISSIONING \| ROUNDWOOD SURGERY \| 24330170 \| 1,096.19 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Global Sum \| PRC DELEGATED CO-COMMISSIONING \| ROUNDWOOD SURGERY \| 24330170 \| 103,838.21 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Prem Actual Rent \| PRC DELEGATED CO-COMMISSIONING \| ROUNDWOOD SURGERY \| 24330170 \| 586.67 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Prem Notional Rent \| PRC DELEGATED CO-COMMISSIONING \| ROUNDWOOD SURGERY \| 24330170 \| 10,741.67 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| ROUNDWOOD SURGERY \| 24330170 \| 8,861.19 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS Contract Value \| PRC DELEGATED CO-COMMISSIONING \| SANDY LANE SURGERY \| 24215210 \| 49,795.67 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS Funding Differential Review \| PRC DELEGATED CO-COMMISSIONING \| SANDY LANE SURGERY \| 24215210 \| 54.34 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS List Size Adjustment \| PRC DELEGATED CO-COMMISSIONING \| SANDY LANE SURGERY \| 24215210 \| 0.37 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS Prem Clinical Waste \| PRC DELEGATED CO-COMMISSIONING \| SANDY LANE SURGERY \| 24215210 \| 1,231.27 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS Prem Notional Rent \| PRC DELEGATED CO-COMMISSIONING \| SANDY LANE SURGERY \| 24215210 \| 2,386.92 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS Prem Water Rates \| PRC DELEGATED CO-COMMISSIONING \| SANDY LANE SURGERY \| 24215210 \| 142.08 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| SANDY LANE SURGERY \| 24215210 \| 4,158.89 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS Contract Value \| PRC DELEGATED CO-COMMISSIONING \| SELSTON SURGERY \| 24215216 \| 40,530.94 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS Funding Differential Review \| PRC DELEGATED CO-COMMISSIONING \| SELSTON SURGERY \| 24215216 \| 13.81 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS List Size Adjustment \| PRC DELEGATED CO-COMMISSIONING \| SELSTON SURGERY \| 24215216 \| 50.43 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS Prem Notional Rent \| PRC DELEGATED CO-COMMISSIONING \| SELSTON SURGERY \| 24215216 \| 2,425.00 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| SELSTON SURGERY \| 24215216 \| 3,693.87 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Hcare Srv Rec Fdtn Trust-Contract Baseline \| ACUTE COMMISSIONING \| SHEFFIELD TEACHING HOSPITALS NHS FOUNDATION TRUST \| 24283621 \| 28,095.00 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Hcare Srv Rec Fdtn Trust-CQUIN \| ACUTE COMMISSIONING \| SHERWOOD FOREST HOSPITALS NHS FOUNDATION TRUST \| 24116395 \| 227,789.94 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Hcare Srv Rec Fdtn Trust-Contract Baseline \| ACUTE COMMISSIONING \| SHERWOOD FOREST HOSPITALS NHS FOUNDATION TRUST \| 24116395 \| 8,901,033.59 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Hcare Srv Rec Fdtn Trust-Contract Baseline \| COMMUNITY SERVICES \| SHERWOOD FOREST HOSPITALS NHS FOUNDATION TRUST \| 24116395 \| 640,438.55 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Hcare Srv Rec Fdtn Trust-Over/ Under Performance \| ACUTE COMMISSIONING \| SHERWOOD FOREST HOSPITALS NHS FOUNDATION TRUST \| 24248271 \| 648,762.05 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Hcare Srv Rec Fdtn Trust-Over/ Under Performance \| ACUTE COMMISSIONING \| SHERWOOD FOREST HOSPITALS NHS FOUNDATION TRUST \| 24248273 \| 97,132.71 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS DES Minor Surgery \| PRC DELEGATED CO-COMMISSIONING \| SKEGBY FAMILY MEDICAL CENTRE \| 24330185 \| 4,273.21 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Global Sum \| PRC DELEGATED CO-COMMISSIONING \| SKEGBY FAMILY MEDICAL CENTRE \| 24330185 \| 73,400.38 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Prem Clinical Waste \| PRC DELEGATED CO-COMMISSIONING \| SKEGBY FAMILY MEDICAL CENTRE \| 24330185 \| 536.95 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Prem Notional Rent \| PRC DELEGATED CO-COMMISSIONING \| SKEGBY FAMILY MEDICAL CENTRE \| 24330185 \| 4,531.67 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Prem Water Rates \| PRC DELEGATED CO-COMMISSIONING \| SKEGBY FAMILY MEDICAL CENTRE \| 24330185 \| 319.13 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| SKEGBY FAMILY MEDICAL CENTRE \| 24330185 \| 6,412.52 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS Contract Value \| PRC DELEGATED CO-COMMISSIONING \| ST PETERS MEDICAL PRACTICE \| 24215214 \| 23,118.07 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS DES Minor Surgery \| PRC DELEGATED CO-COMMISSIONING \| ST PETERS MEDICAL PRACTICE \| 24215214 \| 439.30 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS Funding Differential Review \| PRC DELEGATED CO-COMMISSIONING \| ST PETERS MEDICAL PRACTICE \| 24215214 \| 17.52 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS Prem Actual Rent \| PRC DELEGATED CO-COMMISSIONING \| ST PETERS MEDICAL PRACTICE \| 24215214 \| 1,936.26 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS Prem Clinical Waste \| PRC DELEGATED CO-COMMISSIONING \| ST PETERS MEDICAL PRACTICE \| 24215214 \| 166.09 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS Prem Rates \| PRC DELEGATED CO-COMMISSIONING \| ST PETERS MEDICAL PRACTICE \| 24215214 \| 603.42 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-PMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| ST PETERS MEDICAL PRACTICE \| 24215214 \| 1,709.99 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS DES Learn Dsblty Hlth Chk \| PRC DELEGATED CO-COMMISSIONING \| THE SURGERY LOWMOOR ROAD \| 24330172 \| 2,800.00 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS DES Minor Surgery \| PRC DELEGATED CO-COMMISSIONING \| THE SURGERY LOWMOOR ROAD \| 24330172 \| 875.51 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Global Sum \| PRC DELEGATED CO-COMMISSIONING \| THE SURGERY LOWMOOR ROAD \| 24330172 \| 44,111.17 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Prem Clinical Waste \| PRC DELEGATED CO-COMMISSIONING \| THE SURGERY LOWMOOR ROAD \| 24330172 \| 351.58 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Prem Notional Rent \| PRC DELEGATED CO-COMMISSIONING \| THE SURGERY LOWMOOR ROAD \| 24330172 \| 4,230.00 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Prem Rates \| PRC DELEGATED CO-COMMISSIONING \| THE SURGERY LOWMOOR ROAD \| 24330172 \| 6,600.00 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| THE SURGERY LOWMOOR ROAD \| 24330172 \| 3,783.41 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Clinical&Medical-Independent Sector \| IMPROVING ACCESS TO PSYCHOLOGICAL THERAPIES \| TRENT PTS \| 24248344 \| 30,835.00 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Hcare Srv Rec NHS Trust-Over/ Under Performance \| ACUTE COMMISSIONING \| UNITED LINCOLNSHIRE HOSPITALS NHS TRUST \| 24102777 \| 43,581.50 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| Hcare Srv Rec Fdtn Trust-Contract Baseline \| ACUTE COMMISSIONING \| UNIVERSITY HOSPITALS OF DERBY & BURTON NHS FOUNDATION TRUST \| 24283580 \| 116,651.18 \| \|------------------------\|--------------------------------\|--------------\|----------------------------------------------\|--------------------------------\|---------------------------------------------------------------\|------------\|--------------\| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS DES Learn Dsblty Hlth Chk \| PRC DELEGATED CO-COMMISSIONING \| WILLOWBROOK MEDICAL PRACTICE \| 24330164 \| 2,380.00 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS DES Minor Surgery \| PRC DELEGATED CO-COMMISSIONING \| WILLOWBROOK MEDICAL PRACTICE \| 24330164 \| 8,606.83 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Global Sum \| PRC DELEGATED CO-COMMISSIONING \| WILLOWBROOK MEDICAL PRACTICE \| 24330164 \| 118,671.49 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Prem Clinical Waste \| PRC DELEGATED CO-COMMISSIONING \| WILLOWBROOK MEDICAL PRACTICE \| 24330164 \| 996.20 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Prem Notional Rent \| PRC DELEGATED CO-COMMISSIONING \| WILLOWBROOK MEDICAL PRACTICE \| 24330164 \| 7,711.56 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Prem Water Rates \| PRC DELEGATED CO-COMMISSIONING \| WILLOWBROOK MEDICAL PRACTICE \| 24330164 \| 485.90 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| WILLOWBROOK MEDICAL PRACTICE \| 24330164 \| 15,207.77 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| ME - GMS GP Prior Year ERs \| PRC DELEGATED CO-COMMISSIONING \| WILLOWBROOK MEDICAL PRACTICE \| 24330164 \| 1,057.62 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS DES Learn Dsblty Hlth Chk \| PRC DELEGATED CO-COMMISSIONING \| WOODLANDS MEDICAL PRACTICE \| 24330179 \| 1,400.00 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS DES Minor Surgery \| PRC DELEGATED CO-COMMISSIONING \| WOODLANDS MEDICAL PRACTICE \| 24330179 \| 4,157.90 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Global Sum \| PRC DELEGATED CO-COMMISSIONING \| WOODLANDS MEDICAL PRACTICE \| 24330179 \| 83,983.23 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Prem Clinical Waste \| PRC DELEGATED CO-COMMISSIONING \| WOODLANDS MEDICAL PRACTICE \| 24330179 \| 803.38 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS Prem Notional Rent \| PRC DELEGATED CO-COMMISSIONING \| WOODLANDS MEDICAL PRACTICE \| 24330179 \| 11,350.00 \| \| Department of Health \| NHS Mansfield & Ashfield CCG \| 31/10/2018 \| C&M-GMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| WOODLANDS MEDICAL PRACTICE \| 24330179 \| 9,289.90 \| \| TOTAL \| 21,015,840.12 \| \| \| \| \| \| \|	en
3630-pdf	## Compliance With Condition 4 Of The Passenger Licence And Gb Statement Of National Regulatory Provisions: Passenger, And Consumer Law - Responses To Orr Letter Dated 8 May 2018 \| Rail Industry Company \| Page number \| \|--------------------------\|----------------\| \| Arriva Rail London \| 2 \| \| Arriva Trains Wales \| 4 \| \| Chiltern \| 10 \| \| CrossCountry \| 16 \| \| East Midlands Trains \| 21 \| \| Grand Central \| 23 \| \| Great Western Railway \| 26 \| \| Greater Anglia \| 32 \| \| GTR \| 34 \| \| Hull Trains \| 39 \| \| Merseyrail \| 43 \| \| MTRCrossrail \| 46 \| \| South Western Railway \| 49 \| \| Southeastern \| 53 \| \| TransPennine Express \| 57 \| \| Virgin Trains \| 63 \| \| Virgin Trains East Coast \| 70 \| \| West Midlands Trains \| 75 \| \| \| \| \| \| \| Overground House, Mr. John Larkinson 125 Finchley Road, Swiss Cottage, Director Railway Markets & Economics London, NW3 6HY Office of Rail and Road t 020 3031 9200 "' www.arrivaraillondon.co.uk 21 May 2018 Dear John Thank you for your recent letter, regarding Arriva Rail London (ARL)'s compliance with condition 4 of the Passenger Licence and GB Statement of National Regulatory Provisions: Passenger and Consumer law. ARL has a culture of ongoing review, to ensure continuous improvement in all areas of the business and, in light of the concerns raised by the ORR, we have reviewed our processes in regard to this topic. ARL can subsequently confirm the following responses to your areas of concern: 1. The majority of train operators do not put the warnings (icons and messages) that are shown on the National Rail Enquiries (NRE) website on their website or apps; London Overground services, which are operated by ARL on behalf of TfL, are shown in the NRE journey planner and have appropriate messages attached. ARL does not however have its own app or website and information about services is provided by TfL, including on its rainbow boards. 2. Where NRE flags trains as not being confirmed to run, the message is not shown on train operator ticket engines which generally have no cautionary messages at all; TfL does not provide a cross-industry journey planner and so the issue of messages on services of other operators does not arise. Journeys on the TfL website can only be planned 4 weeks in advance, by which time we expect that the industry timetable will be correct. 3. Where train times have changed since the ticket was booked, train operators are not contacting passengers to alert them to the new journey times or refund options ARL does not have advance tickets or online ticket sales. There is no mechanism for contacting passengers who may have bought a ticket to travel on London Overground services via another website. 4. Attention is not being drawn to train times that are still wrong less than a week away from the journey being made. We are working to the revised Network Rail Informed Traveller recovery dates that have been set with the industry. Whilst we do process a number of late notice changes to our train plans, we endeavour to keep these to a minimum. 5. Some operators that sell advance tickets do not make it clear when they are available to buy, for example through the use of an advance ticket calendar or registration facility; ARL does not sell advance tickets, therefore the matter of an advance ticket calendar or registration facility does not arise. 6. Weekday daytime works affecting peak time commuters are not easily distinguished from those taking place overnight or at weekends. ARL does not have its own app or website and information about services is provided by Tfl, with precise details of closures listed on the Planned Works Calendar. Likewise, details of closures are listed on NRE in the "Changes to train times" section. 7. Although websites and mobile sites nearly all have the facility to display a banner message when services are disrupted, many apps do not. ARL does not have its own app. Many apps take Tfl service status information which includes that for London Overground ARL works under a Concession Agreement to Transport for London (Tfl) and customer information is made available by Tfl on their app and website. Customer Experience is at the heart of everything ARL does, and we take our responsibilities to passengers very seriously, especially when considering service disruption and Passenger Information During Disruption. I trust that the above provides you with the information you require, however please advise if you require any further information, in relation to the concerns raised. Yours sincerely Will Rogers Managing Director John Larkinson Director Directorate of Railway Markets and Economics 21st May 2018 Dear Mr Larkinson, Thank you for the opportunity to advise on the current situation at Arriva Trains Wales, related to compliance with condition 4 of the Passenger Licence and GB Statement of National Regulatory Provisions: Passenger, and Consumer law. Our Managing Director, Tom Joyner, has asked that I reply on his behalf as he is currently away from the office conducting a colleague tour across the network. Arriva Trains Wales is committed to ensuring our customers are able to plan and make their journeys, although we are often unable to deliver some of the changes needed at short notice via our supplier chain. We have recently met with Nick Layt at the ORR to discuss our compliance in this area and remain committed to delivering the best service we can. In order to inform and advise on the action taken, or planned to be taken, against the 7 listed areas, please see the details listed: 1. The majority of train operators do not put the warnings (icons and messages) that are shown on the National Rail Enquiries (NRE) website on their website or apps; a. ATW Use the Trainline booking engine. Work has been carried out previously so that the booking engine imports the NRE flags for ATW services, as evidenced in a recent compliance audit carried out by the ORR, however, this is not the case at the moment. This issue been reported to trainline and we await a response to confirm what action will be taken. Trainline use multiple portals for ticket sales depending on whether you are using a mobile phone, require a season ticket or just a standard ticket. Only the main website portal is meant to display the warnings. Trainline have promised for the other portals to receive this same information however a timeline for implementation has not been provided and it is doubtful that Arriva Trains Wales will see this development in its franchise lifetime. Arriva Trains Wales/Trenau Arriva Cymru Limited Registered in England and Wales Number 04337645 Registered Office St Mary's House 47 Penarth Road, Cardiff CF10 5DJ Arriva Trains Wales/ Trenau Arriva Cymru Ltd St. Mary's House 47 Penarth Road Cardiff CF10 5DJ Arriva Trains Wales/Trenau Arriva Cymru Limited Cofrestwyd yn Lloegr a Chymru Rhif 04337645 Swyddfa Gofrestredig Tŷ'r Santes Fair 47 Ffordd Penarth, Caerdydd CF10 5DJ Tel 03333 211202 www.arrivatrains.wales 2. Where NRE flags trains as not being confirmed to run, the message is not shown on train operator ticket engines which generally have no cautionary messages at all; a. As above, trains that have been highlighted on NRE should be highlighted on the Arriva Trains Wales website and we await a response from Trainline to understand why this is not occurring. The Trainline are starting to recognise the need to improve other elements of customer touchpoint but again, ATW does not expect these improvements to occur in the remainder of its franchise. 3. Where train times have changed since the ticket was booked, train operators are not contacting passengers to alert them to the new journey times or refund options; a. ATW do use customer information to send targeted e-mails should journeys be amended after the point at which a ticket is sold. An example can be found as appendix A to this letter. However, if no contact details were taken at point of sale e.g. an advance ticket purchased at a ticket office, then we have no way of telling the customer directly that their journey has been amended. 4. Attention is not being drawn to train times that are still wrong less than a week away from the journey being made; a. ATW are being affected by a significant number of late notice possession requests in conjunction with Great Western Electrification Project at present. Services are being validated by Network Rail as late as T-10 days and as such there are likely to be several incorrect services still being advertised to customers. We are alerting customers to this on our website, and via social media, with a clear message stating journey planners may not be updated until 5 days before date of travel as seen in appendix B to this letter. We are also advising our customers of the same via posters at stations which is very helpful in getting this message across. NRE are too displaying alerts on their journey planner to the same effect. As specified in question 1 and 2, we are investigating with trainline the reasons why these flags are not being drawn into the ATW Journey planning tool. 5. Some operators that sell advance tickets do not make it clear when they are available to buy, for example through the use of an advance ticket calendar or registration facility; a. ATW do not provide a facility for customers to sign up to alerts specifically for Advance ticket purchases. We have introduced a visible ticker on our website that informs customers as to when advance tickets are available until (see appendix C) and in development is a calendar that will be visible in the advance purchase ticket section of our website, highlighting the booking horizons for advanced purchase tickets, this is expected to be live in the coming weeks. 6. Weekday daytime works affecting peak time commuters are not easily distinguished from those taking place overnight or at weekends; Arriva Trains Wales/Trenau Arriva Cymru Limited Registered in England and Wales Number 04337645 Registered Office St Mary's House 47 Penarth Road, Cardiff CF10 5DJ Arriva Trains Wales/Trenau Arriva Cymru Limited Cofrestwyd yn Lloegr a Chymru Rhif 04337645 Swyddfa Gofrestredig Tŷ'r Santes Fair 47 Ffordd Penarth, Caerdydd CF10 5DJ Arriva Trains Wales/ Trenau Arriva Cymru Ltd St. Mary's House 47 Penarth Road Cardiff CF10 5DJ Tel 03333 211202 www.arrivatrains.wales a. ATW accept that the communication of current GWEP improvement works (and past improvement works Including CASR and NASR) could be improved, both on our own and the NRE website. NRE use the WEC (Weekly Engineering Circular) as a guide for works with ATWs website taking the NRE feed for improvement works. We are working with the NRCC to show more clearly, the impact to our customers improvement works have on journeys. ATW are looking to define a process that will sense checks both the NRE and our own website for accuracy and clarity. 7. Although websites and mobile sites nearly all have the facility to display a banner message when services are disrupted, many apps do not; a. ATW's main and mobile site both have the capability of displaying a banner. ATW's new WebTIS site does not have this capability. There has been resistance from Trainline to develop this as it is believed it disrupts the booking flow and has the potential to reduce trainline sales. To this end, Trainline have put a high cost on this development which ATW will not pursue given there is only 5 months of the franchise remaining. The ATW mobile app does have the ability to display a banner however is not linked directly to the website. The banner on the app is manually entered as this was the specification provided to the developer who created the app. Development of the app is now frozen as the developer (Masabi) looks to exit the market. Yours sincerely, Barry Lloyd Head of Customer Experience Arriva Trains Wales Arriva Trains Wales/Trenau Arriva Cymru Limited Registered in England and Wales Number 04337645 Registered Office St Mary's House 47 Penarth Road, Cardiff CF10 5DJ Arriva Trains Wales/Trenau Arriva Cymru Limited Cofrestwyd yn Lloegr a Chymru Rhif 04337645 Swyddfa Gofrestredig Tŷ'r Santes Fair 47 Ffordd Penarth, Caerdydd CF10 5DJ Arriva Trains Wales/ Trenau Arriva Cymru Ltd St. Mary's House 47 Penarth Road Cardiff CF10 5DJ Tel 03333 211202 www.arrivatrains.wales Example email sent to a customer booked on a service likely to be amended Arriva Trains Wales/Trenau Arriva Cymru Limited Registered in England and Wales Number 04337645 Registered Office St Mary's House 47 Penarth Road, Cardiff CF10 5DJ Arriva Trains Wales/Trenau Arriva Cymru Limited Cofrestwyd yn Lloegr a Chymru Rhif 04337645 Swyddfa Gofrestredig Tŷ'r Santes Fair 47 Ffordd Penarth, Caerdydd CF10 5DJ Arriva Trains Wales/ Trenau Arriva Cymru Ltd St. Mary's House 47 Penarth Road Cardiff CF10 5DJ Tel 03333 211202 www.arrivatrains.wales Please note the wording here is in the process of being updated to read 'Journey planners will only be updated 5 days before each impacted week. Please check this website regularly, prior to travel and ask Arriva Trains Wales staff for assistance' Arriva Trains Wales/Trenau Arriva Cymru Limited Registered in England and Wales Number 04337645 Registered Office St Mary's House 47 Penarth Road, Cardiff CF10 5DJ Arriva Trains Wales/Trenau Arriva Cymru Limited Cofrestwyd yn Lloegr a Chymru Rhif 04337645 Swyddfa Gofrestredig Tŷ'r Santes Fair 47 Ffordd Penarth, Caerdydd CF10 5DJ Arriva Trains Wales/ Trenau Arriva Cymru Ltd St. Mary's House 47 Penarth Road Cardiff CF10 5DJ Tel 03333 211202 www.arrivatrains.wales Arriva Trains Wales/Trenau Arriva Cymru Limited Registered in England and Wales Number 04337645 Registered Office St Mary's House 47 Penarth Road, Cardiff CF10 5DJ Arriva Trains Wales/Trenau Arriva Cymru Limited Cofrestwyd yn Lloegr a Chymru Rhif 04337645 Swyddfa Gofrestredig Tŷ'r Santes Fair 47 Ffordd Penarth, Caerdydd CF10 5DJ Arriva Trains Wales/ Trenau Arriva Cymru Ltd St. Mary's House 47 Penarth Road Cardiff CF10 5DJ Tel 03333 211202 www.arrivatrains.wales Marylebone Station Great Central House Melcombe Place London NW1 6JJ John Larkinson Directorate of Railway Markets and Economics Email: DPPP@orr.gsi.gov.uk Eleni Jordan Commercial Director 21st May 2018 Dear Mr Larkinson, ## Condition Iv Of The Passenger Licence Further to your letters of 23 February 2018 and 8 May 2018, I want to set out how Chiltern Railways is addressing the issues you have raised, from an industry perspective and, where relevant, how we will do so in future. Our responses are based on the standards you have set out, which are reproduced below. For clarity, each Office of Rail and Road (ORR) requirement and its derivatives are highlighted in bold. 'Train operators should be open about the impact on all passengers of the challenges they face and take responsibility for ensuring that their passengers can get the information they need to plan and make their journey as that information comes available.' \| ORR Requirements \| \|-------------------------------------------\| \| Disrupted trains appear on all channels \| \| from the National Rail Enquiries (NRE) \| \| feed; in line with ORR requirements, this \| \| information is presented consistently \| \| across digital retail channels owned by \| \| Chiltern Railways and third parties. \| 'Passengers should not have to look at multiple sources of information to get the information that they need; information should be aligned across all channels. It should be obvious from the train operator or third-party ticket engine/journey planner if the journey presented is not the normal one. For example, if there is a replacement bus or the journey takes longer than normal or is diverted' chilternrailways.co.uk Chiltern Railways is the trading name of The Chiltern Railway Company Limited. Registered office: 1 Admiral Way, Doxford International Business Park, Sunderland, England SR3 3XP. Company Registration No. 3007939. VAT Registration No. GB 667 3877 77. 'Extra effort should be made to advertise changes that are unusual such as work that might affect the weekday peak period rather than just overnight or weekend trains so that all travellers, regular and infrequent are equally well informed.' Our ''Special timetables'' webpage details engineering works and special events with a link to any revised timetables; this includes exceptional changes to our service such as daytime engineering works. Please refer to Appendix B below. Our customer service team updates Journey Planning sites (sourcing information from the NRE feed) where we expect planned services to be disrupted. As well as providing clear information about service changes, we plan to develop a way to advise passengers when journeys change, for tickets they have already purchased. When engineering works impact passengers we will always explain this in plain English and provide further context which may be helpful. 'When there are engineering works, explain in jargon free language what is being done and why, and the impact it will have on passengers. This should be information about specific works and not just references to the general reasons why engineering work may be necessary.' 'Information should be consistent across all the train operator's Disrupted trains appear on all channels as disruption occurs and this channels. The passenger should information is pulled directly from the NRE feed, ensuring consistency receive the same information and warnings.' wherever information is available about Chiltern's services online. ## 'Clear Information On The Availability Of Advance Tickets, What Is Available And When, Is Necessary To Help Passengers To Plan Journeys When The Timetable Is Uncertain' ORR Requirement Chiltern Railways Response Recognising that Chiltern do not 'When advance tickets have not been released this should be made clear to passengers using the ticket engine, and an estimate of when these tickets are likely to be available.' currently have this facility on our journey planner we are developing a page on our website to be updated weekly, advising passengers of the availability of Advance Fares. We are scoping out this piece of work which we hope to be able to deliver soon. 'Where feasible, a facility should be provided for passengers to register their interest in advance ticket dates chilternrailways.co.uk Advance fare notification emails are not available from Chiltern Railways. Recognising customers' wish for this facility and the ORR's view, we are considering how a web-based and to be e-mailed by the train operator when these tickets become available' 'An advance ticket should set out the latest date currently available for purchase, ideally, this should split out weekdays, Saturdays and Sundays.' registration system can be developed and further, how our social media feeds can be used to raise awareness of the availability of advance fares. 'When train times are changed for a ticket that has already been Chiltern is exploring how to develop a process to assist passengers whose services are changed at short notice. We are also working on a way to communicate changes like to purchased the train operator should make every effort to contact the passenger to let them know. Should the new journey times not be convenient for the passenger they should be invited to apply for a refund / refunds should be given on request without having to pay an administration charge.' passengers effectively after a ticket has been purchased, including providing information about refunds and relief from administration fees. We are keen to work with other TOCs to explore development of a system to integrate this process across the network. This may be a piece of work we can develop through our RDG committees. Timetable information should be correct as far ahead as possible, and where timetables are not confirmed information about their status should be accurate and updated frequently.' ## Orr Requirements Chiltern Railways Response 'Where times are not confirmed and there is the possibility that they will be changed this should be flagged to passengers. Ideally as this Chiltern Railways have worked with NRE to ensure an additional feed can be incorporated into all digital channels to answer this challenge this year. information should include the date when the timetable will be confirmed to allow passengers to check at that time and the reason for the possible/confirmed change to times.' Chiltern Railways utilises its 'Special timetables' webpage for this purpose and this information will also be included on an additional NRE feed to all Chiltern Railways digital retail 'Should incorrect timetables still be in planners at T-1 the train operator should take extra steps to advertise that the times shown are incorrect. This could include website banners and publishing PDF timetables channels this year. showing the correct times. National Rail Enquiries messages should also ## Chilternrailways.Co.Uk point to enhanced information to ensure as wide an audience as possible.' Below are some examples of the way we provide information to customers in a variety of circumstances which we hope this demonstrates the clarity we aim to provide. It is clear there are passenger information issues which are better-addressed by the industry collectively. Where we believe this is the case, we will seek to raise this through the Rail Delivery Group. Our teams are committed to providing a service that has passengers' needs at its heart and we recognise and appreciate the role of the regulator in assisting industry to that end. We will undertake to update you on the plans we have set out above, as and when they take effect. Yours sincerely Eleni Jordan Commercial Director Chiltern Railways chilternrailways.co.uk Chiltern Railways is the trading name of The Chiltern Railway Company Limited. Registered office: 1 Admiral Way, Doxford International Business Park, Sunderland, England SR3 3XP. Company Registration No. 3007939. VAT Registration No. GB 667 3877 77. Appendix A - Example of a disruption feed on Chiltern desktop site, same for mobile web and mobile app Appendix B - Example of the special timetable change page chilternrailways.co.uk Chiltern Railways is the trading name of The Chiltern Railway Company Limited. Registered office: 1 Admiral Way, Doxford International Business Park, Sunderland, England SR3 3XP. Company Registration No. 3007939. VAT Registration No. GB 667 3877 77. ## Appendix C - Example Of Detail Of Special Timetable Change Page Within A Date Appendix D - Notification Of Temporary Timetable Changes On The Chiltern Railways Website chilternrailways.co.uk Chiltern Railways is the trading name of The Chiltern Railway Company Limited. Registered office: 1 Admiral Way, Doxford International Business Park, Sunderland, England SR3 3XP. Company Registration No. 3007939. VAT Registration No. GB 667 3877 77. CrossCountry 5th floor, Cannon House 18 Priory Queens1Nay crosscountrv~-.,.. Biriningharn B4 6BS crosscountiytrains.co,uk John Larkinson Director Railway Markets & Economics Office of Rail and Road One Kemble Street London WC2B4AN 18 May 2018 Dear John, I write with reference to the letter received on 8 May, requesting information relating to how CrossCountry is responding to the seven areas of concern identified as part of the ORR monitoring of customer websites and apps. This is in specific reference to the ongoing issues as a result of Network Rail being unable to confirm services at T-12. Since the issue arose, CrossCountry has recognised the uncertainty that this could create for customers and has proactively adopted a number of internal processes to ensure that we provide our customers with the relevant and appropriate information to enable them to make informed travel and ticket choices. It is imperative that we do not advertise train services that we know for certain will not be running, and the processes we have put in place mean that we avoid this scenario completely. However, we do recognise that our customer base at weekends (when the majority of changes caused by engineering work occur), seek the reassurance of booking in advance to get the cheapest ticket and so we have proactively taken action to enable early booking with confidence as far as we are able. Prior to the temporary cessation of informed traveller timescales at T-12, the CrossCountry train planning team celebrated 200 successive weeks of T-12 compliance, enabling us to open services for booking twelve weeks in advance and give customers the confidence in the timetable. This has meant that we have not made available for booking any service that was not running, only advertising services that have been confirmed (either altered or unaltered). While we are currently no longer able to meet T-12 given the issues with Network Rail, we have: - Created a dedicated landing page on our website providing customers with detailed advice on journey planning and travel and refund policies; - Set up a robust process and information flow between our Train Planning and Commercial teams so that services we know will run as booked can be opened for reservations and for the sale of Advance tickets; t"' '"\ INVESTORS I Gold Part of Arriva - a IQm company ¥.,_,,_,Ji' IN PEOPLE - Prevented the sale of train-specific Advance tickets on those services we know will be affected by engineering work; - Recommended that customers check with the relevant operator closer to the time with a full refund offered if the customer no longer wishes to travel, and, for tickets on CrossCountry services, allow travel on alternative services two hours either side of the original service without penalty. Our approach to date has worked well, balancing the avoidance of preventing Advance ticket sales on affected trains, but opening unaffected trains for booking as far in advance as we can. We provide the following responses in relation to the specific requests set out in the letter. Issue Action Taken Further Action Barriers Underwav The majority of In relation to the T-12 issue, No further action We use a 'white label' train operators do since 23 February the in relation to edition of the Train line not put the CrossCountry website has website as app and are therefore warnings (icons featured on its homepage already provides heavily restricted in the and messages) banner an alert for those warning. level of amendment we that are shown on seeking to buy tickets more can make to this. This the National Rail than 6 to 12 weeks in also prevents bespoke Enquiries (NRE) advance1. From this alert amendments including website on their customers can then get banners and in-flow website or apps further information so that messaging. Any they can make informed changes have choices about their journey significant cost and nlannino. No banner on ann_ develooment timelines. not confirmed as running barriers. Where NRE flags Between T-12 and T-6 where No further action We are unable to trains as not being CrossCountry services are because of the replicate the flag used confirmed to run, on the NRE website as the message is not these will not be shown as an we use a white label shown on train option within any journey edition of the Trainline operator ticket booking engine which engines which services shown are suggestions, avoiding the need for any flag. Between T- prevents bespoke generally have no 6 and T-0 any CrossCountry including banners and cautionary in-flow messaging. Any messages at all confirmed. changes have significant cost and develooment timelines. Issue Action Taken Further Action Barriers Underwav Where train times Where CrossCountry Weare We would not hold or have changed services are not confirmed as contacting have legal access to since the ticket running these will not be customers as far details of those was booked, train returned as a visible option as we are able, customers buying Offoperators are not within any journey noting the Peak or Open tickets contacting suggestions on CrossCountry barriers via stations or other passengers to alert booking channels. Where regarding retail channels not them to the new customers book tickets for customer data controlled by journey times or other operators' services use. CrossCountry, and refund options which are not confirmed we could therefore not promake it clear on our website actively contact them. that if a customer buys an Off-Peak or Open ticket more than six weeks out ( e.g. at a station) for a train that is subsequently altered, a refund can be claimed. We are issuing e-mails to those customers directly affected every two weeks which point customers to where to find more information ( example orovided as Annendix 1 ). Attention is not Our booking engine would No further action Not applicable being drawn to not advertise trains that were required train times that are known to be incorrect a week still wrong less beforehand. than a week away from the journey beinn made Some operators CrossCountry has, for a No further action Not applicable that sell advance number of years, provided a required tickets do not make free ticket alert service to tell it clear when they customers when Advance are available to tickets are released for sale buy, for example for any specific day2 . We also through the use of have information about this an advance ticket on the dedicated page calendar or relating to this issue3• reaistration facilitv Issue Action Taken Further Action Barriers Underwav Weekday daytime The volume of weekday No further action Not applicable works affecting engineering work on our required. peak time network is relatively very commuters are not small and where this does easily occur it tends to be major distinguished from blockades ( such as at Derby those taking place in Summer 2018), which we overnight or at advertise significantly through weekends all channels available to us. Although websites We do not have this feature No further action We use a 'white label' and mobile sites on our app planned. edition of the Trainline nearly all have the app and are therefore facility to display a heavily restricted in the banner message level of amendment we when services are can make to this. This disrupted, many also prevents bespoke apps do not including banners and in-flow messaging. Any changes have significant cost and develooment timelines. It is also worth highlighting that we have been in regular contact with Transport Focus regarding the processes we have adopted, which have received positive feedback. I hope the above information is useful but please do not hesitate to get in touch if you require any further information. Yours sincerely, Andy ooper Managing Director ## Crosscountrv~-,. Appendix 1 - Example Customer E-Mail Crosscountrv~--- Bya,Riva Dear customer, Network Rail are temporarily changing how far in advance train timetables can be confirmed. Train times and tickets are usually available for customers to plan and book their journeys up to 12 weeks before departure. However, possibly for the duration of the next timetable beginning on 20th May, some may not be available until closer to the date of departure. There might be some changes to the timetable from when you originally purchased your train ticket, please check our dedicated page to see if your journey has any amendments. Upcoming dates which may be affected are 26 May to 1 June 2018 inclusive. Our priority Is to keep you informed, updated and on the move, so please check our dedicated page for up to date Information. We apologise for any inconvenience that this may cause to your journey. The CrossCountry team Check your journey John Larkinson Director Railway Markets & Economics (By email) 21st May 2018 Dear Mr Larkinson Compliance with condition 4 of the passenger Licence and GB Statement of National Regulatory Provisions: Passenger, and Consumer law In response to your letter dated 8th May 2018 regarding your concerns with certain areas of PIDD compliance, the below details the measures already in place, changes made since 23rd February, and those planned in future for East Midlands Trains; - When engineering works are confirmed to cause journey disruption, for example when we operate rail replacement, our website will highlight this to customers with a warning triangle. At this stage this is not the case for speculative disruption. Trainline have now gained access to the NRE disruption feed which includes speculative disruption warnings and they are currently assessing how they could integrate this on their sites including East Midlands Trains. - Where a change occurs to booked journeys we make every effort to contact affected customers using our own Customer Service Centre or Trainline, this would only not occur where contact details are unavailable. - East Midlands Trains publish on our website the date until which tickets are available (https://www.eastmidlandstrains.co.uk/tickets-deals/), this has been updated to advise customers that some tickets may not be available until 6 weeks prior to departure and a specific news page added to provide more detail of these late publications (https://www.eastmidlandstrains.co.uk/information/media/news/Timetable- Publication-Changes/). - A "ticket alerts" functionality was added to our website last year, allowing customers to register for an email alert when a specific route and date goes on sale and so take advantage of our lowest Advance Purchase fares. - Where a timetable is not confirmed at T-12 we do not place Advance Purchase fares on sale during disruption. Details of the impacted dates and routes have also been made available on the news page referred to above. - Since the launch of our new mobile app, we have been working with our provider, The Trainline, to ensure this meets PIDD compliance. At this time we are still awaiting a formal proposal from Trainline on how and when this will be achieved. East Midlands Trains is committed to achieving full compliance and will continue to work with The Trainline to achieve this. Yours sincerely Lucy Dean Head of Revenue John LarkinsonDirector, Railway Markets & EconomicsOffice of Rail and RoadOne Kemble Street, London WC2B 4AN 18thMay2018Dear John,Compliance with condition 4 of the Passenger Licence and GB Statement of National Regulatory Provisions: Passenger, and Consumer lawWith reference to your letter of 8thMay 2018, please find the information requested below.1. The majority oftrain operators do not put the warnings (icons and messages) that are shown on the National Rail Enquiries (NRE) website on their website or apps;For planned disruption,we display alert triangles next to journey results that will include alternative transport. The incorporation ofshort-notice andlive on-the-day disruption warnings such as theseinto the booking platformis not currently within our third-partywebsite provider'sdevelopment roadmapfor GrandCentral.As part of our improvements to the journey planning and ticket purchase experience, we will launch a new website in Q3 2018. Warning icons and messages are in our development pipeline,whichwe anticipateprogressingthrough Q1 2019.2. Where NRE flags trains as not being confirmed to run, the message is not shown on train operator ticket engines which generally have no cautionary messages at all;The functionalitytoinsert warning messages for services which are not confirmed to runis not currently within our third-party website provider's development roadmapfor Grand Central. In recognition ofthe small number of Grand Central services which willbe re-timed,or will not run as shown when they first become available 12 weeks before travel, wehave implemented dedicated pageswithin our website;with a prominent link from the home page;which detail options available to customersto change their journeyand the dates when services will be confirmed to run. 3. Where train times have changed since the ticket was booked, train operators are not contacting passengers to alert them to the new journey times or refund optionsIf Grand Central services are subject to change or retimed after being made available for reservation, we make every effort toproactivelycontact customerswho have purchased viaour Website or Telesalesretail channels by telephone or e-mail to offer alternativesoptions or a refund.Inaddition, we would advise other operators and third-party retailers ofservices changes such that they can contact those customers who have purchased via their retail channel. 4. Attention is not being drawn totrain times that are still wrong less than a week away from the journey being made.We understand thatto date,noGrand Central journeys have been affected in this wayand weare notaware of their being any immediate likelihoodofsuch going forward.Should this occur in the future, we would deploya comprehensive communication plan to customers, including direct contact, social media and website banner alertmessaging.5. Some operators that sell advance tickets do not make it clear when they are available to buy, for example through the use of an advance ticket calendar or registration facility;Following Network Rail's announcement in February2018regardingfinalising timetables six weeks in advance rather than 12 weeks, we implemented dedicated pageswithin our websitewith a link fromthe home pagewhich explains thechanges to customersandprovides informationhow it may affectjourneyplanning.In addition, aticket availability calendar and list of affected services is provided to ensure customers have a ready overview of when tickets can be purchased for their journey.As part of our improvements to the journey planning and ticket purchase experience,we willintroduce a prominentAdvance ticket calendar on thehomepage of our websitein Q3 2018, to further highlight whentickets are available for purchase. weekday daytimeengineeringworks.In any case wepublishcustomer information forplanned timetable changes equally, regardless of the time or day of travelor journey purpose of our customers.7. Although websites and mobile sites nearly all have the facility to display a banner message when services are disrupted, many apps do not.At present, Grand Centraldoes not havea mobileapplication.As part ofourimprovements to the journey planning and ticket purchase experience, we will launch a mobile app in Q3 2018, which will display a banner message, in line with ourdesktop & mobilewebsites,in the event of service disruption.Grand Central is committed to ensuringinformation provided topassengers isaccurate,appropriateandtimely, as we believe that all customersshould be able to travel with us at ease and with confidence.Yours Sincerely,Richard McCleanManaging Director "Areas of particular concern"identified in your monitoring, as follows:1."the majority of train operators do not put the warnings (icons and messages) that are shown on the National Rail Enquiries (NRE) website on their website or apps" We currently show warning messagesfrom NREon ourCheck Your Journey and Live Train Times pageswithin the Travel Updates section of our website and our mobile website andon the Live Times page of theGWR App (noting that this only covers on the day disruption) this does not currently include the website booking flows.a) and b) We are workingwith our developersto introduce an improvement to our booking flow so that passengers purchasing a ticket will see a warning icon against any services which have not been confirmed by Network Rail or where late notice possession requests mean an amended timetable will be in operation. When clicked the icon will present passengers with a similar message to that displayed on the NRE website: -Timetable updates for your journey:At present, we cannot confirm whether this service will run and some additional services may be missing from the journey planner. We would advise that you follow this link to sign up for information about any potential changes to your service. 2 We were therefore heartened to receive a response from the System Operator lastweek, also copied to your office, whichsets out a number of actions and initiativesthat could, if adopted by the wider railway partnership, start to addresssome of the challenges being faced. Rest assured that we will continue to lobbyand work withall parties to achieve a betterment in the situation at the earliest opportunity.However, it muststillbe recoginsed that a number of the issues highlighted in your list below would not be issues if thedecision to delay final Timetableinformation until T-6(and on occasion later)were returned to theindustrylicence requirement of T-12, and while Network Railhave communicated their reasons for this,it will continue to have serious repercussions on our ability to deliverfor our passengersas we would wish.Furthermore, while even the reduced T-6 anticipated timescale for Timetables areoftennot beingmet, which would be bad in itself,it is compoundedstill further by the amount of engineering work beingcarriedout across our network to meetrepeateddelay in major project deliveryand thecondensed Electrification timetables.This engineering work is alsogeneratinga significant number of late notice possession requestsand changes,which we arereceivingon a weekly basis, andwhich meaneven more changes to the alreadydelayedtimetable.You have asked us torespond in the following areas:a)set out the action taken taken since your letter of 23 February 2018 to ensure that passengers get the information that they need, especially when short notice changes are being made to the timetable;b)explain where necessary improvements are underway but have yet to be implemented, together with timescales for introduction; andc)highlight any barriers preventing them from making all the improvements together with the action being taken to address theseagainst eachthe seven 3 We have also recently added a "More details" link (see Example 1. below) which will transfer the customer to the NRE site, which provides more detailed information. The NREwebsite provides operator specific information, by train operator, including what is confirmed and accurate at any given time. There is a further opportunity for the customer to register for updates and information on their planned journey.Example1.We are also workingto provide a new pop up notification on the GWR App that appears when a passenger selects a journey that has yet to be confirmed by Network Rail or is subject to a late notice engineering change. In this instance a link will be madeavailable to transfer the passenger to the NRE website for more detailed information. We arefurtherworking with our App developersto enhancethe passenger messaging capability and allow itto be much more targeted.Weexpectallthisworkto be implemented by December 2018.c)We are not aware of any barriers in relation to this aspect.2."where NRE flags trains as not being confirmed to run, the message is not shown on train operator ticket engines which generally have no cautionary messages at all" As noted in 1.above, we currently show warning messages from NRE on ourCheck Your Journey and Live Train Times pageswithin the Travel Updates section of our website and our mobile website andon the Live Times page of the GWR App (noting that this only covers on the day disruption) this does not currently include the website booking flows.b)See answer in 1. abovec)We are not aware of any barriers in relation to this aspect. 4 3."where train times have changed since the ticket was booked, train operators are not contacting passengers to alert them to the new journey times or refund options"a) and b) When services have been opened for reservations and there isa significant change to journey times because of late changes to engineeringworks or otherissues, we alreadycontact by emailall those passengers who have booked through our own digital channels informing them of the changes to journey times. We also make contact with and request that ourthird party retailers contact allpassengerwho have booked throughthem,via their website or mobile app, on our behalf.We are currently trialing a similar contact process using SMS and we hope tobe able toimplement thesuccessful solution later in the year.In addition where a Major Possession (typically lasting2 or more days) is planned we have an automated system in place for passengers whobook a ticket through our siteor through the GWR App. Passengers who do so immediately receive an email which leads with a recommendation to "check train times again before travelling". This is repeated at T-24 hours.We are current reviewing the wording of these messages to try and strengthen the impact of the advice.c)Whilst wehave visibility of the passengers who have made bookings through our websiteand the GWR App a high number ofonline bookings are also made throughotherthird-party retailers. We therefore have to relyon these third-party retailers to agreerevisedmessaging and then send out the email communication on our behalf. 4."attention is not beingdrawn to train times that are still wrong less than a week away from the journey being made."a) and b) As set out in 1.we are workingwith our developersto introduce an improvement to our booking flow so that passengers purchasing a ticket will see a warning icon against any services which have not been confirmed by Network Rail or where late notice possession requests mean an amended timetable will be in operation.See answer 1. c)The provision of accurate and timely information to passengers is solely reliant on Network Rail's ability to recover T-12 Informed Traveller Timescales and provide a validated Timetable to the industry in a timely manner. Thiscoupled with better management ofengineering works,so as not impose repeated late notice engineering access requests,is the biggest barrierto addressing theissue. 5 5."Some operators that sell advance tickets do not make it clear when they are available to buy, for example through the use of an advance ticket calendar or registration facility;"We aim to provide informationonfor passengers wishing to book Advanced Fareson our website including details of service and availability dates this can be found at https://www.gwr.com/plan-journey/tickets-railcards-and-season-tickets/booking-tickets-in-advancea) and b) In order to assist passengers during the current challenge of late Timetable provision we have addedfurther detailed information toour website toexplain thatNetwork Rail has made temporary changes to the advanced availability of final timetables for approximatelysix months from 20 May 2018. This new section provides details of the periods affected and alsoinformation onhowrefundscan be claimed. Thenewlink titled: Reservations aren't open yet on the following dates:can be found on the same pagelisted above. c)We are not aware of any barriers in relation to this aspect.6."weekday daytime works affecting peak time commuters are not easily distinguished from those takingplace overnight or at weekends"The Planned Engineering Works page within the Travel Updates section of the website shows all planned engineering works across the GWR network. https://www.gwr.com/travel-updates/planned-engineeringThis also highlights the specific trains affected by the works. a) and b) While Planned Major Engineering Works affecting weekday peak time passengers on the GWR Network are unusual there are some specific examples during 2018 such as "Newbury". In these cases,we provide additional point of sale advice about service changes, bespoke journey planners and station posterswell in advance of the works to allow passengersto plan effectively. We also ensure the front page of our website carries a banner to alert passengers on the day and we also apply bespoke pop up messages to the booking flow which raise awareness of 'significant' changes to services.As a result of feedbackwe are currently looking at ways of further increasing the prominence of weekday peak time possessions on our digital platforms and aim to implement any improvements as soon as possible. A further source of information is https://www.gwr.com/upgradewhich gives a forward view for passengers up to 9 months in advanceof planned works. This page is referenced on our transformation displays and our largedisplay boardswhich arebeing installed at key stations.c)We are not aware of any barriers in relation to this aspect. 6 7."although websites and mobile sites nearly all have the facility to display a banner message when services are disrupted, many apps do not"a) and b) This issue is being addressed as set out in 1.through the work being carried out by our developers to provide a pop up notification on the GWR App that appears when a passengerselects a journey that has yet to be confirmed by Network Rail or is subject to a late notice engineering change.The same notification system will be used to provide service updates during disruption.d)We are not aware of any barriers in relation to thisaspect.In summary we consider that GWRand other operators are beingimpacted byanexceptionalset ofcircumstances, balancing short and longer-termpassengerinterests and cooperating with Network Rail to assist in the efficient delivery of the essential upgrade programme with the minimum of additional delay. It is well established that the current challenge in the provision of accurate and timely informationto passengershave as a root cause the volumesof engineering works, repeateddelay in major projectdelivery (which in turn isdrivingthe massive uplift in late notice engineering access requests from Network Rail)and the decision by the System Operator to impose T-6,and often much later provision of the Timetable,on the industry. While recognising the scale of the ongoing challenge and the need to constantly review how we can manage better through these difficult times and minimise the impacts on our passengers, we consider we are compliant with, and goingwellbeyond, our licence obligations in this regard.We would be happy to discuss any of the information provided above in further detail.Yours sincerelyMark HopwoodManagingDirector ## Greateranglia Greater Anglia 11th Floor One Stratford Place Montfitchet Road London E20 1 EJ t 0845 600 7245 01603 675243 greateranglia.co.uk f w John Larkinson Director Railway Markets & Economics One Kemble Street London WC28 4AN] 18 May 2018 Dear John Compliance with condition 4 of the Passenger Licence and GB Statement of National Regulatory Provisions: Passenger, and Consumer Law With reference to your letter of 8 May 2018, please find below actions taken since your letter of 23 February 2018 in order of your items labelled 1 to 7. 1 - GA has a yellow warning symbol on desktop but nothing mobile web. Trainline the supplier who manages the white label site has been briefed to scope this out for all TOCS, and we are awaiting timescales and costs for having this change made. 2 - The app shows cancellations to services on the day within the booking flow. This is not possible within the desktop site as we have a white label solution from Trainline, so it would require development. We have briefed Trainline on our requirement so they can confirm costs and timescales for adding a cautionary message against a particular train in the timetable/fares matrix and are awaiting a full response. However, there is a Journey check feed on the website which does provide all of the information about changed or cancelled services in advance or on the day. Depending on circumstances, GA would also place additional warning messages on the home page if necessary to highlight such changes. 3 - GA does contact prebooked customers if services have changed since tickets have been booked. If GA is made aware that a change has been made, we would email customers booked on specific services advising them of the change and offering them an alternative service or refund. 4 - GA would use the home page warning banner to highlight any train times that may still be wrong a week away from travel. But as bullet point 2 above, GA are investigating manual pop up messages within the booking flow, to mark any specific info that may be attached to a train. 5 - GA offers a ticket calendar and advance ticket alert already. This is on the home page. 6 - Unusual engineering such as daytime works would be highlight by a banner message on the home page of the website as well as via Journeycheck. 7 - A banner message for the app is in development to replicate the same warning messages as the home page. GA is currently awaiting timescales and costs for implementing this change and we envisage this can be completed by the end of the summer. In addition to the above responses, GA is already working with Nick Layt at the ORR with regard to compliance with condition 4 and I have also provided information relating to station based customer information during disruption or service alterations below. All front line colleagues are issued with smartphones or tablets to be able to access service alterations and live train running information. During disruption, GA implements its Hub Station procedure whereby information is fed into a designated location for dissemination to satellite station(s) in the local area. Abellio Group, 2"' Floor, St Andrews House, 18-20 St Andrews Street, London, EC4A 3AG Registered in England and Wales No. 07861414 At times of service disruption the "Switch" procedure is implemented at stations involving colleagues redeploying from their normal duties to provide front line customer service and information. GA supports a network of colleagues who are part of our Customer Action Teams (CATS) who are Head Office staff and are available on a rostered basis to be called out at times of service disruption to assist with Customer Service and Information. Where ticket office facilities have been withdrawn GA have introduced Mobile Customer Service Hosts who will deploy as required to ensure customers are correctly informed and supported during periods of service alterations or disruption. During service alterations station screens are placed in "Disruption Mode" so that they display only the trains that are actually running and information messages. The VITA Help Button on station Ticket Vending Machines enables customers, if stations are unstaffed, to access the 24/7 support team in Norwich. If you require further information please do not hesitate to contact us. Yours sincerely, Susan Cross Head of Franchise Management Govia Thameslink Railway Monument Place, 24 Monument Street London EC3R 8AJ John Larkinson Director Railway Markets & Economics Office of Rail and Road Railway Markets & Economics One Kemble Street London, WC2B 4AN 11th May 2018 Dear John In response to your letter dated 8th May, please find set out below GTR's response to the points 1-7 raised and next steps to ensure we continue to be compliant under license condition 4. GTR continue to be cognisant of the fact that the challenges being faced by the industry have a negative impact on our customers. Our aim throughout is to ensure that whatever changes are taking place whether that be the impact of late delivery of the May Timetable or notification of changes to schedules services due to engineering work our customers will be informed. Our main aim is to inform customers as soon as possible as to the actual impact any changes actually have on the journey they are undertaking but as a minimum an alert to show a possible impact and to check back later. All of the work that is being undertaken by the various teams is to mitigate these challenges as much as possible ## What We Are Doing To Keep Our Customers Informed? Journey Planners 1. the majority of train operators do not put the warnings (icons and messages) that are shown on the National Rail Enquiries (NRE) website on their website or apps; 2. where NRE flags trains as not being confirmed to run, the message is not shown on train operator ticket engines which generally have no cautionary messages at all; 4. attention is not being drawn to train times that are still wrong less than a week away from the journey being made 6. weekday daytime works affecting peak time commuters are not easily distinguished from those taking place overnight or at weekends; and, 7. although websites and mobile sites nearly all have the facility to display a banner message when services are disrupted, many apps do not. GTR have throughout this change ensured that warning icons and messages are shown on the NRE website; this in turn displays on all 4 GTR branded websites including the ticket engine. We have also utilised banners across the home page of all the websites and the apps to alert customers if the change is more disruptive. These can be fed from both NRE and our own control centre. ## Govia Thameslink Railway In conjunction with the NRE overarching principles have been defined to ensure we get the correct message across. As we move away from the introduction of the May timetables we may want to refine or change these and this work will be completed taking into account any feedback from customers and Transport Focus who we work with very closely. We regularly audit the websites to ensure that the content is correct and that the message is clear across all sites. All efforts are being made to ensure any late notice changes that mean the journey planners are incorrect are quickly sorted. If time prevails the journey planners are updated through Network Rail rebidding or if this is not possible a banner alert will be posted to the train advising customers the train time has changed or being cancelled and what alternative a customer has. Our customer ambassadors in the control will update where necessary for very late notification of engineering especially at the weekend. ## Overarching Principles NRE Website example for T2-T6 - (Sat 23rd June) ## Govia Thameslink Railway GTR Southern website/ticket engine for T2-T6 (Sat 23rd June) NRE Website example for very late engineering work notification at Stoats Nest- (Sat 24th April) ## Govia Thameslink Railway ## Ticket Engines - Advance Purchase Tickets 3. where train times have changed since the ticket was booked, train operators are not contacting passengers to alert them to the new journey times or refund options 5. Some operators that sell advance tickets do not make it clear when they are available to buy, for example through the use of an advance ticket calendar or registration facility As a primarily commuter TOC, Advance purchase (AP) tickets are not available across all of the GTR, they are only available on Southern and only make up 0.07% of all tickets sold. Our policy during this time is to only open up AP tickets for purchase once confirmation has been received that the journey will operate. This can in reality be quite short notice especially during the introduction of the May 2018 TT due to the late bid back from NR, however this will generally only affect weekend and late night trains with weekday services largely unaffected. We are working with our train planning team to understand what can be opened earlier on a longer term basis to ensure customers have a full range of ticket opportunities where practicable. All bulletins on our ticket engine take customers through to the relevant pages on the NRE website for the full guide and when the tickets are available. Whilst Advance Purchase tickets are non-refundable, save of course where the services does not operate, we do offer free amendments online to offer maximum flexibility. NRE Website - AP availability and text from Southern AP page ## Govia Thameslink Railway Next Steps GTR are committed to continue to offer the best experience possible to inform our customers of the changes that are taking place and to this end the following is already underway. The main focus to date has been to ensure the May TT is introduced and customers are aware of how its introduction will affect them. In addition keeping everyone informed of the engineering work and its impact. We can always improve so the following additions are being worked on to improve the situation until the recovery plan puts everything back to T-12.  Recruitment of additional resources has started. This person will be an extra link between the train planning, customer information and pricing teams. Their prime focus is the customer and what they will see. Being the go to person when changes happen and ensure they communicate to all parties in a timely manner and all information is entered onto all the relevant systems that inform our customers. Including updating bulletins and banners, keeping the AP calendar up to date and reviewing everything we do.  Our apps work slightly differently to the website. The bulletins posted to the train are only shown once you select the train (see below), GTR are investigating what opportunities are available to change how this is shown to customers to give a better experience and to ensure the messaging is clear. In addition, feedback is always welcome and we will continue to work with Transport Focus and RDG to ensure that changes that take place are shared at industry forums. Kind Regards ## Govia Thameslink Railway Hull Trains Floor 4, Europa House 184 Ferensway Hull HU13UT John Larkinson Director, Railway Markets and Economic Office of Rail and Road One Kemble Street London WC2B4AN Dear John We welcome the opportunity to provide an update on our compliance with condition 4 of the Passenger licence and GB statement of National Regulatory Provisions in response to your letter of 8th May 2018. Please find below our responses to the three questions you set out against each of the seven areas of concern identified through your monitoring of compliance with Licence Condition 4. We are currently engaged in a significant investment programme in our digital channels which ensure that customers can easily plan their journey, purchase a ticket and keep up to date with relevant information. We are making further improvements to these channels over the next financial year, including a new website to be launched at the end of the year. The actions we are taking or plan to take around our digital channels to respond to the current Informed Traveller issues are described below. In addition, to this we have ensured all our frontline colleagues selling and providing information to customers are advising customers to check for changes to journeys before they travel. ## The Majority Of Train Operators Do Not Put Warnings (Icons And Messages) That Are Shown On The National Rail Enquiries (Nre) Website On Their Website Or Apps; Actions Taken By Hull Trains:* We currently show warning messages on the Live Departures and Arrivals page within the Travel Updates section of our website, mobile website and on the Live Times page of our mobile app but this only covers on the day disruption. We have inserted a link to a webpage on our Travel Information page to ensure customers are informed as to the issues currently faced by the late presentation of information involving certain operators from May 20th 2018. ## Where Improvements Are Underway: We plan to extend the messaging capability within our mobile app. This will be in the form of a prompt where a customer plans a journey that hasn't been confirmed by Network Rail or where late notice possession requests mean an amended timetable will be in operation. The prompt will redirect customers to the relevant section of the NRE website. Customers not affected will be asked to disregard the message. This messaging capability is currently used to communicate service information, in particular relating to on the day disruption (see response to last concern). 4th Floor, Europa House, 184 Ferensway, Hull HU1 3UT 0345 676 9905 hulltrains.co.uk Barriers preventing improvements being made: We are unaware of any significant barriers preventing improvements around this particular area of concern. ## Where Nre Flags Trains As Not Being Confirmed To Run, The Message Is Not Shown On Train Operator Ticket Engines Which Generally Have No Cautionary Messages At All; Actions Taken By Hull Trains: As noted in our response to the question above, we currently show warning messages on our Live Departures page within the Travel Information section of our website, mobile website and on the Live Times page of our mobile app but this only covers on the day disruption. Where improvements are underway: See response above. Barriers preventing improvements being made: We are unaware of any significant barriers preventing improvements around this particular area of concern. ## Where Train Times Have Changed Since The Ticket Was Booked, Train Operators Are Not Contacting Passengers To Alert Them To The New Journey Times Or Refund Options; Actions Taken By Hull Trains: We have reached agreement with Network Rail for train journeys that are unaffected by engineering works (mainly weekday and some weekends) to be made available in industry systems as far in advance as possible. This has been done for those services we are certain will run, however where there is planned engineering or uncertainty around engineering, then services have not been opened for reservations until we have confirmation of the timetable. On the extremely rare occasion that services have been opened for reservations and there has been a significant change to journey times because of engineering works or other factors, we will contact by email all those customers who have booked through our own digital channels informing them of the changes to journey times and how they can claim a refund should they decide not to travel. In the past we have also asked third party retailers such as the Trainline to contact customers on our behalf who have booked through the Trainline website or mobile app. Where improvements are underway: There are no immediate improvements planned in this area but we welcome any further suggestions that could provide more information to customers. Barriers preventing improvements being made: Train operators have visibility of the customers who have made bookings through their own internet channels but most online bookings are made through third party internet retailers like the Trainline. Providing a way to quickly and easily contact all customers booked on services affected by disruption or an amended timetable, regardless of which online channel they purchased their ticket from, would be a positive step forward in terms of quickly updating customers of changes to journey times. Currently achieving this outcome is dependent on the train operator contacting third party internet retailers, agreeing the messaging and then asking them to send out the email communication on the operator's behalf. Third party retailers and other train operator websites should also display appropriate warnings / icons informing customers of likely changes so they are not misled. ## Attention Is Not Being Drawn To Train Times That Are Still Wrong Less Than A Week Away From The Journey Being Made; Actions taken by Hull Trains: We continue to work closely with Network Rail to ensure that timetable bids are processed in a timely manner and amended timetables are available to the public as quickly as possible. Where services have not been updated with amended timetables because of late notice engineering works, Hull Trains will not open or will close down (if open already) those services. However, despite reservations being unavailable, these services still show in journey planning systems as running until an amended timetable has been agreed with Network Rail. We recognise that Network Rail has instigated processes to reduce late possession requests but they are still occurring . Where improvements are underway: As mentioned in our responses to the first two areas of concern, we are looking to introduce warning icons on our booking flows similar to the warning triangles on the NRE website informing customers of likely changes to the timetable. Barriers preventing improvements being made: It is important that Network Rail recovers the Informed Traveller timescales and is able to process late notice bids in a timely and efficient manner. Where it is necessary to amend timetables in order to carry out engineering works, we would encourage Network Rail to look at ways of suppressing affected train services quickly so that that the data is not pulled through into public journey planners. ## Some Operators That Sell Advance Tickets Do Not Make It Clear When They Are Available To Buy, For Example Through The Use Of An Advance Ticket Calendar Or Registration Facility; Actions Taken By Hull Trains: We keep our website updated with the dates for which our best value Advance Purchase tickets are open: https://www.hulltrains.co.uk/customer-services/cheap-ticket-alerts/ The above link also provides an automated e-mail service whereby customers can be immediately notified as to when the cheaper tickets become available. We have a page offering advice on which ticket is the best for customers and offers available to them: https://www.hulltrains.co.uk/tickets-and-offers/ Where improvements are underway: There are no immediate improvements planned in this area but we welcome any further suggestions that could provide more clarity on ticket availability. Barriers preventing improvements being made: We are unaware of any significant barriers preventing improvements around this particular area of concern. ## Weekday Daytime Works Affecting Peak Time Commuters Are Not Easily Distinguished From Those Taking Place Overnight Or At Weekends; Actions Taken By Hull Trains: We work closely with Network Rail to ensure that engineering is carried out at the least disruptive times to customers. The Planned Engineering Works page within our Travel Information section of the website shows all planned engineering works across the Hull Trains network - https://www.hulltrains.co.uk/travel-information/planned engineering-works/ . This also highlights the specific trains affected by the works. Where improvements are underway: There are no immediate improvements planned in this area but we welcome any further suggestions that could provide a greater distinction between daytime and evening/weekend engineering. Barriers preventing improvements being made: We are unaware of any significant barriers preventing improvements around this particular area of concern. Although websites and mobile sites nearly all have the facility to display a banner message when services are disrupted, many apps do not. Actions taken by Hull Trains: We have the ability through our mobile app to display messaging and have used this most recently during Christmas engineering works. We are also exploring the opportunity to make more use of this during service disruptions using push notifications. Where improvements are underway: We will continue to optimise this messaging through the development of our mobile app. Barriers preventing improvements being made: We are unaware of any significant barriers preventing improvements around this particular area of concern . Whilst we recognise the importance of keeping our customers informed, we do feel that in this case it is worth pointing out why we are in a situation that is not of our making. We are extremely disappointed by the way in which Network Rail handled the development of and subsequent late notification of the May 2018 timetable. The decision could have been much earlier around the delay to Bolton electrification which ultimately led to the situation we have found ourselves in for the Informed Traveller bidding process for the May 2018 timetable. We would also like to note that that we did not agree to the recommendation by Network Rail to reduce the timescales for timetable uploads nationally as a result of the delay to the Bolton electrification programme. Rather, Network Rail presented this as the least worst option and one that it was therefore going to progress with . Without a base timetable confirmed we have been unable to bid at the standard timescales of T-18 and therefore not all of our train services can be uploaded and confirmed to our passengers at T-12. We have managed to reach agreement with Network Rail for train schedules that will be unaffected by engineering works (e.g. weekday services) to be made available in industry systems as far in advance as possible which is helpful, but we cannot offer the same level of certainty for other services, particularly those at weekends. Furthermore, Network Rail did inform us as operators that it would be taking full responsibility for the failure to meet its licence obligations in respect of timetable uploads, and furthermore than operators should not be held accountable for this situation. We are encouraged that Network Rail has been meeting with ORR to inform them of progress and we welcome the investigation by ORR into the cause of this situation. We would be happy to discuss any of the information provided above in further detail. Yours sincerely /?'L~uise Cheeseman Acting Managing Director Hull Trains R a il H ouse Merse¥rail Lord N e lson Street Liverpool L 11.JF Your ref: Our ref: Tel: 015195521 91 Fax: 0151 7023074 Mr John Larkinson Director Railway Markets & Economics Office of Rail and Road One Kemble Street London WC284AN 24th May 2018 Dear John, Thank you for your letter dated 8th May relating to the obligations under condition 4 of our passenger licence. Merseyrail is committed to ensuring that we meet all of our commitments, especially in ensuring that our passengers have timely and accurate information when travelling with us. We have worked hard over the last 18 months to improve the flow of information with our business, particularly around social media, where we have introduced significant improvements which we believe reflect the needs of the modern passenger. We know from feedback, and a 25% increase in user volumes over the last 18 months alone, that this work has proven popular with customers. We remain committed to further improving our information provision to ensure we are fit for the future. I turn specifically to the points raised in both of your letters on this issue. Before I address each one individually, I would point out that the nature of our business has meant historically we have not had the need for an online retail offer. We are a small, metropolitan operating company with low ticket prices and staffed ticket offices from start to end of train service. Historically this has meant therefore our passengers have preferred to buy in person from the booking office. Whilst the nature of our business hasn't fundamentally changed, clearly the world around us and, in particular, customer expectations have. Which is why we are part way through a significant change programme with our client, Merseytravel, to introduce smart ticketing products onto our network. Our aspiration moving forward is that this will include the provision of online retailing for our customers to help meet some of their changing expectations. Registered in Englard and Wales No 04356933 Registered Office: Rail House, l..a"d Nelsen Street. I..Msrpool L 1 1.JF a sercQ and abellia~ joint venture Moving onto the specific points made in your most recent letter. You mention that the majority of train operators do not put t~e warnings (icons and messages) that are shown on the National Rail Enquiries (NRE) website on their website or apps. You also mention that where NRE flags trains as not being confirmed to run, the message is not shown on train operator ticket engines which generally have no cautionary messages at all. In Merseyrail's case, both our app and website take a direct feed from the Darwin system which includes the provision of all of the functionality you describe. We believe that in regards to these points Merseyrail is compliant. You go on to state that where train times have changed since the ticket was booked, train operators are not contacting passengers to alert them to the new journey times or refund options. In the case of Merseyrail, as detailed above, all of our ticket sales are conducted via our booking offices and therefore we do not routinely collect passenger contact information. We keep customers updated via our website, mobile app, social media channels and station announcements and advise them of where to obtain further information and advice if necessary. With regards to your point that attention is not being drawn to train times that are still wrong less than a week away from the journey being made. Merseyrail makes every effort to ensure that times on our website are accurate 12 weeks in advance of travel, more recently National issues, faced by all train operating companies, have reduced this to 6 weeks. We have worked hard with RDG partners to ensure customers remain informed. We are confident that this is not a significant issue on our digital channels and where we do have variances in the timetables we will use a manual override on our website that allows the information to be omitted with relevant information for passengers. We also note from your letter that some operators that sell advance tickets do not make it clear when they are available to buy, for example through the use of an advance ticket calendar or registration facility. As mentioned earlier in this response, Merseyrail do not currently retail advance tickets online. Merseyrail does, however, retail advance tickets at our booking offices for travel on other operators' networks. When a customer visits our booking offices to do this, our staff offer a bespoke travel planning service, ensuring the customer gets the best value ticket to meet their needs and, on request, will identify where suitable advance tickets are available. It is extremely rare that weekday daytime works affecting peak time commuters would be scheduled on our network. In the event that this did happen, we have processes in place to ensure that customers could easily distinguish them from those taking place overnight or at weekends. In the past this has included overriding our journey planner with an alternative planner specific to the disruption, banner links on our website and app, leaflets given out by promotional staff at peak periods in advance of the works advising customers of what to expect and station/on-board announcements. Finally, both our website and app have the functionality to display banner adds when services are disrupted. I hope this information is useful and helps to reassure you as to Merseyrail's commitment to keeping our passengers informed. As ever we would welcome any feedback or queries you may have on any of the information provided. Yours sincerely, Managing Director /!1~ John Larkinson Director Directorate of Railway Markets and Economics The Office of Rail and Road 18 May 2018 Dear ORR Compliance with condition 4 of the Passenger Licence and GB Statement of National Regulatory Provisions: Passenger and Consumer Law. Thank you for your letter of 8 May 2018 in which you set out requirements for compliance with condition 4 of the Passenger Licence and GB Statement of National Regulatory Provisions (Information to Passengers) and the Consumer Protection (from Unfair Trading) Regulations 2018. In your letter you set out your expectations for compliance with Licence Condition 4 under three broad principles which included existing actions from the industry's Passenger Information During Disruption (PIDD) programme. You confirmed that you would continue to monitor compliance with this licence condition and the principles. You have also been carrying out monitoring into the UK Rail Industry's compliance with the above mentioned measures and you have collated these findings into a report which you intend to publish later this month. Areas of particular concern in your monitoring have included: 1. The majority of train operators do not put the warnings (icons and messages) that are shown on the National Rail Enquiries (NRE) website on their website or apps 2. Where NRE flags trains as not being confirmed to run, the message is not shown on train operator ticket engines which generally have no cautionary messages at all 3. Where train times have changed since the ticket was booked, train operators are not contacting passengers to alert them to the new journey times or refund options 4. Attention is not being drawn to train times that are still wrong less than a week away from the journey being made 5. Some operators that sell advanced tickets do not make it clear when they are available to buy, for example through the use of an advanced ticket calendar or registration facility 6. Weekday daytime works affecting peak time commuters are not easily distinguished from those taking place overnight or at weekends, and 7. Although websites and mobile sites nearly all have the facility to display a banner message when services are disrupted, many apps do not Across these areas of concern, you have asked UK Train Operating Companies to: 1. Set out the action that we have taken to ensure that passengers get the information that they need, especially when short notice changes are being made to the timetable 2. Explain where the necessary improvements are underway but have yet to be implemented, together with timescales for their introduction; and 3. Highlight any barriers preventing us from making all the improvements together with the action being taken to address these ## Background For Mtr Crossrail MTR Crossrail is the operator of TfL Rail and of future Elizabeth line services. We are both a Transport for London Concession (operating the railway on behalf of Transport for London) and a UK Train Operating Company. TfL Rail is a Transport for London mode and as such we offer the following journey planning and ticket retailing facilities:  Journey planning is provided by the Transport for London Journey Planner. There is no dedicated TfL Rail journey planner. The TfL Journey Planner is updated four weeks in advance (by which time National Rail Journey Planners will have had ample time to update with correct information)  We offer a turn-up-and go service where customers can pay using a number of methods including Oyster, Contactless or by buying a National Rail or TfL paper ticket. Discounted advanced tickets are not provided for point-to-point TfL journeys  The TfL website is the primary source of on-line service information for customers. There is no dedicated app for TfL modes The points mentioned above ameliorate the risk to customers of your concerns raised in points 1, 2, 3, 5 and 7 of your letter. For the remaining points, please see our responses below: ## 4. Attention Is Not Being Drawn To Train Times That Are Still Wrong Less Than A Week Away From The Journey Being Made There may be times (for example during emergency engineering work) where train timetables need to be changed at short notice. Under such circumstances we ensure the following provisions are made to publicise the change to customers:  Where the change is known more than 24 hours in advance, we will update the timetable on the TfL Journey Planner to ensure that the service is displayed correctly. It is important to note that customers will not have purchased advance tickets (as these are not offered for TfL journeys) and therefore we prioritise real time information, ensuring that National Rail Enquiries and TfL Journey Planner show the correct timetable.  We will also publicise the change on:  Social media  Long Line Public Address Announcements at stations  Static publicity on stations ## 6. Weekday Daytime Works Affecting Peak Time Commuters Are Not Easily Distinguished From Those Taking Place Overnight Or At Weekends Over the lifetime of the TfL Rail Concession, there have been very few instances where this has occurred. When these have occurred, we have managed our customer communications in the following way:  We have ensured that appropriate notices are placed on the TfL website - including banners on the home page, special notices on the TfL Journey Planner and updates on the service status page  In the rare event that the works need to take place at short notice, then we advertise service alterations in the following way:  Social media  Long Line Public Address Announcements at stations  Static publicity on stations  Electronic Service Update Boards (ESUBs) at stations and on the TfL website In the future, we will continue to manage our communications under these scenarios in the same way. The Elizabeth line will transform travel in London when it opens in 2018. MTR Crossrail takes its responsibilities for providing accurate and timely passenger information during disruption extremely seriously. In addition to the points raised in this letter (and more broadly across PIDD) we will continue to invest and innovate to improve the quality of customer information that we deliver to our customers as we move towards the launch of the Elizabeth line later this year. Yours faithfully John Geary Head of Customer Experience, MTR Crossrail South Western Railway South Western Floor 6 Friars Bridge Court 41-45 Blackfriars Road ~ Railway London SE1 8NZ John Larkinson Director Railway Markets and Economics Directorate of Railway Markets and Economics One Kemble Street London WC2B 4AN 21 May 2018 ## ,F)E (.1 ( Jgw\_ I Thank you for your letter dated 8 May regarding 'Compliance with Condition 4 of the Passenger License and GB Statement of National Regulatory Provisions: Passenger and Consumer Law·. Providing our customers accurate information to enable an informed decision is exceptionally important to us at South Western Railway (SWR). As you will be aware, ORR wrote to SWR on 12 December 2017 concerning SWR's obligations under SNRP Condition 4 (& 6) and in my response of 15 December I observed that such obligations relate to the provision of appropriate information to the greatest extent reasonably practicable having regard to all relevant circumstances. I also made clear that this is an obligation which reflects the realities of the circumstances in which SWR is operating including the actions which it can take in light of dependencies on others including Network Rail. With regard to Network Rail. we have, and continue to, work collaboratively to minimise any impact associated with late delivery of validated timetable information. This has included using SWR colleagues to support Network Rail's train planning team. Whilst we recognise the importance of keeping our customers informed. we do feel that in this case it is worth pointing out why we are in a situation that is not of our making. We are extremely disappointed by the way in which Network Rail handled the development of and subsequent late notification of the May 2018 timetable. The decision around the delay to Bolton electrification - which ultimately led to the situation we have found ourselves in for the Informed Traveller bidding process for the May 2018 timetable . - could have been made much earlier. We would also like to note that that we did not agree to the recommendation by Network Rail to reduce the timescales for timetable uploads nationally as a result of the delay to the Bolton electrification programme. Rather, Network Rail presented this as the least worst option and one that it was therefore going to progress with. Without a base timetable confirmed we have been unable to bid at the standard timescales of T-18 and therefore not all of our train services can be uploaded and confirmed to our passengers at T-12. We have managed to reach agreement with Network Rail for train schedules that will be unaffected by engineering works (e.g. weekday services) to be made available in industry systems as far in advance as possible ~ADV ANCING UlTP PUBLIC ~ r RAN$PORT Rall Delivery Group which is helpful, but we cannot offer the same level of certainty for other services. particularly those at weekends. To compound t he situat ion, we are continuing to receive late notification requests for possessions which materially affect our ability to bid in a timely manner and further disrupt our customers· plans. We recognise that Network Rail has instigated processes to reduce late possession requests but they are still occurring. Finally, Network Rail did inform operators that it would be taking full responsibility for the failure to meet its licence obligations in respect of timetable uploads, and furthermore that operators should not be held accountable for this situation. We are encouraged that Network Rail has been meeting with ORR to inform them of progress and we welcome the investigation by ORR into the cause of this situation. To address each of your identified concerns, listed within your letter: 1/2 Network Rail is now delivering validated timetables 6 weeks in advance. For journey searches six weeks in advance (or longer), each train service enquiry on our website presents our customers with an icon. that when clicked. will advise the following: Service update Timetable updates for yourjourney: Atpresent. we cannot confirm whether this service will run and some additional services may be missing from the journey planner. We would advise that you follow this link to sign up for information about any potential changes to your service. ## >More Details The ·more details' link transfers the customer to the National Rail Enquiries website. which provides more detailed information. The webpage advises, by train operator, the future weekdays/weekends that are confirmed as accurate within journey planners, and those that are not. The message prompts customers to sign up for information updates regarding potential changes to journeys for the date selected. In addition, on our website landing page, we have a dedicated, prominent reference advising customers that future timetable information greater than six weeks may be incorrect. For customers that wish to book tickets for services beyond six weeks, we have committed to our customers a number of options should the chosen service be subsequently conf irmed as altered, once the timetable has been confirmed at T- 6 weeks (or greater). The information presented is shown below: Temporary changes to how for in advance railway timetables will be confirmed Network Roil hos temporarily changed how for in advance train timetables con be confirmed following ongoing problems with industry planning processes. Train times and tickets are usually confirmed and available for you to plan and book you journeys up to 12 weeks before you travel. Now. train times will be confirmed and finalised up to 6 weeks before you travel. Network Roil are working hard to rectify this problem. but there is no quick fix and we anticipate the issue will continue for some time. We ore sorry that this may affect your ability to pion ahead and we will keep you updated on our progress to resolve this issue which affects all train operators. What this means when you buy advanced tickets With only a small number ofSouth Western Railway trains affected by this, we want you to continue planning your journeys and have put in place a series of measures to support this. You will still be able to purchase tickets including our discounted advance fares on longer journeys 12 weeks before you travel, but it is possible the train timetable could change. We expect final timetables to be confirmed six weeks before your train's departure date. ## What Should You Do If Your Advance Purchase Ticket Is Bought More Than Six Weeks Before you travel? If you purchase an Advance ticket more than six weeks before your journey, please ensure you check back with us at the 6 weeks mark to see if your train time, mode of travel {bus replacement instead of a train) and price may hove altered. If you check back and your train time has changed significantly {moved by over 15 minutes either side of your ticket), then your tickets will be valid on the service immediately before or after your originally booked service without you having to make any changes to your ticket. Refunds are not normally available on advance purchase tickets, but if the change in journey times or mode of travel {a bus replacement service) means that you no longer wish to travel you may claim a full refund on the unused tickets from your original retailer. If the fare available 6 weeks before the departure date is less than the fore originally purchased for the same journey you may wish to purchase these tickets at the cheaper fare. A full refund of the original unused tickets with no admin fee will be available from the retailer where you made your original purchase. Within the next few weeks, our IT team will be ready to deploy an enhancement to the app which will present a pop up when customers plan a journey or book a ticket. The pop up will request that customers that have selected a journey date longer than six weeks ahead should 'click here·, which will then redirect the customer to the relevant section of the National Rail Enquiries website (as above). Customers that have selected a journey date less than six weeks ahead will be asked to disregard the pop up. In addition, our IT team are currently working on a solution to present customers similar information when they book a ticket through our website. 3 Following a customer booking a ticket greater than 6 weeks in advance, our advice is to sign up to the National Rail Enquiries service. which we regard as the only practical solution at this stage, in order to advise of any changes to the selected train service. In addition, we have ensured that the information relating tojourneys being booked greater than 6 weeks in advance is exceptionally prominent on our website landing page. 4 As mentioned, Network Rail is now delivering validated timetables 6 weeks in advance. During the period where this was not being consistently achieved. we ensured a range of information was available to customers to ensure there was awareness of the potential inaccuracies. Our website had a banner providing links to the subsequent 4 weekends. For the immediate weekend ahead. customers were linked to PDF timetables of the services we were expecting to operate. For the subsequent 3 weekends after, customers were directed to an engineering summary for each weekend, which indicated if train services were unlikely to operate as per the base timetable. · 5 Information relating to Advance Purchase tickets and how many weeks prior to the date of travel that they can be purchased, is one click from our website landing page. https://www.southwesternrailway.com/train-tickets/cheap-train-tickets/advance-tickets 6 Other than major engineering blocks, spanning several days, planned engineering work during weekdays, affecting peak time commuters does not take place. 7 As described in my response to items 1/2, our solution via the pop up is a prominent presentation of information to our customers. Our IT team are currently working on a similar approach to present disruption information for users of the app. I would be happy to discuss any of the information above in further detail should it be required. Yours sincerely ~'t~ Andy Mell~ ManagiffgOirector South Western Railway John Larkinson Director Directorate of Railway Markets and Economics 17 May 2018 Dear John, When Southeastern first became aware of the looming industry challenges with the Informed Traveller process, we moved quickly to introduce a process to ensure that our passengers were provided with information that alerted them to the problem, but also provided them with meaningful information about when the information in journey planners was expected to be correct. I've addressed each of the areas of concern raised below; 1) The majority of train operators do not put the warnings (icons and messages) that are shown on the National Rail Enquiries (NRE) website on their website or apps; I'm pleased to confirm that we are in the minority here. When our website was relaunched toward the end of 2016, we specified to the developers that the incorporation of NRE's disruption feeds and warning flags / icons was a mandatory requirement. 2) Where NRE flags trains as not being confirmed to run, the message is not shown on train operator ticket engines which generally have no cautionary messages at all; As per 1) above, we actively do include this information in our journey planner / booking engine, here's an example; 3) Where train times have changed since the ticket was booked, train operators are not contacting passengers to alert them to the new journey times or refund options Southeastern Advance tickets sold through our channels account for only 0.5% of our sales revenue overall; and only represent 1% of overall ticket issues. It is therefore a very small part of our business and it is also a purely discretionary activity for us which is not part of our franchise agreement but something we have voluntarily introduced around three years ago to help stimulate the off-peak market. Because we are primarily a walk-up railway, with most journeys not booked far in advance of travel, even these advance tickets tend to be bought quite close to the time of travel. Less than 1% of all our ticket sales are sold 6 weeks or more before travel, and 81% of tickets we sell are bought on the day of travel itself. 4) Attention is not being drawn to train times that are still wrong less than a week away from the journey being made In line with 1 and 2 above, we do make it clear to passengers where information is incorrect, including where necessary, prominent "banner" warnings on our website. 5) Some operators that sell advance tickets do not make it clear when they are available to buy, for example through the use of an advance ticket calendar or registration facility We are encouraging our customers to sign up for the alerting service offered by National Rail Enquiries so they can subscribe and be notified when advance tickets for Southeastern journeys go on sale. We have now added a rudimentary calendar / availability summary for advance purchase tickets to our website, which can be found here: https://www.southeasternrailway.co.uk/tickets/tickets-explained/advance-tickets 6) Weekday daytime works affecting peak time commuters are not easily distinguished from those taking place overnight or at weekends; Outside of major programmes, such as the August and Christmas blockades of London Bridge as part of the Thameslink programme, planned engineering work affecting rush hour services is exceptionally rare. When this does happen, however, we would promote this heavily through our website and social media channels as we did during the major closures as part of the Thameslink programme. ## 7) Although Websites And Mobile Sites Nearly All Have The Facility To Display A Banner Message When Services Are Disruption, Many Apps Do Not; As Noted Previously, We Incorporate The Nre Feeds Into Our Website And App But Also Have The Ability To Create Our Own As Well. Here'S An Example; Regards David Statham Managing Director Our Ref: DH/SK/180521/001 21st May 2018 John Larkinson Director Railway Markets & Economics Office of Rail and Road One Kemble Street London WC2B 4AN By email: john.larkinson@orr.gsi.gov.uk Dear John, Further to your letter dated 8th May 2018 to Leo Goodwin, please find below our responses to the three questions you set out against each of the 7 areas of concern identified through your monitoring of compliance with License Condition 4. As the ORR will be aware Network Rail have been unable to deliver the May 2018 timetable within the usual timescales because of the delays to the Manchester to Preston (Phase 4) electrification scheme and as a consequence has failed to comply with its license obligation to release confirmed timetables to train operators at least 12 weeks prior to departure (The 'Informed Traveller' requirement). The implications for train operators of this are that timetables are not being validated until 6 weeks prior to departure and are subject to more short notice changes than normal. This is having a significant impact on our customers who expect to be able to plan and book journeys at least 12 weeks before travel as well as a reputational impact for the industry as whole. It is therefore imperative that Network Rail recovers back to the 'Informed Traveller' timescales as quickly as possible. The actions we are taking or plan to take around our digital channels (website, mobile website and app) to respond to the current issues are described below. In addition to this we have ensured all our frontline colleagues selling and providing information to customers are advising customers to check for changes to journeys before they travel, in particular where tickets are sold more than 6 weeks out. This includes those colleagues providing information and advice through our social media customer service channels. We issued a Retail Brief to frontline colleagues on the 13th April advising them of this issue and have recently followed up this messaging in our latest edition of 'Retail Matters', a publication for frontline retail colleagues issued 3-4 times a year. We would be happy to provide examples of these communications should you wish to see them. ## The Majority Of Train Operators Do Not Put Warnings (Icons And Messages) That Are Shown On The National Rail Enquiries (Nre) Website On Their Website Or Apps; Actions Taken By Transpennine Express: - We currently show warning messages on the Live Train Times page within the Travel Updates section of our website and mobile website and on the Live Times page of our mobile app but this only covers on the day disruption. ## Where Improvements Are Underway: - We are working on an improvement to our booking flow so that customers purchasing a ticket will see a warning icon against any services which have not been confirmed by Network Rail or where late notice possession requests mean an amended timetable will be in operation. When clicked the icon will present customers with a similar message to that displayed on the NRE website: - Timetable updates for your journey: At present, we cannot confirm whether this service will run and some additional services may be missing from the journey planner. We would advise that you follow this link to sign up for information about any potential changes to your service. ## ➢ More Details The 'more details' link will transfer the customer to the National Rail Enquiries website, which provides more detailed information. The website advises, by train operator, the future weekdays/weekends that are confirmed as accurate within journey planners, and those that are not. The message prompts customers to sign up for information updates regarding potential changes to journeys for the date selected. The work is currently being scoped by our digital agency and is expected to be available to customers by the end of the year. We also plan to extend existing messaging capability within our mobile app. This will be in the form of a 'pop up' where a customer plans a train journey that hasn't been confirmed by Network Rail or where late notice possession requests mean an amended timetable will be in operation. The 'pop up' will redirect customers to the relevant section of the NRE website. Customers not affected will be asked to disregard the message. This messaging capability is currently used to communicate service information, in particular for on the day disruption (see response to last concern). Barriers preventing improvements being made: - Network Rail is currently working through a recovery plan due to late completion of the Manchester to Preston electrification scheme. It is important that Network Rail recovers the Informed Traveller timescales and is able to process late notice bids in a timely and efficient manner. ## Where Nre Flags Trains As Not Being Confirmed To Run, The Message Is Not Shown On Train Operator Ticket Engines Which Generally Have No Cautionary Messages At All; Actions Taken By Transpennine Express: - As noted in our response to the question above, we currently show warning messages on our Live Train Times page within the Travel Updates section of our website and mobile website and on the Live Times page of our mobile app but this only covers on the day disruption. Where improvements are underway: - See response above. Barriers preventing improvements being made: - Network Rail is currently working through a recovery plan due to late completion of the Manchester to Preston electrification scheme. It is important that Network Rail recovers the Informed Traveller timescales and is able to process late notice bids in a timely and efficient manner. ## Where Train Times Have Changed Since The Ticket Was Booked, Train Operators Are Not Contacting Passengers To Alert Them To The New Journey Times Or Refund Options; Actions Taken By Transpennine Express: - TransPennine Express has reached agreement with Network Rail for train journeys that are unaffected by engineering works (mainly weekday and some weekends) to be made available in industry systems as far in advance as possible. This has been done for those services we are certain will run, however where there is planned engineering or uncertainty around engineering then services have not been opened for reservations. For example, services are currently closed for reservations due to planned engineering in June and July for the Liverpool Lime Street Upgrade works and across several weekends where there are other known engineering works or potential engineering works. On the extremely rare occasion that services have been opened for reservations and there has been a significant change to journey times because of engineering works or other factors, we will contact by email all those customers who have booked through our own digital channels informing them of the changes to journey times and how they can claim a refund should they decide not to travel. In the past we have also asked third party retailers such as the Trainline to contact customers on our behalf who have booked through the Trainline website or mobile app. ## Where Improvements Are Underway: - We are in the process of introducing more automation into our business such that if journey times do change significantly for customers who have booked through our digital channels then we are able to contact them as quickly as possible regarding details of amended timetables. We have recently invested significantly in both our IT systems architecture and a new eCRM solution that means we can quickly identify the customers affected and send an email communication out to them. ## Barriers Preventing Improvements Being Made: - Train operators have visibility of the customers who have made bookings through their own internet channels but most online bookings are made through third party internet retailers like the Trainline. Providing a way to quickly and easily contact all customers booked on services affected by disruption or an amended timetable, regardless of which online channel they purchased their ticket from, would be a positive step forward in terms of quickly updating customers of changes to journey times. Currently achieving this outcome is dependent on the train operator contacting third party internet retailers, agreeing the messaging and then asking them to send out the email communication on the operator's behalf. Third party retailers and other train operator websites should also display appropriate warnings / icons informing customers of likely changes so they are not misled. Network Rail is currently working through a recovery plan due to late completion of the Manchester to Preston electrification scheme. It is important that Network Rail recovers the Informed Traveller timescales and is able to process late notice bids in a timely and efficient manner. ## Attention Is Not Being Drawn To Train Times That Are Still Wrong Less Than A Week Away From The Journey Being Made; Actions Taken By Transpennine Express: - TransPennine Express continues to work closely with Network Rail to ensure that timetable bids are processed in a timely manner and amended timetables are available to the public as quickly as possible. Where services have not been updated with amended timetables because of late notice engineering works, TransPennine Express will not open or will close down (if open already) those services. However, despite reservations being unavailable, these services still show in journey planning systems as running until an amended timetable has been agreed with Network Rail. We recognise that Network Rail has instigated processes to reduce late possession requests but they are still occurring. ## Where Improvements Are Underway: - As mentioned in our responses to the first two areas of concern, we are looking to introduce warning icons on our booking flow similar to the warning triangles on the NRE website informing customers of likely changes to the timetable. ## Barriers Preventing Improvements Being Made: - Network Rail is currently working through a recovery plan due to late completion of the Manchester to Preston electrification scheme. It is important that Network Rail recovers the Informed Traveller timescales and is able to process late notice bids in a timely and efficient manner. Where it is necessary to amend timetables in order to carry out engineering works, we would encourage Network Rail to look at ways of suppressing affected train services quickly so that that the data is not pulled through into public journey planners. ## Some Operators That Sell Advance Tickets Do Not Make It Clear When They Are Available To Buy, For Example Through The Use Of An Advance Ticket Calendar Or Registration Facility; Actions taken by TransPennine Express: - We keep our website updated with the dates for which our best value Advance Purchase tickets are open:https://www.tpexpress.co.uk/special-offers/advance-bookings/advanced-purchase-exclusions. ## We have a page offering 9 money saving tips to get the cheapest train tickets: https://www.tpexpress.co.uk/train-tickets/how-to-get-cheap-train-tickets ## Our website also includes a page informing customers about the conditions of Advance Purchase tickets: https://www.tpexpress.co.uk/train-tickets/train-tickets-explained. In addition, the calendar in our booking flow shows how far out tickets are available to book, with many services currently open up to 24 weeks prior to departure. Where improvements are underway: - There are no immediate improvements planned in this area but we welcome any further suggestions that could provide more clarity on ticket availability. Barriers preventing improvements being made: - We are unaware of any significant barriers preventing improvements around this particular area of concern. ## Weekday Daytime Works Affecting Peak Time Commuters Are Not Easily Distinguished From Those Taking Place Overnight Or At Weekends; Actions Taken By Transpennine Express: - The Planned Engineering Works page within our Travel Updates section of the website shows all planned engineering works across the TPE network. https://www.tpexpress.co.uk/travelupdates/changes-to-train-times. This also highlights the specific trains affected by the works. Where improvements are underway: - There are no immediate improvements planned in this area but we welcome any further suggestions that could provide a greater distinction between daytime and evening/weekend engineering. Barriers preventing improvements being made: - We are unaware of any significant barriers preventing improvements around this particular area of concern. ## Although Websites And Mobile Sites Nearly All Have The Facility To Display A Banner Message When Services Are Disrupted, Many Apps Do Not. Actions Taken By Transpennine Express: - We have the ability through our mobile app to display messaging and have used this most recently during disruption caused by the severe winter weather ('Beast from the East') at the end of February / early March (see example below). Where improvements are underway: - We will continue to optimise this messaging through the development of our mobile app. Barriers preventing improvements being made: - Network Rail is currently working through a recovery plan due to late completion of the Manchester to Preston electrification scheme. It is important that Network Rail recovers the Informed Traveller timescales and is able to process late notice bids in a timely and efficient manner. We hope this response provides you with the level of information you need for each area of concern. Should you require any further information, please do not hesitate to get in touch. Yours sincerely Darren Higgins Commercial Director John Larkinson Director, Railway Markets and Economics Office of Rail and Road One Kemble Street WC2B 4AN 23 May 2018 DearJohn Thank you for your letter of 8 May. We fully recognise the importance of providing accurate and timely information to customers to help them plan their journeys and book the right tickets for their journey. This has been more challenging than normal in recent months in view of the delays in Network Rail finalising the precise timings of our trains, which has resulted in delays in opening them for reservations to the normal 12 week horizons. We have nevertheless done all we can to open trains for reservation as soon as timings have been confirmed, recognising how important it is that they are accurate before we do so. We have taken measures to mitigate the impact of the delays in confirming times and opening services for reservations on our customers, in order that they should not be disadvantaged in obtaining the tickets they want to buy. The actions we have taken in respect of the particular issues you have raised in your letter are as follows ## Warnings On Our Website And Nres We have placed a prominent banner message on the homepage of our desktop and mobile website which takes customers to a 'late timetables' help page. See Appendix 1 for details of how these are displayed. Where customers make enquiries through National Rail in relation to services where timings have not been confirmed, warnings are displayed on a train by train basis as shown in Appendix 2. ## Contact With Customers After Booking Made For bookings made through our website, the two scenarios below describe how contact is made with our customers: ## Scenario 1: Advance Tickets Are Not Yet Available At The Time Of Booking. Customers will see messaging at the time of booking, which asks for their email. Customers will then receive an email as soon as the cheaper, Advance tickets are released. See Appendix 3 for the pop-up box displayed in these circumstances. ## Scenario 2: Advance Tickets Become Available. Where a Customer has booked with another ticket type, we let them know Advance fares are now available and they can get an alternative ticket, with a simple refund process. This applies to bookings across all our digital channels, mobile, app and desktop. Customers who have not already booked any tickets, but who provided an email address in their earlier attempt to book, get an email to let them know Advance tickets are available. ## Other Issues In relation to other matters raised in your letter - We have no experience of instances of train times still being wrong less than a week away from the journey being made. - In cases where services are opened late for reservation, we give advice to customers as to when they can expect advance tickets to be available. See Appendix 4 for details which are kept updated on the National Rail website. - So far as distinguishing between advice about weekday daytime works and overnighUweekend works is concerned, our planned improvements calendar gives details in respect of each individual day https://www.virgintrains.co.uk/travel-updates/planned-improvements - For major blocks such as the forthcoming one at Liverpool Lime Street, a pop up box displays when a booking is requested for which train times have not been confirmed. Please see Appendix 5 for how this looks. In addition, emails have been sent to regular Liverpool based customers to highlight the issue. Emails are also sent to customers who have booked through our website to travel from Liverpool during the affected dates. - When booking though the Virgin Trains app customers are alerted to current disruptions which would affect their planned journey. I hope you find the information in this response helpful. Please let me know if you have any comments or questions in relation to it. Yours sincerely Mark Whitehouse Managing Director Virgin Trains Banner message on home page: This leads to the late timetables help page https://www.virgintrains.eo.uk/travel-updates/timetables ## What'S Happening? Network Rall will be publlshlng their timetables a little later than usual for weekends and bank holidays between May and September 2018. That means our cheaper Advance fares for some of these dates may not be available until around 6 weeks before travel. ## How Does This Affect Me? Don't worry, you can still buy nexU;>le tickets now and if you're on one of our services where our cheaper Advance fares are normally available we'll email you to let you know when they are released. Already booked a ticket for an affected date? If you want to change ticket type and get a fee free refuncl, give our friendly services team a call on 0344 556 5622•. making sure you have your booking reference to hand. The best time to call ls between 1 · 5pm. We're really sorry, we know lt'S abit of a pain, but rest assured we're doing everything we can to make It as hassle free as possible for you. 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We would advise that you follow this link to sign up for information about any potential changes to your service. ## Virgin Trains Saturday 19 to Friday 25 May We can confirm that the timetable for this week will be running as shown in the journey planner. To view these services, you can use the Nalional Rail Enquiries Journey Planner Saturday 26 May to Friday 1 June We can confirm that the timetable for this week will be running as shown in the journey planner. To view these services, you can use the National Rail Enquiries Journey Planner Saturday 2 to Friday 8 June We can confirm that the timetable will be running as shown in the journey planner. To view these services, you can use the National Rail Enquiries Journey Planner Saturday 9 to Friday 15 June We can confirm that the , timetable will be running as shown in the journey planner. To view these services, you can use the National Rail Enquiries Journey Planner Saturday 16 to Friday 22 June We can confirm that the timetable will be running as shown in the journey planner. T o view lhese services, you can use the National Rail Enquiries Journey Planner Saturday 23 to Friday 29 June We can confirm that the timetable will be running as shown in the journey planner. To view these services, you can use the National Rail Enquiries Journey Planner Saturday 30 June to Friday 6 July At present, we ca· nnot confirm whether these services are correct. We expect correct information to be available from Monday 21 May. ## S Aturday 7 To Friday 13 Ju Ly At present, we cannot confirm whether these services are correct We expect correct information to be avaJ lable f rom Tuesday 29 May . Saturday 14 to Friday 20 July At present, we cannot confirm whether these ser,ices are correct. We expect correct information to be available from Monday 4 June. Saturday 21 to Friday 27 July At present, we cannot confirm whether these services are correct. We expect correct information to be available from Monday 11 June. Saturday 28 to Friday 3 August From Tuesday to Friday, we can confirm that the timetable will be running as shown in the journey planner. To view these services, you can use the National Rail Enquiries Journey During this time, all services that would usually travel to and from Lime S treet will be affected. Our services will start and finish at Liverpool South Parkway. Merse}1rail are kindly providing connecting trains to and from Liverpool Central and Moorfields. (A rail replacement bus will be available early morning or late at night). Please check if your journey times are affected before you travel. Director Railway Markets & Economics which asked train operators to provide information about compliance with condition 4 of the Passenger Licence and GB Statement of National Regulatory In response to your letter received on 08/05/18 which asked train operators to provide information about compliance with condition 4 of the Passenger Licence and GB Statement of National Regulatory Provisions: Passenger, and Consumer law, please see the response on behalf of East Coast Main Line East Coast Main Line Virgin Trains East Coast ("VTEC") below. accurate and timely information to customers at all times. accurate and timely information to customers at all times. This has been more challenging than normal in recent months due to a delay in the publishing of the fi the publishing of the final timetable by meant that we have been unable to open reservations for some services as early for some services as early as we would have liked to, and within the normal 12 week booking horizon. We were asked to provide information in relation to 7 specific areas to demonstrate the activities that specific areas to demonstrate the activities that John Larkinson Director Railway Markets & Economics Office of Rail and Road One Kemble Street London, WC2B 4AN 21 May 2018 Dear John, In response to your letter received on 08/05/18 about compliance with condition 4 of the Passenger Licence and GB Statement of National Regulatory Provisions: Passenger, and Consumer law, please see the response on behalf of Company Limited, trading as Virgin Trains East Coast VTEC is committed to providing accurate and timely information to customers at all times. more challenging than normal in recent months Network Rail. This has meant that we have been unable to open as we would have liked to, and within We were asked to provide information in relation to 7 we are undertaking in light of this: 1. The majority of train operators do not put the warnings (icons and messages) that are shown he majority of train operators do not put the warnings (icons and messages) that are shown he majority of train operators do not put the warnings (icons and messages) that are shown on the National Rail Enquiries (NRE) website on their website or apps. here are bulletins entered into the services in the industry systems, then these will show as here are bulletins entered into the services in the industry systems, then these will show as VTEC booking engine. We have just deployed a new messaging functionality to target messages to particular dates (see We have just deployed a new messaging functionality to target messages to particular dates (see on the National Rail Enquiries (NRE) we If there are bulletins entered into the services in the industry systems, then these will show as warning messages in the VTEC We have just deployed a new messaging functionality to target messages to particular dates (see screenshot below). It should be noted that VTEC has not been significantly impacted by the timetable delays. There is a small impact on some early morning / late evening services, and weekends when there is significant engineering work. To mitigate this risk, any affected services have been blocked from reservations until the timetables are confirmed or loaded. Furthermore, we are looking into a solution which will delete the trains completely from the National Reservations System. This means that if trains are not open for reservations then customers will not be able to search for them at all via any retail channel as no data would be returned. At the point where we are ready to open reservations the timetable will be uploaded and the trains would then be opened for booking. 2. Where NRE flags trains as not being confirmed to run, the message is not shown on train operator ticket engines which generally have no cautionary messages at all. There are a number of cautionary messages displayed on the customer booking engine pages of our website, and also on the Travel Information pages. For customers attempting to book to travel on one of the affected services, a message has been provided which allows them to sign up for direct alerts which will ensure they are contacted as soon as the service becomes available to book (this is shown in the below images). We are committed to making services available to book with the usual ticket availabilities so our customers will not miss out on the best fares, and we have continued to do this. To support the above, a clear message regarding the changes to advance bookings has been published on the VTEC website, this contains further information for customers, including a list of the affected dates - this is shown in the image below and by following the link https://www.virgintrainseastcoast.com/travel-information/may-december-timetables/ 3. Where train times have changed since the ticket was booked, train operators are not contacting passengers to alert them to the new journey times or refund options. Should a customer purchase a ticket through the VTEC website for a journey which is then changed, i.e. the journey is retimed; we would contact customers directly via email to inform them of the change, and to confirm the new time of the service. The below screenshot shows an example of an email that was sent to customers following changes to journey times following engineering work at Newcastle station in January 2018. Unfortunately at present we have no way of contacting customers that have booked through non- VTEC channels. It is worth noting however that if we haven't opened bookings or reservations for that date we will not have any customers on our database to contact. This is recognised as a challenge across the industry, and work is ongoing to improve the ability to contact customers as part of PIDD-19 and the Retail and Reservation System (RARs) project. In the interim, VTEC will continue to use all other available customer communication channels, including the website and social media, to keep customers updated. 4. Attention is not being drawn to train times that are still wrong less than a week away from ttention is not being drawn to train times that are still wrong less than a week away from ttention is not being drawn to train times that are still wrong less than a week away from We have not been affected by any train services that are not confirmed less than a week confirmed less than a week before owever, should this ever be the case then we would show the alert be the case then we would show the alert messages detailed in the response to questions 1 and 2. the journey being made. We have not been affected by any train the journey being made. However messages detailed in the response to questions 1 and 2 5. Some operators that sell advance tickets do not make it clear when they are available to buy, Some operators that sell advance tickets do not make it clear when they are available to buy, Some operators that sell advance tickets do not make it clear when they are available to buy, for example through the use of an advance ticket calendar or registration facility. or registration facility. As outlined in the response to the points above, customers who try to book tickets for services As outlined in the response to the points above, customers who try to book tickets for services will be directed to sign up for direct alerts. This will allow customers . This will allow customers purchase tickets as soon as they become available. The below screenshots show the email templates that are sent to customers to confirm that they have been signed up to the alerts, and the email that is issued to advise customers once services The below screenshots show the email templates that are sent to customers to confirm that they have been signed up to the alerts, and the email that is issued to advise customers once services for example through the use of an advance ticket cal As outlined in the response to the points above, customers who try to book tickets for services which are not yet available to purchase tickets as soon as they become available. The below screenshots show the email templates that are sent to customers to confirm that they have been signed up to the alerts, and the email that is issued to advise customers once services are available to purchase. 1. This email will trigger when a customer This email will trigger when a customer 2. Once the reservations become available the Once the reservations become available the signs up to a ticket alert to an affected signs up to a ticket alert to an affected customer will be sent a follow up email confirming customer will be sent a follow up email confirming date. that the date is available to book. that the date is available to book. June 2018, only the email shown in image 1 was issued, this was because June 2018, only the email shown in image 1 was issued, this was because ## In The Example Of 3Rd June 2018, Only The Email Shown In Image 1 Was Issued, This Was Because The Template Shown In Image 2 Had Not Yet Been Created. the template shown in image 2 had not yet been created. Going forward both emails will be Going forward both emails will be issued, the first to any customers who have registered for a ticket alert, and the second, as soon as the date is released for sale. 6. Weekday daytime works affecting peak time commuters are not easily distinguished from those taking place overnight or at weekends. The majority of the affected dates for VTEC are weekend dates; these are all listed clearly on the website, as referenced in the response to question 2. 7. Although websites and mobile sites nearly all have the facility to display a banner message when services are disrupted, many apps do not. A special message has been added to the Timetable Changes pages of the VTEC website for the weekend dates which are affected by major engineering works. An example for Sunday 3rd June is shown below (this message has been removed now that the date is open for reservations): Given that VTEC is affected on relatively few dates, and none to the extent of 3rd June 2018, we have not added a specific notice to the Travel Information page of the website as we felt this could be unnecessarily confusing for customers. Our view is that it is preferable to inform customers at the point of searching for affected journeys, and this is the plan currently being executed by our e-commerce team. I hope this provides adequate reassurance that VTEC is making all reasonable endeavours to ensure customers are kept informed, and demonstrates our compliance with condition 4 of the Passenger Licence and GB Statement of National Regulatory Provisions: Passenger, and Consumer law. However, if you do require any further information, please don't hesitate to get in touch. Yours sincerely, Christabel Gavin Customer Experience Manager John Larkinson Director Railway Markets & Economics Office of Rail and Road One Kemble Street London WC2B 4AN Dear John, Thank you for your letter dated 8 May 2018. While we are a new TOC, we have ambitious plans to improve the whole journey experience for our customers, including the quality of prejourney information available. A number of the areas highlighted within the requirements documented are being worked on at both an industry level through Rail Delivery Group (RDG) and TOC level. We are aware of our legal obligations in respect of the Consumer Rights Act 2015; particularly the need to ensure that our customers have clear and accurate information available to allow them to make their purchasing decision. Taking each of the seven points in turn, I'll outline what West Midlands Trains' current position is and what we are doing to improve the situation. Where examples and screenshots are provided, these have been done using our London Northwestern Railway brand, but an identical approach is also used for the West Midlands Railway services. 1. The majority of train operators do not put the warnings (icons and messages) that are shown on the National Rail Enquiries (NRE) website on their website or apps. We do currently have the bulletins available when there are rail replacement services operating. This is available during our online booking process (see Appendix 1). It was recently agreed with RDG that a web service would be developed and available to TOCs for the bulletin data available on the NRE website for engineering work and ticket booking horizons. Timescales for when this will be available are not currently known and we will need to work through further how we integrate this with our technology. We also show warning messages from NRE in the WMT apps on the live trains pages. 2. Where NRE flags trains as not being confirmed to run, the message is not shown on train operator ticket engines which generally have no cautionary messages at all. Unfortunately this functionality is not currently available with our contracted web ticket sales supplier, but we are in discussion with them to improve their systems and we are hoping to have a solution developed over the next few months. However, it can also depend on the nature of the disruption. For example, where a journey could still be made, it would re-plan the journey with changes or show extended journey times (see Appendix 2). We are looking at what opportunities there are to update and improve our website and are doing this in conjunction with our owning group. 3. Where train times have changed since the ticket was booked, train operators are not contacting passengers to alert them to the new journey times or refund options. While we absolutely understand the importance of keeping customers informed, we have a real challenge in that we do not know who the majority of our customers are. As walk up tickets can be purchased in advance through ticket offices, other TOCs and other retailers, the only time contact details would be known is for online and telesales bookings where an account is created. With a high quantity of season ticket holders regularly using the network, to contact this volume of customers every time there is disruption would not be practical. We do promote the use of Journey Check to our customers as a way of ensuring they have up to date journey information. We therefore have to use a general approach. In some cases the data we hold in transactions, e.g. for guest logons, may not be sufficient to be able to contact them - so we are reliant on general awareness campaigns. We make use of other channels that are available, such as banners on the website and apps, Journey Check, Social Media channels, posters, leaflets, announcements and CIS to try and communicate the message to the majority. 4. Attention is not being drawn to train times that are still wrong less than a week away from the journey being made. We would endeavour to make use of the general awareness campaigns, Social Media and banners to communicate where we can in the absence of a current technical solution. 5. Some operators that sell advance tickets do not make it clear when they are available to buy, for example through the use of an advance ticket calendar or registration facility. We have details on our homepage with a link to more information on the dates for which Advanced tickets are available (see Appendix 3). 6. Weekday daytime works affecting peak time commuters are not easily distinguished from those taking place overnight or at weekends. The calendar view in Appendix 4 shows where there are engineering works taking place on a weekday. They are treated as per the examples in earlier appendices. ## 7. Although websites and mobile sites nearly all have the facility to display a banner message when services are disrupted, many apps do not. We do have the facility to add banners on both our websites and apps to communicate messages when it's appropriate to do so. We are currently restructuring our business to create a centralised Customer Experience Strategy Department, so that areas such as this are accountable to a single part of the business. This affords us greater opportunity to influence our communications channels and develop a strategy that is more cohesive across all channels and we will be developing the customer interfaces further over the next few months to ensure we provide a more effective service. I trust this provides you with sufficient information in response to your email, but please feel free to get in touch should you wish to discuss this further. Yours sincerely, Andrew Camp Commercial Director ## Appendix 1 ## Appendix 2 West Midlands Railway and London Northwestern Railway are operated by West Midlands Trains Ltd.	en
3040-pdf	Henry VIII How did Henry VIII get up in the morning? This resource was produced using documents from the collections of The National Archives. It can be freely modified and reproduced for use in the classroom only. Introduction Henry VIII became King of England in 1509, aged 18. He was determined to be a great king, looked up to by everyone. He showed this in lots of ways: his grand portraits, his keenness for French wars and his behaviour towards his court and to other kings. He also showed it in his control of every detail of his daily life. One measure of greatness at that time was the number of people that surrounded you, the more people, the more important you were. When Henry stayed at Hampton Court he was attended by nearly 1,000 people. Controlling this number of people was quite a job and in 1526, while he was staying at another of his palaces, at Eltham, a strict and detailed set of rules was drawn up by his closest advisor Cardinal Thomas Wolsey. Here are some extracts from these rules. Tasks Look at Source 1a and b 1. This is an extract from the Ordinances of Eltham which sets out the start to the Kings day. a) Write down what the pages and esquires did each morning. b) What did the gentlemen of the privy chamber have to do?. c) Who were the only people allowed to touch the king? d) Why do you think this was? Look at Source 2a and b 2. This section of the ordinances deals with the duties of the King's barber and the behaviour of his staff. a) How often did the barber visit the King? b) What tools did he use to help him with his job? c) What was the punishment for the barber if he mixed with the wrong kind of people? d) Why do you think that it was important who he mixed with? e) What were you not allowed to do in the King's chamber? f) When was the only time you would be allowed to do this? g) Why do you think it was so important? Look at Source 3 3. This piece of the document deals with how the people who worked in the Privy Chamber should act. a) What do you think is meant by the sentence "fhall be loving together, and of good unity and accord"? b) Why do you think they were not allowed to talk about what happened in the chamber? c) If you had to write a list of rules for the people who worked in the chamber, what would they be? 4. You are now going to pretend you are making a film about how King Henry VIII gets up; a) Draw a table with a column for the shot number, one for what each shot would show, and a third column for the voice-over (words to go with the shot). b) Now fill in the your table for what you think you would put in your film. c) Add a fourth column to your table for the King's words. d) Think about what the King would say in each shot, then add this to your table. 5. The point of all this was to increase the importance of Henry VIII. How do each of the following points show this? - having lots of servants - having upper class people serve the King - doing things in the right order - strict control of good behaviour Background Henry's father Henry VII was always careful with money and his court was not famous for its show of wealth. Henry VIII wanted to change all that. When he met one of his rivals, King Francis I of France, just outside Calais in 1520, a complete town of tents and timber was built for the meeting. Yards of velvet, satin and cloth of gold were sent to decorate the temporary palaces. It was called "The Field of the Cloth of Gold." Henry loved all this display: by the end of his reign he had amassed fifty-five palaces, two thousand tapestries, one hundred and fifty paintings and nearly one thousand eight hundred books. He also owned forty-one gowns, twenty-five doublets (a doublet is a snug fitting buttoned jacket), twenty coats, eight cloaks, fifteen capes and eight walking sticks. The number of people waiting on the monarch was another sign of power. But even better than numbers was the quality of your servants. Kings and great barons had always taken young boys from their friends' families into their households. It was a good education for leadership: you learnt how great men ran their affairs, how to behave, and made contacts which would be useful all your life. However, to get on at Henry's court young men had to have more than noble blood. Sixteenth century monarchs were expected to play, sing and compose music, read and discuss books, speak several languages as well as wrestle, play tennis, joust and hunt. Henry could do all these things superbly and his favourite "gentlemen of the privy chamber" did as well. Not surprisingly, some of the older aristocrats looked with disdain at these clever young men -"minions", or pretty boys, as they called them. Henry was intelligent enough to see that there was a point to all this. His father, Henry VII, had won the throne of England by fighting for it, winning the battle of Bosworth in 1485. Henry VII did not have a strong claim to the throne, so his son's was not much better. In the 15th century kings and barons had been rivals for power. In fact, some barons were more powerful than the king himself. Henry VIII could see that putting a big distance between the monarchy and the barons, building up his magnificence, his separate position, made him more secure. Everything outlined in the extracts from the Ordinances of Eltham, therefore, built up this separateness and specialness. The elaborate rules about who was allowed to get near the king and when, the requirement to be well-behaved and for servants to be keep the king's secrets, all contributed to this image-building. Teachers Notes The document extracts are designed to be used in Key Stage 2, probably alongside portrait-study. They add another dimension to the strong sense of personal monarchy which will characterise any study of the Tudors. However, there is more to it than just personal aggrandisement, just as there is more to Henry VIII than the bluff bully. The use of high-born pages and esquires, for example, was a feature of medieval courts; what Henry added was the Renaissance expectation to be excellent in a much wider range of human endeavour. The account of his getting up stresses privacy and demarcates very precisely who could actually touch the royal person (the barber is an interesting exception to this). In another two hundred years - ritual at royal courts moves slowly - Louis XIV was to create a whole royal lifestyle out of the levée. By 1700 privacy, not the public attendance of masses of servants, was to be the mark of real privilege. Note that: 1. Three rooms are mentioned. The "pallett room" is the room where the King actually slept (a pallett is a bed). The "privy chamber" is the private room next to the pallett room (privy means private). The King's Chamber is the big room where he began the day's public life. 2. Some of those mentioned are ordinary people, e.g. servants, grooms, ushers and the barber. But the pages, esquires and gentlemen of the privy chamber were the sons of rich and powerful lords and knights. Sources Image : E344/22 - Returns of the Valor Ecclesiasticus Sources 1, 2 & 3 - SP 2/B - Transcript of the Ordinances of Eltham Schemes of Work What were the differences between the lives of rich and poor people in Tudor times? Key Stage 2, Unit 8 ## Source 1A : Extract From The Ordinances Of Eltham,January, 1526 Sp 2/B F219 & 220 Source 1a : Transcript of extract from the Ordinances of Eltham,January, 1526 SP 2/B f219 & 220 [it] is ordeyned, that from henceforth the pages of the Kings chamber fhall daily arife at feven of the clock, or foone after; making the fire and warneing the efquires for the body fembably to arife foone after that houre, foe as they may be ready in the King's chamber, dreffed in all fuch things as appreteyneth, by eight of the clock at the furtheft. And moreover, that none of the fervants of the faid efquires for the body come within the pallet chamber, but be attendant at the doore of the fame, as well as pages, at the requeft and commandment of the faid efquires, fetch in and beare out their night geere, and all other their apparel; and in like wife make them ready, as well at night as in the morning Source 1a : Simplified Transcript of extract from the Ordinances of Eltham,January, 1526 SP 2/B f219 & 220 ## [it] is ordered, that from now on the pages of the Kings chamber shall daily arise at seven of the clock, or soon after; making the fire and warning the esquires for the body similarly to arise soone after that hour, so as they may be ready in the King's chamber, dressed in all such things as relate, by eight of the clock at the latest. And moreover, that none of the servants of the said esquires for the body come within the pallet chamber, but be attendant at the door of the same, as well as pages, at the request and commandment of the said esquires, fetch in and bear out their night gear, and all other their clothing; and in the same way make them ready, as well at night as in the morning Source 1b : Extract from the Ordinances of Eltham,January, 1526 SP 2/B f228 Source 1b : Transcript of extract from the Ordinances of Eltham,January, 1526 SP 2/B f228 It is alfo ordeyned that the fix gentlemen of the privy chamber, by feven of the clock or fooner, as the King the night before determineth to arife in the morning, fhall be in the faid chamber there diligently attending upon his Grace coming forth; being ready and prompt, to apparel and dreffe his Highneffe, putting on fuch garments, in reverent, difcreet and fober manner, as fhall be his Grace's pleafure to weare; and that none of the fiad groomes or ufhers doe approach or prefume (unleffe they be otherwife by his Grace commanded or admitted) to lay hands upon his royall perfon, or intermeddle with prepareing or dreffing of the fame, but onely that faid fix gentlemen : except it be to warme cloaths or to bring to the faid gentlemen fuch things as fhall apperteyne to the apparelling and dreffing of the King's faid perfon. Source 1b : Simplified transcript of extract from the Ordinances of Eltham,January, 1526 SP 2/B f228 It is also ordered that the six gentlemen of the privy chamber, by seven of the clock or sooner, as the King the night before decides to arise in the morning, shall be in the said chamber there diligently attending upon his Grace coming forth; being ready and prompt, to apparel and dress his Highness, putting on such garments, in reverent, discreet and sober manner, as shall be his Grace's pleasure to wear; and that none of the said grooms or ushers do approach or presume (unless they be otherwise by his Grace commanded or admitted) to lay hands upon his royal person, or intermeddle with preparing or dressing of the same, but only that said six gentlemen : except it be to warm clothes or to bring to the said gentlemen such things as shall apply to the apparelling and dressing of the King's said person. Source 2a : Extract from the Ordinances of Eltham,January, 1526 SP 2/B f232 Source 2a : Transcript of extract from the Ordinances of Eltham,January, 1526 SP 2/B f232 It is alfo ordered, that the King's barbor fhall be dayly by the King's uprifeing, ready and attendant in the privy chamber there having in readineffe, his water, cloths, knives, combes, fiffors, and fuche other ftuffe as to his roome doth apperteyne, for trimming and dreffing the King's head and beard. And that the faid barbor take efpeciall regard to the pure and cleane keeping of his own perfon and apparell; ufing himfelfe alwayes honeftly in his converfation, without reforting to the company of vile perfons, or of mifguided women, in avoyding fuch dangers and annoyance as by that meanes he might doe unto the Kinge's moft royall perfon; not failing this to doe, upon paine of loofeing his roome, and further punifhment at the King's pleafure. Source 2a : Simplified transcript of extract from the Ordinances of Eltham,January, 1526 SP 2/B f232 It is also ordered, that the King's barber shall be daily by the King's uprising, ready and attendant in the privy chamber there having ready, his water, cloths, knives, combs, scissors, and such other stuff as he needs, for trimming and dressing the King's head and beard. And that the said barber take special regard to the pure and clean keeping of his own person and apparel; using himself always honestly in his conversation, without resorting to the company of vile persons, or of misguided women, in avoiding such dangers and annoyance as by that means he might do unto the King's most royal person; not failing this to do, upon pain of loosing his room, and further punishment at the King's pleasure. Source 2b : Extract from the Ordinances of Eltham,January, 1526 SP 2/B f221 Source 2b : Transcript of extract from the Ordinances of Eltham,January, 1526 SP 2/B f221 nor alfoe that there be no manner of playing at diffe or cards, ufed within the fame chamber, after the King be ferved for All-night, except it be by the King's commandment or licence. Source 2b : Simplified transcript of extract from the Ordinances of Eltham,January, 1526 SP 2/B f221 nor also that there be no manner of playing at dice or cards, used within the same chamber, after the King be served for All-night, except it with the King's permission. Source 3 : Extract from the Ordinances of Eltham,January, 1526 SP 2/B f230 Source 3 : Transcript of extract from the Ordinances of Eltham,January, 1526 SP 2/B f230 ITEM, it is ordeyned that fuch perfans as be appointed of the privy chamber, fhall be loving together, and of good unity and accord keeping fecret all fuch things as fhall be done or faid in the fame, without difclofeing any parte thereof to any perfon not being for the time prefent in the faid chamber, and that the King being abfent, without they be commanded to goe with his Grace, they fhall not onely give their continuall and diligent attendance in the faid chamber, but alfo leave harkening and enquiring where the King is or goeth, be it early or late, without grudgeing, mumbling, or talking of the King's paftime; late or early going to bed Source 3 : Simplified transcript of extract from the Ordinances of Eltham,January, 1526 SP 2/B f230 ITEM, it is ordained that such persons as be appointed to the privy chamber, shall be loving together, and of good unity and accord keeping secret all such things as shall be done or said in the same, without disclosing any part thereof to any person not being for the time present in the said chamber, and that the King being absent, without they be commanded to go with his Grace, they shall not only give their continual and diligent attendance in the said chamber, but also leave asking where the King is or is going, be it early or late, without grudging, mumbling, or talking of the King's pastime; late or early going to bed	en
0664-pdf	## Delivering Our Vision HMRC Business Plan update 201 3-1 4 Helping our customers to get it right first time Maximising revenue flows and improving compliance Making sustainable cost reductions to achieve best value for money . ## Contents 5 Foreword by Lin Homer, Chief Executive 6 How are we doing? Our 2012-13 performance 8 Meeting our Spending Review commitments and managing risks to our performance 10 Customer experience - improving accessibility, accuracy and timeliness 12 Tackling tax avoidance 13 Tax evasion, organised crime and fraud 15 Individual taxpayers 17 Benefits and payments customers 19 Business customers 21 Our people Our purpose is to collect the taxes that fund the UK's public services, and to provide targeted financial support to families and individuals. We aim to do so efficiently, professionally and fairly, making complying with the tax system as simple as possible, while relentlessly pursuing those who do not comply, in order to reduce the tax gap. ## Foreword Last year, HMRC published a three-year Business Plan, which set our direction and challenges for 2012-15. This is an update to that Business Plan. It sets out our activities this year and, following the 2013 Spending Review, it also sets out some of our longer-term ambitions, ahead of a more comprehensive Business Plan to be published in 2014. The core of our purpose is to collect the taxes that fund the UK's public services, and to provide targeted financial support to families and individuals. We aim to do so efficiently, professionally and fairly, making complying with the tax system as simple as possible, while relentlessly pursuing those who do not comply, in order to reduce the tax gap. I am proud to be able to say that we are making great progress against this purpose. As you will see from the performance highlights on page six, last year we delivered strongly against our three strategic objectives: producing additional revenue of £20.7 billion - almost £2 billion more than our target; bringing PAYE up to date and exceeding our call answering and post targets; and producing more than £245 million in efficiency savings. Future years will continue to be challenging. The Chancellor's recent Spending Review announcement set out what Ministers expect of us in 2015-16. It committed us to bringing in an extra £1 billion in additional revenue and to making a five per cent reduction to our budget. In addition, as a result of a £200 million three-year digital investment programme, we will become an increasingly digital organisation, providing real-time online tax accounts to millions of taxpayers. Given the momentum we have already established, I am confident that we can meet these stretching objectives. But HMRC will have to become a very different organisation: we will be slimmer, with fewer employees in fewer locations; even more professional, with a greater emphasis on data analytics, IT, tax and operational skills. Our 2013-14 activities are steps in that journey. We will continue to invest in improvements that help compliant customers. We aim to maintain contact centre performance at 90 per cent, while piloting a new service for customers who need extra help. Real Time Information for PAYE has started very well, with more than a million payroll schemes submitted in the first month of the roll-out. This huge programme impacts every employer in the country, and remains one of our biggest challenges this year, as we continue to support the introduction of Universal Credit. We will also increasingly work in real time with larger businesses to reduce risk and increase revenues, and deliver more support to smaller businesses to cut error and fraud. We will reduce opportunities for tax avoidance, by delivering well-designed processes, policy and legislation aimed both at tax avoiders and scheme promoters. We will also increase our focus on tackling debt and tax credits error and fraud. We will also continue to tackle offshore evasion, with a raft of new campaigns and taskforces. And we will make new technology work harder for us, exploiting its potential to track down those who cheat their taxes. This will require us to invest in our own skills and capacity. Last year, we promoted more than 3,000 staff; this year, we will expand training for our tax and operational professionals, and implement a new performance management system that will further drive excellence among HMRC's staff in the running of a fair, efficient and effective tax system. ## How Are We Doing? Our 2012-13 Performance £475.6 Billion Record amount of tax revenue we brought in - more than £1 bn above what we collected in 2011-12 ## 100 Legal Wins £20.7 Bn Using a legal argument to successfully defend about £300 million in VAT claims in 2012-13 Record compliance yield - almost £2 billion above our target for the year ## £2 Bn Revenue brought in using our state-of-the-art fraud-busting tool Connect, which won project of the year at the 2012 National Outsourcing Association Awards £342 million - first payment ## 17.9 Million made after the UK-Swiss Tax Agreement came into force in January 2013 PAYE legacy open cases we finished clearing from our old computer system. We are now up to date with PAYE £1 bn 90+ per cent The highest proportion of customer calls we have ever answered in the last half of the year Estimated revenue over five years, after we agreed to share tax information with the Isle of Man, Jersey and Guernsey We answered 75 per cent of calls across the entire year The number of days it took on average to process tax credits and Child Benefit UK new claims and changes of circumstances against a target of 22 days: our highest customer service level to date 85% Post we turned around within 15 working days - the best performance ever recorded by HMRC The number of full–time equivalent staff we employed at March 2013 1,700 The number of our people who started tax training for the first time, so we can increase revenue collected and provide a better service for customers 5,463 The number of our people moved to new or different compliance roles to help meet our commitments to bring in extra revenue 200 People joined our graduate level Tax Professional Development Programme, including 120 externally recruited graduates 5,589 ## Days We Gave To Volunteering In Our Local Communities Raised for good causes through fundraising for BBC Children in Need, Lifeboat Fund, Charity for Civil Servants and other good causes via payroll giving Leaders and managers are benefiting from leader-led master classes on the new performance management system for the Civil Service 27 m ## £16 M £ What we expect to save in IT costs over four years in a new agreement signed with Microsoft in December 2012 we printed less ## Meeting Our Spending Review Commitments And Managing Risks To Our Performance HMRC agreed ambitious and stretching objectives in the 2010 Spending Review, which were stretched even further in the 2013 Spending Review. Achieving these objectives requires a major transformation of what we do and how we do it. Our change programme brings together a portfolio of projects that drive this transformation, including in technology, process and people initiatives. • expanding digital services for customers, in line with ## Our Ambition • introducing a new 'Tax for my Business' HMRC's core objectives remain to maximise tax revenues, improve our customers' experience and sustainably reduce our costs. Over the next three years, we will become even more cost-efficient, as we deliver more for the UK with less resource; we will secure more revenue from our compliance activities; and we will become better at serving customers by meeting or beating our customer service targets. By 2016, we will have become a more digital organisation. This will enable most individuals and businesses to deal with their taxes online in real time, as well as equipping HMRC with the technology and data analytics systems that will help us more effectively to target those who break the rules. The change programme projects identified in 2010 are steps in the journey to achieving that ambition, and they include: • making it cheaper and easier for our customers to pay their tax and claim their benefits and credits • reinvesting £917 million of the savings we make We will continue to support the Government to move towards a more competitive, simpler and fairer tax system, through working closely with HM Treasury and the Office of Tax Simplification to design and deliver tax policy. We will strengthen our policy capability and use our knowledge of the tax policymaking process to propose new ways of improving customer service, the administration of the tax system and reforms to reduce opportunities for avoidance and evasion. We will use our continuous improvement capability, known as PaceSetter, to improve our work and our processes. to tackle avoidance, evasion and criminal attack. This year we aim to bring in an additional £5 billion in revenues The Chancellor's Autumn Statement, published in December 2012, gave HMRC an additional £77 million to tackle tax evasion and avoidance. • implementing the largest change to PAYE in In 2013-14 we will: 70 years with the introduction of Real Time Information (RTI) • deliver specific Autumn Statement additional • creating a 'one-click' online registration process for • further develop Connect, the HMRC data matching new businesses, by moving notification of liability for VAT and main direct taxes to online channels by December 2013 the government's digital strategy, by introducing a new online PAYE service for individuals to report changes that impact on their tax codes, with a pilot service launching in October 2013 personalised homepage, to help small and medium enterprises deal with their tax affairs; a live pilot service for 1,000 customers will start in October 2013 and will be rolled-out to a wider group of businesses over the following six months. revenues of £686 million and risking tool, by upgrading software, expanding the number of users, improving accuracy of the data used by the tool and improving system resilience and capacity • recruit and deploy an additional 100 investigators • transforming HMRC - HMRC fails to deliver the changes required to meet our Spending Review commitments to the Affluent Unit, that makes sure the better off comply with the tax rules, to further tackle avoidance and evasion • cyber threats - HMRC will be unable to protect • trial the debt collection agency (DCA) approach for against cyber threats • transforming PAYE - HMRC fails to meet the aims of PAYE improvement and welfare reform • tax policy - HMRC is unable to meet tax tax credits debts, by releasing around £300 million of debt for DCAs to collect on our behalf. This builds on the model we have used over the last two years as part of the Spending Review programme policy developments • create a new centre of excellence to develop a • revenues raised - HMRC will not deliver the comprehensive strategy for tackling offshore evasion Spending Review proposition • increase our ability to tackle aggressive avoidance • HMRC Universal Credit programme - HMRC schemes, including long-running cases involving partnership losses will be unable to manage large-scale migration from tax credits to Universal Credit • start a programme of digitisation, funded by • business continuity capability - HMRC fails to the three-year, £200 million digital investment announced in the 2013 Spending Review. cope with a major event that reduces operational capability for more than three business days ## Managing Risks To Our Performance • understanding customer behaviour - HMRC fails to adequately keep track of how customers deal with us • reputation management - HMRC does not embed Our business planning involves looking ahead to identify issues that could pose a significant risk to our performance - and then deciding how best we can minimise their impact. Our current departmental risks include: and effectively use communications and stakeholder management proactively to manage its reputation and to respond appropriately to a crisis situation • employee relations - there is a risk of a significant • workload capacity and resource management - deterioration in industrial relations, sustained industrial action and unrest • health and safety - HMRC fails in its duty of care HMRC does not have an effective approach to forecasting demand and balancing capacity with workload • information security - HMRC suffers one or more • supplier stability - there is a risk relating to our data losses management and relationship with key suppliers • people skills and technical capability - not having • RTI Programme and employer awareness - HMRC the right staff in the right place with the right skills fails to raise appropriate awareness among employers to report PAYE in real time. • data management and quality - HMRC fails to apply good standards • people engagement - HMRC's ability to maximise performance is compromised by low staff engagement ## Customer Experience - Improving Accessibility, Accuracy And Timeliness Our key priorities are to improve customer experience and to tackle avoidance, evasion, organised crime and fraud. We will do this while improving our systems and our efficiency to deliver these objectives at lower cost to the Exchequer. We know that our customers care most about our accuracy, the ease of accessing our services and dealing with us quickly and efficiently. They also want us to be straightforward and cost-effective to deal with. ## What We Have Done Customer Experience This is based on research that tells us customers consider five minutes an acceptable time to wait before being answered. ## Timeliness There has been substantial progress in the turnaround times for post, answering 85 per cent of customer correspondence within 15 days, which exceeds our target of 80 per cent. We also exceeded our 40 day turnaround target of 95 per cent; achieving 97 per cent. Our goal is to improve our customers' experience of interacting with us. We are committed to achieving an increase in customer experience scores to 75.8 per cent (an increase of 4.6 percentage points compared to March 2011). Results of the quarterly survey to March 2013* show a rise of 1.8 per cent from 71.2 per cent to 73 per cent. Within this, the agents' experience score of 68.5 per cent exceeds the target of 66.5 per cent for March 2015. This improvement is due to our hard work in reducing call waiting times and implementing the Agent Strategy. Our timeliness target for UK tax credits claims and change of circumstances was also exceeded. We achieved 15.5 calendar days against a target of 22 calendar days. ## Accuracy Customer Service Standards Accessibility Our customers expect us to be accurate in our work and we measure this across a number of areas that we know our customers care about, such as tax credits claims and Self Assessment. We have achieved our targets in this area, achieving above 96 per cent over the year. We also achieved our post accuracy target of 90 per cent; 91.7 per cent and 91.8 per cent in 15 and 40 days respectively. During the course of 2012, we decided to advance the target to achieve 90 per cent of call attempts answered, originally due for 2014-15. As a result, we have made a significant difference to our performance as the year progressed. In the last six months of 2012-13, we answered 91.8 per cent of calls to our contact centres compared to just 65.5 per cent in the first half. We plan to invest a further £25 million in improving accessibility to our contact centres and continue with flexible working in 2013-14 to maintain our performance and achieve a 90 per cent average of calls answered. Research tells us that when our customers think about accuracy, they include a wide range of aspects of our service, such as ease of finding information and timely completion of work, which falls under our 'quality of service'. We are now carrying out research with customers to find out how we can understand the customer view of quality and use this to help us improve further. We are building a better understanding of the needs of our customers and as a result of working with them, we have agreed a new target for 2013-14 of responding to 80 per cent of calls within five minutes. ## Accessibility And Flexibility To maintain our performance and achieve a 90 per cent average of calls answered in our contact centres, we plan to invest a further £25 million in improving accessibility and continue with flexible working in 2013-14 £25m ## Customer Cost Reduction By March 2013, we had reduced the costs to all customers by £2.65 million, although there has been an increase in business customer costs of just over £26 million. This is due to changes in Government policy, including: • £9 million costs from Machine Games Duty • £80 million costs from restrictions to Pensions Tax Relief to raise £4 billion a year • £20 million costs from the Bank Levy to raise more than £2.5 billion. Areas where we have reduced business customer costs come from the introduction of improved digital services such as Corporation Tax and VAT e-filing and payment and VAT e-invoicing. Our digital service for customers is a high priority area for the coming year and beyond, where we are looking to make further cost reductions for customers and for HMRC. We will start investing the extra £200 million over the next three years to help make us an increasingly digital business. ## What We Plan To Do Over the next 12 months, we will continue building on the good progress we have made to provide our customers with the level of service they expect from us. We will do this by concentrating on areas including our contact centres, our digital offering, our end-to-end processes and how we resolve customer issues more quickly and efficiently. We aim to reduce ongoing costs for all compliant customers - individuals and businesses - by 2015. The Chancellor also strengthened this commitment for business customers by introducing a target to reduce annual tax administration costs to business by £250 million by April 2015. Our current forecasts show that we are on track to meet this target. In some cases, increases in customer costs are in areas where customers have requested or supported the changes being made. During 2013, we will be introducing a change to the 'Patent Box' regime that will increase costs for business customers, but will reduce their Corporation Tax to ten per cent on profits attributable to the patents - giving our business customers an incentive to retain and develop new patented products. This change forms part of the Government's growth agenda. ## Tackling Tax Avoidance Tackling tax avoidance will continue to be one of our highest priorities, as we pursue those who bend the tax rules to their own advantage. Through our anti-avoidance strategy we will focus on making sure we have the right policies and legislation in place to reduce the ability of tax avoiders to exploit legal loopholes for their own gain. ## Delivery In 2013-14 Andrew Chappell V Hmrc The First-Tier Tribunal ruling in this case protected £156 million in tax from a marketed avoidance scheme which had 305 users. Users of the scheme entered into a series of complicated financial transactions intended to exploit the tax rules on stock lending. But the tribunal found that the arrangements involved little more than signing pieces of paper and making entries in accounts. ## Vaccine Research Limited Partnership V Hmrc The introduction of a General Anti-Abuse Rule (GAAR) this year will give more protection against artificial and abusive tax avoidance schemes. Where avoidance does occur, we will identify it early using DOTAS (Disclosure of Tax Avoidance Schemes) and other intelligence. We tailor our approach according to the characteristics of different taxpayer groups - based on a robust assessment of the tax at risk. Increasingly, we challenge not only taxpayers who try to avoid tax, but also the behaviour of promoters who offer tax avoidance schemes. We will consult widely on proposals for new information and penalty powers, targeting high-risk promoters. We will develop better performance measures to demonstrate the effectiveness of our strategic approach. We will make the most of opportunities to inform the public about the nature of tax avoidance and what we are doing to tackle it. A Jersey-registered limited partnership claimed to be trading in the UK, creating and exploiting intellectual property from research into vaccines for diseases such as HIV, flu and hepatitis B. Eighty-three investors in the partnership used £28 million of their own cash and £86 million in bank loans. The partnership claimed a first-year trading loss of nearly £193 million, creating £77 million in tax relief. This would have given the partners an almost £50 million return on their personal investments. However, in reality only £14 million had been spent on research and development into vaccines. As a result, the tribunal agreed that individual partners were entitled to tax relief of no more than £14 million of the losses. ## How We Will Measure Success We resolve avoidance issues in accordance with our litigation and settlement strategy and take action in the courts when necessary. We have an excellent record of success in litigation and win the large majority of cases. They include: ## Bristol And West V Hmrc Bristol and West, owned by the Bank of Ireland, tried to avoid paying around £30 million tax on a £91 million gain. The company transferred a swap contract to another Bank of Ireland subsidiary in a flawed attempt to exploit what it thought was a loophole in the tax rules. We are improving the data available to us by introducing a comprehensive avoidance-handling process and developing measures that will enable us to evaluate the effectiveness of our anti-avoidance strategy. This includes tracking the number of customers using avoidance schemes, the amount of tax at risk, yield from its compliance work to tackle avoidance and the amount of resource used. We expect these measures to be in place by 1 April 2014. We also plan to formally evaluate our overall strategy. The bank's theory was that the £30 million tax would disappear on the cancellation of the original contract and its replacement with a new one. It entered into a swap transaction for commercial hedging reasons, but decided to transfer the swap to another Bank of Ireland subsidiary to exploit a perceived weakness in rules on the taxation of swaps in the Finance Act 2002. The First-Tier Tribunal upheld HMRC's view that there is in fact no loophole to exploit. ## Tax Evasion, Organised Crime And Fraud Tax evasion accounts for 14 per cent of the tax gap while organised crime - smuggling and attacks on repayment systems - costs the Exchequer around £5 billion a year, which is 16 per cent of the tax gap. We aim to level the tax playing field, by supporting the vast majority of businesses and individuals who meet their tax obligations and making sure that there is nowhere to hide for those who deliberately fail to comply. Our approach to evasion is to identify and target risks, against which we then deploy an escalating range of activities, depending on the severity of the evasion and the willingness of the taxpayer to stop evading and pay what they owe. It includes: • using publicity to deter evasion: highlighting the consequences of being caught, publicising the results of campaigns and criminal convictions and encouraging evaders to come forward to get their affairs in order • deploying taskforces aimed at particular trades and professions in various regions to investigate where we have detected evasion risks • tackling affluent individuals who have hidden assets in the UK or offshore using specialist teams • subjecting persistent evaders to ongoing monitoring and publicly naming deliberate defaulters where more than £25,000 of additional tax would have been lost without our intervention • deploying specialist criminal investigators to fight criminal attacks, including alcohol, tobacco and Missing Trader Intra-Community (MTIC) frauds and protecting the UK from cyber attacks. Together, these initiatives demonstrate our commitment to the vast majority of taxpayers who pay what they owe, that we are closing in on tax evaders and criminals. ## Delivery In 2013-14 Identifying Fraud We will improve the way in which we identify risks to better target our compliance activity and will invest in skilled staff and technology to make this possible. ## Deterring Evasion Through Publicity And Campaigns We will maximise deterrence through effective avoidance and evasion marketing and change the way we communicate with our customers to make them more compliant. We will use campaigns to address serious risks across selected customer groups so we can change their behaviour. We are publicising our successes in documents such as 'Levelling the Tax Playing Field' to reassure the compliant majority that we are cracking down on those who don't pay what they owe. ## Targeted Taskforces In addition to the 40 taskforces carried out since 2010, we will launch up to 30 more in both 2013-14 and 2014-15. They include fraudulent VAT repayments in London, restaurants in Northern Ireland and the holiday industry in East Anglia. ## Offshore Evasion This year, we will create a new centre of excellence to tackle offshore tax evasion. Our new offshore evasion strategy, 'No Safe Havens', aims to reduce the opportunities to evade offshore, increase the likelihood of evaders (and those who help them) being caught, and make sure that those who try to cheat the system face tough sanctions. ## Helping Customers Meet Their Tax Commitments £1 .6 Billion The total value of 'time to pay' arrangements made by HMRC with businesses and individual customers experiencing genuine difficulty paying the tax they owe. The number of these arrangements is currently 665,000 We will work closely with other public sector bodies, law enforcement agencies and overseas authorities to clamp down on criminality and maximise the recovery of stolen tax, as well as increase the number of prosecutions to tackle mass market evasion. ## Managing Debt We have already delivered agreements with the USA and with other jurisdictions, including the Isle of Man, Guernsey and Jersey, to automatically share tax information. We will build on the success of the Liechtenstein Disclosure Facility and the historic agreement with Switzerland to encourage those who have hidden money overseas to come forward and settle their affairs. At the same time we will challenge those who choose not to comply with targeted action. ## Monitoring Persistent Evaders We recognise that some customers have genuine difficulty in paying us. We will support them through temporary difficulties by allowing them time to pay where appropriate. For the debts that remain, we will introduce more innovative collection approaches based on analysing customer data and how they deal with us. We will continue to take fast, firm, effective action against those who fail to engage with us, and seek to make sure debts are repaid by using our debt collection agency partners and recovering smaller debts through the PAYE system. We will also work with other government departments to improve the collection of debt across central government. ## How We Measure Success A key measure of success is the additional tax revenue we bring in through our compliance and enforcement activity. We plan to deliver £5.8 billion additional compliance revenues above baseline in 2013-14. Our compliance revenues are made up of: We will change the longer-term behaviour of known rule-breakers by managing their relationship with HMRC more closely through our Managing Serious Defaulters (MSD) programme, and by publishing the names of people who deliberately don't pay what they owe. We will notify serious defaulters when they are entered into the MSD programme and tell them what their obligations are. While they are in the programme, we will closely monitor them to make sure they meet all their tax obligations. If they fail to meet and maintain those obligations, we will use our inspection and information powers to undertake further compliance activity. Publishing the details of deliberate defaulters will encourage them and others to make full and prompt disclosures and cooperate with HMRC. Details are published only once all appeal routes against the related tax and penalties are exhausted. • cash collected - the total amount of tax that we ## Tackling Organised Crime • revenue protected - the amount of revenue protected We will ensure our staff continue to have the skills and capabilities needed, supported by improved risk analysis, to deliver an effective and sustained deterrence against fraud. collect from activity to tackle those individuals and businesses that have not paid the tax due by activities including: seizing illicit goods, preventing errors, deterring future non-compliance and addressing loopholes. ## Individual Taxpayers We will improve customer service for the vast majority of people while tackling avoidance, evasion, organised crime and fraud. We will also adapt our approach according to the needs of all our customers, who are individual taxpayers, benefits and payment customers and businesses. In total, we deal with 60 million people through PAYE, National Insurance, Self Assessment and other specialist taxes such as Inheritance Tax. ## Delivery In 2013-14 We will provide an improved service and, in doing so, prepare for the future by increasing our focus on digital ways of working and reducing costs for the customer and to our processses. We will make it easier for our compliant customers by looking at how they deal with us to shape our policies and processes, supported by new technology, contact centre investment and user-friendly guidance. This will make it easier for our customers to manage their affairs, and harder for them to get it wrong. Because customers will need to contact us less, we will reduce our own costs, enabling us to reinvest these savings into bringing in the money that keeps the country's vital public services running. ## Designing The Way We Do Things Around The Customer We will continue changing our products, processes and services to make sure our customers have what they need to get their taxes and entitlements right first time, minimising the need for us to get involved. When customers do need to contact us, we will maintain our service of answering an average of 90 per cent of call attempts (and answering 80 per cent of calls in five minutes). We will reply to at least 80 per cent of our customer letters within 15 days and 95 per cent in 40 days, while maintaining a quality target of at least 90 per cent throughout the year. We will work harder to learn lessons from complaints and the way we handle them - responding to customers' concerns and changing our processes. And, for those who need extra help, we will provide tailored services that meet their needs, including trialling face-to-face support at convenient locations for them. ## Reducing Costs - Both For Customers And Hmrc By helping our customers get things right first time, we will minimise errors and the need for them to contact us, reducing their costs and ours. For those who need help, we will make it cheaper to contact us, moving from 0845 to 03 phone numbers that are far less expensive to call from mobile phones. We will reduce our post-handling costs by starting to scan the correspondence we receive and by processing it electronically, and we will put our telephony contract out to tender, bringing us more modern telephony services and infrastructure at better value for money. ## Avoidance And Non-Compliance We will tackle the avoidance of tax and National Insurance contributions through the use of employee benefit trusts, and by employment intermediaries - for example, those who try to put payroll offshore. We will work more closely and offer more support for specialist agents and intermediaries to help a larger percentage of our customers become compliant. We will work closely with other government departments - for example, collecting student loan repayments on behalf of the Department for Business Innovation and Skills (£1.6 billion collected in 2012-13). ## Responding Faster To Customer Letters At least 80 per cent of our customers will get a reply to their letters within 15 days and 95 per cent in 40 days. We will maintain a quality target of at least 90 per cent throughout the year 80% ## Transforming The Paye System Our approach remains: 'We want the returns, not the penalties.' ## Measuring Success With the backlogs of previous years now cleared, we will operate PAYE in the most efficient way, working three years in a single annual tax cycle (reconciling 2012-13, updating 2013-14, and preparing tax codes for 2014-15). We will continue to reduce the number of PAYE work management items, preparing for the future through using more automation and trialling new ways of handling these items. We will introduce new performance measures to guide our work in improving the customer experience. They will focus on quality, accuracy, accessibility and our ability to resolve everything for the customer the first time they contact us. We will use a number of measures to set standards mid-year, once benchmark data becomes available. They include: In 2013-14, we will move more than 1.5 million PAYE schemes and 48 million employments to Real Time Information (RTI), improving the operation of PAYE for employers, employees and HMRC, by making the system quicker, easier and more accurate. • analysing how well our processes work from start ## More Online • how often we resolve customer issues the first time • how many complaints are upheld against us • the quality of our work, based on what customers • reducing customer costs when they deal with us • the quality and ease of using our digital services. We will make it ever-easier for our customers to do business with us online - improving our online information, forms and guidance, and expanding the services we offer online as part of an extra £200 million investment in our digital services over the next three years. In 2013-14, we will open up an online facility for some of our 39 million PAYE customers to report changes to their benefits in kind. We will build on our successful campaigns to encourage even more Self Assessment customers to file online and on time, avoiding late filing penalties. to finish they make contact with us are saying about us ## Benefits And Payments Customers We support 4.8 million families and 7.9 million children through the administration of tax credits and pay Child Benefit for 13.7 million children. Child Tax Credit helps people bringing up children and Working Tax Credit helps those working on low pay, whether or not they have children. ## Delivery In 2013-14 Our priorities for 2013-14 are to tackle the level of tax credits error and fraud and to manage our tax credits debt balance, as well as to continue to improve our customers' experience of dealing with us. To achieve this, we are looking at innovative and cost-effective solutions, for example through testing the effectiveness of using a private sector supplier to deliver additional tax credits compliance checks; through improving our risk capabilities; making best use of our data and tools, and by increasing the number of penalties and prosecutions for fraud to deter the minority of our customers who deliberately make incorrect claims. We want to help customers get it right first time, and will increase our validation of customer information to reduce the number of overpayments and underpayments, and amount of fraud and debt. ## Preparing For Universal Credit Delivery The Department for Work and Pensions (DWP) Universal Credit Pathfinder will test our processes for closing tax credits claims, including the way we recover debt and the impact on our customers. We are working closely with DWP on the timing and volumes of customer moves from tax credits to Universal Credit, which will help us make decisions around the transfer of sites and people from HMRC to DWP, as part of the delivery of Universal Credit. ## Timeliness, Accuracy, And Ease Of Contacting Hmrc We know that our customers want to get the money they are entitled to on time, and have clear and straightforward help when they need it. We want to build on the strong progress we've made, continue to improve our customer service and our customers' experience by better understanding their needs and better communicating what we need from them. We will continue to reduce the need for customers to contact us unnecessarily. For those customers who do contact us, we will look to learn from their experiences. This includes learning from our customer complaints and appeals to reduce the number of complaints, disputes and appeals we receive and improve our processes and service. ## How We Will Measure Success We will measure our success against the following targets: • achieve and sustain timeliness of 22 days for tax credits and Child Benefit UK new claims and changes of circumstances • achieve 97 per cent accuracy for new claims, renewals and changes of circumstances • deal with customer disputes and appeals in under 42 days • achieve customer satisfaction scores of 77 per cent by March 2014. ## Improving Our Online Services We will make it easier for new businesses by creating a 'one-click' online registration process for notification of liability for VAT and main direct taxes by December 2013 ## Business Customers We work with large business and 4.8 million small and medium-sized businesses in the UK to make sure we collect the tax due and tackle avoidance, error and fraud, through constantly improving our knowledge of business customers and our levels of customer service. ## Delivery In 2013-14 Maximising Revenue Our strategy is to match resource to risk, with our most experienced and highly-trained tax professionals managing relationships with our largest business customers. We make a significant contribution to the Department's revenue targets from the largest 808 firms. We are currently forecasting we will meet our 2013-14 target of £5.1 billion. Funding for a Large Business Risk Taskforce was included in the Chancellor's 2012 Autumn Statement. It is expected to identify additional risks over the next three years, producing additional revenue of £100 million this year, and £2 billion in total by the end of 2017-18. As we work increasingly in real time with customers the way we collect tax is changing - helping customers to get their tax right before returns are filed, rather than trying to put things right afterwards. Real time working can provide earlier certainty for taxpayers on a range of complex and commercial issues. It also allows us to detect avoidance more quickly. We are reviewing how we measure the impact of these changes on our revenue targets, efficiency and the customer experience. ## Improving Customer Experience We will continue to deliver against the commitments made at Budget 2012 in 'Making tax easier, quicker and simpler for small business' - particularly through the introduction of new digital services for business. We're implementing a simpler income tax process for small unincorporated businesses, and delivering VAT registration transformation which automates a substantial part of the service's business and transfers the VAT registration process online. We will contribute to reducing customer demand and contact by making the best use of digital technologies, and supporting the wider digital agenda more generally. We introduced the Patent Box regime in April 2013, which will apply a reduced rate of Corporation Tax to profits from patents and certain other forms of qualifying intellectual property. This will give companies the incentive to invest in research, development and innovation in the UK. We will take part in European Union negotiations to ensure that the international trade environment continues to encourage UK growth. We will give businesses operating across international borders certainty, by liaising with treaty partners to relieve the risk of double taxation, where businesses are taxed twice in two different countries on the same profits. We will continue to work closely with the Department for Business, Innovation & Skills, Cabinet Office and HM Treasury in support of the Government's wider agenda for business, particularly to support growth and enterprise. ## Large Business Risk Taskforce The Taskforce is expected to identify additional risks over the next three years, that will produce additional revenue of £100 million this year. Funding for the Taskforce was included in the 2012 Chancellor's Autumn Statement £100 million ## How We Will Measure Success Our primary measures of success are: • the additional £5.1 billion tax revenue we aim to We will continue to assure the delivery of the large business, small and medium-sized enterprises (SME) and agent strategies so that they bring in the revenues and deliver the customer service improvements agreed as part of our Spending Review, and to commission, maintain and apply a robust body of relevant external research to support those improvements. • delivery of business cost reductions against our • progress towards achievement of our customer collect from the largest 808 businesses, and product and process yield target to reduce by £250 million by March 2015, as part of a wider improvement in business customer experience experience targets for SMEs, agents and large business. ## Our People To make sure that we are able to collectively deliver the challenges outlined in this plan, we will continue to work towards creating an inclusive 'One HMRC' environment which is enjoyable to work in and motivates and develops our people. We want to further strengthen our leadership, improve professionalism and create the foundation for a sustainable organisation that delivers for the customer (in terms of their experience when dealing with us) and for the Government (in terms of our revenue targets). We will strengthen our people's connection to HMRC so they feel engaged and proud to work for us and play their part in delivering the Department's commitments. We will deliver this in the context of Civil Service reform, which clearly articulates the case for change, including the need to develop a more agile Civil Service with flatter management structures, less bureaucracy and improved services at reduced cost. ## Delivery In 2013-14 We will ensure that HR is integrated into the HMRC business strategy and planning teams to support our Executive Committee in developing the HMRC strategic direction and business plans. Our work in 2013-14 will be themed around four main areas: ## Leadership And Management We will continue enhancing the capability of our leaders and managers by explaining what we expect from them and investing in their development. The new Civil Service Competency Framework will be used to define what core skills, accountabilities and behaviours are required, so we can create leaders who will drive business performance for the whole organisation and support our people in reaching their potential. Increased leadership capability will ensure we deliver against our business objectives and provide the service our customers need. ## Skills And Professions As part of Civil Service reform we will develop and start delivering a five-year capabilities plan to identify what skills we have, what is missing and how gaps will be filled. We will also start to increase management capability in our digital service, how we continuously improve as an organisation, programme management and in our commercial transactions. We will work across HMRC to increase the professionalism and effectiveness of our people by clearly defining the skills and capabilities that we need and providing the development framework, career paths and a learning strategy to support this, with particular focus on our core professions of tax and operational delivery. ## Building A Sustainable Organisation It is crucial that HMRC is a flexible organisation that is able to adapt to key customer and revenue objectives in 2013-14 and beyond. For example, the Government's recent Spending Review announcement will mean reducing our workforce to 52,000 full-time equivalent staff by the end of March 2016. As the Department evolves, our priority will be to ensure that we have the right people in the right places, doing the right work. We want staff to be proud that they work for HMRC and we will continue working towards that goal so they feel the organisation is truly supporting the customers and communities they serve. ## Improving Hr In 2013-14 we will continue to build HR's professionalism, reputation, expertise and closeness to the operational business to ensure that we continue to improve our HR service and enable the delivery of HMRC operational objectives. ## Building A Sustainable Organisation We need to make sure that HMRC has the right people in the right places, doing the right work, in order to deliver our key customer and revenue objectives in 2013-14 and beyond 1,700 ## People Started Tax Training How We Measure Success In 2013-14 we will measure our performance across four key themes: We will closely monitor and evaluate our approach to diversity, so we can better reflect the communities we serve, and make sure we have the right people in the right roles at the right time with the right skills to deliver our operational business targets. • leadership and management • skills and professions • building a sustainable organisation • improving HR. It is important that as the size and shape of the Civil Service undergoes reform, we can demonstrate clearly how changes to our workforce has a positive impact on business performance. We will measure improvements in leadership capability and change management, with the aim of achieving the Civil Service average of 35.5 per cent from our current 2012 score of 24 per cent. We will also measure progress in staff engagement, which stands at 46 per cent in HMRC, compared to the Civil Service average of 57 per cent. gov.uk/hmrc Follow us on Twitter @HMRCgovuk See us on Youtube Issued by HM Revenue & Customs July 2013 © Crown Copyright 2013	en
4181-pdf	Name of operator: Company number: Network Rail Infrastructure Ltd 2904587 I confirm that the third party liability insurance policies listed below covering the above named operator: i. meet the terms set out in ORR's General Approval for operators' third party liability insurance arrangements1, dated 23 February 2007 (as amended by any relevant variation); and ii. comprises a total level of indemnity of not less than £155 million per incident in respect of liabilities which arise out of the rail operations of the above operator. Start Insurer Policy number Amount insured date Expiry date QBE UK Ltd P130565PRO0119A GBP 50,000,000 1.7.2020 30.6.2021 QBE UK Ltd P130565PRO119/GBCGP2000263 1.7.2020 30.6.2021 GBP 50,000,000 in excess of GBP 50,000,000 Allianz Insurance plc GBCGP2000262 1.7.2020 30.6.2021 Not less than GBP 55,000,000 in excess of GBP 100,000,000 Total GBP 155,000,000 Geographical coverage Worldwide Note: where part of any level of indemnity is provided by an industry facility, the broker should name that facility. I understand that this letter could be placed on the ORR / European Rail Agency websites or otherwise made publicly available. Signed: Name: Gill Bretherton on behalf of Aon UK Ltd Position of signatory: Client Manager ( as authorised person)	en
0151-pdf	# Construction Phase Health & Safety Plan Construction of 52Nr New Dwellings at Land at Chapel Hill, Longridge ## Document Control Sheet Issue Detail \| Issue No. \| Prepared By: \| Signed: \| Checked By: \| Signed By: \| Date: \| \|--------------\|-----------------\|------------\|----------------\|---------------\|----------\| \| 0 \| James Dean \| \| \| \| \| \| Adrian Dale \| \| \| \| \| \| \| \| \| \| \| \| \| \| 1 \| \| \| \| \| \| \| 2 \| \| \| \| \| \| \| 3 \| \| \| \| \| \| \| 4 \| \| \| \| \| \| \| 5 \| \| \| \| \| \| \| 6 \| \| \| \| \| \| \| 7 \| \| \| \| \| \| \| 8 \| \| \| \| \| \| \| 9 \| \| \| \| \| \| \| 10 \| \| \| \| \| \| ## Revision History \| Revision \| Description \| \|-------------\|-----------------\| \| 0 \| First issue \| \| 1 \| \| \| 2 \| \| \| 3 \| \| \| 4 \| \| \| 5 \| \| \| 6 \| \| \| 7 \| \| \| 8 \| \| \| 9 \| \| \| 10 \| \| This Health and Safety Plan is prepared in accordance with the Construction (Design and Management) Regulations 2015 'Managing Health & Safety in Construction (L153). It is a working document which will evolve during the course of the construction phase. The Company Health and Safety Policy forms part of the plan and all construction work will take account of its contents. It is the Principal Contractors intention that the project is constructed in such a way that the hazards to the health and safety of all persons either during the construction phase or during the use of the building are eliminated or reduced as far as reasonably practical. All those involved in the project have a duty to comply with the Health and Safety Plan. ## Contents 1.0 Project Overview & Scope of Works 1.1 Location of Site 1.2 Names of Parties 1.3 Duration 1.4 Purpose of the CPHSP 2.0 Statement of Health and Safety Principles and Objectives for the Project 2.1 Policy 2.2 Objectives 2.3 Responsibility 3.0 Existing Site Information, Security & Restrictions 3.1 Existing Site Information 3.2 Security Arrangements 3.3 Site Restrictions 3.4 Traffic & Delivery Management 3.5 Protection of Surfaces & Existing Foliage 4.0 Management of the Project 4.1 Responsibilities 4.2 Arrangements for Directing and Co-ordinating Work 4.3 Sub Contractor Selection Process 4.4 Design Information from Specialist Contractors 4.5 Plant and Electrical Inspection 4.6 Complaints 5.0 Legislation and Standards 5.1 General Standards 5.2 Training Standards 5.3 Information and Training for those on site 6.0 Site Rules and Monitoring Arrangements 6.1 Site Rules 6.2 Monitoring Arrangements 7.0 Activities with Risks to Health & Safety 7.1 Use of and Contact with Power Tools 7.2 Working at Height 7.3 Manual Handling 7.4 COSHH 7.5 Live Services 7.6 Noise Vibration and Dust 7.7 Hot Works 7.8 Biological Hazards 7.9 Confined Spaces 7.10 Spills 7.11 Exposure to UV Radiation 7.12 Control of Lifting Operations 8.0 Safe Working Procedures 8.1 Risk Assessments and Method Statements 8.2 Personal Protective Equipment Requirements 8.3 Construction Materials 8.4 Storage of Materials and Work Equipment 8.5 Storage of Waste Materials 8.6 Provision and Use of Temporary Services 8.7 Temporary Structures 8.8 Permit to Work System 9.0 Emergency Procedures 9.1 Fire 9.2 Ill Health 10.0 Reporting of Accidents and RIDDOR 10.1 Accidents 10.2 RIDDOR 11.0 First Aid Arrangements 12.0 Welfare Arrangements 13.0 Consultation for People On-Site 14.0 Unforeseen Eventualities 15.0 Information for Principal Designers Safety File ## 16.0 Review Of The Project Appendix A Fire Plan 1.0 Project Overview & Scope of Works This plan covers the access, landscaping and the erection of 52 new build residential properties. The works are to consist of - - Site Set-up including necessary Corporate and CDM 2015 related signage - The provision of welfare facilities including site office & toilet and a laydown area - Identification and marking of services - Groundwork and drainage - Blockwork and floor construction - Roof construction and coverings - Mechanical and Electrical 1st & 2nd fix - Plastering - Joinery 1st & 2nd fix - Decoration - Floor finishes - Access roads - Landscaping - Site Clearance, waste disposal and handover 1.1 Location of the Site The site is situated on the edge of an established built up area, approximately 0.5 miles from the centre of Longridge. The site is located off Chapel Hill (B6243) and Chapel Brow. The surroundings of the site consist of St Cecilia's RC High School, an existing industrial unit, a recycling centre and residential properties. Alston Reservoir is to the south of the site, this remains in UU's ownership as an operational asset. The site also partly falls within the St Lawrence's Conservation Area. 1.2 Names of Parties The Client is: Blackmore Group 2 Mount Street Manchester M2 5WQ Contact: Tel: 0161 302 6510 Email: contact@theblackmoregroup.com The Principal Designer is: Chrome Services Ltd Office 5 Stanley House 15-17 Ladybridge Road Cheadle Hulme SK8 5BL Contact: Adrian Dale Tel: 0161 486 9231 Email: adrian@chromeservices.co.uk The Architect is: Survey by Design Ltd Contact: Ossie Belshaw Tel: 07753477105 Email: The Structural Engineer is: Atkinson Peck Watson House 45 Waterloo Road Stockport Cheshire SK1 3BJ Contact: Adrian Peck Tel: 0161 480 2833 Email: apce@atkinsonpeck.co.uk The Principal Contractor is: Chrome Services Ltd Office 5 Stanley House 15-17 Ladybridge Road Cheadle Hulme SK8 5BL Contact: Adrian Dale Tel: 0161 486 9231 Email: adrian@chromeservices.co.uk 1.3 Duration Proposed Construction Phase: 4 Phases of 9 months overlapping Proposed Date of Possession: 30.05.2017 Proposed Completion Date: June 2019 1.4 Purpose of the CPHSP This plan is prepared to assist in compliance with the requirements of The Construction (Design and Management) Regulations 2015. It is intended that this will be achieved by providing information on:- Health and Safety legislation in the construction industry Identified Hazards that may be encountered during the project Assessments made to quantify the risk Control measures that require being introduced to minimize the risks The Construction Phase Plan is a dynamic document that will change and develop throughout the project. The Plan will be reviewed monthly to ensure that the content reflects the needs of the project. Additionally, the Plan will be reviewed in the light of any unforeseen occurrence. When the Plan has been updated a copy will be submitted to the Client. 2.0 Statement of Health and Safety Principles and Objectives for the Project 2.1 Policy It is the policy of Chrome Services Ltd that all operations will be carried out paying due regard to all the statutory requirements imposed on them to enable the contract to be undertaken with the provision of appropriate safeguards to prevent members of the public, employees or subcontractors being exposed to risks to their health and safety. Procedures will be in place to identify principal health and safety hazards likely to be encountered during the construction work and where appropriate measures to be taken against hazards noted. Risk assessments will be prepared by Chrome Services Ltd under the Management of Health and Safety at Work Regulations 1999. Chrome Services Ltd will take responsibility for the plans, the design and changes due to unforeseeable circumstances and review the plan during the execution of the project. 2.2 Objectives In accordance with this policy, Chrome Services Ltd has set the following objectives: a) To have zero enforcement action taken over the duration of the project. b) To eliminate all accidents and potential sources of ill health that could occur within the project. c) To have no occupational ill health arising from the project. d) To ensure that no environmental damage occurs. e) To establish safe working practices for all employees and sub-contractors working on this contract. f) To develop a high degree of awareness in health, safety and environmental issues. g) To provide information and training on health and safety and to encourage employees and sub-contractors to participate in meeting the requirements of the legislation to enable the contract to be completed safely. h) To ensure the least disruption to local businesses and members of the public as a result of the project i) To exclude unauthorised persons from the work site. j) To provide safe access to and egress from working places k) To ensure that no injury or harm to any members of the public. l) To ensure that manual handling tasks are reduced to the lowest level reasonably practicable. m) To provide operating conditions so that the lowest reasonably practicable noise levels are maintained. n) To ensure that odour nuisance does not occur, so far, as is reasonably practicable. 2.3 Responsibility These aims will be achieved within the company's organization and arrangements for the promotion of safety, health, and welfare. As with all operational functions, the company carries out its responsibilities for safety through the Owner and Site Supervisors for whom safety continues to be a vital and ongoing part of their responsibilities. Overall responsibility for the site and its management will be the Principal Contractor. The Site Project Manager will conduct regular briefings on the site progress and key issues. On the first arrival at site allowance must be made for: - Site induction for individuals, which will include ''Site Safety Rules''. - Mandatory Booking in and out of site (includes lunch and breaks). - Registering workers with appropriate training and competency certificates where necessary (i.e. CSCS/CISRS/CPCS/JIB/PASMA/IPAF etc). Operatives are to note: a random selection of cards will be confirmed against the issuing organisation. - Providing inspection and other certificates for equipment and machinery to be used safely on site. - Daily / weekly site briefing. - Demonstrating how contractors will monitor safety and its duration and issuing copies of these reports to the Site Project Manager. - Pre-existing health issues. 3.0 Existing Site Information, Security & Restrictions 3.1 Existing Site Information The site is located in an existing residential area and opposite an existing high school. It is not considered that the proposed construction work will create any additional risks to the safety and welfare of the general public's use of Chapel Hill. Heras screen fencing/hoarding will protect the public from access to the site. However, Chrome Services Ltd shall endeavour to minimise all foreseeable risks when operating in the vicinity of the adjacent public highways, through careful control of site traffic, site deliveries, and physical segregation through the use of signage and road traffic barriers as necessary. Careful planning, implementation, monitoring, and co-operation will minimise the anticipated risks to the public and particularly children to an acceptable level. Chrome Services Ltd will ensure that provisions are in place to protect children and the general public at large from hazards evolving from the construction operations. There are no notified planning restrictions, which might affect health and safety. Access to the site will be from Chapel Hill (B6243). Careful consideration will be given regarding deliveries and waste collection. Vehicles must not be too large for the local road network. Deliveries and collection will be scheduled to avoid peak travel times including drop off and collection times at the nearby school. Local Schools There is a high school located directly opposite to the development: St Cecilia's Rc High School Chapel Hill Longridge Preston Lancashire PR3 2XA Email: info@st-cecilias.lancs.sch.uk Phone: 01772 783074 Another high school is located nearby: Longridge High School Preston Road Longridge Preston PR3 3AR Headteacher: Mrs J Green Telephone: 01772 782316 Email: admin@lhs.lancs.sch.uk Existing Services The existing plot is currently rough grassland and there are no known services within the plot. Chrome Services Ltd will take all reasonable precautions including carrying out cable detection to avoid contact with live services. This will only be undertaken by competent persons. Safe digging practices including CAT scanning and hand dug trial pits will be undertaken in line with Cambrian Homes Ltd procedure, should any possible services be identified on site. Care must be taken when planning site operations to ensure that wide or tall loads or plant with booms, jibs and counterweights are able to operate without coming into contact with retained trees. Any contact has the potential to cause life-limiting damage. It is, therefore, essential that any activities in close contact with retained trees are carried out under the supervision of a banksman to maintain sufficient clearances. Any tree damage must be reported to the Arboricultural Consultant or Local Authority Tree Officer as unreported damage could lead to the structural instability. Tree Protection Temporary protective fencing will be installed in the positions indicated on the Tree Protection Plan. Care will be taken when planning site operations to ensure that wide or tall loads or plant with booms, jibs and counterweights are able to operate without coming into contact with retained trees. Any contact has the potential to cause life-limiting damage. It is, therefore, essential that any activities in close contact with retained trees is carried out under the supervision of a banksman to maintain sufficient clearances. Any tree damage will be reported to the Arboricultural Consultant or Local Authority Tree Officer as unreported damage could lead to the structural instability. Excavation in the Root Protection Area Any necessary excavation must be carried out using hand tools to avoid direct damage to the protective bark of tree roots. It may be possible in some instances to use specialised equipment such as high air pressure machinery to excavate the soil with minimal disturbance to roots. Exposed roots will be wrapped in dry, clean Hessian sacking to prevent desiccation and to protect from rapid temperature changes. In warmer weather, the sacking should be kept moist by regular watering. Sacking should be removed before backfilling. Roots less than 25mm diameter may be pruned back, preferably to a growing point. A sharp cutting tool such as bypass secateurs or a handsaw should be used to leave the smallest wound possible. Roots greater than 25mm in diameter should be retained wherever possible. Root pruning should be carried out under the supervision of the Arboricultural Consultant or the Local Authority Tree Officer to ensure that only roots necessary to facilitate the development will be removed and the long-term well-being of retained trees is maintained. Backfilling of any excavation should be carried out by hand to avoid direct root damage by excessive compaction and should include, where possible, the replacement of inert granular material mixed with sharp sand (not builder's sand) around retained roots. Ground Conditions A Site investigation has been completed and will be available in the site safety folder. Potential Risks to Construction Workers during Development The concentrations of contaminants at the site are low and are unlikely to require measures beyond that required for health and safety purposes on a construction site. The depleted oxygen concentrations should be noted and appropriate health and safety measures for work in excavations and confined spaces below ground put in place. Made Ground Given the limited extent of made ground at the site, it is anticipated that where this is present as a thin surface layer, such as at TP8 it will be removed by necessity in order that foundations are sufficiently deep to avoid the near surface frost susceptible zone and is not considered further as foundations will be taken down to the underlying natural clay. Close to the derelict farm house, an underground septic tank is suspected and there may be old buried foundations associated with former structures in this area. A general overdig of soils in this area should be carried out to identify and, if necessary, remove old foundations and identify and remove the septic tank and associated backfill, and the generated voids brought up to level with suitably compacted appropriate backfill, depending on the needs of any intended construction in this part of the site. During excavations for foundations, the base of the excavations should be inspected and any soft or loose soils, including broken and weathered sandstone, should be removed. The use of a toothless trenching bucket should minimise disturbance of the base of the excavation. Generally, water ingress into shallow excavations is not anticipated, other than slow seepages from sandier horizons and from water held in topsoil above the underlying clay. No significant water ingress was noted during the excavation of trial pits, which remained stable. Excavations should not be left open and exposed to inclement weather and significant rainfall due to the potential softening of exposed clay soils. Environmental Recommendations - It is considered that, for a residential end use, soil and groundwater contamination is not present in sufficient quantity or concentration to require specific remedial action prior to development, i.e. pollutant linkages are not complete; - It is concluded that the site is not acting as a source of contamination which has the potential to be detrimental to groundwater i.e. pollutant linkages are not complete; - During development, a watching brief should be maintained for contaminated soils, particularly made ground, which might contain localised occurrences of visible or odorous contamination, which could not be identified during the investigation. This includes for the potential presence of asbestos containing materials associated with former structures near the derelict farmhouse; - It is recommended that made ground is stockpiled separately from other excavated soils and is analysed, as required by the receiving landfill site if the soils are destined for offsite disposal or as recommended in this report, where it is to be re-used on-site; - No specific measures are required for protection of construction and service infrastructure materials from contaminated soil; - Ground gas, in the form of varying concentrations of carbon dioxide and methane is present, however, to date no gas flow has been recorded. Currently, this suggests that the likely mitigation requirements would be under floor venting as a precautionary measure only. This comment is preliminary based on results obtained to date and is subject to continued monitoring of the ground gas monitoring regime; and - Low concentrations of oxygen have been recorded in wells and this should be taken into account for health and safety reasons where confined spaces work is envisaged as part of the works. 3.2 Security Arrangements Site security will be maintained during the construction phase. Chrome Services Ltd will erect Heras fencing to form a secure construction site to prevent entry by children, members of the public, trespassers and vandals. Site perimeter to consist of minimum 2 meters high Heras fencing panels clipped together at high and low level using fence clips with the nut on the inside so it cannot be unbolted from the outside. When the fencing meets the building, other fencing, site cabins etc., it must be suitably fixed in order that easy access is prevented. Warning signage to be placed at strategic points on the perimeter fencing. Information signage to be placed at the site entrance. Information signage - reporting procedure, PPE requirements, etc. The Site Manager will ensure that the site perimeter fencing is in good condition and fully clipped to help prevent unauthorised access to the site. The site entrance must be locked using a chain and padlock as a minimum. Ladders will be removed/made unusable, materials locked away, plant secured, openings/excavations covered and/or protected with barriers. The perimeter check will be made twice per working shift, once at the beginning of the shift and once at the end of the shift. 3.3 Site Restrictions & Access Chrome Services Ltd will liaise with the local residents and businesses prior to any works being undertaken to make them aware of works taking place and address any concerns by these affected parties. Access to the plot is off Chapel Hill. A secure gate will prevent entry to unauthorised persons. Working hours will be generally 0800-1700 on weekdays, 0900-1400 on Saturdays. No works will be permitted on Sunday's or Bank Holidays. Priority will be given to maintaining continuous safe access with particular attention to the following; - Preventing the general public, schoolchildren and visitors from wandering into designated construction work areas; - Keeping all areas outside of the work area free from deposits of mud and site debris by regular sweeping as necessary; - Avoiding pollution of the atmosphere 3.4 Traffic & Delivery Management Deliveries of materials will be organised to maximise the safety of all personnel. The emergency services, e.g. fire appliances, ambulances, etc. will use the same access routes to the working areas. These routes, particularly the main access road, site operatives parking, and the main entrance to the site will be kept free from obstructions throughout the construction phase. Chrome Services Ltd will adhere to site rules as follows: Traffic rules apply (No illegal parking, speed limit of 5 mph)", and store materials as close to the working area as possible. However, Chrome Services Ltd will not at any time present a hazard to pedestrian traffic by obstructing established foot routes. Where work on any footpath is necessary as part of the construction works, pedestrians will be diverted onto alternative safe routes. Materials will be ordered on a 'just in time' basis to minimise the amount of space needed onsite. Deliveries and collections will avoid peak times and therefore will be restricted to the hours of 1000-1500. 3.5 Protection of Surfaces It is not anticipated that our activities will adversely affect the public highway; this will continue to be monitored and reviewed as necessary. 4.0 Management of the Project Contract Director: Adrian Dale Mobile No: 07921 393599 Site Manager: TBC Mobile No: Health & Safety Advisor: JAD Consulting (Cheshire) Ltd Mobile No: 07800 521 476 4.1 Responsibilities Overall responsibility for works on the site lies with the Principal Contractor. Day to day control lies with the appointed site supervisor, or his designated staff, who will oversee and ensure safe working, control access with the facility manager and where necessary give instructions to subcontractors to avoid possible conflicts between work activities. However, the Project Manager will have overall control of the project activities. The project manager will organise and coordinate meetings as necessary with the contractors. These meetings will include, but are not limited to: - Pre-Start Meetings - Weekly site safety and progress meetings - Formal and Informal Inspections - Safety Improvement notices - Two week look ahead programme - Tool Box Talks - Formal and informal consultation with the workforce on safety related topics - The discussion and handling of design related issues with project members - Liaison with local building control All operatives are to ensure they use the booking/out procedure and that they ensure the Site Project Manager is aware they have left the site at the end of the day to allow the manager to secure the project. 4.2 Arrangements for Directing and Coordinating Work All contractors are to read the site copy of this safety plan and confirm that they have seen and will comply with it. They will be notified of any amendments to the plan will be highlighted to operative's management via the site notice board or a tool box talk session subcontractors working on the site must nominate a 'person in charge' who will liaise with the Site Project Manager in all safety and other management matters. These individuals are responsible for ensuring that their workforces operate in accordance with the safety standards set in this plan and in keeping with their own safe methods of work and Risk Assessments (in addition to health and safety legislation and HSE guidance). Where safety is threatened or compromised by the failure of any workers or others to adhere to this plan, the Site Project Manager is empowered to stop works and/or exclude workers or equipment from the site until a safe system of work can be agreed. The Site Project Manager will conduct regular briefings on the site progress and key issues. On the first arrival at site allowance must be made for: - Site induction for individuals, which will include ''Site Safety Rules'' - Mandatory Booking in and out of site (includes lunch and breaks) - Registering workers with appropriate training and competency certificates where necessary (i.e. CSCS/CISRS/CPCS/JIB/PASMA/IPAF etc). Operatives are to note: a random selection of cards will be confirmed against the issuing organisation - Providing inspection and other certificates for equipment and machinery to be used safely on site. - Daily / weekly site briefing - Demonstrating how contractors will monitor safety and its duration and issuing copies of these reports to the Site Project Manager - Pre-existing health issues 4.3 Sub-Contractor Selection Process All sub-contractors involved in this project will be agreed with the Client project management team prior to the commencement of the works. To ensure that a contractor is competent to be appointed to the project they will be required to complete our pre-qualification questionnaire and prior to appointment must provide the following information: - Health & Safety Policy - Insurance details - Management Structure - Risk, COSHH and site-specific assessments - Confirmation that they will comply with the Construction Phase Plan - Confirmation any plant and equipment to be used is properly selected and maintained - Confirmation that the operators of plant and equipment are properly trained - Evidence of CSCS accreditation - Training details - Accident / Enforcement details Where works are to be sub-contracted to other companies, it is the duty of the sub-contracting company to ensure that the company they are intending to the contract has met the required standards for safety and training as expected by the Client and Principal Contractor. Each company must have completed the sub-contractor questionnaire and have had this document and any supporting evidence checked and approved by the Site Safety Advisers. All staff brought on to the site shall be expected to have suitable and sufficient training for the tasks they are performing and should have read and signed up to an approved method statement. Where necessary this should include the provision of translations of documents or suitable translation staff for workers who have English as a second language. Sub-contractor assessments and safe working procedures should be provided to the principal contractor or their safety Adviser at least 2 weeks in advance of the planned start date to allow time for these assessments to be undertaken. Failure to meet this requirement may lead to a delay in the project and potential financial penalties for the offender. The host sub-contractor must ensure adequate site supervision (defined as Site Supervisors Safety Training Scheme as a standard) and that safety monitoring is in place for the work being performed. They must ensure that they remain responsible for the safe method of work they have implemented and that any changes to this or any other safety document being used on site is alerted to the Principal Contractor. 4.4 Design Information from Specialist Contractors Any specialist contractors (including electrical) are required to pass details of their designs and design risk assessments through the Principal Contractor, or the Site Project Manager, well in advance of the start of relevant work on the site. Where designs changes need to be made that have a Health and Safety implication, these must then be provided to the Principal Designer for appraisal prior to instigating the changes. 4.5 Plant and Electrical Inspection All contractors are to supply, maintain, inspect and operate their own equipment and plant. Scaffolds/towers/access systems erected on the site also fall under this category. Copies of statutory inspections are to be handed to the Site Project Manager at the end of each inspection cycle. No contractor is to make use of equipment or plant provided or belonging to any other, without the expressed approval of the Site Project Manager and the appropriate contractor. Contractors are to ensure that electrical equipment and the plant is clearly marked and 'in date' P.A.T. inspection labels attached. - All portable electrical tools and appliances must be battery operated or 110 volts. - If circumstances dictate that 230v is required it must be protected by a 30mAmp RCD and prior approval of its use must be given by the Principal Contractor's Site Project Manager. Furthermore, the PAT inspection regime is to be monthly for 230v. - All 110-volt equipment is to be inspected and PAT certificated by a competent person at suitable intervals as defined in HSG141/107/150 and copies of the test certificates must be available to the Site Project Manager. - All appliances will be visually inspected prior to use by the user. - Only a day's supply of fuels/oils and lubricants are to be brought onto the site (but never into the facility) to support plant running. Flammable oils/lubricants are to be stored in appropriate plastic/metal containers, with protection against spillages and a suitable means of spill clean-up kit available. Any storage tanks are to be bunded. - Records of all inspection certificates are to be kept in the site safety management file. - Contractors are to ensure barriers/exclusion must be fully utilised to protect 3rd party operatives. - All operatives are to ensure that when it is necessary to leave the facility unattended during the maintenance phase they secure the entrance door to prevent unauthorised entry by others. - No LPG is to be left unattended on the active site, and must not be left on the site at the end of the day. 4.6 Complaints A complaints procedure is present within the Principal Contractor's safety management system and shall be available and used whenever a member of the public wishes to raise a complaint. Complaints shall be addressed to - Contact: Adrian Dale E-mail: adrian@chromeservices.co.uk Tel: 07921 393599 The Site Project Manager will establish a complaints log and issues should also be logged in the site diary where necessary. Feedback should be given and sought to ensure that two-way communications are instigated. It should be remembered that some issues may be of a sensitive nature and advice should, therefore, be sought via the Principal Contractor Management, legal Advisers or others as necessary before communications are established. 5.0 Legislation and Standard It is Chrome Services Ltd.'s intention that the work will be carried out on the project in accordance with the framework of, but not limited to: Health & Safety Standards - The Health and Safety at Work Act 1974 - Construction (Design and Management) Regulations 2015 - Management of Health and Safety at Work Regulations 1999 - The Reporting of Injuries, Diseases, and Dangerous Occurrences Regulations 2013 - The Control of Asbestos at Work Regulations 2012 - The Work at Height Regulations 2005 - The Control of Vibration at Work Regulations 2005 - The Control of Noise at Work Regulations 2005 - The Regulatory Reform (Fire Safety) Order 2005 - The Control of Substances Hazardous to Health Regulations 2002 (as amended) - The Provision and Use of Work Equipment Regulations 1998 - The Lifting Operations and Lifting Equipment Regulations 1998 - The Confined Spaces Regulations 1997 - The Health & Safety (Safety Signs & Signals) 1996 - The Manual Handling Operations Regulations 1992 - The Workplace (Health, Safety, and Welfare) Regulations 1992 - The Personal Protective Equipment at Work Regulations 1992 (as amended) - The New Roads and Street Works Act 1991 - The Electricity at Work Regulations 1989 - The Health & Safety (First-Aid) Regulations 1981 - The Safety Representatives and Safety Committees Regulations 1977 Environmental Standards - The Waste Electrical Electronic and Equipment Regulations 2013 - The Hazardous Waste (England and Wales) Regulations 2005 - The Environment Protection Act (Duty of Care) Regulations 1991 - The Environmental Protection Act 1990 Guidance - GD1 TG20:13 Good Practice Guidance for Tube and Fitting Scaffolding - GD2 SG4:15 Preventing Falls in Scaffolding Operations - GN3 HSG47 Avoiding danger from underground services - GD3 HSG17 Safety in the use of abrasive wheels - GD4 HSG33 Health and safety in roof work - GD5 HSG53 Respiratory protective equipment at work - GD6 HSG85 Electricity at work: Safe working practices - GD7 HSG150 Health and safety in construction - GD8 HSG151 Protecting the public: Your next move - GD9 HSG168 Fire safety in construction - GD10 Fire Prevention on Construction Sites - JCOP 9th Edition The Contractors on this project will be required to comply with the requirements of the above legislation and any Site Rules that are introduced to comply with legislation or the client's requirements. 5.1 General Standards All personnel are expected to comply fully with health and safety law and the associated approved codes of practice. Contractors are, in addition, to be aware of and pay due attention to guidance issued by the Health and Safety Executive as well as that issued by trade bodies and authorities, which constitute industry 'best practice'. Method and policy statements submitted for these works will be reviewed by the Site Project Manager and Safety Adviser to ensure that these standards are met. On such occasions that they fail to meet the standard they will be returned for amendment action. \| General construction works \| All work is to be carried by a competent person with adequate \| \|---------------------------------------------------------------------\|---------------------------------------------------------------------\| \| supervision to industry standards approved by CITB, CPCS, CSCS, \| \| \| PASMA, IPAF cards (not pass slips) and to meet requirements of the \| \| \| designated work. \| \| \| \| \| \| Abrasive cutting/grinding \| Certificate of competence issued by employer or equipment supplier. \| \| Validity routinely 3 years. \| \| \| Certificate of training and appointment to mount abrasive wheels. \| \| \| (valid 3 years) \| \| \| Gas/heating/plumbing \| \| \| works \| \| \| All work is to be conducted by a competent person to industry \| \| \| standards. Gas Safe is an accepted standard. \| \| \| Certificate of training achievement and registration to Gas Safe. \| \| \| Electrical works \| All electrical work is to be conducted under the supervision of a \| \| competent person to IEE standards and is to be tested and inspected \| \| \| to the standards set in the IEE Wiring Regulations on completion. \| \| All contractors are expected to assess all activities that they are associated with for risks and adopt safe methods of work in keeping with the Management of Health and Safety at Work Regulations 1999 and other relevant regulations (as well as the standards and detail set out in this document). In some cases, however, this health and safety plan specifically requires the preparation and submission of site-specific Method Statements in advance of particular work operations. All contractors are to ensure that their employees are aware of these safe working method statements and have been suitably trained and have adequate supervision to ensure that the procedures are followed. Additionally, a signed copy of the controlling documents must be handed to the Site Project Manager, who will ensure all operatives employed on the task have signed the issued documents. Failure to issue the requested signed documents may result in a delay and subsequent financial implications. 5.2 Training Standards C u r r e n t s a f e t y training certificates for the duration of the time employed on the project are required prior to contractor's operatives arriving on site. Operatives appointed to operate particular plant and equipment and to undertake certain specific forms of work on this project. Copies of the following certificates must be submitted to the principal contractor before work begins. (The list is far from exhaustive and other relevant training competencies should be included) 5.3 Information and Training for those on site On first arrival at the site all workers will be given a short briefing which will include: - Site details, address and telephone number, location of the site telephone (for emergencies) - Potential interface with members of the staff, public and project residents. - Safety responsibilities - Site security and booking in/out arrangements. This will enable Site Management to control and restrict vandalism, theft, injury to third parties, and potential damage to the works. Therefore any observations to breaches in security must be highlighted to Site Management. It is essential that all site personnel, visiting or working, sign in & out of site as in the event of an emergency the sign in register will be used to check that everyone has exited the building - Site layout and nature of the works in progress/intended. (3rd party interface) - Transport Management Plan - Entry into building - Awareness of other contractors involved onsite - Asbestos Discovery (as applicable) - Noise, vibration, and dust generated as a result of the work - Preventing access to the work areas by the unauthorised persons. - Site rules - Welfare and first aid facilities - locations, name(s) of first aiders / Emergency First Aiders / Appointed Person - Fire and emergency procedures including: Escape routes Assembly/Muster point Location and types of fire extinguishers The names of those receiving induction training are to be recorded in the site records. No person will be allowed access to the site until they have received this induction briefing, or in the case of a visitor unless they are escorted at all times by a fully inducted person. 6.0 Site Rules and Monitoring Arrangements 6.1 Site Rules The following rules are to be observed by all on site. Site induction will include these rules and other considered necessary by Site Management. Those working on site are required to sign indicating their agreement to comply. - Individuals (or in the case of groups - the person in charge) must register on arrival on site and when leaving at the beginning and end of each working day. - The mandatory site standard for PPE is as follows; Safety footwear to BS EN345, Hi-Visibility vests/jackets to BS EN471 and a Safety helmet (Hard Hats) to BS EN397. Additionally, all other PPE stated within Risk Assessments and Method Statement is to be worn. - Individuals may only operate and use plant or equipment for which they are trained and authorised and where the Site Project Manager has received the appropriate training certificates. - Plant is to be turned off at all times when not in use. Plant should be fitted with suitable silencers to reduce the disturbance to the surrounding area. - Only battery powered or 110V electrical tools/equipment is to be used, ideally battery. Any other e.g. 230V must be sanctioned by the Site Project Manager, and if approved must be protected by a 30mAmp RCD and the PAT certification reduced to a monthly test. - Defective or suspect equipment or tools must be removed from the site, tagged and not used until they have been repaired. - Waste and debris must be cleared as work progresses and placed into the bins provided. - The burning of waste on site is strictly prohibited. Once the waste has been separated on site into their designated waste streams, the Site Project Manager will ensure all waste materials are removed from the site and disposed of with due regard for environmental impact. Contractors removing their own waste are to demonstrate compliance to the Site Project Manager. All involved should follow the waste hierarchy of reduce, reuse and recycle before considering disposal. - Tools and materials stored only as agreed by the Principal Contractor as there is a potential interface with the existing residents. - Areas below or close to those working at height must, as far as reasonably practical, be kept clear of all tools, equipment, materials, and debris. Operatives are to make provisions to prevent dropping items and that an exclusion zone is created. - Personnel are to ensure that drains, sewers, culverts, and ducts etc. are kept free from obstruction by rubbish and debris at all times and not used for discharging contaminants. - Smoking is prohibited inside buildings, in the vicinity of any flammable materials. The designated smoking area provided is to be used. - It is strictly forbidden to bring or consume alcohol or drugs on site or to be under their influence. - Horseplay and violent behaviour are not tolerated and will result in permanent exclusion from the site. - The Principal Contractor reserves the right to evict or refuse entry to any person for any reason, which it considers prejudicial to the safety or good conduct. - Mobile phones are only to be used in designated areas and never whilst operating tools/plant etc. Radios/MP3 players/CD players/headphones/earphones etc are prohibited from use on the site. - All of those on the site are required to wash before eating. Meals and drinks are only to be consumed in specified welfare areas. Any changes will be briefed accordingly by the Site Project Manager. All personnel are to ensure that at the end of each working day that no means of access e.g. hop ups, towers, steps, ladders, equipment etc. are left in a position which would allow unauthorised persons their use. - The Site Project Manager is to ensure all operatives have received the training commensurate with the employers Method Statement. Where no evidence is available the operative must be refused entry. 6.2 Monitoring Arrangements Safety standards will be monitored by the Principal Contractor through: - A continuous inspection process by the Site Project Manager is in force. A checklist for these inspections is included with the site safety records. These inspections will include all contractors working on the site and a report of all actions required will be given to the contractor's foremen with instructions to rectify non-conformance in a timely manner. - To carry out sample and grab audits on the H&S and CDM process. - Once per week the Site Project Manager or appointed representative will inspect fire equipment, first aid equipment (and replenish if necessary), registers and site documentation. This inspection will be recorded on the designated form in the SMS file and when appropriate in the site diary. - Monthly by the Contract Manager or appointed representative, who will carry out a hieratical level of inspection of the site and produce a written safety inspection report for distribution. Inspections required under the Construction (Design & Management) Regulations 2015 will be carried out the principal contractor's safety Advisers and a formal report will be provided and be prioritised for remedial action/recommendations and filed with the site management system. This will be checked for closed out actions/progress on the next site inspection visit. This inspection regime will include sub-contractors. Additionally, contractors are required to audit/inspect their own works and equipment. Copies of such are to be handed to the Site Project Manager for record purposes. The scheduled progress meeting chaired by the senior Principal Contractor representative will as part of agenda discuss health and safety reports, and relevant discussions between the Client, the Principal Contractor and members of the Design team for issues affecting the project. Ensuring the entire aforementioned have a feedback and closed down loop in line with the safety Adviser's safety site inspection form. The Site Project Manager is to ensure client and Principal Designer are briefed accordingly on identified issues for discussion. Furthermore, the Site Project Manager is to ensure the following is incorporated into the inspection regime: - Consideration of likely hazards and the reduction of risk wherever possible at all stages of the project; - The introduction of the 'Risk / Hazards' of the week notice board giving due consideration to Regulation 10 of the Management of Health & Safety at Work Regulations 1999. - Regular review of procedures and the Health and Safety Plan to ensure the correct execution of the project; - Ensuring the regular site audits results are communicated to the workforce; - Action Plans that target specific areas of risk identified by the HSE (e.g. falls from height, traffic impact accidents), identify methodology to reduce/ eliminate the most likely types of accident; identify a strategy for health; implement strategies for 'selling' the above to the workforce; - Induction and monitoring of adherence to the minimum standard requirements expected for particular disciplines as identified in the Health and Safety Plan. 7.0 Activities with Risks to Health and Safety The following areas have been identified as having potential risks. Risk Assessment sheets will be provided for these and will be added to the Health & Safety folder on the site. 7.1 Use of and Contact with Power Tools The hazards are from contact with electrical conductors, contact with the revolving tools and HAVS. The risk is low, the site power must be 110 Volt and the operatives should be trained in the proper use of tools. The tools must be visually inspected before first use and receive a periodic PAT test as required by the PUWER and Electricity at Works regulations. Individual risk assessments contain information on exposure limits for vibrating tools such as drills and breakers. It is not anticipated that HAVS will be an issue on this project, however, should any operatives suffer any form of numbness or pain associated with the use of vibrating tools they must take suitable breaks from use and the work activity should be shared. 7.2 Working at Height External works will include the blockwork, cladding, render, roof construction, installation of windows and rainwater goods etc. These works shall be performed from fixed scaffolding supplied and constructed by the designated contractor. When working from non-fixed systems the wind speed should be measured on a regular basis throughout the working day to ensure that systems are not being used outside of the limits set by the manufacturer. Any platform that you need to work off must be at least 600mm wide, which is 3 scaffold boards wide. Scaffold boards will need supporting by transoms or trestles at a minimum of 1200mm centres. Tube & Fitting or Modular Scaffolds Scaffolding shall only be erected and dismantled by competent persons with the appropriate and recognised certification i.e. The Construction Industry Scaffolders Record Scheme - CISRS card scheme. The scaffold structure is to be designed in accordance with the requirements of BS EN12811-1 & TG20:13. A conformance sheet or scaffold design is to be provided by the appointed scaffolding contractor and maintained on site. Brick guards to be kept in position on scaffold lifts. All scaffolding shall be supplied, inspected and erected in accordance with the: The European Standard BS EN12811-1 TG20:13 The Work at Height Regulations 2005 Construction (Design and Management) Regulations 2015 The Management of Health & Safety Regulations 1999 The Provision and Use of Work Equipment Regulations 1998 NASC SG4:15 Preventing Falls in Scaffolding Operations Scaftags are to be fitted to all scaffold structures and completed/amended/inspected by a competent person as required by the system. The Chrome Services Ltd supervisor/s will undertake two visual inspections of all site scaffolds each day. Fixed scaffolds are to have an in date Scafftag fixed at the main access point at all times and ladders are to be removed/boarded off at the end of each shift to prevent access in the event of a member of the public gaining access to the site. If any non-conformances are identified during the inspections, then works must cease immediately until rectified and approved by the Chrome Services Ltd supervisor. Internal works at a low level and so shall be performed utilising 'Hop Ups', aluminium towers or podium steps. If ladders or steps are required they are to be of Class One (Industrial) grade and the contractor must issue the Principal Contractor with a detailed Risk Assessment in accordance with Regulation 6 of the Working at Height Regulations 2005 and Regulation 3 of the Management of Health & Safety at Work Regulations 1999. Where works at higher levels are required the contractor will utilise mobile aluminium scaffolding towers constructed and certified by a PASMA trained operative. Where there is a significant risk of fall, a permit to work will be issued. Mobile Tower scaffolds must only be erected, altered and dismantled by trained competent person/s whose names have been submitted to the Chrome Services Ltd person in charge and in accordance with: The manufacturers/suppliers erection procedure, Provision and Use of Work Equipment Regulations 1998 HSE - Construction Information Sheet No 10 (Revision 4) The Work at Height Regulations 2005 Ladders are a means of access and are not for working off unless detailed within your Safe System of Work which has been reviewed by Chrome Services Ltd. Stepladders may only be used to work off following receipt of a risk assessment. Ladders and Stepladders must be clearly marked as Industrial Grade. 7.3 Manual Handling Whether the transport of materials to the work areas is undertaken by the operatives under their own Method Statements and Risk Assessments, or under the direction of the Principal Contractor, care must be taken to minimise the inherent risks. Deliveries shall be dropped as close to the working area as is possible and when there is a need to handle items long distance a suitable lifting aid (trolley etc.) should be used. Where manual handling cannot be avoided, heavy items shall be either broken down into smaller loads or handled as a group lift. All risk assessments and method statements provided by site contractors must identify heavy items used and how they are to be handled. Manual Handling HS(G) 149 'Backs for the Future' must be followed at all times by all contractors. The site Tele-handler will manoeuvre materials and equipment from the site compound to the required work zone. Materials and equipment will generally be moved around the site to the place of work via, board carriers, pump trucks, pallet trucks or similar. Heavy items (structural steels) in the project area will be manoeuvred via the aid of genie lifts or similar. 7.4 COSHH The hazard is harm to body tissue and/or body organs from the use of hazardous chemicals. The use of hazardous materials and substances on this site is not permitted without the principal contractor having had sight of a valid COSHH assessment for the product as per the requirements of the Control of Substances Hazardous to Health Regulations 2002 (as Amended). Each individual contractor is responsible for creating these documents and ensuring their staff are protected and not putting other trades at risk when chemicals are in use. If any product is needed on-site that does not already have a COSHH assessment then it must be brought to the attention of the Health and Safety Adviser so that an assessment can be completed. The Site Project Manager is to send a copy of any assessment, upon request, to the Principal Designer, and inform the Principal Designer if any material or substance to be used is listed under the 'Approved Supply List' or 'Approved Carriage List' of The Chemicals (Hazard, Information and Packaging for Supply)(Amendment) Regulations 2002 or is comparable in hazard. COSHH Assessments of manufacturer's safety data sheets are to be included with the notification. 7.5 Live Services Before starting work the position of all existing services shall be ascertained as far as possible. Extreme care will be taken, at all times, not to disturb any existing services. The Site Project Manager is to scrutinise all available plans along with the information provided by the Operating Companies responsible for their maintenance. Any and all unidentified cables and pipes are to be treated as live until it is confirmed otherwise. Additionally, the Site Project Manager is to have access to a cable detector to ascertain services when there is a requirement to demolish/chase walls. If we are unsure at any time as to the location of any services, an investigation will take place to determine their whereabouts before the work commences using a cable detector. A qualified electrician will isolate and make safe any electrical works before commencing work. BT overhead cables are in close proximity, plant operators to be made aware. 7.6 Noise, Vibration, and Dust Noise Emissions generated as a result of the work shall be restricted to between 09.00hrs and 17.00hrs. Works outside these hours are by prior arrangement with the principal contractor and client's agent. Where a specific issue is raised by local residents/businesses that will require changes to these working hours it shall be acted upon as soon as is possible. In all cases, noise will be kept to a minimum with hearing protection used as deemed necessary in compliance with current regulations. Contractors must continually assess the level of noise and vibration that operations are creating and implement measures that keep levels within acceptable limits, not only for workers on site but for others who may be affected by the works. There will be a noise assessment detailing all tools found to be 85dB (A) and over available in the site health and safety folder. Vibration Vibration producing tools will be subject to a HAVS assessment to identify the safe working times. \| A(8) Daily Exposure Levels \| Control of Vibration at Work Regulations 2005 \| \|-------------------------------\|-------------------------------------------------\| \| \| \| \| Exposure Action Value \| 2.5 m/s \| \| 2 \| \| \| \| \| \| Exposure Limit Value \| 5 m/s \| \| 2 \| \| \| \| \| \| Exposure Action Value \| 0.5 m/s \| \| 2 \| \| \| \| \| \| Exposure Limit Value \| 1.15 m/ \| \| 2 \| \| \| \| \| Chrome Services Ltd will ensure that workers operate equipment within the recommended guidelines. Information is provided on the site office notice boards. Dust Dust will be minimised by wetting down or extraction systems as applicable to the type of tool and activity being carried out. Good housekeeping principles will be followed and ensuring that no build up of waste materials/debris is allowed to occur. Appropriate respiratory protection will be available i.e. FFP2 & FFP3. 7.7 Hot Works Without exception, all works that generate heat or sparks (abrasive cutting, welding, soldering) must be sanctioned by the Site Project Manager and a Hot Works Permit raised by the designated Site Project Manager or his nominated deputy utilising the Safety Management File. Additionally, a fire extinguisher commensurate with the surrounding materials must be provided by the contractor. Site Management is to ensure the designated operative knows how the extinguisher works and what its limitations are. 7.8 Biological Hazards Leptospirosis (Weil's disease) from rat urine is a possibility, therefore, waste will be well managed and not permitted to build up. Food waste will be properly disposed of so as not to attract rats to the site. As a precaution, all waste must be handled using gloves. Adequate washing facilities will be available on-site. Legionella from water systems and bacteria from wastewater systems are not considered to be a significant risk on this site in its current situation. All water systems fitted shall be cleaned and, where required, suitably treated for bacterial infection before being handed over to the client. 7.9 Confined Spaces Any space identified as being a confined as per the Confined Spaces Regulations (1997) shall be controlled as per the requirements of the regulations. The main concerns within the projects are access to manholes or other drainage systems. Works within confined spaces shall only be performed after the issue of a suitable permit to trained operatives working under an approved safe method of work. 7.10 Spills All on-site water sources shall be regularly checked to ensure that they are not being left running and that they are not leaking. Construction water sources shall be kept away from electrical systems when they are fitted on the site and any spillages shall be cleaned up as soon as they are noted/generated. Spill kits will be made available on-site to deal with any accidental spillage of chemicals. 7.11 Exposure to UV Radiation The site rules 'Long trousers and shirt to be worn at all times' will be enforced for the duration of the project. Workers will be advised of the dangers and health risks of working in the sun at induction and via Tool Box Talks. Contractors affected by sunscreen exposure to UV radiation (from the sun) will be advised to provide creams/lotions to their workforce with a sun protection factor (SPF) rating of 15 or more. 7.12 Control of Lifting Operations All plant and equipment brought onto site must be accompanied by all relevant certification and retained for the currency of the work operations. Copies of the weekly inspections are to be made available to Chrome Services Ltd as soon as practicable. Training certification for all equipment operators must also be produced and logged in the site appointed persons register. Lifting operations involving lifting equipment: - Must be planned properly - Use people who are sufficiently competent - Supervised appropriately - Carried out in a safe manner 8.0 Safe Working Procedures 8.1 Method Statements and Risk Assessments Method statements and Risk assessments will be required from the subcontractors prior to them commencing on site. The site health & safety folder will contain the significant risks assessments and method statements provided by the subcontractor that are generally applicable to the work being undertaken on this scheme, together with procedures and policies that should be followed. The Principal Designer will have highlighted known significant risks to the contractors via the Pre-Construction Information. For high-risk activities, a site-specific method statement is required, which will be agreed before the work can commence. For routine site operations, these site rules should be observed together with any relevant guidance issued by the HSE. 8.2 Personal Protective Equipment Requirements In accordance with the Personal Protective Equipment at Work Regulations 1992, risk assessments have been carried out, and, as a result, the following policy will be adopted: Safety footwear, dust masks, safety goggles, hi-vis vests appropriate gloves and hard hats will be provided and worn as set out by the specific work activities by all site operatives and visitors. The site manager will be responsible for enforcing the wearing of all necessary PPE. Head protection: Hard hats must be worn on site at all times by all persons including visitors, delivery drivers, etc. regardless of apparently low risks. ## High-Visibility Jackets: High Visibility Jackets must be worn by all persons on site at all times. Protective footwear: Protective footwear must be worn by all persons on site at all times with the type and level of protection depending on the site conditions and the activities carried out e.g. anti-slip, (steel toe caps and steel sole plates are required as a minimum) Site visitors are not necessarily required to wear steel toe capped/plated boots, however, sensible footwear must be worn depending on site conditions. ## Overalls: Overalls must be worn on site as and when the work necessitates in order to provide body protection against hazardous substances, moisture, contaminated ground etc. ## Hearing Protection: Hearing protection must be worn on site where average noise levels reach 80dB(A) or 135dB(C). Although the legal requirement to enforce the use of hearing protection is at 85dB(A) or 137dB(C) it is company policy to enforce their use at 80dB(A) or 135dB(C) as good practice. Breathing Protection: Respiratory protection must be worn on the site where indicated on the risk assessments for the various activities. FFP3 masks must be worn when cutting, sanding, grinding silica based products or hardwoods. Additionally and brushing up activities will require damping down wherever possible. The labourer must wear an FFP3 mask as the content of dust may contain a mixed variety of hazardous dusts. ## Lanyards/Harnesses: Must be worn if required by a particular Risk Assessment. Before relying on a harness and lanyard, the following must first be considered and ruled out: Elimination of work at height, collective fall protection (barriers) and collective fall prevention (safety netting). All harnesses must be thoroughly inspected every 3 months by a competent person. PPE is the last form of defence. All hazards must be controlled by first considering elimination of the hazard, reduction of the severity of the hazard, isolation of the hazard or controlling the hazard. Spare PPE must be onsite and readily available for employees and visitors to the site. 8.3 Construction Materials The materials and substances in the permanent works are deemed to be within the normal experience of a competent contractor. Where these present health & safety hazards, the contractor will carry out risk assessments, as required under COSHH, and introduce control measures. 8.4 Storage of Materials and Work Equipment Inert materials such as blocks, timber and plasterboard will be stored on-site. Hazardous materials such as chemical cleaners and petrol will be locked away at the end of each working day. Power tools will also be removed from the site at the end of each working day. Materials will be located on the site and brought to the working area as required. Where practical the construction materials will be delivered directly to the working area to minimise the need for the manual handling of materials. Materials will be stored in such a way that there is adequate working space to safely handle them manually or by machine. The storage of materials will be carefully controlled to ensure minimal risk to the work personnel, visitors and members of the public. 8.5 Storage of Waste Materials Waste materials from the construction process will be deposited in waste skips provided by the company, which will be emptied on a regular basis. A licensed waste handler will manage the waste, and a record of waste transfer notes will be maintained on site. Any hazardous waste will be marked as such and handled and disposed of in an appropriate manner. Asbestos Treatment / Removal will be carried out by a certified competent Asbestos removal company. Chrome Services Ltd will not at any time permit the burning of waste materials on site. Every effort shall be made to comply with the Environmental Protection Act 1990 to prevent the pollution of the existing watercourses whilst the works are being undertaken. 8.6 Provision and Use of Temporary Services Temporary services will be established in the early stages of the contract. Temporary and permanent Electrical Works will be carried out by NICEIC Registered Installer. All works to be certified under Part P of the Building regulations. Power required within the construction area where it is not available from the Client will be generated from portable generators where practicable. The company will permit no unauthorised use of the Clients services and any authorised connections will be inspected by the Client prior to use. 8.7 Temporary Works The following Temporary Works Procedure is to demonstrate that an effective and robust arrangement is in place for controlling the risks arising from the use of temporary works. This should be read in conjunction with Section 5 below. Procedures for temporary works will be compliant with BS5975:2008. Temporary Works Procedure: Temporary Works Coordinator shall be the Site Manager. Provision of temporary works design to include, where applicable, designers risk assessments and method statements Where appropriate independent design or checking of temporary works may be required. Control and supervision of erection, safe use, maintenance and dismantling of temporary works will be undertaken by the Site Manager Provision of removing or dismantling Temporary Works ('permit to dismantle') where applicable, (e. g. removal of falsework) will only be allowed with the approval of the Site Manager. Temporary works likely to be required on this project will include (delete as applicable): Site establishment: Fencing, hoarding and signage. Equipment/Plant: Mechanical hoist installation, crane bases/mats, anchors/ties, WCWP, piling mat Access: Scaffolding and edge protection. MEWPS, edge protection, walkways. Structure: Formwork, falsework, shoring, Temp bridges Earth works: Trenches, excavations, temp slopes, stockpiles 8.8 Permit to Work System Chrome Services Ltd shall use a permit to work system to control high-risk activities. No work shall be undertaken where a permit-to-work is required unless the permit states the correct date and correct commencement and completion times. Permit to work systems will operate for the following work activities: 1. Work within confined spaces - as defined by the Confined Spaces Regulations 1997; 2. Hot work - welding, cutting, grinding, etc. 3. Deep excavation work, e.g. connections into the existing surface water systems. 4. Work in the vicinity of any existing high voltage and medium voltage cable systems. Should any work adjacent to HV cables for which the local Electricity Company has responsibility, then a permit-to-work will be applied for from the supply authority prior to work commencing. Permits to work will not prevent incidents unless: a) Their need and use have been established; b) Their requirements are adhered to; c) Staff are aware and competent; d) Appropriate equipment is available for testing and implementation. Therefore Chrome Services Ltd will ensure that where such permit to work systems are required, the above conditions have first been satisfied. ## 9.0 Emergency Procedures In Order To Be Prepared For Any Emergency Event, The Company Will, When Considered Necessary, Plan For Reasonably Foreseeable Incidents And Prepare A Written Plan Outlining Procedures To Be Followed In Such An Event. The company will, in consultation with workers and their representatives: a) carry out a risk assessment to identify foreseeable major incidents for which emergency procedures would be required; b) establish procedures to be followed by employees in the event of an emergency situation, including: I. raising the alarm; II. means of escape; III. assembly points and 'safe muster areas'; IV. summoning the emergency services; V. evacuation of disabled persons; VI. appoint persons to be responsible for specific procedures in the event of an emergency situation (including the shutting down of plant and making it safe before evacuating the area); VII. fire wardens and fire marshals (as necessary); VIII. persons responsible for emergency power supplies and lighting; IX. first aiders; c) provide a written version of the procedures to all personnel; d) ensure that the plans cover out of hours working, weekend working and closures for holidays; e) ensure there is an up to date call-out list for key personnel and that this is readily accessible; f) keep all access routes for emergency services and all escape routes clear at all times; g) reassess the emergency plan at regular intervals and update or alter it as necessary; h) provide training in emergency procedures for all employees, plus specialist training for those with special responsibilities. Most emergency situations are unlikely if all risks at the workplace are adequately controlled. When devising the emergency plan the company will: a) nominate personnel to be responsible for specific emergency actions and ensure that they are trained to deal with their responsibilities; b) ensure that all employees without special responsibilities are aware of how to evacuate the area without delay; - Reporting an Injury or Dangerous Occurrence - Training - Fire and Emergency Procedure 9.1 Fire Control Measures - Site fire layout plans will be located around the project indicating fire fighting equipment and emergency escape routes. - Hot Work involving the use of blow lamps, welding equipment soldering irons, abrasive wheels, etc, must obtain the Company Hot Work Permit from the Site Supervisor/s prior to work operations commencing. - Smoking is not allowed anywhere on the site. - LPG, Oxy-gas, etc, is to be removed from the site at the end of each day unless stored in a suitable cage at the external compound, operatives and contractors are to inform the site supervisor of any LPG and flammable substances brought onto the site. - Rubbish is not to be burnt on site. - Waste materials are to be placed in skips positioned the site compound. - Fire routes are to be maintained at all times. Fire extinguishers to be placed in the site office and welfare facilities with fire points made up of fire extinguishers and signage to be placed strategically across the site. High-risk fire areas such as hot work areas must have fire extinguishers within easy reach. - CO2 - Black - Liquid, electrical - Water - Red - Paper, wood, textiles, solids - Foam - Cream - Liquid, wood, textiles, paper - Powder - Blue - Liquid, electrical, wood, textiles, paper The emergency alarm must be tested weekly and all workers to be notified of the alarm at induction. Depending on the hazards and size of the site, the alarm siren will normally be an emergency air horn. Please refer to the Emergency Plan for the location of fire extinguishers and alarms. The assembly area must be an open space away from the work area avoiding any additional hazards and where staff can wait safely. The assembly area must not be at the site office. The location of the assembly area for this project is highlighted on the Emergency Plan. Action The person discovering a hazardous situation which has resulted or may result in a fire or explosion will alert other personnel, and if the fire is small, and if safe to do so, attempt to extinguish it using the correct fire extinguisher. If the fire cannot be quickly or safely extinguished, or if there has been, or there is the potential for an explosion, ensure that all personnel move out of the area as quickly as possible. Control over any hazardous situation will be exercised by the Site Manager, who will immediately upon being made aware of the situation raise the alarm using the site emergency alarm. The site emergency alarm will be tested once per week. The Site Manager will direct all personnel to the Assembly Area and ensure that the emergency services have been called. The Site Manager will go to the Assembly Area, check if any personnel are missing and be ready to receive and brief the emergency services giving the location of the emergency water supplies/hydrants and details of any missing personnel. The location of the Assembly Area is marked up on the Emergency Plan. (A risk assessment has been produced and is held in section 6 of the site health and safety folder.) 9.2 Ill Health In the event of someone being taken ill or being injured as a result of an accident that requires medical attention, the IP should be taken to the nearest Hospital. If the injury is serious or the IP cannot be moved then the Ambulance Service must be notified by phoning 999 and giving as much information as possible as to the nature of the incident and location of the injured parties. Carry out First Aid Treatment and keep them warm and comfortable. DO NOT MOVE THEM. Leave them for the Ambulance Crew who have the equipment and training to deal with such incidents. Do not give them anything to eat or drink. ## 10.0 Reporting Of Accidents & Riddor 10.1 Accidents All accidents and near misses, however, minor must be reported to the Principal Contractor and recorded in the site accident book kept by the Site Project Manager regardless of the severity of the incident. Once the accident book sheet is completed it is to be detached and returned to Head Office where it will be securely held in the interests of confidentiality. The Site Project Manager must be immediately informed of any accident or dangerous occurrence on the site or of ill health, which could be linked to site work. All incidents and near misses must be recorded onto the Incident Report Form as soon as is reasonably practicable with a copy being submitted to head office in order that an investigation can commence. Near Miss - an unplanned event that did not result in injury, illness, or damage - but had the potential to do so e.g. materials falling close to someone's head. Incident - A planned/wanted event that resulted in or had the potential to result in injury, damage or loss. Injury, damage or loss resulted or could have resulted from the activities of the planned/wanted event. Accident - An undesirable or unfortunate happening that occurs unintentionally and results in injury 10.2 RIDDOR All reportable accidents are subject to the procedures detailed in Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 2013: - Death, major injury, and over 10-day injuries or disease - reported by the person's employer. It is requested that a copy of the F2508 be acquired for record purposes. - Death or an injury requiring hospital treatment of a person at the site not directly involved in the works - reported by the Principal Contractor. - Dangerous occurrences at the site (as defined by RIDDOR 13) - reported by the Principal Contractor. - Accidents or dangerous occurrences during transport to or from the site or in preparatory works at contractors' premises must be reported by that contractor - the Site Project Manager should, however, be informed of such incidents. Advice from the Safety Adviser is to be undertaken on all RIDDOR issues to ensure the necessary reporting actions are taken. All RIDDOR reportable accidents will be investigated by thoroughly by the Safety Adviser who will create a report for the Principal Contractor and the associated employer. As previously stated the Site Project Manager is to notify the Principal Designer of any accident or occurrence on the site that involves any employee in medical treatment or time off. Any notification to the Health and Safety Inspectorate under the 'Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 2013 shall be copied to the Principal Designer immediately. 11.0 First Aid Arrangements The Principal Contractor will ensure that a trained and in date 'First Aider, 'Emergency First Aider / Appointed Person' 'is available on site at all times during construction activities. A first aid box (20 persons) will be available on site. All instances requiring First Aid treatment are to be initiated via the Site First Aider / Appointed Person / Emergency First Aider. Where subcontractors have a dedicated and authorised First Aider, then treatment may be provided and the Principal Contractor informed accordingly. First aid arrangements will be included in the initial site briefing given to all workers on the first arrival at the site. Nearest hospital A&E Department: Royal Preston Hospital Sharoe Green Lane North Fulwood Preston Lancashire PR2 9HT Tel: 01772 716565 The journey time is approx 15 minutes covering 6.5 miles. Additional Duties In addition to the aforementioned the Site Project Manager is to ensure: - Any notification to the Health and Safety Inspectorate under the 'Reporting of Injuries, Diseases, and Dangerous Occurrences Regulations 2013 shall be copied to the Contract Administrator immediately. 12.0 Welfare Arrangements Welfare facilities will be provided and controlled by the Principal Contractor. They are for use on-site by all authorised persons. These facilities are to be kept clean and tidy by those using them. Location of welfare facilities: Welfare facilities will be provided using a welfare cabin sited within the construction site. Drinking water: A supply of wholesome drinking water will be available from temporary facilities and will be direct from the mains where possible. If using stored water, the storage facilities will be clearly marked and the water regularly changed to prevent it from becoming stale or contaminated. A supply of cups will be made available where the water is not an upward jet. Toilets: A toilet block will be provided. Washing facilities: Washing facilities: Clean hot and cold (warm) running water (running where reasonable practicable) Soap or other suitable means of cleaning Towels or other suitable means of drying Sufficient ventilation and lighting Sinks large enough to wash hands, face and forearms Rest Facilities/making meals: Within the welfare unit a table, seating with backs, a means for heating water for drinks and for warming up food (kettle, microwave, gas/electric heating ring etc.) will be provided. Adequate heating must be provided. Smoking rules: No smoking inside any welfare facilities. No smoking in any enclosed area onsite (roof + 50% walls). Smoking only in designated areas. Cleaning arrangements: All welfare facilities on site must be maintained by all workers that use them. Additional cleaning will be carried out as and when necessary depending on the frequency of use, site conditions etc. 13.0 Consultation for People on Site The Principal Contractor is available at all times to discuss matters of health and safety not already covered under within this plan and will discuss with, if appointed, representatives of the operatives. The Health and Safety Adviser can also be contacted at any time to discuss matters that may apply to the project. On Site Third Party Communication The site manager will act as a daily liaison between other third party companies working. Joint Staff Communication Consultation on health and safety matters will be encouraged and the requirements of the Safety Representatives and Safety Committees Regulations 1977 and the Health & Safety (Consultation with Employees) Regulations 1996 will be complied with. The main function of these consultations is to draw attention to any unsafe practices which become apparent and to bring forward suggestions for better safety standards and practices. Consultations will be encouraged during regular meetings. Ongoing communications between the staff regarding the works and health and safety matters will be ongoing throughout the construction process. Project Information The process for exchange of information between project parties will be as agreed at the Pre- Contract meetings and is established by the Project Manager/Architect and Principal Designer within the pre-construction information. The Site Manager will have email and printing facilities for receipt of design changes and information directly from the architect and engineers. Provision and record of construction and design change information will form part of the fortnightly Project Meetings. Contractor Communications Health and Safety information and communications will include inductions and all site matters relating to design, construction and health and safety will be regularly undertaken by the site manager. Toolbox talks shall be regularly provided to contractors during the project on subject relating to the works to maintain Health & Safety awareness. 14.0 Unforeseen Eventualities Procedures for dealing with unforeseen eventualities during project execution which result in substantial design changes and which might affect resources are as follows: As soon as unforeseen eventuality arises, the Principal Contractor will inform the Client. The health and safety issues arising from the eventuality are to be as soon as possible after the occurrence, together with proposals for dealing with them. Details of the re-design and the health and safety implications are to be submitted for consideration and acceptance in due time before execution. Health & safety issues will be on the agenda of the progress meetings. 15.0 Information for the Principal Designers Safety File Health & Safety File Contents Preface Description of the CDM Regulations and importance of the Health & Safety File to the Client and the Client's responsibilities in respect of the Health & Safety File and future works. 1. General project information a. Names of Client, Principal Contractor and Principal Designer b. Emergency procedures and contact details in case of emergency c. Brief description of the scheme and the works carried out d. Site location plan(s) and scheme layout(s) e. Schedules of plot numbers, addresses and full postal addresses including post codes (as applicable) 2. Residual hazards a. Lead designer's statement including provisions for maintenance of the completed structure(s) and any implications for dismantling or demolishing the structure(s) b. Structural engineer's statement including ditto. c. Principal Contractor's/contractors' (e.g. timber/steel frame contractors) statements including provisions for maintenance of the completed structure(s) and any implications for dismantling or demolishing the structure(s) d. Asbestos surveys including details of asbestos removed/remaining, consignment and disposal certificates, asbestos register and management procedures e. Site investigation reports and remediation measures including details of: - I. contaminated land removed/remaining, consignment and disposal certificates, II. remediation measures and test certificates for imported materials including top soil III. water-bearing strata, aquifers and water-extraction zones 3. Key structural principles a. Architectural concepts and design philosophy comprising a detailed description of key construction methods, materials and components used including provisions for future alterations and/or installations to conform with 'Lifetime Homes' e.g. drainage for future entrance level accessible shower, reinforced bathroom and cloakroom walls, etc. b. Structural design principles and methodology comprising a detailed description of key construction methods, materials and components used including any bracing, pre or posttensioned members, provisions for future alterations and/or installations to conform with 'Lifetime Homes' e.g. knock-out floor and wall panels installation of ceiling tracking hoist, etc. c. Floor, wall and roof design loadings and loading restrictions particularly where these may preclude the placing of scaffolding, heavy plant or equipment (structural engineers, timber frame and truss manufacturers' calculations) 4. Hazardous materials a. Schedule of hazardous materials used in the works e.g. adhesives, lead paint, special coatings or pesticides which should not be treated with solvents or burnt off or in respect of which special precautions should be taken when handling b. Product data sheets in respect of all of the foregoing c. COSHH assessment/product safety data sheets in respect of all of the foregoing d. Details of any residual hazards associated with these products/materials e. Recommendations for cleaning, maintenance and handling 5. Details of installed plant and equipment by type requiring special measures for removal and/or dismantling a. Record drawings showing position in the overall plant installation/plant room b. Diagrammatic drawings indicating principal items of plant, equipment and fittings and sequence of removal c. Name, address and contact details of the manufacturer including catalogue number, model type or reference d. Manufacturer's information and guidance concerning repair, renovation or decommissioning together with any special arrangements for lifting and/or dismantling e. Information and guidance concerning dismantling, repair, renovation or decommissioning 6. Details of equipment provided for cleaning and/or maintaining the structure by type a. Schedule of installed plant and equipment b. Record drawings showing locations of installations within/upon the building structure c. Diagrammatic drawings indicating principal items of plant, equipment and fittings and their interdependence d. Name, address and contact details of the manufacturer including catalogue number, model type or reference e. Manufacturer's technical literature, including detailed safety precautions, operating and maintenance instructions 7. Nature, location and markings of significant mains, underground services and new connections a. Gas - including supplier b. Water - including supplier c. Electricity - including supplier d. Drains and sewers e. Telecommunications and data 8. Information and as-built drawings of the structure, plant and equipment and fire safety a. Architectural as-built drawings b. Structural as-built drawings and calculations c. Services, plant and equipment as-built drawings d. Fire strategy and fire ratings of linings and structure (including copies of all correspondence between the building control body and fire and rescue authority), fire doors and fire compartmentation, fire alarm installations, fire fighting equipment and nature, location and marking of fire-fighting services Handover / O&M Information Contents PART A: GENERAL 1) The Scheme and Parties to the Contract a. Brief description of the scheme and works carried out b. Details of the Consultants and Designers c. Copies of consultant designers' collateral warranties d. Details of contractors and suppliers e. Copies of contractor designers' collateral warranties 2) Statutory Consents and Approvals Relating to the Project as a Whole a. Copy of planning permission including drawings and correspondence b. Confirmation of compliance with all planning conditions c. Copies of completed planning agreements i. Section 38 & 278 - Adoption of Roads and Highways, parking areas etc. ii. Section 104 - Adoption of Sewers iii. Section 106 - Planning obligations iv. Section 184 - Vehicular Access/Footpath Crossing d. Copies of Building Regulation Application including drawings and correspondence e. Copies of Building Regulation Completion Certificates I. Building regulations II. Gas Safe completion certificates III. NICEIC Building Regulations compliance certificates 3) Copies of Design Certificates and Reports Relating to the Project as a Whole a. 'Building for Life' certificate / 'Lifetime Homes' certificate b. 'Robust Details' registration certificates c. 'Secured by Design' certificate / letter of confirmation from local police architectural liaison unit d. Considerate Constructor report(s) and certificate(s) 4) Pre-existing hazards and remedial works (as applicable) a. Details of Building Condition/Structural Engineer's Report b. Japanese Knotweed Infestation Report c. Japanese Knotweed Treatment and Eradication Report d. Timber treatment certificates e. DPC guarantees PART B: BUILDING STRUCTURE AND FABRIC 1) Test Certificates a. Ground consolidation tests b. Pile test certificates c. Concrete crushing tests (Concrete cube tests) 2) Building/Project Certificates. a. NHBC (Buildmark) Inspection Certificates, Cover Note(s) and Certificate(s) b. SAP Assessments (Calculations) c. Code for Sustainable Homes Certificate d. Energy Performance Certificates (EPC's) e. Building Air Permeability Test Report(s) f. Sound Insulation Test Report(s) 3) List of materials and equipment including product data sheets, material safety data sheets, COSHH, cleaning and maintenance instructions etc. a. Bricks and blocks b. Windows, double glazing and window ironmongery c. Doors and door ironmongery d. Kitchens, sinks and taps e. Sanitary ware, showers and brassware f. Roofing materials and rainwater goods g. Floor and wall tiles h. Floor coverings i. Floor, wall and roof insulation materials j. Paints and decorative materials 4) Guarantees, warranties and maintenance agreements from sub-Contractors, manufacturers and suppliers a. Internal doors b. External doors (including SBD certification) c. Windows (including SBD certification) d. Double glazing units e. Sanitary ware and brassware f. Shower units and mixer valves g. Central heating boilers h. Central heating pumps i. Central heating programmer j. Immersion heater (if applicable) k. Vinyl floor coverings l. Kitchen units, sinks and taps m. Ironmongery n. Roofing materials and rainwater goods PART C: BUILDING SERVICES OPERATION & MAINTENANCE MANUALS INDEX (See Appendix for range of information to be included in individual operation and maintenance manuals for each system / installation as appropriate) 1) Summary of systems/installations a. Heating and plumbing b. Mechanical ventilation, heat recovery and air-conditioning c. Electrical services, power and lighting d. Solar energy and photo-voltaic installations e. Rainwater harvesting and 'Grey water' installations f. Fire detection and alarm installations g. Security alarms and intruder systems h. TV installations i. CCTV installations j. Emergency/warden control/door entry systems k. Sprinkler and fire-fighting installations l. Ground source heat pump installations m. Lightning protection installations n. Lift installations o. Fixed hoists p. Stair lifts q. Window cleaning equipment e.g. cradle tracks and runways r. Building maintenance systems 2) Commissioning and test certificates a. Benchmark boiler commissioning certificates b. Gas Safe Landlord/Home Owner Gas Safety test certificates c. Flushing/treatment certificates d. Electrical Installation test certificates e. Fire Alarm/Detection/Sprinkler design and test certificates f. Extractor fan and air-flow measurement g. TV Signal Reception Test Certificate h. Lifts and hoists including stair lifts i. Cradles and Building Maintenance Systems 3) Schedule of meter readings at 'Handover' a. Gas meters b. Electricity meters c. Water meters PART D: DRAINAGE, LANDSCAPING & EXTERNAL WORKS 1) Drainage. a. Generally including foul and surface water layouts b. Attenuation and flow control installations c. Cesspools and septic tanks 2) Landscaping and external works. a. Hard landscaping including layout drawings b. Soft landscaping including planting schemes c. External fixtures and fittings e.g. garden sheds, water butts, clothes dryers, cycle stands etc. PART E: HOMEOWNERS MANUAL 1. Sample Home User's Guide(s) for replication for each house type 2. Key schedule at handover 3. Emergency contact details APPENDIX - Information, as relevant, for all installations identified in Section C 1. Summary of each system installed. a. General description of installation b. Purpose and objectives c. Essential design criteria/performance characteristics d. Any limitations on design/installation e. Details of any residual risks or hazards associated with the use/maintenance of the installations 2. As Built-Drawings and calculations complete with detailed index a. As-installed drawings for each installation recording the construction, materials and components including: (i) Record drawings showing overall installation (ii) Diagrammatic drawings indicating principal items of plant, equipment and fittings. 3. Manufacturers' literature including data sheets, operating details and recommendations for cleaning & maintenance. a. Product details, including for each item of plant and equipment: (i) Name, address and contact details of the manufacturer. (ii) Catalogue number or reference. (iii) Manufacturer's technical literature, including detailed operating and maintenance instructions. (iv)Information and guidance concerning dismantling, repair, renovation or decommissioning. b. Operation: A description of the operation of each fitting or installation, including: (i) Control sequences. (ii) Procedures for diagnostics, troubleshooting and fault-finding. (iii) Emergency procedures including rescue operations and contact numbers in the event of a breakdown. c. Preventative maintenance and recommendations to be adopted to ensure efficient operation of the systems. (i) Schedule of maintenance and testing frequency chart(s) to ensure efficient operation of installations. (ii) Lubrication: Schedules of all lubricated items. (iii) Spares: A list of recommended spares to be kept in stock, being those items subject to wear and tear or deterioration and which may involve an extended delivery time when replacements are required. 4. Commissioning and training. a. Commissioning records and test certificates list for each installation - including: (i) Type test certificates for major plant and components. (ii) Start and commissioning test certificates for major plant and components. (iii) Whole installation test certificates. (iv) Emergency/fail-safe devices b. Training provisions (i) Training certificates for operatives trained in use and operation of the system upon handover (ii) Schedule of training providers for future training of operatives 5. Guarantees, warranties and maintenance agreements. A. Manufacturers' guarantees B. Sub-contractor warranties C. Supplier warranties D. Maintenance agreements 16.0 Review of the Project The project will be reviewed on a continual basis as the contract progresses. Items identified as a potential hazard will be addressed and removed to enable the project to progress within the standard set by the Construction Phase Plan. ## Appendix A Fire Plan & Fire Risk Assessment ## Fire Safety Plan 1.0 Introduction This fire safety plan has been developed for all site works being undertaken for Chrome Service Ltd. In developing this plan we have fully considered the HSE Guidance booklet "Fire Safety in Construction Work" and, where appropriate, contacted the local HSE officer to ensure that all procedures and precautions are adequate and acceptable. 2.0 FIRE PREVENTION ON SITE ## 2.1 Reducing The Amount Of Combustible Materials On Site Materials Will Be Delivered When They Are To Be Used And Transported To The Area Of The Site Where They Are Needed At That Time. No Combustible Materials Will Be Stored In The Entrance Of The Site Or In Any Stairways, Which Form Part Of Any Escape Route. 2.2 Storage Of Flammable Substances On Site All Flammable Materials Will Be Stored In The Company Vehicle When Not Being Used. 2.3 Rubbish Disposal A Tidy Site Policy Will Be Maintained On Site During All Works And Daily Waste Removed By The Company Vehicle. 2.4 Protective Coverings During Some Of Our Works, Some Protective Coverings May Be Used. However, In General, These Would Be Of Fire Retardant Material. The Use Of Flammable Protective Covers To Doors, Handles, Panels And Floor Coverings Will Always Be Strictly Prohibited On The Main Escape Routes Including Corridors And Stairways. 2.5 Lpg Cylinders All cylinders on the site will be stored, when not in use, in a storage facility established in the site compound. LPG will not be used in an established welfare or office facility on this project. 2.6 Demolition N/A 3.0 REDUCING IGNITION SOURCES 3.1 Smoking on site Smoking on- site is strictly prohibited. 3.2 Plant and equipment All plant and equipment will be inspected and recorded in the plant and tools register before being used on the site. Any petrol-powered tools must only be refuelled in the established site compound away from all flammable materials. All electrical equipment properly mounted and protected to avoid heat being conducted to other materials and surfaces nearby. 3.3 Use of oxy-fuel equipment Only competent and suitably experienced operatives will be allowed to set up and use such equipment. The precautions for safe use will be as follows: All hoses will be of a recognised standard for example BS EN 559: 2009 To avoid any confusion all hoses will be colour coded: BLUE = OXYGEN, RED = ACETYLENE, and ORANGE = PROPANE Safety devices to an appropriate standard, such as BS EN 730: 2002, will be used as required, including non-return valves on the inlet on the torch (both gas lines), flame arresters at the outlets and also flashback arresters incorporating both cut-off valve and flame arresters. Properly fitted 'crimped' hose connectors will be used and not 'jubilee clips which may be overtightened resulting in damage to the hose. All equipment will be stored and transported on suitable bottle trolleys. The cylinders being stored vertically and not left lying down in vulnerable places. 3.4 Permit to work scheme All hot work generating heat and sparks will be undertaken with the operative and contractor obtaining a hot-works permit from the principal contractor's appointed fire warden before any work starts. The fire warden will inspect all areas of the site, which have had hot-works ongoing during that day for ignition sources and confirm the area as safe. ## 3.5 Electrical Installations All Electrical Installations Including Temporary Site Supply Will Be Installed And Regularly Inspected (Weekly) By Competent Electricians. 3.6 Arson And Site Security Measures Will Be Taken To Ensure That The Construction Site And Individual Properties Are Secure At All Times. 3.7 Temporary Site Accommodation No Flammable Materials Will Be Stored In The Site Office. Fire Action Information Will Be Clearly Displayed. 3.8 Welfare Facilities The Designated Welfare Facilities (Mess Room) Again Will Not Contain Any Flammable Substances, Liquids, And/Or Materials Etc. Users Of These Facilities Are Expected To Keep Them Clean And Tidy. 4.0 Fire Safety Precautions 4.1 Means Of Escape Our Priority In The Unfortunate Event Of A Fire Is The Safe Conduct Of All Site Operatives To A Safe Area Away From The Site. All Escape Routes Will Be Maintained Throughout The Project By Daily Visual Inspections. The Established Inspection Procedures Will Ensure That Escape Routes Are Not Blocked. 4.2 Travel Distances The Designated Construction Site Will Be An Open Area Initially With Enclosed Structures Formed As The Dwelling Are Constructed. Any Work In A Corridor, Or Other Area, Involving The Use Of Flammable Substances, Will Only Be Allowed To Progress If The Potentially Blocked Rooms/Areas Are Vacant. 4.3 Assembly Points (Muster Point) A Designated Muster Point Will Be Established Adjacent To The Site Entrance. 4.4 Emergency Signs All Escape Routes Will Be Clearly Indicated With Proper Signs In Accordance With The Health & Safety (Safety Signs & Signals) Regulations 1996. The Signs Are White Pictograms On Green Backgrounds. 4.5 Fire Alarms An Alarm System (Klaxon/Air Horn) Will Be Established On The Site By The Fire Warden, And As The Project Progresses Reviewed And Extended To Accommodate The Progress. As Indicated, The Alarms Will Be Visually Inspected On A Daily Basis And Then Formally Inspected And Tested By The Fire Warden. 4.6 Firefighting Equipment During The Safety Induction Talk, Each Operative Will Be Instructed That The Fire Fighting Equipment Is Open For Free Use In The Event Of A Fire But Only To Aid Escape! Equipment Will Include Co2, Water And Powder Extinguishers. Furthermore, Fighting Fires Is The Fire Brigades Job And Not The Job Of Untrained Operatives On A Building Site. Do Not Risk Lives For Property. 4.7 Emergency Lighting Where Appropriate We Will Establish A Battery Powered (110 Volt Supply) Emergency Lighting System. This System Is Solely To Aid Escape During The Event Of A Fire And Mains Power Failure. The System Will Be Inspected Formally Each Week By The Fire Warden. 4.8 Fire Safety Points All Extinguishers Will Be Positioned On Clearly Marked Red Boxes Inside Of The Property On Escape Routes. 5.0 Plan Maintenance This fire safety plan will be reviewed as required during the work progression and referred to during all site safety meetings. Signed by Contracts Manager: ____________________________ Date: __ / __ / Signed by appointed fire warden(s): _____________________________ Date: __ / __ /	en
3275-pdf	How can we explain why so many Indian people decided to fight against the British in 1857? ## Contents Rationale Page 4 Lesson Plan Page 7 Document - PRO 30/29/21/7 (11 pages) Page 15 Page 24 Copy of a memorandum by Francis Horsby Robinson, former member of the Board of Revenue, North West Provinces, on attitudes to the British Government in India, 1857. Transcript - PR0 30/29/21/7 Page 25 Copy of a memorandum by Francis Horsby Robinson, former member of the Board of Revenue, North West Provinces, on attitudes to the British Government in India. 1857. Document - PRO 30/29/21/7 Page 27 Copy of the Calcutta Gazette containing the Governor General's proclamation to the Bengal army of May 16th 1857. Document - ZPER 34/31 Page 28 Article in the London Illustrated News reporting on the Mutiny in India, 4th July 1857 Document - HO 45/6857 (2 pages) Page 29 A Church of England pamphlet: form of prayer and thanksgiving in suppressing the Indian rebellion Document - PRO 30/29/23/10 Page 31 Supplement to The Calcutta Gazette containing notification of restrictions on printing and publishing in the vicinity of Calcutta Document - PRO 30/29/23/10 (2 pages) Page 32 Extract from a secret letter of June 9th 1830 from the directors of the East India Company to the Governor General. Transcript - PRO 30/29/23/10 Page 35 Extract from a secret letter of June 9th 1830 from the directors of the East India Company to the Governor General. Document - PRO 30/29/23/10 Page 36 Newspaper article quoting extracts from Irish papers on the Indian mutiny November 1857 Document - PRO 30/29/23/10 (4 pages) Page 37 Extracts from the Simachur Soodhartoursun, a Calcutta newspaper, May 28-June 11 Transcript - PRO 30/29/23/10 Page 42 Extracts from the Simachur Soodhartoursun, a Calcutta newspaper, May - June 1857 Document - DO 35/9144 Page 44 The President"s message on the Hundredth Anniversary of 1857, as reported in "India News" Document - DO 35/9144 Page 45 Article in the Times about why the Sepoys rose against the East India Company 1957 Activity Sheet 1 - Homework Questions on Caste and Mutiny Page 46 Activity Sheet 2 - Thought Bubble Worksheet Separate file Activity Sheet 3 - Scale of Certainty and Cards Separate file Presentation 1 - How can we help students recognise arguments - therefore and because Separate file Presentation 2 - Scale of certainty Separate file ## Rationale The school I am currently teaching in is an 11-18 selective boys grammar, that accepts girls at sixth form. This school presents many opportunities, such as the fact that many students are interested in learning in general, and often in history in particular, indicated in a relatively high uptake of history at A level (since I have been teaching here we have had two or three classes of 20 students each, every year). The school"s intake and ethos mean that there are few behaviour management issues and that the students have the capability to take on new ideas. However, due to the fact that the majority of students stay on at sixth form, and we also take additional external students, the ability range at A level can be quite wide. Also due to the selective nature of the school there is a focus on exam grades, and this can lead to teaching and learning which fails motivate or interest students, and also that closely follows the exam board syllabus, rather than exploring the nature of history in the wider sense. I teach a lot of A level and so chose this age group for my lesson sequence. I was particularly interested directing this lesson sequence at my A2 classes who complete a Historical Enquiry throughout the school year, which is essentially a piece of coursework. There were a number of reasons why I chose to focus on this particular year group and module. First of all I felt that working with The National Archives was an excellent opportunity to gain access to primary evidence which would be invaluable for students" understanding of our particular historical enquiry - India and the British Empire. Secondly the historical enquiry"s focus on students" ability to, "analyse and evaluate a range of appropriate source material with discrimination, and to assess how, "aspects of the past have been interpreted and represented in different ways," (AQA 2007, p.61) in a 3500 word essay required a different approach to the relationship between sources, evidence, claims and accounts from AS studies, and that designing an enquiry with The National Archives could help foster this new approach. Finally this module, due to time allocated and the nature of the assessment, allowed for more opportunities to deal with the nature of historical evidence than at AS (a problem recognised by other practitioners such as Laffin 2009). I was aware that some of the students I teach would be applying to study history at University and are genuinely interested in the process by which an historian constructs an argument, on the other hand I was also aware that many of my students would be studying other subjects at University, or would not be attending University at all, and I therefore wanted to design a sequence of lessons that developed an understanding about the nature of evidence which would be useful to all my students As one Year 8 student put it recently "History stops people believing rubbish," (Ofsted 2010, p.56) and I hoped that by enabling students to understand how claims could be made from evidence and the varying weight that could be placed on these claims students would not only develop their historical thinking, but their thinking skills generally, allowing them to think critically when faced with claims in the "real world." I was also aware that the Historical Enquiry was a daunting task for many of my students, and therefore wanted to design a sequence of lessons where, "the concepts that lie at its [the discipline"s] heart can be tackled from the beginning in their simplest form, then in increasingly complex ways." (Cooper 2009, p.149) Finally, I was aware that many students in my A2 class held misconceptions about the role of evidence in history and knew that it was important to address these misconceptions, if my students were to truly develop their thinking about evidence through the use of sources from The National Archives. (Donovan et al 1999, Bain 2005) Based on the work of Lee and Shemilt, and informal observations and discussions with my prospective A2 classes during their AS year of studies, I gathered that most students" understanding about evidence was relatively undeveloped. Most of my students saw, "evidence as information," where sources could give direct answers to the questions we pose in history. This meant that when, "Given statements to test against evidence, students match [ed] information or count [ed] sources to solve the problem." (Lee and Shemilt 2003, p.21) My aim was to develop students" understanding of "the evidential relationship between a source and the claim it is testing or supporting," (Ashby 2004, p.32) and that the weight and certainty that could be placed on a claim depended not just on the content of the source, but also the context in which that source was produced. (Wineburg 2001) I also wanted to cultivate, "A Lego view of history… where the evidence available… can be put together in different, but perfectly valid ways," (Ashby 2011, p.139) and demonstrating that because evidence is, "something that can be read in a number of ways… we must argue probabilistically and contextually," (Cooper 2009, p.154) about the weight we can place on the claim we are making. Above all I wanted to students to see the point of evidence in history - that, "it is only through the use of evidence that history becomes possible," (Lee 2005, p.54) and that their best way of being able to explain the actions and motives of people in the past, was by reference to evidence. Being given access to The National Archives seemed like an excellent opportunity to broaden my students understanding of the event which is often termed the "Indian Mutiny." This is still a controversial topic today and therefore gave them the opportunity to use original document to engage in a real historical debate. I wanted my students to understand that the motives of the "mutineers," although often given as based in beliefs about their religion being under attack - symbolised in the issue of the "greased cartridges," were actually much wider than this single issue. The documents that I discovered in The National Archives gave the opportunity to discuss the complexities of these motives, including opportunity provided by the complacency of the British, a desire of at least some elements to remove British rule completely, the role played by the press in India, and the deteriorating relationship between officers and Sepoys. These documents not only gave students to opportunity to explore the variety of motives, but also how explanations about motives changed between commentators, and time periods, hence inclusion of some documents relating to the centenary celebrations of the Mutiny in India in 1957. The activities I have designed have been built around the enquiry question, "How can we explain why so many Indian people decided to fight against the British in 1857?" I deliberately included the "how" to focus students learning on the nature of evidence, the reason why it is important, and how it can strengthen the status of the claims they want to make. The first lesson is designed to illustrate the ways in which historians and others substantiate the claims they make with relation to evidence, and why evidence is important. By deconstructing these claims, and testing them using Chapman"s "therefore and because," (2010) exercise, students are encouraged to see both the limits of claims, and how they can be strengthened. The next lesson focuses on the context in which the document (a Memorandum from F. H. Robinson) was produced. The aim of this is for students to develop a "sourcing heuristic," (Wineburg 2001, p.76), where students are encouraged to use the provenance of a source to understand its subtext, and use this understanding to, "work things out that," the source was, "not intended to show and thus using the sources as evidence." (Pickles 2010, p.50) I hope that this will allow students to make claims from both the text and the subtext of the Memorandum when asked to do so in Lesson Three. This lesson is based on a scaffold suggested by Chapman to explain motive, which, he proposes, "we can neither fully explain, nor begin to understand without considering their (the historical actors) aims or intentions and their beliefs." (Chapman 2011, p.32) By making claims about the Indian people"s actions, beliefs and feelings, and aims, students are enabled to make claims from the evidence they find, and then are encouraged to assess the certainty they can have of this claim, based on the evidence available in the source, based on the context in which it is produced, and finally based on evidence from other sources, and their provenance. In this way I hope that students are able to build up a process by which they can make "weighty" claims, but also to develop their understanding of evidence and its relationship with the claims the can make. This can then be assessed in students" response to the final question, which asks them to test a deliberately controversial statement, which will challenge their understanding as its asks them to reconsider the knowledge and understanding they have gained in relation to the enquiry question which is more open. (Laffin 2009) AQA (2007) GCE AS and A Level Specification: History accessed online at http://web.aqa.org.uk/subjects/history-specifications.php on 29th July 2011 Ashby, R (2004b) "Students" Approaches to Validating Historical Claims," in Understanding history : recent research in history education International review of history education Vol. 4 Routledge: London Ashby, R. (2011) "Understanding historical evidence: Teaching and learning challenges," in Davies, I (ed.) Debates in History Teaching Routledge: London Chapman, A. (2010) "Taking the Perspective of the Other Seriously? Understanding Historical Argument," in Euroclio Bulletin 28 accessed online at http://www.euroclio.eu/new/index.php/resources-publications-a-websites/bulletin-biannual-journal-about-history-education/cat_view/199-euroclio-bulletins/642-bulletin- 28/643-articles On 29th July 2011 Chapman, A. (2011) "Time"s arrows?: Using a dartboard scaffold to understand historical action," in Teaching History 143 Historical Association Cooper, H. (2009) "Afterword," in Cooper, H. and Chapman, A. (eds.) Constructing History 11-19 Sage: London Donovan, S. Bransford J. and Pellegrino (eds.) (1999) How People Learn: Expanded Edition ## National Academy Press: Washington Laffin, D. (2009) Better Lessons in A level History (History in Practice) Hodder Education Lee, P. and Shemilt, D. (2003) "A Scaffold not a Cage: progression and progression models in history," in Teaching History 113 Historical Association Lee, P. (2005) "Putting Principles into Practice: Understanding History," in How Students Learn National Academies Press: Washington Ofsted (2011) History for All: History in English Schools 2007/10 accessed online at http://www.ofsted.gov.uk/ on 29th July 2011 Pickles, E. (2010) "How can students" use of historical evidence be enhanced," in Teaching History 139 Historical Association Wineburg, S. (2001) Historical Thinking and Other Unnatural Acts: Charting the future of teaching the past Temple University Press: Philadelphia \| Lesson Title \| \|----------------------------------------------------\| \| 1. \| \| What's the \| \| point of \| \| evidence? \| \| 1. To understand that \| \| evidence strengthens an \| \| argument \| \| 2. To be able to identify \| \| claims and supporting \| \| evidence \| \| 3. To analyse the \| \| relationship between claim \| \| and evidence \| \| Reading about the \| \| basic events of the \| \| Indian Mutiny and also \| \| about the issue of \| \| caste. Tim Leadbeater \| \| Access to History India \| \| 1845-1957 good here. \| \| Use attached data \| \| capture to direct \| \| reading \| \| Paragraph on causes of \| \| Indian Mutiny e.g. Extract \| \| from Lawrence James 'Raj' \| \| p.236-7 \| \| Card and Pens \| \| Arthur Chapman's \| \| therefore / because PPT \| \| Magazine / Newspaper \| \| Articles \| \| http://www.youtube.com/w \| \| atch?v=teMlv3ripSM - \| \| Monty Python Clip \| \| Starter - Show students Monty Python Clip \| \| 'Argument Clinic,' discuss whether this is a \| \| good argument (it isn't!) and what is missing \| \| that would make it better (evidence!) \| \| Main (Small Groups) - Use paragraph from a \| \| Historian on the causes of the Indian Mutiny, \| \| students to identify claim (s) and evidence, \| \| and to write each on a separate piece of card. \| \| Use Arthur Chapman's 'therefore and \| \| because' (see attached slides) exercise (draw \| \| them on cards too) \| \| \| \| to show students how to \| \| test claims and evidence. Discuss Findings \| \| regarding relationship between claim and \| \| evidence. \| \| Plenary - Provide newspaper / magazine \| \| articles (or get students to bring in for previous \| \| homework) that make claims. Get them to \| \| repeat exercise. Ask students if they are \| \| happy that the evidence supports the claim. \| \| Have assumptions been made? Could \| \| different claims be made from the evidence? \| \| \| \| Would students' change anything to make \| \| claim stronger / less open to challenge. This is \| \| a good opportunity to discuss issue of \| \| certainty of claims. \| \| Lesson Title \| Aims \| \|----------------------------------------------------\|--------------------------\| \| \| Copies of F. H. Robinson \| \| Memorandum \| \| \| Thought Bubble Handouts \| \| \| 2. \| \| \| What can \| \| \| one \| \| \| memorandum \| \| \| tell us about \| \| \| why the \| \| \| Indians fought \| \| \| the British in \| \| \| 1857? (Part 1) \| \| \| 1. To study the \| \| \| provenance of an original \| \| \| document \| \| \| 2. To use provenance to \| \| \| understand the context in \| \| \| which F. H. Robinson's \| \| \| Memo was written in \| \| \| 3. To begin to understand \| \| \| how this knowledge can \| \| \| be used to help make \| \| \| infrerence from a source. \| \| \| Starter - Quick feedback on homework to \| \| \| check understanding (this will help with source \| \| \| comprehension) and introduce the over- \| \| \| arching enquiry question "How can we explain \| \| \| why so many Indian people decided to fight \| \| \| against the British in 1857?" \| \| \| Main - \| \| \| 1. Provide the whole document (F. H. \| \| \| Robinson Memo), with description of \| \| \| provenance to each student, along with the \| \| \| thought bubble handout. Ask students to use \| \| \| this document information, as well as the \| \| \| language, tone, and any comments it makes \| \| \| to fill in the '5Ws' around the speech bubble. \| \| \| Allow students to dicuss in pairs, and then \| \| \| feedback as a class \| \| \| 2. Ask students to use this information to fill in \| \| \| the thought bubble to suggest what F. H. \| \| \| Robinson might have been thinking whilst he \| \| \| wrote the Memorandum, what he might have \| \| \| been trying to do, what sort of person he is \| \| \| etc. Students may want to accompany this \| \| \| with a picture of F. H. Tomlison to provide a \| \| \| visual reminder! \| \| \| Plenary - Directed Q and A on students' \| \| \| thuoghts about Tomlison, and how this might \| \| \| help them make claims from the source. \| \| \| Lesson Title \| \|----------------------------\| \| \| \| 3. \| \| What can \| \| one \| \| memorandum \| \| tell us about \| \| why the \| \| Indians fought \| \| the British in \| \| 1857? (Part 2) \| \| Copies of F. H. Robinson \| \| Memorandum \| \| \| \| Post its (3 colours) \| \| PPT (instructions and \| \| scale of certainty) \| \| A4 scale of certainty and \| \| Cards (Certain, probably, \| \| possible etc.) for desk \| \| scales \| \| Digital Camera? \| \| 1. To be able to make \| \| claims about the actions, \| \| beliefs and aims of the \| \| Indian Mutineers based on \| \| a piece of primary \| \| evidence \| \| 2. To understand that the \| \| level of certainty about a \| \| claim can change \| \| dependant on the type of \| \| claim being made and the \| \| evidence available \| \| 3. To summarise the \| \| motive/s identified in the \| \| source and analyse how \| \| certain students are that \| \| these were motives \| Starter - Organise students into 5 mixed ability groups and allocate each group 2 pages of the document. They can read beyond these 2 pages, but they must cover at least these 2 pages. Provide each student with 3 blocks of different coloured post it notes. Instruct students that as they read though they should be trying to identify the Mutineers' actions, beliefs and feelings and aims, all of which will help to explain why they acted against the British. Each colour of post it should relate to a different type of claim. Main - 1. Students should read through their section of the document individually first, making claims on the post-its, and then be given time to discuss claims discovered with others in their group. Students should be encouraged to infer from the source and its subtext, as well as look for direct references to the three types of claim. 2. Introduce students to 'scale of certainty' (PPT) and ask them to place their post its on their table on a scale of certainty, justifying and discussing with the group the position of each claim. 3. Ask each group in turn to place a claim on the board's scale of certainty and to explain their decision. Students can write this down on their own A4 scale of certainty. This can happen for as long as productive / required. Ask students what they notice about the types of claims (hopefully they will be more certain about actions than beliefs / aims). Plenary Ask students to write a short \| Lesson Title \| Aims \| \|-------------------------------------------------\|-------------------------\| \| \| Thought bubble handouts \| \| A4 scales of certainty \| \| \| Digital pictur of scale of \| \| \| certainty from last lesson \| \| \| 1. To understand how we \| \| \| can become more certain \| \| \| about claims \| \| \| 2. To use provenance to \| \| \| help build certainty about \| \| \| claims \| \| \| 4. \| \| \| How can we \| \| \| become more \| \| \| certain about \| \| \| the motives of \| \| \| the Indian \| \| \| 'mutineers'? \| \| \| (part 1) \| \| \| Starter - Show picture on IWB of the scale \| \| \| from last lesson, and ask some students to \| \| \| share their claims about the motives of the \| \| \| Indian Mutineers. Directed questioning on how \| \| \| they could become more certain about the \| \| \| motives of the Mutineers (take into account \| \| \| provenance, cross reference with other \| \| \| sources etc.) Point out that these can make \| \| \| you more certain about what the motives \| \| \| weren't \| \| \| as well as what they were. \| \| \| Main - \| \| \| 1 - Refer students back to their thought bubble \| \| \| handouts for the Memo and ask them to use \| \| \| the information of who, what, where why and \| \| \| when the source was produced to consider the \| \| \| certianty of their claims. \| \| \| Feedback one claim this provenance makes \| \| \| them more certain of, and one it makes them \| \| \| less certain of. Mark this on A4 scale of \| \| \| certainty \| \| \| 2 - In pairs allocate students another source \| \| \| and repeat thought bubble exercise from \| \| \| lesson 2 \| \| \| Plenary - ask some students to share the \| \| \| context of their new source \| \| \| Lesson Title \| \|-------------------------------------------------\| \| Post-its \| \| A4 scale of certainty and \| \| cards \| \| Thought bubble handouts \| \| 5. \| \| How can we \| \| become more \| \| certain about \| \| the motives of \| \| the Indian \| \| 'mutineers'? \| \| (part 2) \| \| 1. To understand how use \| \| of multiple sources can be \| \| used to increase and \| \| decrease certainty of \| \| claims \| \| 2. To begin to build a \| \| picture in answer to the \| \| question 'Why did so \| \| many Indian people decide \| \| to fight against the British \| \| in 1857?" using sources of \| \| evidence \| \| Students to use \| \| Though Bubble \| \| handouts on new \| \| source to consider \| \| certainty of the new \| \| claims they are making \| \| - add to A4 scale of \| \| certainty. This would \| \| be a good opportunity \| \| to ask students to \| \| transfer findings to an \| \| electronic copy, which \| \| will make future \| \| changes easier. \| \| Starter - Ask students to refer back to thought \| \| bubble handouts for their new source and \| \| remind them this will help them think about the \| \| subtext of the document \| \| Main - Repeat first stage of post-it task from \| \| Lesson 3 with new source. Students then \| \| need to sort the cards in reference to their A4 \| \| scale of certainty. One pile for claims that \| \| relate to claims made from the first source, \| \| others that are new. Students should then \| \| write (in a different colour) the new claims \| \| directly onto the A4 scale of certainty. The \| \| other post its should be used to move (draw \| \| arrows) previous claims up or down the scale \| \| of certainty, with a written note as to why the \| \| claim has been moved \| \| Plenary - Ask students to write a new short \| \| summary of the motives of the Mutineers from \| \| their A4 scale of certainty, and how certain \| \| they are of this new claim about their motives. \| \| Students to present their new ideas to the rest \| \| of the class. Provide opportunities to question \| \| / debate degrees of certainty \| \| Lesson Title \| \|-------------------------------------------------\| \| ICT suite \| \| Online / Electronic versions \| \| of activity sheets and \| \| documents \| \| Students to write an \| \| answer to the following \| \| question to the title \| \| question \| \| 1. To construct an \| \| argument about the \| \| motives of the Indian \| \| 'mutineers' based on \| \| claims from various \| \| sources of evidence. \| \| 2. To consider the weight \| \| that can be placed on \| \| claims based on multiple \| \| sources' content and \| \| context \| \| 3. To test a controversial \| \| statement based on \| \| evidence and claims from \| \| multiple sources. \| \| Working In pairs or indivually give students \| \| electronic access to all documents and activity \| \| sheets. Students should be encouraged to \| \| study as amny documents as they can, but for \| \| each document studied students should \| \| consider provenance first, then the claims they \| \| can make, and then the certianty they can \| \| attach to those claims based on the source \| \| itself, the context in which the source was \| \| produced, and comparison to other sources \| \| already studied. Findings should be recorded \| \| on thought bubble sheets and A4 scale of \| \| certainty. \| \| Possibility to contribute to online debate on \| \| VLE \| \| 6. \| \| The reason \| \| so many \| \| Indians fought \| \| against the \| \| British is \| \| because they \| \| believed their \| \| religion was \| \| being \| \| threatened.' \| \| Discuss the \| \| validity of this \| \| eplanation of \| \| the motives of \| \| the Indian \| \| 'Mutineers' \| \| \| Copy of a memorandum by Francis Horsby Robinson, former member of the Board of Revenue, North West Provinces, on attitudes to the British Government in India, 1857. # Transcript Pr0 30/29/21/7 - Copy Of A Memorandum By Francis Horsby Robinson, Former Member Of The Board Of Revenue, North West Provinces, On Attitudes To The British Government In India. 1857. The English Government is less popular than it has ever yet been in India - it is in fact very much disliked, and looked at with fear and distrust. I am able to speak on this subject from thirty years service and from the nature of my services and my own tastes having led me to see more of the natives and to hear more of their unreserved opinions than most residents in India. The time of the decline of our popularity has been from the termination of Lord W. Benticks administration when it was at its height. The memory of that wise and good man is gratefully cherished by the people of India. In my early service the country was very settled and disturbed, and we had to depend a good deal on natives of power and influence, to keep things tolerably quiet. We were obliged to be civil and kind to the people then - and civility and kindness produced their usual effect. Lord William Bentick openly declared that his policy was to bring forward the natives and efface the galling distinctions of conquest, and when he left us our Government was respected, and the people attached to it. Since his retirement the progress of our strength has increased till we have become perfectly strong - no one dreams of opposing us. We have in consequence ceased to be courteous to the natives or to live at all familiarly with them. Besides, the body of the civil service and many of the military have embraced extreme religious opinions, so that too many look on the natives with increased antipathy as pagans and unbelievers and enemies of God - in addition to the prejudices of color and caste - all kinds of imprudence are committed. I have known a civil officer make the native servants of the Government in attendance on him and his own servants attend family worship, and that to complete the absurdity, in English . An officer commanding a Regiment to prohibit the Hindoos from honoring the colors with Incense and Garlands, a thing as old as the Indian army - that Regiment subsequently mutinied. The fountains in the Government Gardens at Agra - a favourite resort of the natives on Sundays - were stopped from playing on the Sabbath - and made to play on Thursdays. Government have shown a dangerous and marked partiality for the Missionaries. There is a law in full vigor compelling the Board of Revenue to see that all religious endowments are duly administered. The law is unrepealed but there is an order of the Home Government prohibiting their servants from having anything to do with religious trusts not Christian. A Mahomedan Ruler and a Hindu of great wealth who had been a distinguished Soldier in our service both consulted me as to getting Government to take charge of splendid charitable and educational endowments they proposed to make. I had to point out to them that they must strike out respectively an endowment for a temple and a mosque which they had included in the endowments. I shall never forget the surprise, pain, and incredulity with which both at first listened to me. The surprise and incredulity soon ceased, but the pain and anger remained. Neither of the charitable and educational endowments were made - the temple and the mosque have been endowed. In a case where a missionary was fined by a Magistrate for contempt of court, Government interfered in spite of my protest that the proper course for the missionary was an appeal to the proper judicial authority. The Home Government also noticed the case - now I have known the Government repeatedly to refuse to interfere, and very properly, even in cases of extreme wrong, with the regular course of justice, but they departed from this wholesome rule in the case of a missionary. [Mr ?] has said that the natives should not be admitted to take part - an equal part in the civil administration till they become Christian. Sir C. Wood openly stated his anxiety for their conversion in the House the other night. These things will find their way to India, and in an exaggerated form. The see that no civil or military servant in India rises to a position of real influence or distinction who does not hold strong religious opinions and act under the religious party. All classes are alarmed. It is a fact that communications have passed among the Mahomedans and pledges have been exchanged to rise if forcible conversion is attempted. The fear is vain, but its existence, however unfounded, is an element of danger. The last Riot at Benares was made under pretence of the authorities striving to do away with the caste of the Prisoners in jail by forcing them to [mess? = eat?] together and this very[ messing?] system has caused outbreaks in different jails in which I think I compute moderately when I say that 100 lives have been taken. There were to my knowledge sanguinary reprisals of mutinies on this score in the jails of Allahabad and Ghazeepoor; and I have heard of others. If by the imprudence of Government a spirit of religious patriotism is once excited in India and if it got into the Army, out power is at an end. Besides, these things defeat their own purpose. The patronage of Government - a Government of Conquerors - will be found fatal to the progress of Christianity. It was while the Missionary was neglected and almost persecuted that he laid the foundation of the success that now begins to show itself. This very success adds to the alarm felt by the mass of the people and calls for more prudence. Our only safe and just policy is perfect impartiality and neutrality in matters of religion. (signed) Francis Horsby Robinson Late member of the Board of Revenue 8th June 12 Queen Street Mayfair / N W Provinces Copy of the Calcutta Gazette containing the Governor General's proclamation to the Bengal army of May 16th 1857. ## Document - Zper 34/31 Article in the London Illustrated News reporting on the Mutiny in India, 4th July 1857 ## Document - Ho 45/6857 (2 Pages) A Church of England pamphlet: form of prayer and thanksgiving in suppressing the Indian rebellion ## Document - Pro 30/29/23/10 Supplement to The Calcutta Gazette containing notification of restrictions on printing and publishing in the vicinity of Calcutta Extract from a secret letter of June 9th 1830 from the directors of the East India Company to the Governor General. ## Transcript: Document Pro 30/29/23/10 - Extract From A Secret Letter Of June 9Th 1830 From The Directors Of The East India Company To The Governor General. Extract Secret Letter to the Governor General in Council at Fort William in Bengal dated 9th June 1830 Made Public 28th June 1830 Para 29 It is our wish to respect all the rights of the Native Princes. Where these Treaties directly authorise, or indirectly involve our interference with their internal administration, not to interfere without necessity nor longer than necessity may require, but misgovernment constitutes that necessity, and in the preeminent situation in which it has pleased Providence to place us, we have not a higher duty that that of securing to all within the sphere of our legitimate influence a beneficent Government. 30 Where our interference in the internal administration of a State is neither directly or indirectly the result of our engagements with it, nothing but the just and reasonable apprehension that its maladministration may endanger the general peace, can justify our authoritative intervention in its affairs. The benefits which in a particular case might attend one intervention would be more than counterbalanced by the danger of violating national law. Document - PRO 30/29/23/10 Newspaper article quoting extracts from Irish papers on the Indian mutiny November 1857 Extracts from the Simachur Soodhartoursun, a Calcutta newspaper, May 28-June ## Transcript: Document - Pro 30/29/23/10 Quotations From The Simachur Soodhartoursun, A Calcutta Newspaper, May - June 1857 Extracts translated from a Calcutta daily paper published in Bengali and Hindu called the Simachur Soodhartoursun dated 5TH June 1857 "The mutinies at Meerut and Delhi have filled the mind of out Governor with fear. He had therefore added 24 men to his body-Guards and has ordered the principal gate, and all the minor entrances at Government House to be closed punctually at 8 O" Clock p.m. After the gates are closed, no one is admitted, no matter who he be, or what his business and he goes every day to Dum Dum, Barrackpore [?] and salaaming to the Sepoys with both hands with great address explains to them with sweet words "I will never attempt anything which can injure your religion. Do whatever you religion requires - no-one shall prevent you." The Member of the great Council of Parliament, having understood that the order to bite the Cartridges was at the bottom of all the present mutinies of the Sepoys, have sent a letter of command to Lord Canning - In it this is written "Take means to make the Hindu and Mussulman Sepoys abandon their mutinous conduct, or else it will be much the worse for you." When he got these orders our Governor determined to burn all the Cartridges made of suspected covers /paper?/ in the presence of the Sepoys all over the country, in order that they might lose all suspicion in regards to their religion and return to their allegiance, but it does not seem as if the Sepoys would place any confidence in the words of the Governor" 26th May In another article after affirming that it has only been constant war that has made us prosper hitherto, and that our constant aggression were not bad policy, the writer proceeds "But now from the way in which they (our Rulers) have attempted to destroy religion, it seems that God is certainly displeased with them, and hence it is not improbable that they will lose their Empire" "When a servant gives answer to his master death is not far off." It is clear that the Sepoys have given an answer "to their masters" upon the subject of the loss of their caste. Let our readers consider for themselves what is likely to follow. It was in an unlucky moment that the Governor passed the order for biting the Cartridges, that he will not be able to effect his purpose is a trifle, but he will have difficulty in saving the Empire. Now he takes every kind of oath, but the mutinous soldiers attach no credit to what he says and show no inclination to leave off fighting - on the contrary their rage increases every day and they have induced the people in many places to join them." "The Raja of [Rewa?] promised the priests of the Sacred God [hadhur?] at Goya 2 ½ [lacks?] of rupees if he should conquer the war with the English, so the Priests are praying God that he may be victorious." "The Emperors of France and Russia have made peace with the British Government upon condition that the country which the British have taken from them [?] respectively is to be restored, but the orders of restoration have not yet issued. They will probably not long be delayed under present circumstances." Government has passed an order that all merchants are to assist in the war. The Merchants are in great trouble about this." "All the country people [?] Agra are buying weapons and arms in every direction saying "If we die for it, we will fight with all our might against the English - Let us see what will come of it." Document - DO 35/9144 The President"s message on the Hundredth Anniversary of 1857, as reported in "India News" Document - DO 35/9144 Article in the Times about why the Sepoys rose against the East India Company 1957 ## Homework - Basic Knowledge Of The Indian 'Mutiny' What was the Indian Mutiny? What were the results of the Indian Mutiny? What is caste? How can caste be threatened?	en
2907-pdf	## Gender Pay Gap Based On Data From 31St March 2019 Background We Are Required By Law To Carry Out Gender Pay Reporting Under The Equality Act 2010 (Specific Duties & Public Authorities) Regulations 2017. This Involves Carrying Out Six Calculations That Show The Difference Between The Average Earnings Of Men And Women In Our Organisation. It Will Not Involve Publishing Individual Employees' Data. We Can Use These Results To Assess: - the levels of gender equality on our workplace - the balance of male and female employees at different levels It is important to note that gender pay reporting is different to equal pay. - Equal pay deals with the pay difference between men and women who carry out the same jobs, similar jobs or work of equal value. It is unlawful to pay people unequally because they are a man or woman. - The gender pay gap shows the difference in the average pay between all men and women in a workforce. Results A snap shot of data was taken from 31st March 2019 and the results are below for the six required calculations. It should be noted that we have a higher proportion of staff that are female (56%) than male (44%). Female staff from the majority of all four quartiles, from the highest paid to the lowest. 1. The average gender pay gap as a mean average A female's hourly rate is 0.1% lower than a male. The mean hourly rate is £13.88 for male employees and £13.87 for females. 2. The average gender pay gap as a median average A female's hourly rate is 6.3% lower than a male. The mean hourly rate is £12.77 for males employees and £11.97 for females. 3. The average bonus gender pay gap as a mean average A female's hourly rate is 0% lower than a male. The Council does not consider that it pays bonuses in accordance with the criteria set out and therefore reporting on this element is not applicable. 4. The average bonus gender pay gap as a median average A female's hourly rate is 0% lower than a male. The Council does not consider that it pays bonuses in accordance with the criteria set out and therefore reporting on this element is not applicable. 5. The proportion of males receiving a bonus payment and proportion of females receiving a bonus payment Males 0% Females 0% The Council does not consider that it pays bonuses in accordance with the criteria set out and therefore reporting on this element is not applicable. 6. The proportion of males and females when divided into four groups ordered from lowest to highest pay Male Female Q1 Lower 49.4% 50.6% Q2 Lower Middle 30.5% 69.5% Q3 Upper Middle 48.2% 51.8% Q4 Upper 47.6% 52.4% There is a higher proportion of women than men in all four of the Council's pay quartiles. However there is a higher concentration of women in the lower middle quartile, which has contributed to the gender pay gap. ## Next steps Blaby District Council is pleased to see that our mean gender pay gap continues to reduce, however we note that the larger median difference suggests an uneven gender distribution across the Council. Blaby District Council will continue to undertake a number of measures in place to support gender pay equality including: - The Council has made the gender pay gap a key part of our Equalities Objectives and this will continue to be reported. - The use of Gauge job evaluation system which ensures that through its application job grading is gender neutral. In addition we will: - Further explore the over-representation of females in the lower middle quartile of roles to understand the drivers for this pattern.	en
3114-pdf	## Recommendation 1 Home Office To Build On Its Kim Action Plan And Ensure That The New Knowledge And Information Executive Group (Kieg) Owned Information Strategy Sets Goals For The Whole Department. The Strategy Should Provide Impetus For Work To Improve Technology, Governance And Culture. There Would Be Benefit In Centring The Strategy On The Principles Of Information Availability, Security And Exploitation That Are Already Defined As Objectives In The Department'S Risk Governance Approach. Progress Update - June 2016 Ref: Actions 1.1 Create a 3 yr KIM strategy. Align and link to all other related HO strategies/units. Present to KIEG. Obtain KIM Strategy and action plan sign off with KIEG and SIRO Investigate and action a more direct formal linkage between all information and data related experts through merger, reporting, process or governance Med Sep-16 OPEN 1.2 1,3 Information asset owners to evidence they have considered DigC issues and implemented measures to protect information once HO has established the contractual position 1,4 Investigate future 'New desktop' management/control of information functionality. Create options and plan of action for embedding effective digital continuity. Assign a point of contact within KIM to work with new project leads. Status Target Priority (High/Med /Low) Completion date High Dec-16 OPEN Med Mar-17 OPEN Med Dec-16 OPEN ## Recommendation 2 Kimu And Information Assurance Staff To Work Together To Increase Oversight And Control Of Home Office'S Information Assets, Establishing Clearer Department-Specific Principles For Information Asset Owners (Iao'S). Progress Update June 2016 \| Ref: \| Closed \| \|----------------------------------------------------------------------------------------------\|--------------------------------------------------------------------------------------------------\| \| Target \| \| \| Priority \| \| \| (High/Med /Low) \| \| \| Completion date \| \| \| Review \| and \| \| interaction/linkage with KIM policy on retention, data asset and data sharing guidance. \| IAO \| \| 2.1 \| \| \| Med \| Aug-16 \| \| OPEN \| \| \| guidance to include the responsibilities, training and management of data and the setting of \| \| \| retentions. \| \| \| 2.2 \| The business via KIEG to review all unit assets are on register, have a suitable IAO, correct \| \| Med \| Feb-17 \| \| OPEN \| \| \| registered detail & ensure retentions marked in line with new retention standards. \| \| \| 2.3 \| Work with Digital to align asset register with the new Data Cat. Ensure all relevant details are \| \| Med \| Dec-17 \| \| OPEN \| \| \| included. \| \| ## Recommendation 3 Develop Plans To Increase Oversight And Drive Good Governance Of Information Held Outside The Corporate File Plan (Cfp) And Imanage, Information Not Migrated To Imanage, And Held In Personal Repositories And Unstructured Shared Drives. Progress Update - June 2016 \| Ref: \| Closed \| \|------------------------------------------------------------------------------------------------\|-------------------------------------------------------------------------------------------------\| \| date \| \| \| /Low) \| \| \| Target \| \| \| Priority \| \| \| (High/Med \| \| \| Completion \| \| \| 3.1 Work with IT futures to ensure KIM requirements around email is incorporated into planning \| \| \| Med \| Jun-17 \| \| OPEN \| \| \| 3.2 \| Work to develop the e-discovery solution as a means to identify material of long term business, \| \| Med \| Mar-17 \| \| OPEN \| \| \| historical, reuse or compliance value. \| \| \| 3.3 Create solutions for future control of corporate and personal storage. \| \| \| Med \| \| \| Dec-16 \| \| \| OPEN \| \| ## Recommendation 4 Establish A Single Approach For Knowledge And Information Management Governance That Cuts Across The Existing Group Structure To Drive Consistent Department-Wide Improvement. Progress Update - June 2016 \| Ref: \| Closed \| \|---------------------------------------\|------------------------------------------------------------------------------------------------\| \| /Low) \| \| \| n date \| \| \| Target \| \| \| Priority \| \| \| (High/Med \| \| \| Completio \| \| \| 4.1 \| \| \| \| Review current governance, reporting lines and BAU processes and establish a formal/informal \| \| High \| Sep-16 \| \| OPEN \| \| \| linkage. \| \| \| 4.2 \| Ensure all KIM documentation in a standard, consistent and mapped to relevant policies. Ensure \| \| Med \| Jun-16 \| \| OPEN \| \| \| process in place to review regularly. \| \| \| 4.3 \| Share One3M results with KIEG, SIRO and wider KIM Community. Find other routes to publish \| \| Med \| Jul-16 \| \| OPEN \| \| \| results to general staff \| \| ## Recommendation 5 Establish A Plan To Ensure Messages About Information And Records Management Requirements And Responsibilities Are Reaching All Staff Across All Groups. Progress Update - June 2016 \| Ref: \| Closed \| \|----------------------------------------------------------------------------------------\|-----------------------------------------------------------------------------------------------------\| \| Target \| \| \| Priority \| \| \| (High/Med /Low) \| \| \| Completion date \| \| \| 5.1 \| Create and implement communication plan to inform all staff regularly of their key responsibilities \| \| Med \| Aug-16 \| \| OPEN \| \| \| with support of KIEG members. \| \| \| 5.2 Incorporate behavioural measures into 2016/17 One3M model. \| \| \| Med \| Sep-16 \| \| OPEN \| \| \| 5.3 Review risk register and mitigations to reflect report comments \| \| \| Med \| Sep-16 \| \| OPEN \| \| \| 5.4 Develop and deliver KIM eLearning programme for staff \| \| \| Med \| Jun-16 \| \| OPEN \| \| \| 5.5 Review Knowledge and Information Champion and support roles and amend as necessary \| \| \| Med \| Dec-16 \| \| OPEN \| \| ## Recommendation 6 Establish A Plan For Achievement Of 20-Year Rule Commitments For The Remainder Of The Transition Period, Ensuring Clear Process And Guidance For Review Staff Are Defined. Progress Update - June 2016 \| Ref: \| Closed \| \|-----------------------------------------------------------------------------------------------------\|------------------------------------------------------------------------------------------------------\| \| /Low) \| \| \| n date \| \| \| Target \| \| \| Priority \| \| \| (High/Med \| \| \| Completio \| \| \| 6.1 Create regular reports - short/long term planning/achievement to DRO/TNA on progress and issues \| \| \| High \| Ongoing \| \| Open \| \| \| 6.2 Review processes on methods of appraisal and implement \| \| \| Med \| Dec-16 \| \| Open \| \| \| 6.3 \| To continue to work with TNA on the Digital Transfer Group and the Digital Sensitivity Group to plan \| \| Med \| on-going \| \| Open \| \| \| digital transfer of records in 2017. \| \|	en
0545-pdf	March 2020 ## Review Of Ris1 Major Scheme Scope Changes And Cost Impacts Prepared for: The Office of Rail and Road 25 Cabot Square Canary Wharf London E14 4QZ United Kingdom IMPORTANT NOTICE The findings contained within this report are based on interviews with Highways England personnel and information provided by Highways England and the Office of Rail and Road. We have assumed that information provided to us is reliable and we have not sought to independently verify its accuracy. Whilst every effort has been made to identify and obtain the relevant information, we cannot guarantee that we have been provided with all information relevant to the subject matter of this review. Should further relevant information come to light that was not provided to us, it may be necessary to update our findings and recommendations. This review considered a sample of eight Highways England's schemes being developed within Road Period 1. These schemes were jointly selected by the Office of Rail and Road and Highways England and were selected as they demonstrated some of the largest cost variances within the portfolio. The findings and recommendations within this report should be taken in this context and they may not reflect the performance of the wider portfolio being developed in Road Period 1. This review was conducted in accordance with the terms of our contract with the Office of Rail and Road, dated 27 September 2019. The photographs used within this report are sourced from Highways England's official Flickr account (https://www.flickr.com/photos/highwaysengland/). These photographs contain public sector information licensed under the Open Government Licence v3. A link to this licence can be found at - http://www.nationalarchives.gov.uk/doc/open-government-licence/version/3/. ## Executive Summary 1 Executive Summary The Department for Transport's first Road Investment Strategy, known as RIS1, defined a five-year programme of capital investment into England's Strategic Road Network. Formed rapidly alongside the creation of Highways England, RIS1 marked a step change in the way in which capital works are planned and delivered. Prior to RIS1, capital investment was planned annually by the Highways Agency and budgets and volumes of schemes were considerably lower. The estimated outturn cost of RIS1's major scheme portfolio has increased above the original baseline estimate. With RIS1 drawing to a close and the next Road Investment Strategy commencing in the first quarter of 2020, The Office of Rail and Road appointed Ankura to review the impact that scope change has had on the movement of RIS1 major scheme costs and the implications that this may have for the next Road Investment Strategy, RIS2. Our review, which was based on a sample of schemes that had experienced significant cost variances, finds that: - Immaturity in the assumptions on which schemes' estimates were calculated was the largest driver of scope change and cost variance, impacting all of the schemes within the sample and accounting for three quarters of the cost variance within the sample; - Additional scope and cost arising from unforeseen site conditions was the second largest driver, impacting half of the schemes within the sample. The cost impact was more minimal accounting for less than 10% of the cost variance within the sample; - Scope and cost changes arising from changes in requirements, conditions imposed by stakeholders, changes in standards and archaeological finds were minimal. There were also instances in which costs were reduced through value engineering and descoping exercises; - There are several distinctions that reduce the likelihood of a recurrence of these issues for RIS2. The constituent schemes within RIS2 are at a greater level of maturity, reducing the reliance on budgeting assumptions. RIS2 has been developed over a number of years, in contrast with the comparatively short period of time available for the development of RIS1. Highways England is a more established organisation today and has had an opportunity to develop its corporate functions and processes. Furthermore, a new addition for RIS2 is the creation of a portfolio-level risk allocation pot, developed by The Department for Transport and Highways England. This provision is intended to support Highways England in managing the exposure of projects to unknown or unforeseen risks and scope change and additional process development will be required to ensure its appropriate allocation, with feedback into the estimating assumptions and processes; - Processes and governance arrangements are in place to manage scope changes and their impacts on cost and our review did not reveal instances in which scope had changed in an uncontrolled manner. However, improvements could be made to the information that governance bodies receive to enable them to provide more effective challenge; and - Improvements could be made to lessons learnt arrangements to increase consistency, objectivity and the use of data to focus improvement activity and enhance scheme performance. ## Introduction 2 Introduction Highways England is responsible for operating, maintaining and improving England's motorways and major trunk roads, collectively termed the Strategic Road Network ("SRN"). In December 2014 the Department for Transport ("DfT") set the first Road Investment Strategy, known as RIS1. RIS1 set a commitment for a five-year capital investment programme in the SRN and marked a step change in the way that Highways England planned and delivered its capital works, as its predecessor, The Highways Agency, operated within annual investment cycles. RIS1 originally comprised 112 major improvement schemes and had an original budget, referred to as the Statement of Funds Available ("SoFA"), of £11.4bn1. It represented a considerable increase in the scale and volume of capital works being undertaken by the organisation: in 2014, the year before the creation of Highways England, the then Highways Agency delivered capital works of approximately £1.9bn and initiated the construction of seven major projects. Road Period 1 ("RP1") is the period between 2015/16 - 2019/20 and is covered by RIS1. RP1 was overprogrammed by approximately £650m2 and, as such, there was pressure on the SoFA from the outset. Highways England has reported to its monitor, the Office of Rail and Road ("ORR"), that the current estimated outturn costs of developing RIS1's major scheme portfolio has increased above the original baseline estimate. We were appointed by the ORR3 to undertake a review into a number of these cost movements to understand the impact that scope changes have had and to identify lessons for the next Road Period, RP2, which commences in April 2020. This report sets out our findings. Background Highways England is the government company charged with operating, maintaining and improving England's motorways and major A roads. Formerly the Highways Agency, an executive agency of DfT, it became a government company in April 2015, operating with greater independence. As part of the transition from the Highways Agency to Highways England, changes were made to the way in which capital investment in the SRN is planned. Under the previous arrangement, the Highways Agency received its capital funding on an annual basis. Major highways projects, like any other large construction project, generally span several years and therefore an annual funding cycle provided minimal opportunity for long term planning. Under the new RIS and SoFA, capital investment was to be budgeted in five-year cycles, similar to those used in the railway sector. The first Road Period ("RP1"), covered the period from April 2015 to March 2020. RIS1 is the strategy that covers RP1. RIS1 was prepared in parallel with the establishment of Highways England and within a relatively short period of time, preventing the rigour that is currently exercised in the estimation of scheme budgets. Furthermore, approximately two thirds of the constituent schemes were at a low level of maturity when the SoFA for RIS1 was developed and had not yet reached a stage of scope development that would enable reliable cost estimates to be determined. In the absence of the requisite levels of scope maturity, scoping assumptions were used extensively to enable high level costings to be prepared within the available time period. ## 3 Terms Of Reference We were appointed by the ORR to review the impact that scope change has had on the movement of RIS1 major scheme costs in RP1 and the implications that this may have for RIS2. We were instructed to undertake the following: - Using a sample of RIS1 schemes proposed by ORR, review whether scope changes were the primary driver of cost change and, if not, what the reasons were; - Where scope change was the primary driver for cost variations on the sample schemes, categorise the drivers of change; - Establish what the scope change was, at what point it was identified and by whom; - Consider how Highways England's processes control the risk of scope creep; and - Establish whether there is evidence that Highways England has captured the lessons learnt from the reasons scope has changed in its processes. In the next section of our report, we set out our methodology. ## 4 Review Methodology Our Methodology Comprised Three Distinct Phases, As Set Out Below. \| Prepare \| Analyse \| Report \| \|------------\|-----------\|----------\| - Familiarisation with - Consolidation of findings previous relevant reviews - Desktop review and analysis of scheme documents - Fact checking with Highways England - Agree sample schemes - Interviews with key personnel - Report production and verification - Document request ## Prepare Prior To Commencing Our Fieldwork, We Undertook A Desktop Review Of Previous Reviews Undertaken By Other Parties That Were Relevant To Our Scope Of Work. These Were As Follows: - "Progress with the Road Investment Strategy", National Audit Office, March 2017; - "Review of Highways England's Portfolio and Programme Management Capability", commissioned by the Office of Rail and Road, October 2017; and - "Assessment of Highways England's Cost Estimation Approach for RIS2", commissioned by the Office of Rail and Road, June 2019. Our review has been undertaken on a sample basis. We attended meetings with the Office of Rail and Road and Highways England, who jointly agreed the sample schemes that our review would be based upon. The schemes provided to us, which had all encountered cost variances from their initial funding allocation, are set out overleaf. ## M60 Junction 6 - M62 Junction 20 Upgrading the M60 to a Smart Motorway between Junctions 8 and 18, the M62 between Junctions 18 and 20. ## M6 Junctions 16-19 Upgrading the M6 between Junctions 16 and 19 to a Smart Motorway including hard shoulder running, along with other improvements to the M6 and M1. ## M4 Junctions 3-12 Upgrading the M4 to a Smart Motorway between Uxbridge and Reading. ## A358 Taunton To Southfields Creation of a dual carriageway link from the M5 at Taunton to the A303 incorporating upgraded stretches of the existing road into the strategic road network where appropriate. ## M62 Junctions 20-25 Conversion of an existing motorway to a Smart Motorway across the Pennines, from Rochdale to Brighouse, linking two existing sections of Smart Motorway to create a continuous Smart Motorway route from Leeds to Manchester. ## A428 Black Cat To Caxton Gibbet Upgrading a single carriageway section of the A428 between Caxton Gibbet and the A1 to dual carriageway and the development of a grade separated junction at the A1 Black Cat roundabout. ## M20 Junction 10A Creation of a new motorway junction to support major development to the south east of Ashford. ## A21 Tonbridge To Pembury Upgrading the A21 between Tonbridge and Pembury to a dual carriageway, linking the highquality dual carriageway north of Tonbridge with existing dual carriageway to the south and providing a grade separated junction at Longfield Road. Analyse We undertook interviews with key members of each scheme's project team and reviewed project records to understand the chronologies of each scheme, identify the issues relating to scope changes and the respective cost impact, which we then classified as follows: \| Category \| \|-----------------------------------------------------------------------\| \| \| \| Immature \| \| assumptions \| \| Immature scope or costing assumptions on which a scheme's \| \| estimate was calculated, which were identified after the SoFA had \| \| been approved. \| \| \| \| Unforeseen site \| \| conditions \| \| Additional costs arising from site conditions being different from \| \| those that were assumed when the scheme's estimate was \| \| developed. \| \| \| \| Stakeholder \| \| conditions & \| \| requirements \| \| Conditions imposed or a change in the scheme's requirements, \| \| following a stakeholder consultation or completion of a planning \| \| process. \| \| \| \| Change in client \| \| requirements \| \| A change in the client's requirements for the scheme resulting in an \| \| increase in the scheme's estimated or actual costs. \| \| \| \| Change in \| \| standards \| \| A change in the standards to which schemes must adhere following \| \| the development of the scheme's estimate. \| \| \| \| Archaeological \| \| finds \| \| Additional costs arising from archaeological finds within the project \| \| site. \| \| \| \| Value for money \| \| A change in the scheme's requirements to reduce cost or drive a \| \| higher Benefit Cost Ratio. \| \| \| \| Integration of \| \| other works \| \| The incorporation of other works into the scheme's scope of works. \| For each scope change, we sought to establish: - Its context and background; - When it arose and who identified it; and - Its impact, where possible. Report We tested our analysis with Highways England for factual accuracy, before consolidating our findings. The impact of scope change on scheme costs are presented in aggregate, relative terms in recognition of the commercial sensitivity of scheme financials, particularly those that have yet to reach commercial settlement. ## Findings 5 Findings Relative Impact Across The Sample Schemes Items to the right of the Initial Budget line are categories that relate to cost increases, items to the left relate to cost reductions This section of our report sets out the findings from our analysis. The diagram below summarises the relative impact of each category of scope change across the eight sample schemes. Immature assumptions         Unforeseen site conditions     Stakeholder conditions & requirements    Change in client requirements    Change in standards   Archaeological finds  Value for money   ## Iimmature Assumptions Immature scope or costing assumptions on which a scheme's estimate was calculated represented the largest source of cost variance and impacted all eight schemes in the sample, accounting for 76% of the total cost variance across the eight sample schemes. The theme that underpinned all of the schemes in our sample appeared to be one of estimates that had been developed rapidly due to the compressed timescales associated with the development of the capital portfolio for RP1. Several schemes were at a low level of maturity at this point and the timescales to develop scheme budgets necessitated the use of both high-level approaches to costing and reliance on scope assumptions where scopes of work had not yet been developed or approved. As a consequence of these constraints, schemes were unable to follow the established and more rigorous estimating process at a point in time that a stable and mature scope existed. Following the formulation of RIS1, more realistic estimates were prepared as the schemes were "picked up" by project teams and further developed, at which point the immaturities in the original estimates were exposed. ## Unforeseen Site Conditions Additional scope and costs arising from unforeseen site conditions was the second most significant category, impacting four schemes in the sample and accounting for 8% of the total cost variance. These generally related to schemes where construction commenced but limited surveying activity or site analysis had been undertaken beforehand, due to a combination of limited access, sensitivity to undertaking surveying activity before planning announcements were made or due to time constraints. Issues were subsequently uncovered once construction had begun. Whilst there were instances in which surveying could not be undertaken, there remain several schemes in which more rigorous investigation and study prior to commencing on site could have revealed potential costs sooner or could have enabled issues to be resolved in a more cost-effective manner. ## Stakeholder Conditions & Requirements Stakeholder conditions & requirements accounted for 3% of the total cost change across the sample schemes, affecting three schemes. Changes related to the necessary incorporation of requirements identified through statutory and public consultations. These included changes to the route of one scheme to address stakeholder feedback and to meet requirements identified through the Development Consent Order process for a second scheme. ## Change In Client Scheme Requirements Change in client scheme requirements accounted for 3% of the total cost variance across the sample schemes, affecting three schemes. Changes to client requirements generally related to the scheme's timescales and included new requirements to accelerate the commencement or completion of construction activity or changes to traffic management restrictions to limit the impact of construction activity on motorists. ## Change In Standards Changes in standards had a limited impact on the sample schemes, accounting for 1% of the total cost change across the sample, affecting two schemes. We consider that there is limited scope for Highways England to control this. These changes included a corporate decision to install Remotely Operated Temporary Traffic Management Signs across all Smart Motorway schemes to improve the safety of operational personnel and motorists, the financial impact of which was greater on schemes that were already in construction. A change in the traffic modelling methodology also impacted a particular scheme in the sample and resulted in the requirement for further modelling and consultation. ## Archaeological Finds The impact of archaeological finds within our sample was relatively limited, with one scheme experiencing a cost increase as a result. This category of scope change accounted for less than 1% of the total cost variance across the sample. ## Value For Money Value for money accounted for 9% of the total cost variance in the sample. This category of scope change resulted in a reduction of the estimated outturn cost across two schemes4. Project teams were able to drive greater value for money by value engineering or descoping the schemes within the sample, which is positive. The delivery of these savings will need to be monitored closely to ensure that they are realised, particularly for schemes in which savings have been banked but where construction has yet to start. Controlling the risk of scope creep We were also instructed to consider how Highways England's processes control the risk of scope creep. In this section of our report we outline the control processes that were in place during RIS1 and provide a narrative on their effectiveness in the context of the scope change and the associated cost variances observed in our sample. For the purposes of our assessment, we have considered scope creep to be the incremental and uncontrolled growth in schemes' scopes of work, generally over a period of time. It is distinct from scope change, in which an active decision to change a scheme's scope of work is taken and the appropriate control and governance mechanisms are applied at the time. Highways England and the DfT has an established change control system and system of governance that applies to the management of scope. Decisions on change are made at different levels of the organisation, depending on the significance of individual changes and their impacts. Changes of a minor nature may be authorised at individual contract level. Approvals of a larger nature escalate through Highways England's hierarchy and management committees, up to and including DfT and Ministers for larger and more significant changes typically involving scope, funding, schedule or value for money. Scheme cost forecasts are subject to scrutiny as they progress through the development lifecycle as part of Highway's England's Stage Gate Assessment Review process ("SGAR"). Additional funding may be requested between development stage gates and decisions of this nature are made by the relevant investment committees. We have reviewed a selection of project investment governance papers relating to the schemes within our sample. These papers are scheme specific and their purpose can be to provide scheme updates, seek a decision, provide information and seek approval for cost variances by the appropriate committee within Highways England or Government. The papers we reviewed showed variability in the level of detail provided and the way in which that information is presented. For example: - The investment governance paper for one scheme provided a detailed assessment of the underlying causes of the scope change and associated cost variance, making it straightforward for committee members to understand and challenge. - Conversely, the paper for another scheme, which requested approval for an increase in the total outturn cost, contained much less detail; whilst it provided a breakdown of the increase, its narratives were limited to comparatively high-level descriptions, for example "Increase to main works costs" and "additional statutory diversion works", making it difficult for reviewers to identify potential scope creep. We note that assurance reviews of investment governance papers are undertaken prior to their submission, which involves reviews of their contents by various subject matter advisors (e.g. Strategic, Economic, Commercial, Financial and Management), and we were made aware of guidance for reviewers in this regard. This is positive, although we note that, despite this, there is a relative degree of inconsistency across investment committee papers in relation to the presentation and level of detail that supports requests for additional funding. Therefore, the level of challenge that committee members are able to provide could be inconsistent across schemes. The consistency and quality of information has also improved in more recent papers, when compared to those prepared earlier in RP1. However, we believe that there are opportunities for further improvement to provide greater clarity and traceability of scope changes and associated cost impacts. Lessons Learnt In this section of the report we set out our assessment of the extent to which Highways England has captured and embedded lessons learnt in its processes. Lessons learnt reviews are conducted at certain junctures in the lifecycle of schemes, as well as on completion. These are formal exercises involving the scheme's design and delivery partners, the outputs of which are signed off. In our assessment, there are improvements that could be made to the process to enhance the value that Highways England derives from its knowledge base. These should build on the knowledge management strategy that is in development and are as follows. The use of standard proformas for capturing lessons and developing standard guidance on the information that should be recorded would drive greater consistency in knowledge capture and allow it to be assimilated. The granularity of analysis into lessons varied across our sample of schemes. Some captured the time and cost impacts of issues that occurred, whereas others did not. The format of the outputs also varied; in most cases a lessons learnt log was prepared in an Excel workbook but in one instance the output was a PowerPoint slide pack. Whilst these tools are effective in capturing lessons on an individual scheme basis, they make it difficult to assimilate themes across the RIS1 portfolio. An independent project team should lead lessons learnt reviews to increase objectivity, which would also serve to enhance the dissemination of knowledge across the organisation. Lessons learnt workshops are led by the relevant scheme's project committee, which may introduce bias into their assessment, whether unintentional or otherwise. The likelihood of bias is increased by way in which the workshops are conducted: they rely extensively on discussion and, whilst it is important that issues are debated, there is a risk that bias is unintentionally introduced. Lessons learnt reviews should be data-led. Standard analyses should be introduced to allow projects to be compared and a systemised approach adopted for retention that allows trends to be monitored, processes to be optimised and insight to be applied at the front end of projects to challenge planning assumptions. The analysis and capture of project data within lessons learnt reviews appears to be limited, with most lessons identified through discussion. The absence of data and analytics in the lessons learnt process increases the risk of subjectivity and limits the ability of Highways England to accurately quantify the impact and frequency of issues at a corporate level and therefore prioritise remedial action effectively. We support the creation of "Heads of Profession" within Highways England Major Project Directorate, which should drive know-how across project teams. This could be strengthened by formalising handovers between project managers and enhancing the analysis that is undertaken as part of the Stage Gate Assessment Review process so that the underlying causes and quantification of performance issues are objectively assessed at each stage. As a projects organisation that is geographically dispersed, dissemination of lessons learnt within Highways England is challenging. Furthermore, many of the projects within RIS1 have long timetables and there is a risk that knowledge is lost. We observed several instances in which project managers and sponsors were able to provide only limited insight into issues that had affected their schemes before their tenure and were unable to readily provide the relevant project records to us. During this review we were made aware that a knowledge management strategy and a dedicated team to support the delivery of this strategy is under development. We have been informed that this will include guidance for standardising lessons learnt workshops and a knowledge management "bank" to collate, monitor identified trends and disseminate lessons between schemes. As this strategy and team are in development, we have been unable to provide any observations although we support its intention. RIS2 context This review has identified several issues that impacted all or the majority of schemes within the sample. Whilst the scope of our review did not include assessing the formulation of RIS2 and the extent to which these issues have been addressed, during our review we have identified a number of areas that have been developed. There are also a number of distinctions in the nature of RIS2 that make it less likely that similar issues will recur. These are as follows: - The constituent schemes within the RIS2 business plan are, generally, at a greater level of maturity (see breakdown below5); - RIS2 has been developed over a number of years, in contrast with the comparatively short period of time that was available for the development of RIS1; - Highways England is a more established organisation today and has taken the opportunity to develop its corporate functions, processes and governance arrangements. Examples include the creation of a Capital Portfolio Management function, development of a specialist capability through the "Heads of Profession" operating model, ongoing formulation of "Integrated Project Controls" (which aim to provide tools to improve the management of major projects' risk, schedule and scope) and the enhancement of the estimating process6; and - A new addition for RIS2 is the creation of a portfolio level risk allocation pot, developed by The Department for Transport and Highways England. It is understood this provision will be included within the RIS2 funding allocation and is intended to support Highways England in managing the exposure of projects to unknown or unforeseen risks and scope change. As this is a new concept it is expected that Highways England will need to develop its processes to ensure appropriate allocation of this contingency to projects, with feedback into the estimating process. ## Concluding Remarks 6 Concluding Remarks Our review has provided an analysis of eight schemes within Highways England's RIS1 major scheme capital investment portfolio that have experienced scope change and an associated cost variance. The primary driver for the majority of the scope change and associated cost increases identified within the sample schemes was immaturity in the assumptions on which the original scheme funding allocation was developed rather than scope changes. These deficiencies were subsequently revealed when schemes design options were clarified and their cost estimates reappraised. The underlying cause appears to have its origins in the rapid formulation and limited available time for establishing and agreeing the content and funding of the capital investment portfolio for RIS1: a recurring issue that emerged from our interviews with project teams was that the timing of RIS1 necessitated the rapid development of scheme estimates and that the usual rigour was compromised. We were also informed that some schemes had not yet progressed to a level of maturity that would enable a reliable cost estimate to be prepared. Highways England should nevertheless ensure that the estimating allocation and subsequent processes for future Road Periods allows sufficient time for estimates to be prepared and scrutinised and should ensure that any schemes that are early in the development lifecycle have an appropriate risk provision to account for uncertainty. For RIS2 it is expected this will be improved as a consequence of the additional processes and capabilities, as detailed earlier in this report, which Highways England has developed since the beginning of RIS1 and is planning to apply to RIS2. Unforeseen site conditions also contributed to scope changes with associated cost increases. These issues generally arose where construction commenced but limited surveying activity or site analysis had been undertaken beforehand, with issues being uncovered only once construction had begun. Within our sample schemes we identified instances in which surveying was not undertaken due to third party constraints or due to an assumption that existing survey data would be sufficient. Several sample schemes would have benefited from more rigorous investigation and study prior to commencing on site, which could have revealed potential impacts on costs sooner. Whilst we acknowledge that there will be situations in which it is not possible or practical to undertake surveys beforehand, for example due to timescales or access restrictions, the risk process needs to allow these trade-offs to be evaluated and appropriate contingency provisioned. Project teams were able to drive greater value for money by value engineering or descoping elements of schemes, which is positive. The delivery of these savings will need to be monitored closely to ensure that they are realised, particularly for schemes in which savings have been incorporated into the baseline estimate and are yet to complete. Processes are in place to manage scope and its impact on cost and our review did not identify any material issues of scope creep. Whilst we observed that scope decisions were brought to the relevant investment committees, we consider that improvements could be made to the information that investment committee members receive to enable them to provide more effective challenge and isolate potential instances of scope creep. Lessons learnt reviews are routinely undertaken at an individual scheme level, which facilitates the identification of improvements to future schemes and wider business processes. We consider that further changes could be made to increase consistency, objectivity and the use of data to focus improvement activity and drive better scheme performance. In the course of this review we have been provided with evidence that Highways England has implemented, or is implementing, management actions to address issues identified in this report. Since the beginning of RP1, Highways England has improved its processes and capabilities with plans for further developments for RP2. It is important to recognise that the conditions for the development of RP2 are distinctly different from those in which RP1 was developed. Highways England has had a significantly greater period of time to develop RP2 and the portfolio is considerably more mature, reducing the need to make, or rely on, scoping assumptions that were the source of the majority of changes and cost variance within the sample of schemes we reviewed. ABOUT ANKURA Ankura's Capital Project Advisory specialists work with public and private sector organisations to plan and deliver their most important projects. We help them plan for success, execute with confidence and secure better project outcomes. Ankura is a business advisory and expert services firm defined by HOW we solve challenges. Whether a client is facing an immediate business challenge, trying to increase the value of their company or protect against future risks, Ankura designs, develops, and executes tailored solutions by assembling the right combination of expertise. We build on this experience with every case, client, and situation, collaborating to create innovative, customised solutions, and strategies designed for today's ever-changing business environment. This gives our clients unparalleled insight and experience across a wide range of economic, governance, and regulatory challenges. At Ankura, we know that collaboration drives results. We have over 1,600 professionals with locations in more than 30 cities throughout the world. Our 200 infrastructure and capital project specialists work with project owners, infrastructure operators, investors, financiers and contractors to solve their most complex challenges. We combine deep industry experience with practical know-how to help our clients address the complex challenges that capital projects present. Our international, multi-disciplinary team advises private and public sector clients, bringing the knowledge and insight they need throughout the project lifecycle.	en
0194-pdf	## London Youth Employment Initiative Background Information - Paper One This Paper Is Part Of A Series That Provides Background Information For Colleagues Taking Part In The Development Of Programmes As Part Of The London Youth Employment Initiative (Yei). There Are Four Papers In The Series: Paper One - Provides a brief overview of the YEI and European Structural and Investment Funds (ESIF) in London Paper Two - Provides a summary of the key responsibilities in the development of YEI programmes Paper Three - Provides an outline of the programmes to be developed ## Paper Four - Sets Out The Objectives For The Task And Finish Groups That Have Been Established To Develop Programmes This Paper Explains What Has Changed In This Funding Round And Includes Links To Sources Of Further Detailed Information Background and Introduction The London Enterprise Panel (LEP) is responsible for setting the strategic direction and priorities of the London 2014-20 European Structural and Investment Funds (ESIF). The LEP has been awarded €748.6m of European Social Fund (ESF) and European Regional Development Fund (ERDF) to invest in boosting jobs and growth for London. This note concentrates on the European Social Fund (ESF) in London, particularly how ESF is used in support of young people. Summary of Changes Compared with previous Programmes, there are some differences for the 2014-20 ESF Programme:  In addition to the main ESF allocation, there is an additional allocation for the EU- wide YEI targeted at areas that have a youth unemployment rate of 25% or above (Inner London1 is one such area) - in London the entire ESF Youth allocation will be combined with YEI will in order to create a London-wide programme covering all boroughs;  There is an emphasis on targeted employment provision leading to incentivised and sustained outcomes;  Innovation, collaboration and simplification are recurring themes in EU strategies demonstrated by the intended closer link between ESF and ERDF Programmes. ## LEP, the GLA and Opt-In Organisations Although the Government will oversee a national ESF Programme, the new Programme will have a strong local influence within the UK. In the previous ESF Programme most of the ESF Funds have passed through national Co-Financing Organisations (CFOs) for the delivery of nationally-commissioned programmes, however the 2014-2020 ESIF Programme will see Local Enterprise Partnerships in the driving seat - the London Enterprise Panel (LEP), chaired by the Mayor, fulfils this function for the capital and, consequently, is being given more control over policies, strategies and investment to support economic growth. The LEP has been asked to set out an ESIF strategy based on "evidence-based narrative" to outline plans for London's share of the available funds. In London the LEP ESIF strategy was submitted to Government in January 2014 and is currently being finalised, a link to the draft strategy is below. The LEP ESIF strategy was developed following consultation with key stakeholders including London Councils: Young People's Education and Skills. The LEP will effectively 'commission' Opt-in Organisations, whose role will be largely similar to those of CFOs in the previous Programme, to deliver local and London-wide programmes that meet the needs of residents and businesses. Opt-in Organisations have proposed what they can offer to the LEP in terms of expertise in commissioning and access to match funding. The LEP has the option to 'opt-in' to these offers, in London the Opt-in Organisations are the Skills Funding Agency (SFA), Department for Work and Pensions (DWP) and Big Lottery Fund (BIG). The SFA will be the main Opt-in organisation for young people's programmes. The European Programmes Management Unit, within the GLA will act as an "Intermediate Body" (IB) on behalf of the Government, a role it fulfils in the present programme. The role of IB involves the general administering of the ESF Programme through the developing of priorities for ESF funding and monitoring Programme performance. London Allocation London received the largest ESIF allocation of any of the 39 Local Enterprise Partnerships, comprising approximately £641m, £465m for ESF and £176m for ERDF. Inner London has also attracted a further £37m through the YEI. With match-funding in line with the rules for these funds, the total size of the Programme exceeds £1.2 billion over the next seven years. Age range In one final major change for the next funding round, the priority age range has been defined as 15-24 (currently there are separate approaches for 16-18 and 18-24). Further Information can be found at these websites: European Social Fund in England: http://www.dwp.gov.uk/esf/about-esf/ London LEP ESIF Strategy 2014-2020: www.london.gov.uk/esif-draft-strategy London Councils European Service: http://www.londoncouncils.glegroup.co.uk/	en
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Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Othe Public Sector LEARNING DIFFICULTIES OXFORDSHIRE COUNTY COUNCIL 15219338 1,109,812.25 3920107743 Department of Health NHS Oxfordshire CCG 31/12/2016 Cont Care-Physical Disab (65+) CHC ADULT JOINT FUNDED OXFORDSHIRE COUNTY COUNCIL 15219338 4,114,499.67 3920107743 Department of Health NHS Oxfordshire CCG 31/12/2016 Cont Care-Physical Disab (<65) CHC ADULT JOINT FUNDED OXFORDSHIRE COUNTY COUNCIL 15219338 655,533.00 3920107743 Department of Health NHS Oxfordshire CCG 31/12/2016 Continuing Care- Equipment CHC ADULT JOINT FUNDED OXFORDSHIRE COUNTY COUNCIL 15219338 89,666.67 3920107743 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING WATERY LANE SURGERY 15219339 28,307.61 100878-30-NOV-2016 Department of Health NHS Oxfordshire CCG 31/12/2016 Non-PFI Oprtng Lease-Bldgs-Lease Rent RECHARGES NHS PROPERTY SERVICES LTD NHS PROPERTY SERVICES LTD 15236552 54,245.00 48419514 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SURGERY 15416023 1,858.23 OX000017488 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Locum Adop/Pat/Mat PRC DELEGATED CO-COMMISSIONING BELL SURGERY 15416023 12,186.48 OX000017488 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING BELL SURGERY 15416023 2,222.77 OX000017488 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING BELL SURGERY 15416023 26,262.50 OX000017488 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING BELL SURGERY 15416023 6,477.41 OX000017488 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING ABINGDON SURGERY 15416025 2,150.96 OX000017490 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING ABINGDON SURGERY 15416025 80,767.46 OX000017490 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING ABINGDON SURGERY 15416025 3,538.23 OX000017490 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING ABINGDON SURGERY 15416025 2,621.71 OX000017490 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING ABINGDON SURGERY 15416025 9,733.33 OX000017490 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING ABINGDON SURGERY 15416025 9,426.86 OX000017490 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING BAMPTON MEDICAL PRACTICE 15416027 1,299.60 OX000017492 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING BAMPTON MEDICAL PRACTICE 15416027 55,087.57 OX000017492 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING BAMPTON MEDICAL PRACTICE 15416027 963.51 OX000017492 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING BAMPTON MEDICAL PRACTICE 15416027 4,716.70 OX000017492 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Cost Rent PRC DELEGATED CO-COMMISSIONING BAMPTON MEDICAL PRACTICE 15416027 6,201.83 OX000017492 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING BAMPTON MEDICAL PRACTICE 15416027 6,222.23 OX000017492 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING BANBURY ROAD MEDICAL CENTRE 15416029 1,244.50 OX000017494 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING BANBURY ROAD MEDICAL CENTRE 15416029 42,807.56 OX000017494 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING BANBURY ROAD MEDICAL CENTRE 15416029 1,968.12 OX000017494 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING BANBURY ROAD MEDICAL CENTRE 15416029 4,699.79 OX000017494 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Actual Rent PRC DELEGATED CO-COMMISSIONING BANBURY ROAD MEDICAL CENTRE 15416029 3,299.17 OX000017494 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING BANBURY ROAD MEDICAL CENTRE 15416029 1,275.00 OX000017494 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING BANBURY ROAD MEDICAL CENTRE 15416029 3,235.88 OX000017494 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING BARTLEMAS SURGERY 15416031 1,445.90 OX000017496 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES UNPLANNED ADMISSIONS PRC DELEGATED CO-COMMISSIONING BARTLEMAS SURGERY 15416031 7,033.95 OX000017496 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING BARTLEMAS SURGERY 15416031 51,015.12 OX000017496 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING BARTLEMAS SURGERY 15416031 2,577.22 OX000017496 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING BARTLEMAS SURGERY 15416031 3,530.28 OX000017496 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Actual Rent PRC DELEGATED CO-COMMISSIONING BARTLEMAS SURGERY 15416031 36,802.63 OX000017496 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING BARTLEMAS SURGERY 15416031 4,963.67 OX000017496 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING BLETCHINGTON ROAD SURGERY 15416033 39,367.07 OX000017498 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING BLETCHINGTON ROAD SURGERY 15416033 3,597.29 OX000017498 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING BLETCHINGTON ROAD SURGERY 15416033 4,872.90 OX000017498 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING BLETCHINGTON ROAD SURGERY 15416033 10,250.00 OX000017498 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING BLETCHINGTON ROAD SURGERY 15416033 4,322.46 OX000017498 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING BOTLEY MEDICAL CENTRE 15416035 1,472.18 OX000017500 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING BOTLEY MEDICAL CENTRE 15416035 58,600.89 OX000017500 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING BOTLEY MEDICAL CENTRE 15416035 2,082.50 OX000017500 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING BOTLEY MEDICAL CENTRE 15416035 4,900.00 OX000017500 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING BOTLEY MEDICAL CENTRE 15416035 5,732.38 OX000017500 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING BURY KNOWLE HEALTH CENTRE 15416037 2,270.18 OX000017502 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING BURY KNOWLE HEALTH CENTRE 15416037 96,085.19 OX000017502 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other Baseline Adjustment PRC DELEGATED CO-COMMISSIONING BURY KNOWLE HEALTH CENTRE 15416037 485.70 OX000017502 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other FDR Payment PRC DELEGATED CO-COMMISSIONING BURY KNOWLE HEALTH CENTRE 15416037 22,558.72 OX000017502 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING BURY KNOWLE HEALTH CENTRE 15416037 3,794.84 OX000017502 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING BURY KNOWLE HEALTH CENTRE 15416037 11,475.00 OX000017502 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING BURY KNOWLE HEALTH CENTRE 15416037 8,353.62 OX000017502 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING BROADSHIRES HEALTH CENTRE 15416039 1,574.31 OX000017504 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING BROADSHIRES HEALTH CENTRE 15416039 54,010.85 OX000017504 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING BROADSHIRES HEALTH CENTRE 15416039 5,506.68 OX000017504 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING BROADSHIRES HEALTH CENTRE 15416039 8,321.36 OX000017504 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING BROADSHIRES HEALTH CENTRE 15416039 27,175.00 OX000017504 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING BROADSHIRES HEALTH CENTRE 15416039 6,207.42 OX000017504 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING CHARLBURY MEDCIAL CENTRE 15416041 833.31 OX000017506 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING CHARLBURY MEDCIAL CENTRE 15416041 33,091.68 OX000017506 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING CHARLBURY MEDCIAL CENTRE 15416041 782.44 OX000017506 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING CHARLBURY MEDCIAL CENTRE 15416041 4,671.56 OX000017506 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING CHARLBURY MEDCIAL CENTRE 15416041 4,458.33 OX000017506 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING CHARLBURY MEDCIAL CENTRE 15416041 3,137.61 OX000017506 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING CHILTERN SURGERY 15416043 1,180.85 OX000017508 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING CHILTERN SURGERY 15416043 52,450.84 OX000017508 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING CHILTERN SURGERY 15416043 2,009.08 OX000017508 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING CHILTERN SURGERY 15416043 5,911.41 OX000017508 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING CHILTERN SURGERY 15416043 6,950.00 OX000017508 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING CHILTERN SURGERY 15416043 4,957.57 OX000017508 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING CHURCH STREET PRACTICE 15416045 2,102.83 OX000017510 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING CHURCH STREET PRACTICE 15416045 86,484.79 OX000017510 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other Baseline Adjustment PRC DELEGATED CO-COMMISSIONING CHURCH STREET PRACTICE 15416045 748.57 OX000017510 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other FDR Payment PRC DELEGATED CO-COMMISSIONING CHURCH STREET PRACTICE 15416045 4,769.21 OX000017510 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING CHURCH STREET PRACTICE 15416045 5,807.61 OX000017510 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Rates PRC DELEGATED CO-COMMISSIONING CHURCH STREET PRACTICE 15416045 3,258.50 OX000017510 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING CHURCH STREET PRACTICE 15416045 10,066.28 OX000017510 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING COGGES SURGERY 15416047 1,086.64 OX000017512 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES UNPLANNED ADMISSIONS PRC DELEGATED CO-COMMISSIONING COGGES SURGERY 15416047 5,284.51 OX000017512 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING COGGES SURGERY 15416047 36,293.34 OX000017512 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING COGGES SURGERY 15416047 2,520.91 OX000017512 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING COGGES SURGERY 15416047 4,402.44 OX000017512 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING COGGES SURGERY 15416047 3,965.33 OX000017512 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING COGGES SURGERY 15416047 4,021.89 OX000017512 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING CROPREDY SURGERY 15416049 556.70 OX000017514 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING CROPREDY SURGERY 15416049 25,900.85 OX000017514 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING CROPREDY SURGERY 15416049 661.37 OX000017514 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING CROPREDY SURGERY 15416049 3,247.37 OX000017514 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING CROPREDY SURGERY 15416049 2,228.48 OX000017514 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING DR A MURPHY & PARTNERS 15416051 2,016.38 OX000017516 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING DR A MURPHY & PARTNERS 15416051 84,338.60 OX000017516 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING DR A MURPHY & PARTNERS 15416051 8,019.34 OX000017516 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING DR A MURPHY & PARTNERS 15416051 3,301.32 OX000017516 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING DR A MURPHY & PARTNERS 15416051 9,987.60 OX000017516 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING DIDCOT HEALTH CENTRE 15416053 2,804.88 OX000017518 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING DIDCOT HEALTH CENTRE 15416053 101,001.39 OX000017518 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other Baseline Adjustment PRC DELEGATED CO-COMMISSIONING DIDCOT HEALTH CENTRE 15416053 555.56 OX000017518 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other FDR Payment PRC DELEGATED CO-COMMISSIONING DIDCOT HEALTH CENTRE 15416053 16,137.32 OX000017518 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING DIDCOT HEALTH CENTRE 15416053 9,342.74 OX000017518 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Actual Rent PRC DELEGATED CO-COMMISSIONING DIDCOT HEALTH CENTRE 15416053 21,245.92 OX000017518 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING DIDCOT HEALTH CENTRE 15416053 11,560.35 OX000017518 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING DR HAMMERSLEY & PARTNERS OXFORD 15416055 1,043.58 OX000017520 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING DR HAMMERSLEY & PARTNERS OXFORD 15416055 37,135.02 OX000017520 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING DR HAMMERSLEY & PARTNERS OXFORD 15416055 4,455.82 OX000017520 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING DR HAMMERSLEY & PARTNERS OXFORD 15416055 5,134.16 OX000017520 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING DR HAMMERSLEY & PARTNERS OXFORD 15416055 2,532.66 OX000017520 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING DR KENYON & PARTNERS 15416057 2,263.85 OX000017522 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING DR KENYON & PARTNERS 15416057 75,608.32 OX000017522 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING DR KENYON & PARTNERS 15416057 5,762.90 OX000017522 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING DR KENYON & PARTNERS 15416057 6,638.37 OX000017522 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Actual Rent PRC DELEGATED CO-COMMISSIONING DR KENYON & PARTNERS 15416057 11,614.27 OX000017522 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING DR KENYON & PARTNERS 15416057 5,938.51 OX000017522 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING DR T W ANDERSON & PARTNERS 15416059 1,533.30 OX000017524 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING DR T W ANDERSON & PARTNERS 15416059 50,083.21 OX000017524 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING DR T W ANDERSON & PARTNERS 15416059 10,768.48 OX000017524 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING DR T W ANDERSON & PARTNERS 15416059 5,897.46 OX000017524 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Actual Rent PRC DELEGATED CO-COMMISSIONING DR T W ANDERSON & PARTNERS 15416059 4,500.00 OX000017524 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Cost Rent PRC DELEGATED CO-COMMISSIONING DR T W ANDERSON & PARTNERS 15416059 3,784.42 OX000017524 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING DR T W ANDERSON & PARTNERS 15416059 983.33 OX000017524 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING DR T W ANDERSON & PARTNERS 15416059 4,682.02 OX000017524 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING EARLS LANE HEALTH CENTRE 15416061 68,852.42 OX000017526 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING EARLS LANE HEALTH CENTRE 15416061 5,311.42 OX000017526 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING EARLS LANE HEALTH CENTRE 15416061 6,054.17 OX000017526 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING EARLS LANE HEALTH CENTRE 15416061 6,610.54 OX000017526 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING EAST OXFORD HEALTH CENTRE STEVENS 15416063 45,559.19 OX000017528 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING EAST OXFORD HEALTH CENTRE STEVENS 15416063 1,668.13 OX000017528 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING EAST OXFORD HEALTH CENTRE STEVENS 15416063 1,765.84 OX000017528 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Actual Rent PRC DELEGATED CO-COMMISSIONING EAST OXFORD HEALTH CENTRE STEVENS 15416063 32,423.14 OX000017528 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING EAST OXFORD HEALTH CENTRE STEVENS 15416063 3,618.61 OX000017528 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING EYNSHAM MEDICAL CENTRE 15416065 2,177.08 OX000017530 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES UNPLANNED ADMISSIONS PRC DELEGATED CO-COMMISSIONING EYNSHAM MEDICAL CENTRE 15416065 10,584.42 OX000017530 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING EYNSHAM MEDICAL CENTRE 15416065 90,115.37 OX000017530 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING EYNSHAM MEDICAL CENTRE 15416065 4,373.62 OX000017530 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING EYNSHAM MEDICAL CENTRE 15416065 10,321.60 OX000017530 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING EYNSHAM MEDICAL CENTRE 15416065 9,366.67 OX000017530 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING EYNSHAM MEDICAL CENTRE 15416065 11,436.42 OX000017530 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING FANE DRIVE HEALTH CENTRE 15416067 763.48 OX000017532 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING FANE DRIVE HEALTH CENTRE 15416067 33,732.92 OX000017532 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING FANE DRIVE HEALTH CENTRE 15416067 1,851.97 OX000017532 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING FANE DRIVE HEALTH CENTRE 15416067 1,973.78 OX000017532 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING FANE DRIVE HEALTH CENTRE 15416067 4,465.30 OX000017532 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING GOSFORD HILL MEDICAL CENTRE 15416069 1,104.38 OX000017534 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING GOSFORD HILL MEDICAL CENTRE 15416069 42,689.60 OX000017534 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING GOSFORD HILL MEDICAL CENTRE 15416069 3,320.70 OX000017534 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING GOSFORD HILL MEDICAL CENTRE 15416069 2,727.55 OX000017534 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING GOSFORD HILL MEDICAL CENTRE 15416069 15,375.00 OX000017534 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING GOSFORD HILL MEDICAL CENTRE 15416069 5,229.54 OX000017534 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING GORING & WOODCOTE MEDICAL PRACTICE 15416071 1,515.88 879063483 OX000017538 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING GORING & WOODCOTE MEDICAL PRACTICE 15416071 65,994.93 879063483 OX000017538 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING GORING & WOODCOTE MEDICAL PRACTICE 15416071 2,408.62 879063483 OX000017538 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING GORING & WOODCOTE MEDICAL PRACTICE 15416071 3,490.03 879063483 OX000017538 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING GORING & WOODCOTE MEDICAL PRACTICE 15416071 9,725.00 879063483 OX000017538 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING GORING & WOODCOTE MEDICAL PRACTICE 15416071 7,534.62 879063483 OX000017538 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING HART SURGERY 15416073 1,640.18 OX000017540 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING HART SURGERY 15416073 64,818.66 OX000017540 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other Baseline Adjustment PRC DELEGATED CO-COMMISSIONING HART SURGERY 15416073 782.07 OX000017540 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other FDR Payment PRC DELEGATED CO-COMMISSIONING HART SURGERY 15416073 6,783.28 OX000017540 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING HART SURGERY 15416073 4,009.02 OX000017540 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING HART SURGERY 15416073 7,525.00 OX000017540 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING HART SURGERY 15416073 5,730.30 OX000017540 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING HOLLOW WAY MEDICAL CENTRE 15416076 1,327.78 OX000017543 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING HOLLOW WAY MEDICAL CENTRE 15416076 50,198.33 OX000017543 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING HOLLOW WAY MEDICAL CENTRE 15416076 1,411.21 OX000017543 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING HOLLOW WAY MEDICAL CENTRE 15416076 7,190.22 OX000017543 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING HOLLOW WAY MEDICAL CENTRE 15416076 10,595.00 OX000017543 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING HOLLOW WAY MEDICAL CENTRE 15416076 6,040.19 OX000017543 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING HIGHTOWN SURGERY 15416078 1,686.25 OX000017545 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING HIGHTOWN SURGERY 15416078 66,777.00 OX000017545 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING HIGHTOWN SURGERY 15416078 2,643.63 OX000017545 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING HIGHTOWN SURGERY 15416078 1,702.35 OX000017545 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Actual Rent PRC DELEGATED CO-COMMISSIONING HIGHTOWN SURGERY 15416078 16,897.25 OX000017545 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING HIGHTOWN SURGERY 15416078 4,500.00 OX000017545 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING HIGHTOWN SURGERY 15416078 7,735.04 OX000017545 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING JERICHO HEALTH CENTRE KEARLEY 15416082 1,744.83 OX000017551 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING JERICHO HEALTH CENTRE KEARLEY 15416082 60,526.66 OX000017551 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING JERICHO HEALTH CENTRE KEARLEY 15416082 1,717.52 OX000017551 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other FDR Payment PRC DELEGATED CO-COMMISSIONING JERICHO HEALTH CENTRE KEARLEY 15416082 1,246.14 OX000017551 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING JERICHO HEALTH CENTRE KEARLEY 15416082 6,879.51 OX000017551 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING JERICHO HEALTH CENTRE KEARLEY 15416082 12,148.67 OX000017551 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING JERICHO HEALTH CENTRE KEARLEY 15416082 5,768.23 OX000017551 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING JERICO HEALTH CENTRE BOGDANOR 15416084 1,066.38 OX000017553 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Minor Surgery PRC DELEGATED CO-COMMISSIONING JERICO HEALTH CENTRE BOGDANOR 15416084 827.26 OX000017553 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING JERICO HEALTH CENTRE BOGDANOR 15416084 36,700.23 OX000017553 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING JERICO HEALTH CENTRE BOGDANOR 15416084 4,941.27 OX000017553 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING JERICO HEALTH CENTRE BOGDANOR 15416084 2,238.48 OX000017553 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING JERICO HEALTH CENTRE BOGDANOR 15416084 8,146.58 OX000017553 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING JERICO HEALTH CENTRE BOGDANOR 15416084 1,961.48 OX000017553 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING KING EDWARD STREET SURGERY 15416086 727.86 OX000017555 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING KING EDWARD STREET SURGERY 15416086 24,751.26 OX000017555 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING KING EDWARD STREET SURGERY 15416086 1,035.82 OX000017555 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING KING EDWARD STREET SURGERY 15416086 1,204.45 OX000017555 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING LONG FURLONG MEDICAL CENTRE 15416088 1,436.72 OX000017557 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING LONG FURLONG MEDICAL CENTRE 15416088 46,009.51 OX000017557 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING LONG FURLONG MEDICAL CENTRE 15416088 6,068.31 OX000017557 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING LONG FURLONG MEDICAL CENTRE 15416088 6,734.85 OX000017557 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Cost Rent PRC DELEGATED CO-COMMISSIONING LONG FURLONG MEDICAL CENTRE 15416088 5,616.83 OX000017557 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING LONG FURLONG MEDICAL CENTRE 15416088 1,403.33 OX000017557 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING LONG FURLONG MEDICAL CENTRE 15416088 4,482.23 OX000017557 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING LEYS HEALTH CENTRE 15416090 1,716.18 OX000017559 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING LEYS HEALTH CENTRE 15416090 66,539.54 OX000017559 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING LEYS HEALTH CENTRE 15416090 2,784.97 OX000017559 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING LEYS HEALTH CENTRE 15416090 2,249.78 OX000017559 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Actual Rent PRC DELEGATED CO-COMMISSIONING LEYS HEALTH CENTRE 15416090 54,713.01 OX000017559 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Clinical Waste PRC DELEGATED CO-COMMISSIONING LEYS HEALTH CENTRE 15416090 1,324.18 OX000017559 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING LEYS HEALTH CENTRE 15416090 7,496.42 OX000017559 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING MARSTON MEDICAL CENTRE 15416092 777.73 OX000017561 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING MARSTON MEDICAL CENTRE 15416092 29,011.69 OX000017561 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING MARSTON MEDICAL CENTRE 15416092 1,290.40 OX000017561 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING MARSTON MEDICAL CENTRE 15416092 1,445.66 OX000017561 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING MARSTON MEDICAL CENTRE 15416092 2,966.67 OX000017561 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING MARSTON MEDICAL CENTRE 15416092 2,503.38 OX000017561 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING MALTHOUSE SURGERY 15416094 2,918.56 OX000017563 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING MALTHOUSE SURGERY 15416094 110,763.39 OX000017563 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other Baseline Adjustment PRC DELEGATED CO-COMMISSIONING MALTHOUSE SURGERY 15416094 802.66 OX000017563 31/12/2016 C&M-GMS Other FDR Payment PRC DELEGATED CO-COMMISSIONING MALTHOUSE SURGERY 15416094 12,226.19 OX000017563 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING MALTHOUSE SURGERY 15416094 10,277.07 OX000017563 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Actual Rent PRC DELEGATED CO-COMMISSIONING MALTHOUSE SURGERY 15416094 11,344.33 OX000017563 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING MALTHOUSE SURGERY 15416094 15,238.59 OX000017563 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING MANOR SURGERY 15416096 2,339.85 OX000017565 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING MANOR SURGERY 15416096 95,019.98 OX000017565 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other Baseline Adjustment PRC DELEGATED CO-COMMISSIONING MANOR SURGERY 15416096 469.02 OX000017565 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other FDR Payment PRC DELEGATED CO-COMMISSIONING MANOR SURGERY 15416096 6,725.77 OX000017565 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING MANOR SURGERY 15416096 5,214.03 OX000017565 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING MANOR SURGERY 15416096 6,541.67 OX000017565 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING MANOR SURGERY 15416096 9,165.22 OX000017565 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING MARCHAM ROAD HEALTH CENTRE 15416098 74,955.18 OX000017567 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING MARCHAM ROAD HEALTH CENTRE 15416098 1,894.93 OX000017567 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING MARCHAM ROAD HEALTH CENTRE 15416098 6,981.49 OX000017567 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Cost Rent PRC DELEGATED CO-COMMISSIONING MARCHAM ROAD HEALTH CENTRE 15416098 11,483.33 OX000017567 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING MARCHAM ROAD HEALTH CENTRE 15416098 7,667.03 OX000017567 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING MILL STREAM SURGERY 15416100 750.66 OX000017569 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING MILL STREAM SURGERY 15416100 32,376.14 OX000017569 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING MILL STREAM SURGERY 15416100 1,573.95 OX000017569 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Locum Adop/Pat/Mat PRC DELEGATED CO-COMMISSIONING MILL STREAM SURGERY 15416100 2,092.98 OX000017569 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING MILL STREAM SURGERY 15416100 2,088.45 OX000017569 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING MILL STREAM SURGERY 15416100 4,773.33 OX000017569 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING MILL STREAM SURGERY 15416100 3,290.68 OX000017569 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING MORLAND HOUSE SURGERY 15416102 1,683.24 OX000017571 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING MORLAND HOUSE SURGERY 15416102 70,960.99 OX000017571 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other Baseline Adjustment PRC DELEGATED CO-COMMISSIONING MORLAND HOUSE SURGERY 15416102 496.91 OX000017571 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other FDR Payment PRC DELEGATED CO-COMMISSIONING MORLAND HOUSE SURGERY 15416102 9,698.36 OX000017571 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING MORLAND HOUSE SURGERY 15416102 3,058.92 OX000017571 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING MORLAND HOUSE SURGERY 15416102 8,262.92 OX000017571 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING MORLAND HOUSE SURGERY 15416102 7,363.65 OX000017571 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES UNPLANNED ADMISSIONS PRC DELEGATED CO-COMMISSIONING NETTLEBED SURGERY 15416106 2,884.42 OX000017575 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING NETTLEBED SURGERY 15416106 26,425.93 OX000017575 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other Baseline Adjustment PRC DELEGATED CO-COMMISSIONING NETTLEBED SURGERY 15416106 280.13 OX000017575 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other FDR Payment PRC DELEGATED CO-COMMISSIONING NETTLEBED SURGERY 15416106 3,476.78 OX000017575 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING NETTLEBED SURGERY 15416106 3,091.00 OX000017575 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING NETTLEBED SURGERY 15416106 8,750.00 OX000017575 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING NETTLEBED SURGERY 15416106 2,973.50 OX000017575 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING NEWBURY STREET PRACTICE 15416108 2,453.85 OX000017577 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING NEWBURY STREET PRACTICE 15416108 98,386.80 OX000017577 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other Baseline Adjustment PRC DELEGATED CO-COMMISSIONING NEWBURY STREET PRACTICE 15416108 655.58 OX000017577 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other FDR Payment PRC DELEGATED CO-COMMISSIONING NEWBURY STREET PRACTICE 15416108 6,262.16 OX000017577 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING NEWBURY STREET PRACTICE 15416108 3,108.10 OX000017577 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Achievement PRC DELEGATED CO-COMMISSIONING NEWBURY STREET PRACTICE 15416108 3,781.80 OX000017577 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING NEWBURY STREET PRACTICE 15416108 9,954.56 OX000017577 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING NUFFIELD HEALTH CENTRE 15416110 70,988.89 OX000017579 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING NUFFIELD HEALTH CENTRE 15416110 1,910.06 OX000017579 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING NUFFIELD HEALTH CENTRE 15416110 3,016.23 OX000017579 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING NUFFIELD HEALTH CENTRE 15416110 10,460.00 OX000017579 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING NUFFIELD HEALTH CENTRE 15416110 10,250.93 OX000017579 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING OAK TREE HEALTH CENTRE 15416112 49,257.78 OX000017581 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other Baseline Adjustment PRC DELEGATED CO-COMMISSIONING OAK TREE HEALTH CENTRE 15416112 302.58 OX000017581 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other FDR Payment PRC DELEGATED CO-COMMISSIONING OAK TREE HEALTH CENTRE 15416112 12,424.95 OX000017581 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING OAK TREE HEALTH CENTRE 15416112 2,740.14 OX000017581 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Actual Rent PRC DELEGATED CO-COMMISSIONING OAK TREE HEALTH CENTRE 15416112 36,272.25 OX000017581 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING OAK TREE HEALTH CENTRE 15416112 4,437.74 OX000017581 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING SONNING COMMON HEALTH CENTRE 15416114 1,370.38 OX000017583 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES UNPLANNED ADMISSIONS PRC DELEGATED CO-COMMISSIONING SONNING COMMON HEALTH CENTRE 15416114 6,670.51 OX000017583 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING SONNING COMMON HEALTH CENTRE 15416114 56,362.33 OX000017583 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other Baseline Adjustment PRC DELEGATED CO-COMMISSIONING SONNING COMMON HEALTH CENTRE 15416114 908.67 OX000017583 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other FDR Payment PRC DELEGATED CO-COMMISSIONING SONNING COMMON HEALTH CENTRE 15416114 5,942.09 OX000017583 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING SONNING COMMON HEALTH CENTRE 15416114 6,440.18 OX000017583 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING SONNING COMMON HEALTH CENTRE 15416114 8,000.00 OX000017583 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING SONNING COMMON HEALTH CENTRE 15416114 6,814.76 OX000017583 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING SOUTH OXFORD HEALTH CENTRE 15416116 614.97 OX000017585 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING SOUTH OXFORD HEALTH CENTRE 15416116 21,472.85 OX000017585 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING SOUTH OXFORD HEALTH CENTRE 15416116 1,754.82 OX000017585 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING SOUTH OXFORD HEALTH CENTRE 15416116 2,151.57 OX000017585 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING SHEEP STREET SURGERY BURFORD 15416118 1,021.09 OX000017587 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING SHEEP STREET SURGERY BURFORD 15416118 43,121.53 OX000017587 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING SHEEP STREET SURGERY BURFORD 15416118 1,290.70 OX000017587 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING SHEEP STREET SURGERY BURFORD 15416118 5,470.46 OX000017587 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING SHEEP STREET SURGERY BURFORD 15416118 7,350.00 OX000017587 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING SHEEP STREET SURGERY BURFORD 15416118 5,136.36 OX000017587 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING SIBFORD SURGERY 15416120 423.23 GB879117988 OX000017589 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES UNPLANNED ADMISSIONS PRC DELEGATED CO-COMMISSIONING SIBFORD SURGERY 15416120 2,058.98 GB879117988 OX000017589 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING SIBFORD SURGERY 15416120 17,373.44 GB879117988 OX000017589 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING SIBFORD SURGERY 15416120 2,107.58 GB879117988 OX000017589 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING SIBFORD SURGERY 15416120 2,881.16 GB879117988 OX000017589 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Cost Rent PRC DELEGATED CO-COMMISSIONING SIBFORD SURGERY 15416120 1,384.42 GB879117988 OX000017589 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING SIBFORD SURGERY 15416120 1,860.58 GB879117988 OX000017589 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING ST BARTHOLOMEWS MEDICAL CENTRE 15416122 3,068.66 OX000017591 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING ST BARTHOLOMEWS MEDICAL CENTRE 15416122 94,510.37 OX000017591 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING ST BARTHOLOMEWS MEDICAL CENTRE 15416122 9,475.88 OX000017591 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING ST BARTHOLOMEWS MEDICAL CENTRE 15416122 5,432.06 OX000017591 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Cost Rent PRC DELEGATED CO-COMMISSIONING ST BARTHOLOMEWS MEDICAL CENTRE 15416122 8,915.83 OX000017591 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING ST BARTHOLOMEWS MEDICAL CENTRE 15416122 5,393.50 OX000017591 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING SUMMERTOWN HEALTH CENTRE 15416124 2,428.99 OX000017593 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING SUMMERTOWN HEALTH CENTRE 15416124 87,642.41 OX000017593 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING SUMMERTOWN HEALTH CENTRE 15416124 6,033.67 OX000017593 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING SUMMERTOWN HEALTH CENTRE 15416124 4,206.31 OX000017593 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Actual Rent PRC DELEGATED CO-COMMISSIONING SUMMERTOWN HEALTH CENTRE 15416124 20,317.50 OX000017593 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING SUMMERTOWN HEALTH CENTRE 15416124 7,856.66 OX000017593 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING ST CLEMENTS SURGERY OXFORD 15416126 721.68 OX000017595 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING ST CLEMENTS SURGERY OXFORD 15416126 26,072.90 OX000017595 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING ST CLEMENTS SURGERY OXFORD 15416126 2,808.29 OX000017595 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING ST CLEMENTS SURGERY OXFORD 15416126 1,636.07 OX000017595 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Cost Rent PRC DELEGATED CO-COMMISSIONING ST CLEMENTS SURGERY OXFORD 15416126 2,020.25 OX000017595 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING ST CLEMENTS SURGERY OXFORD 15416126 2,771.04 OX000017595 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING TEMPLE COWLEY HEALTH CENTRE 15416128 1,241.33 OX000017597 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING TEMPLE COWLEY HEALTH CENTRE 15416128 51,257.54 OX000017597 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING TEMPLE COWLEY HEALTH CENTRE 15416128 1,139.34 OX000017597 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING TEMPLE COWLEY HEALTH CENTRE 15416128 4,600.48 OX000017597 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Actual Rent PRC DELEGATED CO-COMMISSIONING TEMPLE COWLEY HEALTH CENTRE 15416128 14,007.40 OX000017597 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING TEMPLE COWLEY HEALTH CENTRE 15416128 5,937.73 OX000017597 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING WEST BAR SURGERY 15416130 2,666.02 OX000017601 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING WEST BAR SURGERY 15416130 104,809.83 OX000017601 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING WEST BAR SURGERY 15416130 4,448.57 OX000017601 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING WEST BAR SURGERY 15416130 11,498.51 OX000017601 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING WHITE HORSE MEDICAL CENTRE 15416132 2,379.91 OX000017603 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING WHITE HORSE MEDICAL CENTRE 15416132 104,493.63 OX000017603 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING WHITE HORSE MEDICAL CENTRE 15416132 1,389.90 OX000017603 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other Baseline Adjustment PRC DELEGATED CO-COMMISSIONING WHITE HORSE MEDICAL CENTRE 15416132 147.75 OX000017603 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other FDR Payment PRC DELEGATED CO-COMMISSIONING WHITE HORSE MEDICAL CENTRE 15416132 1,895.78 OX000017603 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING WHITE HORSE MEDICAL CENTRE 15416132 5,246.30 OX000017603 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Actual Rent PRC DELEGATED CO-COMMISSIONING WHITE HORSE MEDICAL CENTRE 15416132 3,624.60 OX000017603 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING WHITE HORSE MEDICAL CENTRE 15416132 11,191.75 OX000017603 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING WALLINGFORD MEDICAL PRACTICE 15416134 2,632.61 OX000017605 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING WALLINGFORD MEDICAL PRACTICE 15416134 110,011.69 OX000017605 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other Baseline Adjustment PRC DELEGATED CO-COMMISSIONING WALLINGFORD MEDICAL PRACTICE 15416134 758.86 OX000017605 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other FDR Payment PRC DELEGATED CO-COMMISSIONING WALLINGFORD MEDICAL PRACTICE 15416134 6,765.29 OX000017605 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING WALLINGFORD MEDICAL PRACTICE 15416134 5,217.89 OX000017605 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Cost Rent PRC DELEGATED CO-COMMISSIONING WALLINGFORD MEDICAL PRACTICE 15416134 4,800.00 OX000017605 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING WALLINGFORD MEDICAL PRACTICE 15416134 4,166.67 OX000017605 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING WALLINGFORD MEDICAL PRACTICE 15416134 12,719.94 OX000017605 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING WATERY LANE SURGERY 15416136 21,806.16 OX000017607 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING WATERY LANE SURGERY 15416136 1,764.15 OX000017607 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING WATERY LANE SURGERY 15416136 2,025.83 OX000017607 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING WATERY LANE SURGERY 15416136 1,950.00 OX000017607 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING WATERY LANE SURGERY 15416136 2,007.36 OX000017607 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING WOODLAND SURGERY BANBURY 15416139 1,104.38 OX000017610 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING WOODLAND SURGERY BANBURY 15416139 40,564.94 OX000017610 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING WOODLAND SURGERY BANBURY 15416139 4,124.24 OX000017610 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Locum Sickness PRC DELEGATED CO-COMMISSIONING WOODLAND SURGERY BANBURY 15416139 2,621.12 OX000017610 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING WOODLAND SURGERY BANBURY 15416139 4,092.77 OX000017610 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Cost Rent PRC DELEGATED CO-COMMISSIONING WOODLAND SURGERY BANBURY 15416139 2,757.25 OX000017610 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING WOODLAND SURGERY BANBURY 15416139 4,341.92 OX000017610 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING WOODLANDS MEDICAL CENTRE 15416141 1,712.38 OX000017612 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING WOODLANDS MEDICAL CENTRE 15416141 70,481.65 OX000017612 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING WOODLANDS MEDICAL CENTRE 15416141 2,248.88 OX000017612 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING WOODLANDS MEDICAL CENTRE 15416141 3,404.31 OX000017612 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING WOODLANDS MEDICAL CENTRE 15416141 9,500.00 OX000017612 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING WOODLANDS MEDICAL CENTRE 15416141 7,570.23 OX000017612 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING WOODSTOCK SURGERY 15416143 1,446.06 OX000017614 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING WOODSTOCK SURGERY 15416143 64,246.27 OX000017614 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING WOODSTOCK SURGERY 15416143 2,483.98 OX000017614 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING WOODSTOCK SURGERY 15416143 2,458.33 OX000017614 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING WOODSTOCK SURGERY 15416143 7,215.52 OX000017614 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING WYCHWOOD SURGERY 15416145 927.52 OX000017616 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING WYCHWOOD SURGERY 15416145 41,671.47 OX000017616 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING WYCHWOOD SURGERY 15416145 1,162.12 OX000017616 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING WYCHWOOD SURGERY 15416145 1,355.64 OX000017616 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING WYCHWOOD SURGERY 15416145 8,708.33 OX000017616 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING WYCHWOOD SURGERY 15416145 4,148.66 OX000017616 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING WINDRUSH MEDICAL PRACTICE WITNEY 15416147 2,304.54 OX000017618 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING WINDRUSH MEDICAL PRACTICE WITNEY 15416147 89,744.31 OX000017618 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING WINDRUSH MEDICAL PRACTICE WITNEY 15416147 2,866.81 OX000017618 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING WINDRUSH MEDICAL PRACTICE WITNEY 15416147 7,233.02 OX000017618 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING WINDRUSH MEDICAL PRACTICE WITNEY 15416147 69,400.00 OX000017618 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING WINDRUSH MEDICAL PRACTICE WITNEY 15416147 10,109.23 OX000017618 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING WINDRUSH SURGERY BANBURY 15416149 1,218.85 OX000017620 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Minor Surgery PRC DELEGATED CO-COMMISSIONING WINDRUSH SURGERY BANBURY 15416149 261.24 OX000017620 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING WINDRUSH SURGERY BANBURY 15416149 48,790.34 OX000017620 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING WINDRUSH SURGERY BANBURY 15416149 1,326.95 OX000017620 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING WINDRUSH SURGERY BANBURY 15416149 3,346.39 OX000017620 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING WINDRUSH SURGERY BANBURY 15416149 3,083.33 OX000017620 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING WINDRUSH SURGERY BANBURY 15416149 4,874.18 OX000017620 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING DONNINGTON MEDICAL PARTNERSHIP (THE) 15416151 2,374.05 OX000017622 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING DONNINGTON MEDICAL PARTNERSHIP (THE) 15416151 86,084.61 OX000017622 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING DONNINGTON MEDICAL PARTNERSHIP (THE) 15416151 4,953.89 OX000017622 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Cost Rent PRC DELEGATED CO-COMMISSIONING DONNINGTON MEDICAL PARTNERSHIP (THE) 15416151 1,454.42 OX000017622 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING DONNINGTON MEDICAL PARTNERSHIP (THE) 15416151 9,175.00 OX000017622 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING DONNINGTON MEDICAL PARTNERSHIP (THE) 15416151 10,637.56 OX000017622 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING CHIPPING NORTON HEALTH CENTRE 15416153 2,333.20 GB186693943 OX000017624 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING CHIPPING NORTON HEALTH CENTRE 15416153 102,707.06 GB186693943 OX000017624 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING CHIPPING NORTON HEALTH CENTRE 15416153 1,711.01 GB186693943 OX000017624 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING CHIPPING NORTON HEALTH CENTRE 15416153 5,243.80 GB186693943 OX000017624 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING CHIPPING NORTON HEALTH CENTRE 15416153 27,262.92 GB186693943 OX000017624 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING CHIPPING NORTON HEALTH CENTRE 15416153 11,855.73 GB186693943 OX000017624 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING ALCHESTER MEDICAL GROUP 15421942 1,212.36 OX000017599 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING ALCHESTER MEDICAL GROUP 15421942 47,566.82 OX000017599 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING ALCHESTER MEDICAL GROUP 15421942 3,529.21 OX000017599 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING ALCHESTER MEDICAL GROUP 15421942 1,741.36 OX000017599 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING ALCHESTER MEDICAL GROUP 15421942 4,357.84 OX000017599 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING KEY MEDICAL PRACTICE 15421944 1,994.21 OX000017626 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Learn Dsblty Hlth Chk PRC DELEGATED CO-COMMISSIONING KEY MEDICAL PRACTICE 15421944 232.00 OX000017626 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING KEY MEDICAL PRACTICE 15421944 71,880.67 OX000017626 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other Baseline Adjustment PRC DELEGATED CO-COMMISSIONING KEY MEDICAL PRACTICE 15421944 480.79 OX000017626 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other FDR Payment PRC DELEGATED CO-COMMISSIONING KEY MEDICAL PRACTICE 15421944 13,140.00 OX000017626 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING KEY MEDICAL PRACTICE 15421944 1,865.43 OX000017626 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING KEY MEDICAL PRACTICE 15421944 5,858.33 OX000017626 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING KEY MEDICAL PRACTICE 15421944 9,549.56 OX000017626 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING BLOXHAM & HOOK NORTON SURGERIES 15421946 1,131.93 GB 879120308 OX000017536 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING BLOXHAM & HOOK NORTON SURGERIES 15421946 48,407.82 GB 879120308 OX000017536 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING BLOXHAM & HOOK NORTON SURGERIES 15421946 464.77 GB 879120308 OX000017536 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING BLOXHAM & HOOK NORTON SURGERIES 15421946 3,549.53 GB 879120308 OX000017536 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING BLOXHAM & HOOK NORTON SURGERIES 15421946 7,275.00 GB 879120308 OX000017536 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING BLOXHAM & HOOK NORTON SURGERIES 15421946 4,398.99 GB 879120308 OX000017536 Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Clinical Other NON RECURRENT PROGRAMMES PRINCIPAL MEDICAL 15434380 297,067.00 2001772 Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Independent Sector PLANNED CARE GLOBAL DIAGNOSTICS LTD 15434383 27,463.17 974956749 1907 Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Independent Sector PLANNED CARE INHEALTH ENDOSCOPY LTD 15434389 74,993.74 001271 Department of Health NHS Oxfordshire CCG 31/12/2016 Other Research Exp NON RECURRENT PROGRAMMES UNIVERSITY OF OXFORD 15434398 147,456.50 125506730 210039299 Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Independent Sector ACUTE COMMISSIONING FOSCOTE PRIVATE HOSPITAL (BMI) 15434406 61,576.33 10QFOSM09DECEMBER16INVOICE Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Independent Sector ACUTE COMMISSIONING NUFFIELD HEALTH 15434410 154,162.00 564291137 DECEMBER2016001 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING HORSEFAIR SURGERY 15439540 2,770.52 OX000017547 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Learn Dsblty Hlth Chk PRC DELEGATED CO-COMMISSIONING HORSEFAIR SURGERY 15439540 928.00 OX000017547 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING HORSEFAIR SURGERY 15439540 105,909.58 OX000017547 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other Baseline Adjustment PRC DELEGATED CO-COMMISSIONING HORSEFAIR SURGERY 15439540 25,982.00 OX000017547 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING HORSEFAIR SURGERY 15439540 5,097.97 OX000017547 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING HORSEFAIR SURGERY 15439540 675.00 OX000017547 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING HORSEFAIR SURGERY 15439540 13,732.31 OX000017547 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING KENNINGTON HEALTH CENTRE 15439541 1,029.01 OX000017549 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING KENNINGTON HEALTH CENTRE 15439541 40,491.94 OX000017549 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING KENNINGTON HEALTH CENTRE 15439541 901.05 OX000017549 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING KENNINGTON HEALTH CENTRE 15439541 4,976.53 OX000017549 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Actual Rent PRC DELEGATED CO-COMMISSIONING KENNINGTON HEALTH CENTRE 15439541 3,310.10 OX000017549 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING KENNINGTON HEALTH CENTRE 15439541 5,356.80 OX000017549 31/12/2016 Hcare Srv Rec Fdtn Trust-Contract Baseline ACUTE COMMISSIONING SOUTH WARWICKSHIRE NHS FOUNDATION TRUST 15441331 51,565.00 W0097546 Department of Health NHS Oxfordshire CCG 31/12/2016 Hcare Srv Rec Fdtn Trust-Contract Baseline ACUTE COMMISSIONING GLOUCESTERSHIRE HOSPITALS NHS FOUNDATION TRUST 15441349 42,510.00 1015699 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES ALCHESTER MEDICAL GROUP 15474663 (29,793.96) OX000017811 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscChrgsCll&RmttdbyGPCntra PRC DELEGATED CO-COMMISSIONING ALCHESTER MEDICAL GROUP 15474663 (1,041.60) OX000017811 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES ALCHESTER MEDICAL GROUP 15474664 34,434.95 OX000017812 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING ALCHESTER MEDICAL GROUP 15474664 3,683.55 OX000017812 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES ALCHESTER MEDICAL GROUP 15474664 1,041.60 OX000017812 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES BLOXHAM & HOOK NORTON SURGERIES 15474665 (39,793.68) GB 879120308 OX000017773 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscChrgsCll&RmttdbyGPCntra PRC DELEGATED CO-COMMISSIONING BLOXHAM & HOOK NORTON SURGERIES 15474665 (3,410.40) GB 879120308 OX000017773 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES BLOXHAM & HOOK NORTON SURGERIES 15474666 78,222.89 GB 879120308 OX000017774 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING BLOXHAM & HOOK NORTON SURGERIES 15474666 15,293.61 GB 879120308 OX000017774 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES BLOXHAM & HOOK NORTON SURGERIES 15474666 3,410.40 GB 879120308 OX000017774 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES BAMPTON MEDICAL PRACTICE 15475445 40,421.01 OX000017738 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING BAMPTON MEDICAL PRACTICE 15475445 7,708.70 OX000017738 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES BAMPTON MEDICAL PRACTICE 15475445 1,226.40 OX000017738 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES BLETCHINGTON ROAD SURGERY 15475457 (43,051.89) OX000017742 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscChrgsCll&RmttdbyGPCntra PRC DELEGATED CO-COMMISSIONING BLETCHINGTON ROAD SURGERY 15475457 (3,662.40) OX000017742 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES BLETCHINGTON ROAD SURGERY 15475461 85,886.22 OX000017743 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING BLETCHINGTON ROAD SURGERY 15475461 18,768.52 OX000017743 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES BLETCHINGTON ROAD SURGERY 15475461 3,662.40 OX000017743 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES CHARLBURY MEDCIAL CENTRE 15475477 24,005.61 OX000017749 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING CHARLBURY MEDCIAL CENTRE 15475477 4,635.20 OX000017749 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES CHARLBURY MEDCIAL CENTRE 15475477 739.20 OX000017749 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-PMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES COKER CLOSE HEALTH CENTRE 15475484 (27,667.20) OX000017753 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-PMS Prsc Chrgs Cll&Rmttd by GPs PRC DELEGATED CO-COMMISSIONING COKER CLOSE HEALTH CENTRE 15475484 (1,789.20) OX000017753 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-PMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES COKER CLOSE HEALTH CENTRE 15475485 59,247.87 OX000017754 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-PMS Prsc Chrgs Cll&Rmttd by GPs LOCAL ENHANCED SERVICES COKER CLOSE HEALTH CENTRE 15475485 1,789.20 OX000017754 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES CROPREDY SURGERY 15475490 (37,685.34) OX000017757 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscChrgsCll&RmttdbyGPCntra PRC DELEGATED CO-COMMISSIONING CROPREDY SURGERY 15475490 (2,730.00) OX000017757 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES CROPREDY SURGERY 15475491 65,591.25 OX000017758 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING CROPREDY SURGERY 15475491 15,266.68 OX000017758 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES CROPREDY SURGERY 15475491 2,730.00 OX000017758 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES DR A MURPHY & PARTNERS 15475493 (31,545.15) OX000017759 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscChrgsCll&RmttdbyGPCntra PRC DELEGATED CO-COMMISSIONING DR A MURPHY & PARTNERS 15475493 (2,192.40) OX000017759 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES DR A MURPHY & PARTNERS 15475494 66,535.94 OX000017760 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING DR A MURPHY & PARTNERS 15475494 14,843.51 OX000017760 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES DR A MURPHY & PARTNERS 15475494 2,192.40 OX000017760 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES EARLS LANE HEALTH CENTRE 15475504 (74,797.22) OX000017766 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscChrgsCll&RmttdbyGPCntra PRC DELEGATED CO-COMMISSIONING EARLS LANE HEALTH CENTRE 15475504 (8,568.00) OX000017766 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES EARLS LANE HEALTH CENTRE 15475505 168,311.45 OX000017767 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING EARLS LANE HEALTH CENTRE 15475505 34,433.05 OX000017767 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES EARLS LANE HEALTH CENTRE 15475505 8,568.00 OX000017767 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES EYNSHAM MEDICAL CENTRE 15475508 (55,786.02) OX000017769 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscChrgsCll&RmttdbyGPCntra PRC DELEGATED CO-COMMISSIONING EYNSHAM MEDICAL CENTRE 15475508 (2,536.80) OX000017769 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES EYNSHAM MEDICAL CENTRE 15475510 103,399.99 OX000017770 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING EYNSHAM MEDICAL CENTRE 15475510 22,527.15 OX000017770 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES EYNSHAM MEDICAL CENTRE 15475510 2,536.80 OX000017770 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES GORING & WOODCOTE MEDICAL PRACTICE 15475515 (46,288.80) 879063483 OX000017775 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscChrgsCll&RmttdbyGPCntra PRC DELEGATED CO-COMMISSIONING GORING & WOODCOTE MEDICAL PRACTICE 15475515 (3,780.00) 879063483 OX000017775 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES GORING & WOODCOTE MEDICAL PRACTICE 15475516 98,144.24 879063483 OX000017776 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING GORING & WOODCOTE MEDICAL PRACTICE 15475516 20,706.50 879063483 OX000017776 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES GORING & WOODCOTE MEDICAL PRACTICE 15475516 3,780.00 879063483 OX000017776 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES MARCHAM ROAD HEALTH CENTRE 15475537 (43,512.00) OX000017790 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscChrgsCll&RmttdbyGPCntra PRC DELEGATED CO-COMMISSIONING MARCHAM ROAD HEALTH CENTRE 15475537 (2,536.80) OX000017790 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES MARCHAM ROAD HEALTH CENTRE 15475538 73,156.39 OX000017791 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING MARCHAM ROAD HEALTH CENTRE 15475538 15,732.29 OX000017791 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES MARCHAM ROAD HEALTH CENTRE 15475538 2,536.80 OX000017791 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES MORLAND HOUSE SURGERY 15475541 (54,834.44) OX000017793 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscChrgsCll&RmttdbyGPCntra PRC DELEGATED CO-COMMISSIONING MORLAND HOUSE SURGERY 15475541 (3,208.80) OX000017793 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES MORLAND HOUSE SURGERY 15475543 116,255.11 OX000017794 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING MORLAND HOUSE SURGERY 15475543 18,353.18 OX000017794 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES MORLAND HOUSE SURGERY 15475543 3,208.80 OX000017794 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES NETTLEBED SURGERY 15475545 (32,935.80) OX000017795 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscChrgsCll&RmttdbyGPCntra PRC DELEGATED CO-COMMISSIONING NETTLEBED SURGERY 15475545 (1,940.40) OX000017795 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES NETTLEBED SURGERY 15475547 54,078.54 OX000017796 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING NETTLEBED SURGERY 15475547 13,817.57 OX000017796 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES NETTLEBED SURGERY 15475547 1,940.40 OX000017796 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Prescribing LOCAL ENHANCED SERVICES NEWBURY STREET PRACTICE 15475549 27,699.87 OX000017797 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Prescribing PRC DELEGATED CO-COMMISSIONING NEWBURY STREET PRACTICE 15475549 6,857.77 OX000017797 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES SONNING COMMON HEALTH CENTRE 15475555 34,312.01 OX000017801 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING SONNING COMMON HEALTH CENTRE 15475555 6,923.83 OX000017801 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES SONNING COMMON HEALTH CENTRE 15475555 1,495.20 OX000017801 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES SHEEP STREET SURGERY BURFORD 15475560 46,384.00 OX000017804 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING SHEEP STREET SURGERY BURFORD 15475560 9,224.18 OX000017804 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES SHEEP STREET SURGERY BURFORD 15475560 1,386.00 OX000017804 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES SIBFORD SURGERY 15475563 26,502.13 GB879117988 OX000017806 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING SIBFORD SURGERY 15475563 5,608.70 GB879117988 OX000017806 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES SIBFORD SURGERY 15475563 1,537.20 GB879117988 OX000017806 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES WHITE HORSE MEDICAL CENTRE 15475573 (83,914.63) OX000017814 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscChrgsCll&RmttdbyGPCntra PRC DELEGATED CO-COMMISSIONING WHITE HORSE MEDICAL CENTRE 15475573 (3,897.60) OX000017814 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES WHITE HORSE MEDICAL CENTRE 15475574 159,659.86 OX000017815 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING WHITE HORSE MEDICAL CENTRE 15475574 31,189.78 OX000017815 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES WHITE HORSE MEDICAL CENTRE 15475574 3,897.60 OX000017815 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES WALLINGFORD MEDICAL PRACTICE 15475576 (39,668.64) OX000017816 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscChrgsCll&RmttdbyGPCntra PRC DELEGATED CO-COMMISSIONING WALLINGFORD MEDICAL PRACTICE 15475576 (2,587.20) OX000017816 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES WALLINGFORD MEDICAL PRACTICE 15475577 61,056.36 OX000017817 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING WALLINGFORD MEDICAL PRACTICE 15475577 12,461.95 OX000017817 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES WALLINGFORD MEDICAL PRACTICE 15475577 2,587.20 OX000017817 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES WATERY LANE SURGERY 15475581 40,880.68 OX000017819 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING WATERY LANE SURGERY 15475581 8,902.89 OX000017819 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES WATERY LANE SURGERY 15475581 1,646.40 OX000017819 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES WYCHWOOD SURGERY 15475588 46,265.20 OX000017824 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING WYCHWOOD SURGERY 15475588 8,547.96 OX000017824 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES WYCHWOOD SURGERY 15475588 1,705.20 OX000017824 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES WINDRUSH MEDICAL PRACTICE WITNEY 15475590 (39,627.04) OX000017825 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscChrgsCll&RmttdbyGPCntra PRC DELEGATED CO-COMMISSIONING WINDRUSH MEDICAL PRACTICE WITNEY 15475590 (1,696.80) OX000017825 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES WINDRUSH MEDICAL PRACTICE WITNEY 15475591 75,907.79 OX000017826 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING WINDRUSH MEDICAL PRACTICE WITNEY 15475591 15,823.22 OX000017826 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES WINDRUSH MEDICAL PRACTICE WITNEY 15475591 1,696.80 OX000017826 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES CHIPPING NORTON HEALTH CENTRE 15475596 (55,120.14) GB186693943 OX000017829 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscChrgsCll&RmttdbyGPCntra PRC DELEGATED CO-COMMISSIONING CHIPPING NORTON HEALTH CENTRE 15475596 (4,611.60) GB186693943 OX000017829 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES CHIPPING NORTON HEALTH CENTRE 15475598 106,892.00 GB186693943 OX000017830 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING CHIPPING NORTON HEALTH CENTRE 15475598 24,458.15 GB186693943 OX000017830 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES CHIPPING NORTON HEALTH CENTRE 15475598 4,611.60 GB186693943 OX000017830 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Actual Rent PRC DELEGATED CO-COMMISSIONING BARTLEMAS SURGERY 15477730 36,802.63 DCCDec-16_1 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Other PRC DELEGATED CO-COMMISSIONING HORSEFAIR SURGERY 15477734 76,456.00 DCCDec-16_2 Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Clinical Other PRESCRIBING NORTH WEST OSTOMY SUPPLIES 15483685 114,556.42 391-5320-58 0000000082 Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Independent Sector ACUTE COMMISSIONING HORTON NHS TREATMENT CENTRE 15501080 603,687.00 426505170 HOROXF201609 31/12/2016 Clinical&Medical-Independent Sector ACUTE COMMISSIONING HORTON NHS TREATMENT CENTRE 15501133 (75,000.00) 426505170 HOROXF201608A Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Independent Sector ACUTE COMMISSIONING FOSCOTE PRIVATE HOSPITAL (BMI) 15501175 (30,000.00) 10QFOSM09PLCVCREDIT Department of Health NHS Oxfordshire CCG 31/12/2016 Hcare Srv Rec NHS CCG-Contract Baseline ACUTE COMMISSIONING NHS SLOUGH CCG 15501206 303,505.00 7028101645 Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Othe Public Sector MENTAL HEALTH SERVICES - COLLABORATIVE COMMISSIONINGOXFORDSHIRE COUNTY COUNCIL 15501216 (184,664.76) 3940003225 Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Independent Sector PLANNED CARE SCRIVENS LTD 15501263 31,038.92 10Q0518 Department of Health NHS Oxfordshire CCG 31/12/2016 Hcare Srv Rec Fdtn Trust-Contract Baseline COMMUNITY SERVICES OXFORD HEALTH NHS FOUNDATION TRUST 15501358 15,821.00 GB654935896 A0101624 Department of Health NHS Oxfordshire CCG 31/12/2016 Hcare Srv Rec Fdtn Trust-Contract Baseline OUT OF HOURS OXFORD HEALTH NHS FOUNDATION TRUST 15501358 (11,000.00) GB654935896 A0101624 Department of Health NHS Oxfordshire CCG 31/12/2016 Hcare Srv Rec Fdtn Trust-Contract Cost per Case MENTAL HEALTH SERVICES - COLLABORATIVE COMMISSIONINGOXFORD HEALTH NHS FOUNDATION TRUST 15501358 95,500.00 GB654935896 A0101624 Department of Health NHS Oxfordshire CCG 31/12/2016 Participation Fees CEO/ BOARD OFFICE OXFORD UNIVERSITY HOSPITALS NHS FOUNDATION TRUST 15501420 37,130.00 654935407 8244603 Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Clinical Other NON RECURRENT PROGRAMMES PRINCIPAL MEDICAL 15508036 84,019.50 2001774 Department of Health NHS Oxfordshire CCG 31/12/2016 Hcare Srv Rec Fdtn Trust-Contract Baseline COMMUNITY SERVICES OXFORD UNIVERSITY HOSPITALS NHS FOUNDATION TRUST 15508038 134,333.00 654935407 8244492 Department of Health NHS Oxfordshire CCG 31/12/2016 Charges from CSU OPERATIONS MANAGEMENT NHS SOUTH CENTRAL AND WEST COMMISSIONING SUPPORT UNIT 15522428 42,828.00 7312700995 Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Independent Sector ACUTE COMMISSIONING HORTON NHS TREATMENT CENTRE 15526594 240,930.83 426505170 HOROXFR201511	en
2179-pdf	## Developing A Collections Information Policy You may re-use this information (excluding logos) free of charge in any format or medium, under the terms of the Open Government Licence. To view this licence, visit nationalarchives.gov.uk/doc/open-government-licence or email psi@nationalarchives.gsi.gov.uk. Where we have identified any third-party copyright information, you will need to obtain permission from the copyright holders concerned. This publication is available for download at nationalarchives.gov.uk . ## Contents 1. Purpose of the Guidance 2. Why have a Collections Information Policy 3. Understanding Collections Information 4. Policy, Plan or Procedure 5. Developing a Policy 6. Policy Scope and Content 7. Further Resources ## 1. Purpose Of The Guidance Archivists routinely gather and record information about their collections from the point of accessioning onwards, both to manage and provide access to collections effectively. As yet, archivists have not routinely evidenced their adopted approach towards recording information about collections nor evidenced the thinking and decisions which have influenced this approach - all important for advocacy, transparency and accountability. Developing a written information policy can be an opportunity to create this evidence for future use. The aim of this guidance therefore is to help archivists write a Collections Information Policy which reflects their own archive service's approach to collections information and which they can use practically by developing a policy which will:  Evidence why collections information activities are important and demonstrate the value of what the archive service does in this area  Help the archive service meet the Archive Service Accreditation Standard under requirement 2.3.1 Collections Information Policy The guidance is aimed at staff who work in any type of archive service and tasked with writing a Collections Information Policy. It is not a template, but should allow archivists to develop a Collections Information Policy which reflects the purpose of their archive service and the environment in which they operate. ## 2. Why Have A Collections Information Policy? Writing an effective policy requires the investment of staff time and it can be useful to identify some benefits and value of a Collections Information Policy to justify this investment. A tool for advocacy: A written statement which explains the importance of collections information and describes professional activities associated with this is valuable for both internal and external stakeholders, such as senior managers or funders. It communicates the value of core but 'hidden' work undertaken by the archive service. Gaining approval for your collections information policy by parties within your reporting structure can be a useful method of gaining internal support for work in this area. Improves transparency and ensures accountability: A clear and written statement that is available for consultation and which both describes and explains an archive service's approach and the reasons for what an archive service has promised to deliver can improve understanding and manage expectations among depositors, researchers and other key stakeholders. Documenting, explaining and justifying your approach can lead to improved confidence amongst these stakeholders. Improving Collections Management within the archive service: Documenting your approach to Collections Information can be an opportunity to review how well this integrates with other collections management activities such as accessioning, appraisal, collections care, and providing access to collections. It re-enforces the interrelationship between collections development, collections information and collections care. A policy should provide a framework to guide any decision making within the archive service and thereby encourages consistent planning across collections management. A policy also provides guidance to all staff and others involved in collections information activities. Guide Collections Information planning: A written document outlining your approach to managing and developing collections information can provide a practical tool to guide planning in line with identified priorities and ensure a consistent approach through successive planning cycles. Succession Planning: Documenting the archive service's current approach to managing collections information can preserve knowledge of staff and help with succession planning within the archive service. Increasing acceptance of national and international standards: With the increasing acceptance of national and internal standards within the archives community, particularly in with regard to cataloguing, it can be useful for an archive service to communicate their approach to recording this information. This can help with sharing collections information more widely through networks. ## 3. Understanding Collections Information 3.1 What Is Collections Information? Collections information is the information used for the management of the collections held by an archive service. It provides intellectual control over collections in order to enable access to collections. It is therefore any information collected from depositors or information generated during accessioning, appraisal of collections, cataloguing and the creation finding aids, and which records the location and movement of collections. PAS 197:2009 defines collections information as 'information an organisation collects, holds and maintains about its collections and/or collected items'. 'Points where archive services gathers information- deposit and accessioning, cataloguing, physical condition, preservation and conservation activities.' Those working in archive services are therefore very likely to be familiar with the concept of collections information if not the concept of a written collections information policy. ## 3.2 Collections Information And Archive Service Accreditation Archive Service Accreditation is the UK Standard for Archive Services and looks at how well an archive service performs in three areas: in organisational health, collections management, and providing access to collections for a range of stakeholders. The standard was designed to fit closely with other frameworks and standards already in use in the archive, museum and library sectors such as the PSQG Standard for Access to Archives PD 5454 and PAS 197:2009. In terms of collections management, Archive Service Accreditation adopted as primary reference the recommended structure for an integrated Collections Management Framework laid out in PAS 197:2009 i.e. a framework of policy, plans and procedures. The standard also borrows much of the terminology relating to the management of collections i.e. collections development, collections care, collections access and most importantly in this context collections information. ## Requirement 2.3.1 Of The Archive Service Accreditation Standard States That: 'The archive service has a policy on collections information which specifies how collections information is recorded and enhanced and the standards and procedures which must apply' The Standard also requires that the archives service has collections information plan and collections information procedures to deliver the policy in practice. ## 4. Policy, Plan Or Procedure? Understanding the scope and content of a policy, plan or procedure and the relationship between these can also help clarify the scope and content of the policy itself. With reference to the Archive Service Accreditation Guidance : Policy: Describes the overall intentions and directions of an organisation. Provide a framework for organisational planning and action. Can be written in the form of a statement, require the endorsement of the organisation's governing body. It should address the whys. Plan: Sets out the objectives of an organisation and identify the actions needed to achieve those objectives, in line with the organisation's policies and in order to deliver its mission statement. Planning documents should link with and be consistent with the policy to which it relates. Examples are strategies (3-5 years), business plans annual, departmental/individual action plans (often related to projects or reporting cycles) Procedures: Describe a specified way to carry out an activity or a process in order to deliver a particular output or outcome. Procedures may be documented in the form of operational guides, manuals, handbooks, instructions etc. Procedures should be consistent with and policy to which they relate. For small archive services or for those archive services who are integrated within a wider collections organisation, the Collections Information Policy may be part of an overall Collections Management Policy for the archive or be integrated within the policies of the wider organisation. ## 5. Developing A Policy This section will take you through the key steps of writing and developing a policy. It is recognised that many organisations have their own in house procedures and guidelines for developing and writing policies. Remember that your policy should cover both analogue and born digital collections. \| \| Step Activity \| Notes \| \|-----------------------------------------\|-------------------------------\|-----------------------------------------------\| \| 1 \| Define the aim and scope of \| Be clear as to why you are writing the policy \| \| your policy \| and what you want to include. \| \| \| \| \| \| \| Questions to consider: \| \| \| \|  \| \| \| \| Why are you writing the policy, what do \| \| \| \| you want your policy to achieve? \| \| \| \|  \| \| \| \| Who are your audiences? who you are \| \| \| \| writing the policy for, for example \| \| \| \| archive service staff, researchers, \| \| \| \| depositors, funders? What do they \| \| \| \| need to know? \| \| \| \|  \| \| \| \| How will your policy provide effective \| \| \| \| guidance for collections information \| \| \| \| management planning and link with \| \| \| \| procedures? \| \| \| \|  \| \| \| \| How will it link with collections \| \| \| \| development, collections care, and \| \| \| \| access to collections? \| \| \| \| \| \| \| \| 2 \| Research the content and \| Questions to consider: \| \| consult with other staff where \| \| \| \|  \| \| \| \| What is the current approach of the \| \| \| \| necessary \| \| \| \| archive service? How can this be \| \| \| \| reflected in the policy? \| \| \| \|  \| \| \| \| How does it relate to other policies \| \| \| \| such as access policies, collections \| \| \| \| care policies, collections development \| \| \| polices? Do these policies successfully integrate with each other and support rather than work in conflict? 3 Develop the structure and Questions to consider: content of the policy  How will the archive service's approach be reflected in the policy?  How is this best communicated? What format or style is best suited to your content? 4 Write the policy Questions to consider:  Will you policy be easily understood by non archivists if these are part of the intended readership of the policy? 5 Policy sign off This will depend on the management structure within your organisation and how powers of approval are delegated within the management structure. Obtaining approval for the policy by a more senior manager within the management structure can mean generating interest and creating visibility for what you are doing, achieving advocacy for your archive service. 6 Publicise and communicate Questions to consider: your new policy  Who needs to know about your new policy? Who needs to know the detail of your policy? Who needs to be aware of your new policy? Consider this with reference to different audiences such as: archive service staff, senior management, depositors, funders, researchers  What is the best method to communicate this for each audience - via a website, intranet, newsletter, email, face to face or team meeting, a training session? 7 Policy Review Reviewing your policy on a regular basis ensures it remains current and reflects the aims and needs of your archive service. ## 6) Policy Scope And Content This section will help you decide what to include in your collections information policy, remembering that every archive service is different and not every suggestion may be relevant to your service and situation. There is no model template or model structure for a Collections Information Policy, but some of the following are likely to be relevant.  Providing context to your overall approach  Legislative context  Systems used for recording collections information  Point of deposit and accessioning  Disposals and withdrawals  Location and movement control  Cataloguing  Staffing and funding  Protecting your collections information The policy should cover collections information concerning both analogue and born digital collections. ## Content Notes Stating why collections information is ## Providing Context To Your Approach – important will help to engage your ## The Importance Of Collections audience or readership and make it clear ## Information how collections information helps the The archive service 'recognises that archive service to achieve its aims. good documentation of its collections, through accessioning cataloguing and Linking collections information to the other activities, is fundamental to overall mission, purpose and aims of the collections management and to good archive service and how it relates to public access; [the] archives is other areas of collections management committed to improving the quality of and access to collections can strengthen collections information in terms of its this further and provides evidence of how structures and completeness.' well functions work together within the (Lancashire Archives) archive service. '…explains how we aim to maintain and This might be expressed through a statement reflecting the archive service's provide accurate documentation of our collections for the purpose of their overall commitment to collections improved control and access. It supports information. our Mission Statement as set out and should be seen in conjunction with [the] forward plan.' (Flintshire Record Office) Stating why a collections information ## Providing Context To Your Approach – policy is important and how the archive ## Importance Of Your Collections service will use the policy during the ## Information Policy course of its work is also crucial. 'It will assist in decision making and prioritising work in a range of Explaining how your policy influences circumstances; providing access to the your collections information planning can holdings which is balanced with their demonstrate the link between policy and long-term preservation and legislative plan: the difference the policy will make requirements; cataloguing work by staff in practice. and volunteers; submission of funding bids with a cataloguing and information Examples might include guiding the enhancement aspect.' University of archive service's approach to recording Huddersfield Archives and making accessible catalogue information; guiding cataloguing 'The policy is supported by a Collections planning; providing evidence of your Information Plan, which outlines the approach to stakeholders and potential objectives through which we will achieve funders. the aims of this policy' (Worcestershire Archive and Archaeology Service) Explaining the background to your ## Providing Context To Your Approach – current situation with regards to ## Historical Background collections information can provide 'The approach to creating collections essential additional context for your information depends on the size of the approach. You may wish to clarify any cataloguing background, legacy of legacy issues in terms of cataloguing cataloguing systems and professional backlogs, periods of missing depositor standards used in the past' University of details or gaps in accessions information, Huddersfield Archives as prioritising these. You may wish to describe the legislative ## Legislative Context framework in which your archive service operates and any other organisational policies or codes of practice that might influence access to collections and the level of information made available, internally and to the wider public. The policy should note where the archive ## Systems For Recording Collections services records or holds collections ## Information information or any software used for recording and making available collections information. Examples include accession registers, depositor records, filing systems, and any software used. The policy should include the archive ## Point Of Deposit/Accessioning 'Accessioning is the process of capturing service's approach to recording information about acquisitions as they information about accessions, depositor are transferred into our care. For records, intellectual property rights, archives, this is the foundation on which access restrictions/ownership and legal all subsequent management processes status of collections, what information is rest.' (Derbyshire Record Office) recorded and any timescales for achieving this. 'We will accurately record key information about the archives we Where some of all of your collections acquire, their nature and contents, the arrive through internal transfer, a policy identity of the person or body transferring on levels of information expected on the archives into our custody, and the transfer helps to set expectations from terms on which we are to hold the transferring bodies. records.' (Derbyshire Record Office) Publicising newly accessioned material 'Recording the provenance of collections to your stakeholder groups both internal is crucial to ensuring the integrity of our or external groups is an element of the archive collections. (Institute of accessioning process and your approach Education Archives) to this should be included in the Collections Information Policy, for 'Shropshire Archives participates in The example publishing information in an National Archives' annual Accessions to annual report, on the website or internal Repositories Survey to enable up-to-date intranet, via a newsletter or in the reading information to appear on the National rooms. Register of Archives. Summaries of significant new accessions also regularly If you participate in The National appear in the Salopian Recorder, the Archives' annual accessions to Newsletter of the Friends of Shropshire repositories survey then this could also Archives, and in the Transactions of the be included here as a way of making Shropshire Historical and Archaeological information available to a wider Society.' (Shropshire Archives) audience. Explaining your approach to recording ## Disposals And Withdrawals any decision about collection disposal or 'All disposals are recorded in the Content withdrawals in your policy is important and Structure field of the Adlib database.' not only for staff awareness but also for (Royal College of Gynaecologist and stakeholder confidence in collections Obstetricians) management. Including a short statement about why Location and movement control the archive service services records 'To help fulfil its obligations of care to the location and movement of collections archive material it holds and to the reinforces the link between collections depositors of such material, FRO always information, including collections aims to maintain up-to date information information procedures and collections on the locations of all items in its care.' care, including security of collections, at (Flintshire Record Office) policy level. Any finding aids which facilitate access to ## Finding Aids collections should be mentioned, including how these are improved and where published if relevant. Any older finding aids, such as published guides, which are not updated as a matter of policy may also be mentioned to clarify the approach. Explaining the approach to cataloguing in ## Cataloguing the context of what your archive service 'Cataloguing the material within Cumbria offers and in terms of providing access to Archive Service's custody is essential to collections is valuable in making the link enable staff to effectively manage the between collections management and information retained for permanent providing access to collections. Stating preservation within the Archive Centres, why cataloguing is important and linking and to enable public access as this to access to collections can endorse appropriate.' (Cumbria Archive Service) the commitment to these. This can be particularly helpful in securing resource 'Cataloguing since 2009 has been for further description. undertaken using CALM software supported by an in-house General This section should reference both Manual for Cataloguing. FRO uses the analogue and born digital material as following standards: appropriate. The mandatory elements of International Council on Archives, Archive Service Accreditation uses the General International Standard of following categories to describe the cataloguing state, which may be helpful Archival Description [ISAD(G)], International Council on Archives, for reference: International Standard Archival  Fully catalogued (the expectation Authority for Corporate Bodies, Persons is that this will be in accordance and Families [ISAAR(CPF)], National with at the mandatory elements of Council on Archives, Rules for the ISAD (g)) Construction of Personal, Place and  Fully catalogued (but to a lower Corporate Names [NCA Rules]' standard then ISAD (g) (Flintshire Record Office)  Box-listed or roughly-listed material, or collections for which only collection-level descriptions exist  Completely unlisted collections  Full catalogue available online Your policy can make reference to which cataloguing standards you use for analogue and digital collections. If relevant you may also think about including your approach to retrospective conversion and your approach to prioritising cataloguing backlogs and revisiting collections. Any timescales or targets for cataloguing of collections could also be included, or may instead be included in planning. For services with particularly extensive backlog levels of collections without standards-based information, any policy on making accessible incomplete or lower-quality information to facilitate access may be explored and explained. Stating where your catalogues are available internally or externally for example on your website, through shared networks such as AIM25 or Archives Hub, or through TNA's Discovery, makes clearer the link between cataloguing and providing better access to collections. Staffing and Funding Describing how collections information activities are resourced, particularly for archive services with cataloguing backlogs, establishes a link between collections information activities, staffing, funding and forward planning. Resourcing might include seeking external grant funding eg Heritage Lottery Fund, National Cataloguing Grants Scheme; working in partnership with other organisations; allocating staff time to cataloguing work; using volunteers or dedicated project staff, and the basis on which professional/paraprofessional staff are needed for cataloguing. If your service works extensively with volunteers to improve collections information, issues such as intellectual property in volunteer-created information and how this can be reused (e.g. if indexes may be licensed commercially) can add transparency to your relationship with volunteer contributors. Here you might describe how the archive ## Protecting Your Collections service ensures the security of its ## Information collections information to avoid loss or compromise, for example if any information held in online systems is regularly backed up, whether any paper files are held in a lockable filing cabinet. This underlines investment needed in protecting resource already expended on improving collection information and where relevant provides assurance to depositors and donors. ## 7) Further Resources Archive Service Accreditation Guidance Revisiting Archive Collections ## Websites: UK Archives Discovery Network (UKAD) The National Archives: http://www.nationalarchives.gov.uk/archives-sector/documenting-collections.htm http://www.nationalarchives.gov.uk/archives-sector/loan-agreements-andaccessions-registers.htm Archives and Records Association Guide to Archival Standards ## Standards PAS 197:2009 Code of Practice for Cultural Collections Management BS 6879/ISO 3166-2: 1998, Codes for the representation of names of countries and their subdivisions, Part 2 International Council on Archives, General International Standard Archival Description [ISAD (G)], 2nd edition, 1999 International Council on Archives, International Standard Archival Authority Record for Corporate Bodies, Persons and Families (ISAAR (CPF), 2004) http://www.ica.org/en/isaar-cpf-international-standard-archival-authority-recordcorporate-bodies-persons-and-families-2nd National Council on Archives, Rules for the Construction of Personal, Place and Corporate Names ## Links To Collection Information Policies: Cumbria Archive Service Collection Information Policy Richard Burton Archive, Swansea University Collection Information Policy Flintshire Record Office Collection Information Policy University of Huddersfield Special Collections draft Collections Information Policy: Shropshire Archives Collections Information Policy Kings College London Archives Collections Information Policy	en
1799-pdf	## 1 \| \| \| \| \| \| \| \| \| \| \| \| \| Full Year \| Full Year \| Full Year \| \|----------------------------------------\|-----------\|-----------\|-----------\|-----------\|-----------\|-----------\|-----------\|-----------\|-----------\|-----------\|-----------\|--------------\|--------------\|--------------\| \| Quarter 1 \| Quarter 2 \| Quarter 3 \| Quarter 4 \| Quarter 1 \| Quarter 2 \| Quarter 3 \| Quarter 4 \| Quarter 1 \| Quarter 2 \| Quarter 3 \| Quarter 4 \| Quarter 1 \| Quarter 2 \| Quarter 3 \| \| 2010-11 \| 2010-11 \| 2011-11 \| 2010-11 \| 2011-12 \| 2011-12 \| 2011-12 \| 2011-12 \| 2012-13 \| 2012 - 13 \| \| \| \| \| \| \| 5 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 2012-13 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 6 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 2012-13 \| 2013-14 \| 2013-14 \| 2013-14 \| \| \| \| \| \| \| \| \| \| \| \| \| 7, 8 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Outturn \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 2010-11 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Outturn \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 2011-12 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Outturn \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 2012-13 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Number of passengers sampled \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 2,3,4 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 51,086 \| 55,748 \| 47,240 \| 44,636 \| \| \| \| \| \| \| \| \| \| \| \| \| 198,710 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 55,145 \| 63,152 \| 54,900 \| 55,679 \| \| \| \| \| \| \| \| \| \| \| \| \| 228,876 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 62,013 \| 78,906 \| 119,632 \| 126,694 \| 387,245 \| 131,513 \| 135,741 \| 127,470 \| \| \| \| \| \| \| \| \| Number of passengers cleared within \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| service standards \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 50,295 \| 54,236 \| 46,654 \| 43,935 \| \| \| \| \| \| \| \| \| \| \| \| \| 195,120 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 53,511 \| 60,876 \| 54,086 \| 54,558 \| \| \| \| \| \| \| \| \| \| \| \| \| 223,031 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 60,422 \| 78,118 \| 119,186 \| 126,439 \| 384,165 \| 131,023 \| 134,893 \| 127,106 \| \| \| \| \| \| \| \| \| % of passengers cleared within service \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| standards \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 98.5% \| 97.3% \| 98.8% \| 98.4% \| \| \| \| \| \| \| \| \| \| \| \| \| 98.2% \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 97.0% \| 96.4% \| 98.5% \| 98.0% \| \| \| \| \| \| \| \| \| \| \| \| \| 97.4% \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 97.4% \| 99% \| 99.6% \| 99.8% \| 99.2% \| 99.6% \| 99.4% \| 99.7% \| \| \| \| \| \| \| \| ## Footnotes 1) The service standards are: 95% of European Economic Area (EEA) passengers with 25 minutes; and 95% non-EEA passengers within 45 minutes 2) Sampling methodology: Most ports and airports involved in the sampling aim to take one queue measurement every hour during passenger arrival times, where it is practical to do so (but see notes 3 and 4 below). A queue is defined from when a passenger / vehicle joins a static body of people / line of vehicles to when they arrive at the UK Border control desk. To ensure consistency of approach ports are advised to used on of two recommended methods - either a passenger or vehicle is picked out as they join a queue and then visually traced (by an officer on location or by CCTV) until they reach the border control desk or the passenger will be handed a card with the time of joining queue noted and they are asked hand the card to UKBA officer on the desk as soon as they reach that point. 3) At some ferry ports, we measure the median queue length for cars and coaches as the representative sample of immigration queue length. At these locations, we measure the time taken for the first car and the last car to clear the controls and divide this by 2 to calculate the median queue length. This allows for a more accurate evaluation of the queuing time that excludes the waiting on board ship for disembarkation. 4) A recent audit of the methods used to measure waiting times found variations in the approaches being used. As a result of the recommendations made, work is underway to implement a more robust and consistent approach across all ports on entry. 5) From 25th August 2012, queue measures were taken every 15 minutes at Heathrow. This means that there has been an increase in the number of passengers sampled. 6) From 28th October 2012, queue measures were taken every 15 minutes at Gatwick. This means that there has been an increase in the number of passengers sampled. 7) From 2nd November 2013, queue measures were taken every 15 minutes at Stansted. 8) Ports have been reminded not to record a zero queue length unless passengers are present in the arrivals hall. As a result the number of measures taken have	en
4205-pdf	RUN AT 02/01/2018 08:54:45 \| Department family \| Entity \| Date \| Expense Type \| Expense area \| Supplier \| Transaction number \| AP Amount (£) \| \|----------------------\|---------------------------\|------------\|---------------------------------------------------------------\|-------------------------------------------\|--------------------------------------------------------\|----------------------\|-----------------\| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Travel Booking Services \| PATIENT TRANSPORT \| ARRIVA TRANSPORT SOLUTIONS \| 20206736 \| 58,310.52 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS DES Minor Surgery \| PRC DELEGATED CO-COMMISSIONING \| BARNBY GATE SURGERY \| 20128924 \| 2,757.29 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Global Sum \| PRC DELEGATED CO-COMMISSIONING \| BARNBY GATE SURGERY \| 20128924 \| 93,509.92 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS PCO Seniority \| PRC DELEGATED CO-COMMISSIONING \| BARNBY GATE SURGERY \| 20128924 \| 6,329.04 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Prem Notional Rent \| PRC DELEGATED CO-COMMISSIONING \| BARNBY GATE SURGERY \| 20128924 \| 8,194.56 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| BARNBY GATE SURGERY \| 20128924 \| 10,221.35 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Clinical&Medical-Voluntary Sector \| COMMISSIONING - NON ACUTE \| BEAUMOND HOUSE COMMUNITY HOSPICE \| 19943352 \| 26,710.83 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Global Sum \| PRC DELEGATED CO-COMMISSIONING \| BILSTHORPE SURGERY \| 20129405 \| 27,672.23 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS PCO Seniority \| PRC DELEGATED CO-COMMISSIONING \| BILSTHORPE SURGERY \| 20129405 \| 245.70 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Prem Clinical Waste \| PRC DELEGATED CO-COMMISSIONING \| BILSTHORPE SURGERY \| 20129405 \| 167.04 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Prem Notional Rent \| PRC DELEGATED CO-COMMISSIONING \| BILSTHORPE SURGERY \| 20129405 \| 7,576.30 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Prem Other \| PRC DELEGATED CO-COMMISSIONING \| BILSTHORPE SURGERY \| 20129405 \| 398.70 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Prem Water Rates \| PRC DELEGATED CO-COMMISSIONING \| BILSTHORPE SURGERY \| 20129405 \| 841.12 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| BILSTHORPE SURGERY \| 20129405 \| 3,467.33 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Clinical&Medical-Independent Sector \| ACUTE COMMISSIONING \| BMI HEALTHCARE COLLECTIONS \| 20099980 \| 127,646.77 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Clinical&Medical-Independent Sector \| ACUTE COMMISSIONING \| CARE UK CLINICAL SERVICES LTD \| 20100102 \| 28,197.49 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Clinical&Medical-Independent Sector - Over/ Under Performance \| ACUTE COMMISSIONING \| CARE UK CLINICAL SERVICES LTD \| 20159509 \| 41,861.58 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Clinical&Medical-Independent Sector - Over/ Under Performance \| CLINICAL ASSESSMENT AND TREATMENT CENTRES \| CIRCLE NOTTINGHAM LTD \| 19914769 \| (39,501.30) \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Clinical&Medical-Commercial Sector \| CLINICAL ASSESSMENT AND TREATMENT CENTRES \| CIRCLE NOTTINGHAM LTD \| 20099973 \| 156,461.09 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS DES Extended Hours Access \| PRC DELEGATED CO-COMMISSIONING \| COLLINGHAM MEDICAL CENTRE \| 20128908 \| 9,959.34 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS DES Minor Surgery \| PRC DELEGATED CO-COMMISSIONING \| COLLINGHAM MEDICAL CENTRE \| 20128908 \| 790.74 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Global Sum \| PRC DELEGATED CO-COMMISSIONING \| COLLINGHAM MEDICAL CENTRE \| 20128908 \| 55,756.80 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Prem Clinical Waste \| PRC DELEGATED CO-COMMISSIONING \| COLLINGHAM MEDICAL CENTRE \| 20128908 \| 272.20 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Prem Notional Rent \| PRC DELEGATED CO-COMMISSIONING \| COLLINGHAM MEDICAL CENTRE \| 20128908 \| 9,091.67 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| COLLINGHAM MEDICAL CENTRE \| 20128908 \| 6,448.22 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Cost of Drugs -Dispensing \| PRESCRIBING \| COLLINGHAM MEDICAL CENTRE \| 20195054 \| (51,893.24) \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS PrscChrgsCll&RmttdbyGPCntra \| PRC DELEGATED CO-COMMISSIONING \| COLLINGHAM MEDICAL CENTRE \| 20195054 \| (2,494.00) \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Cost of Drugs -Dispensing \| PRESCRIBING \| COLLINGHAM MEDICAL CENTRE \| 20195055 \| 92,641.16 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Prof Fees Dispensing \| PRC DELEGATED CO-COMMISSIONING \| COLLINGHAM MEDICAL CENTRE \| 20195055 \| 14,548.03 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS PrscrptnChrgsColl&RmttdbyGP \| PRESCRIBING \| COLLINGHAM MEDICAL CENTRE \| 20195055 \| 2,494.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Rent \| ESTATES AND FACILITIES \| COMMUNITY HEALTH PARTNERSHIPS LTD \| 20101744 \| 40,211.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Rent \| ESTATES AND FACILITIES \| COMMUNITY HEALTH PARTNERSHIPS LTD \| 20101745 \| 40,211.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Hcare Srv Rec Fdtn Trust-CQUIN \| ACUTE COMMISSIONING \| DERBY TEACHING HOSPITALS NHS FT \| 20099979 \| 925.89 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Hcare Srv Rec Fdtn Trust-Contract Baseline \| ACUTE COMMISSIONING \| DERBY TEACHING HOSPITALS NHS FT \| 20099979 \| 48,710.81 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Clinical&Medical-Independent Sector \| NHS 111 \| DHU 111 (EAST MIDLANDS) CIC \| 20099984 \| 27,853.82 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Hcare Srv Rec Fdtn Trust-Over/ Under Performance \| ACUTE COMMISSIONING \| DONCASTER AND BASSETLAW HOSPITALS NHS FOUNDATION TRUST \| 19914773 \| (149,361.00) \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Hcare Srv Rec Fdtn Trust-CQUIN \| ACUTE COMMISSIONING \| DONCASTER AND BASSETLAW HOSPITALS NHS FOUNDATION TRUST \| 20100092 \| 2,703.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Hcare Srv Rec Fdtn Trust-Contract Baseline \| ACUTE COMMISSIONING \| DONCASTER AND BASSETLAW HOSPITALS NHS FOUNDATION TRUST \| 20100092 \| 265,631.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Hcare Srv Rec NHS Trust-CQUIN \| AMBULANCE SERVICES \| EAST MIDLANDS AMBULANCE SERVICE NHS TRUST \| 20100031 \| 4,244.83 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Hcare Srv Rec NHS Trust-Contract Baseline \| AMBULANCE SERVICES \| EAST MIDLANDS AMBULANCE SERVICE NHS TRUST \| 20100031 \| 339,625.17 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS DES Extended Hours Access \| PRC DELEGATED CO-COMMISSIONING \| HILL VIEW SURGERY \| 20128914 \| 4,323.45 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Global Sum \| PRC DELEGATED CO-COMMISSIONING \| HILL VIEW SURGERY \| 20128914 \| 22,464.26 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS MPIG Correction Factor \| PRC DELEGATED CO-COMMISSIONING \| HILL VIEW SURGERY \| 20128914 \| 1,805.20 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS PCO Seniority \| PRC DELEGATED CO-COMMISSIONING \| HILL VIEW SURGERY \| 20128914 \| 275.14 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Prem Clinical Waste \| PRC DELEGATED CO-COMMISSIONING \| HILL VIEW SURGERY \| 20128914 \| 278.76 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Prem Notional Rent \| PRC DELEGATED CO-COMMISSIONING \| HILL VIEW SURGERY \| 20128914 \| 2,383.33 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| HILL VIEW SURGERY \| 20128914 \| 2,559.10 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS DES Minor Surgery \| PRC DELEGATED CO-COMMISSIONING \| HOUNDSFIELD SURGERY \| 20128926 \| 702.88 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Global Sum \| PRC DELEGATED CO-COMMISSIONING \| HOUNDSFIELD SURGERY \| 20128926 \| 32,779.21 \| \|------------------------\|-----------------------------\|--------------\|-------------------------------------\|------------------------------------------------------------\|--------------------------------\|------------\|-------------\| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS PCO Seniority \| PRC DELEGATED CO-COMMISSIONING \| HOUNDSFIELD SURGERY \| 20128926 \| 275.14 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Prem Notional Rent \| PRC DELEGATED CO-COMMISSIONING \| HOUNDSFIELD SURGERY \| 20128926 \| 2,643.25 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| HOUNDSFIELD SURGERY \| 20128926 \| 2,826.49 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Cost of Drugs -Dispensing \| PRESCRIBING \| HOUNDSFIELD SURGERY \| 20195064 \| (40,791.34) \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS PrscChrgsCll&RmttdbyGPCntra \| PRC DELEGATED CO-COMMISSIONING \| HOUNDSFIELD SURGERY \| 20195064 \| (3,577.60) \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Cost of Drugs -Dispensing \| PRESCRIBING \| HOUNDSFIELD SURGERY \| 20195065 \| 86,386.35 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Prof Fees Dispensing \| PRC DELEGATED CO-COMMISSIONING \| HOUNDSFIELD SURGERY \| 20195065 \| 12,886.02 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS PrscrptnChrgsColl&RmttdbyGP \| PRESCRIBING \| HOUNDSFIELD SURGERY \| 20195065 \| 3,577.60 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS DES Extended Hours Access \| PRC DELEGATED CO-COMMISSIONING \| LOMBARD MEDICAL CENTRE \| 20128921 \| (17,079.10) \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| ME - GMS TPS Added Years Adj EEs \| PRC DELEGATED CO-COMMISSIONING \| LOMBARD MEDICAL CENTRE \| 20128921 \| (686.77) \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| ME-GMS GP Pension EEs \| PRC DELEGATED CO-COMMISSIONING \| LOMBARD MEDICAL CENTRE \| 20128921 \| (8,207.26) \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| ME-GMS GP Pension ERs Adjustments \| PRC DELEGATED CO-COMMISSIONING \| LOMBARD MEDICAL CENTRE \| 20128921 \| (8,995.49) \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS DES Extended Hours Access \| PRC DELEGATED CO-COMMISSIONING \| LOMBARD MEDICAL CENTRE \| 20128922 \| 26,020.50 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS DES Minor Surgery \| PRC DELEGATED CO-COMMISSIONING \| LOMBARD MEDICAL CENTRE \| 20128922 \| 1,444.54 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Global Sum \| PRC DELEGATED CO-COMMISSIONING \| LOMBARD MEDICAL CENTRE \| 20128922 \| 122,524.62 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS MPIG Correction Factor \| PRC DELEGATED CO-COMMISSIONING \| LOMBARD MEDICAL CENTRE \| 20128922 \| 4,915.11 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS PCO Locum Adop/Pat/Mat \| PRC DELEGATED CO-COMMISSIONING \| LOMBARD MEDICAL CENTRE \| 20128922 \| 10,125.90 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS PCO Seniority \| PRC DELEGATED CO-COMMISSIONING \| LOMBARD MEDICAL CENTRE \| 20128922 \| 4,528.58 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| LOMBARD MEDICAL CENTRE \| 20128922 \| 15,213.30 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS DES Extended Hours Access \| PRC DELEGATED CO-COMMISSIONING \| MAJOR OAK MEDICAL PRACTICE \| 20128916 \| 9,015.99 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS DES Learn Dsblty Hlth Chk \| PRC DELEGATED CO-COMMISSIONING \| MAJOR OAK MEDICAL PRACTICE \| 20128916 \| 280.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS DES Minor Surgery \| PRC DELEGATED CO-COMMISSIONING \| MAJOR OAK MEDICAL PRACTICE \| 20128916 \| 2,356.77 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Global Sum \| PRC DELEGATED CO-COMMISSIONING \| MAJOR OAK MEDICAL PRACTICE \| 20128916 \| 52,061.17 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS PCO Seniority \| PRC DELEGATED CO-COMMISSIONING \| MAJOR OAK MEDICAL PRACTICE \| 20128916 \| 1,190.15 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Prem Actual Rent \| PRC DELEGATED CO-COMMISSIONING \| MAJOR OAK MEDICAL PRACTICE \| 20128916 \| 8,218.60 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Prem Rates \| PRC DELEGATED CO-COMMISSIONING \| MAJOR OAK MEDICAL PRACTICE \| 20128916 \| 700.46 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Prem Water Rates \| PRC DELEGATED CO-COMMISSIONING \| MAJOR OAK MEDICAL PRACTICE \| 20128916 \| 88.36 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| MAJOR OAK MEDICAL PRACTICE \| 20128916 \| 6,463.24 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS DES Minor Surgery \| PRC DELEGATED CO-COMMISSIONING \| MIDDLETON LODGE SURGERY \| 20128887 \| 2,321.08 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Global Sum \| PRC DELEGATED CO-COMMISSIONING \| MIDDLETON LODGE SURGERY \| 20128887 \| 99,574.79 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS PCO Seniority \| PRC DELEGATED CO-COMMISSIONING \| MIDDLETON LODGE SURGERY \| 20128887 \| 1,682.22 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Prem Clinical Waste \| PRC DELEGATED CO-COMMISSIONING \| MIDDLETON LODGE SURGERY \| 20128887 \| 614.08 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Prem Notional Rent \| PRC DELEGATED CO-COMMISSIONING \| MIDDLETON LODGE SURGERY \| 20128887 \| 4,483.33 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| MIDDLETON LODGE SURGERY \| 20128887 \| 12,520.01 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Clinical&Medical-Commercial Sector \| OUT OF HOURS \| NEMS COMMUNITY BENEFIT SERVICE \| 20114679 \| 125,808.67 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Clinical&Medical-Serv Recd-CCGs \| COMMISSIONING SCHEMES \| NHS MANSFIELD & ASHFIELD CCG \| 19960535 \| 35,180.83 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Clinical&Medical-Serv Recd-CCGs \| COMMUNITY SERVICES \| NHS RUSHCLIFFE CCG \| 20077132 \| 131,364.50 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Clinical&Medical-Independent Sector \| Learning Difficulties - S117 \| NHS RUSHCLIFFE CCG \| 20100070 \| 41,953.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Clinical&Medical-Independent Sector \| Mental Health Services - S117 Mental Health \| NHS RUSHCLIFFE CCG \| 20100070 \| 106,518.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Cont Care- Adult 100% Fully Funded \| CHC AD FULL FUND PERS HLTH BUD \| NHS RUSHCLIFFE CCG \| 20100070 \| 7,000.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Cont Care- Adult 100% Fully Funded \| CHC ADULT FULLY FUNDED \| NHS RUSHCLIFFE CCG \| 20100070 \| 141,613.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Cont Care- Adult Joint Funded \| ADULT JOINT FUNDED CONTINUING CARE \| NHS RUSHCLIFFE CCG \| 20100070 \| 14,474.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Cont Care- Adult Joint Funded \| Adult Joint Funded Continuing Care Personal Health Budgets \| NHS RUSHCLIFFE CCG \| 20100070 \| 3,501.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Cont Care- Children \| Children's Continuing Care \| NHS RUSHCLIFFE CCG \| 20100070 \| 36,608.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Cont Care- Children \| Children's Continuing Care Personal Health Budgets \| NHS RUSHCLIFFE CCG \| 20100070 \| 1,934.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Cont Care- Palliative Care \| CHC ADULT FULLY FUNDED \| NHS RUSHCLIFFE CCG \| 20100070 \| 57,354.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Cont Care-Learning Disab(65+) \| ADULT JOINT FUNDED CONTINUING CARE \| NHS RUSHCLIFFE CCG \| 20100070 \| 13,220.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Cont Care-Learning Disab(<65) \| ADULT JOINT FUNDED CONTINUING CARE \| NHS RUSHCLIFFE CCG \| 20100070 \| 271,912.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Cont Care-Learning Disab(<65) \| CHC AD FULL FUND PERS HLTH BUD \| NHS RUSHCLIFFE CCG \| 20100070 \| 24,091.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Cont Care-Learning Disab(<65) \| CHC ADULT FULLY FUNDED \| NHS RUSHCLIFFE CCG \| 20100070 \| 52,140.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Cont Care-Mental Health (65+) \| ADULT JOINT FUNDED CONTINUING CARE \| NHS RUSHCLIFFE CCG \| 20100070 \| 7,830.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Cont Care-Mental Health (65+) \| CHC AD FULL FUND PERS HLTH BUD \| NHS RUSHCLIFFE CCG \| 20100070 \| 3,537.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Cont Care-Mental Health (65+) \| CHC ADULT FULLY FUNDED \| NHS RUSHCLIFFE CCG \| 20100070 \| 199,932.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Cont Care-Mental Health (<65) \| ADULT JOINT FUNDED CONTINUING CARE \| NHS RUSHCLIFFE CCG \| 20100070 \| 10,549.00 \| \|------------------------\|-----------------------------\|--------------\|------------------------------------------------\|------------------------------------------------------------\|-------------------------------------------\|------------\|--------------\| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Cont Care-Mental Health (<65) \| CHC ADULT FULLY FUNDED \| NHS RUSHCLIFFE CCG \| 20100070 \| 38,660.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Cont Care-Physical Disab (65+) \| ADULT JOINT FUNDED CONTINUING CARE \| NHS RUSHCLIFFE CCG \| 20100070 \| 3,094.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Cont Care-Physical Disab (65+) \| CHC ADULT FULLY FUNDED \| NHS RUSHCLIFFE CCG \| 20100070 \| 7,963.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Cont Care-Physical Disab (<65) \| ADULT JOINT FUNDED CONTINUING CARE \| NHS RUSHCLIFFE CCG \| 20100070 \| 48,146.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Cont Care-Physical Disab (<65) \| Adult Joint Funded Continuing Care Personal Health Budgets \| NHS RUSHCLIFFE CCG \| 20100070 \| 1,882.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Cont Care-Physical Disab (<65) \| CHC AD FULL FUND PERS HLTH BUD \| NHS RUSHCLIFFE CCG \| 20100070 \| 51,033.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Cont Care-Physical Disab (<65) \| CHC ADULT FULLY FUNDED \| NHS RUSHCLIFFE CCG \| 20100070 \| 18,986.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| NHS CHC/FNC Risk-Sharing Recharge between CCGs \| ADULT JOINT FUNDED CONTINUING CARE \| NHS RUSHCLIFFE CCG \| 20100070 \| (65,722.00) \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| NHS CHC/FNC Risk-Sharing Recharge between CCGs \| Adult Joint Funded Continuing Care Personal Health Budgets \| NHS RUSHCLIFFE CCG \| 20100070 \| 5,158.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| NHS CHC/FNC Risk-Sharing Recharge between CCGs \| CHC AD FULL FUND PERS HLTH BUD \| NHS RUSHCLIFFE CCG \| 20100070 \| 7,192.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| NHS CHC/FNC Risk-Sharing Recharge between CCGs \| CHC ADULT FULLY FUNDED \| NHS RUSHCLIFFE CCG \| 20100070 \| 1,240.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| NHS CHC/FNC Risk-Sharing Recharge between CCGs \| Children's Continuing Care \| NHS RUSHCLIFFE CCG \| 20100070 \| 1,963.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| NHS CHC/FNC Risk-Sharing Recharge between CCGs \| Children's Continuing Care Personal Health Budgets \| NHS RUSHCLIFFE CCG \| 20100070 \| 8,118.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Cont Care-Funded Nursing Care Allow \| FUNDED NURSING CARE \| NHS RUSHCLIFFE CCG \| 20100075 \| 73,958.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| NHS CHC/FNC Risk-Sharing Recharge between CCGs \| FUNDED NURSING CARE \| NHS RUSHCLIFFE CCG \| 20100075 \| 15,858.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Clinical&Medical-Serv Recd-CCGs \| CARERS \| NHS RUSHCLIFFE CCG \| 20100100 \| 28,016.95 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Basic Sal-Rechgs to-from Other NHS \| CONTINUING HEALTHCARE ASSESSMENT & SUPPORT \| NHS RUSHCLIFFE CCG \| 20206853 \| 3,978.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Basic Sal-Rechgs to-from Other NHS \| CONTRACT MANAGEMENT \| NHS RUSHCLIFFE CCG \| 20206853 \| 6,604.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-APMS IT Comm Servs-GP Practices \| PRIMARY CARE IT \| NHS RUSHCLIFFE CCG \| 20206853 \| 35,436.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS IT Comm Servs -GP Practices \| PRIMARY CARE IT \| NHS RUSHCLIFFE CCG \| 20206853 \| 42,853.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-PMS IT Comm Servs -GP Practices \| PRIMARY CARE IT \| NHS RUSHCLIFFE CCG \| 20206853 \| 4,120.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Charges from CCG \| NON RECURRENT PROGRAMMES \| NHS RUSHCLIFFE CCG \| 20206853 \| 3,350.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Computer Network Costs \| IM&T \| NHS RUSHCLIFFE CCG \| 20206853 \| 26,697.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Recharge : Received \| CONTINUING HEALTHCARE ASSESSMENT & SUPPORT \| NHS RUSHCLIFFE CCG \| 20206853 \| 1,234.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Recharge : Received \| CONTRACT MANAGEMENT \| NHS RUSHCLIFFE CCG \| 20206853 \| 11.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Hcare Srv Rec NHS Trust-CQUIN \| ACUTE COMMISSIONING \| NOTTINGHAM UNIVERSITY HOSPITALS NHS TRUST \| 20101743 \| (16,757.28) \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Hcare Srv Rec NHS Trust-Contract Baseline \| ACUTE COMMISSIONING \| NOTTINGHAM UNIVERSITY HOSPITALS NHS TRUST \| 20101743 \| 1,005,379.67 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-Independent Sector - CQUIN \| ACUTE COMMISSIONING \| NOTTINGHAM WOODTHORPE HOSPITAL \| 20099996 \| 800.61 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Clinical&Medical-Independent Sector \| ACUTE COMMISSIONING \| NOTTINGHAM WOODTHORPE HOSPITAL \| 20099996 \| 64,049.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Clinical&Medical-Othe Public Sector \| PROGRAMME PROJECTS \| NOTTINGHAMSHIRE COUNTY COUNCIL \| 19908432 \| 246,443.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Clinical&Medical-Othe Public Sector \| COMMISSIONING SCHEMES \| NOTTINGHAMSHIRE COUNTY COUNCIL \| 19943341 \| 34,574.65 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Clinical&Medical-Othe Public Sector \| COMMISSIONING SCHEMES \| NOTTINGHAMSHIRE COUNTY COUNCIL \| 19943347 \| 35,004.81 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Hlthcre-Foundation Trsts \| MENTAL HEALTH CONTRACTS \| NOTTINGHAMSHIRE HEALTHCARE NHS TRUST \| 20077080 \| 79,810.50 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Hcare Srv Rec Fdtn Trust-Contract Baseline \| COMMUNITY SERVICES \| NOTTINGHAMSHIRE HEALTHCARE NHS TRUST \| 20099977 \| 883,756.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Hcare Srv Rec Fdtn Trust-Non Contract \| IMPROVING ACCESS TO PSYCHOLOGICAL THERAPIES \| NOTTINGHAMSHIRE HEALTHCARE NHS TRUST \| 20100085 \| 40,404.50 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Hcare Srv Rec Fdtn Trust-CQUIN \| MENTAL HEALTH CONTRACTS \| NOTTINGHAMSHIRE HEALTHCARE NHS TRUST \| 20100087 \| 25,344.65 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Hcare Srv Rec Fdtn Trust-Contract Baseline \| MENTAL HEALTH CONTRACTS \| NOTTINGHAMSHIRE HEALTHCARE NHS TRUST \| 20100087 \| 1,029,831.20 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-APMS Contract Value \| PRC DELEGATED CO-COMMISSIONING \| PRIMARY INTEGRATED COMMUNITY SERVICES LTD \| 20041759 \| 51,000.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-APMS DES Extended Hours Access \| PRC DELEGATED CO-COMMISSIONING \| PRIMARY INTEGRATED COMMUNITY SERVICES LTD \| 20041759 \| 7,903.05 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-APMS DES Minor Surgery \| PRC DELEGATED CO-COMMISSIONING \| PRIMARY INTEGRATED COMMUNITY SERVICES LTD \| 20041759 \| 571.09 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-APMS Prem Actual Rent \| PRC DELEGATED CO-COMMISSIONING \| PRIMARY INTEGRATED COMMUNITY SERVICES LTD \| 20041759 \| 12,629.17 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-APMS Prem Clinical Waste \| PRC DELEGATED CO-COMMISSIONING \| PRIMARY INTEGRATED COMMUNITY SERVICES LTD \| 20041759 \| 70.95 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-APMS Prem Rates \| PRC DELEGATED CO-COMMISSIONING \| PRIMARY INTEGRATED COMMUNITY SERVICES LTD \| 20041759 \| 886.73 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-APMS Prem Water Rates \| PRC DELEGATED CO-COMMISSIONING \| PRIMARY INTEGRATED COMMUNITY SERVICES LTD \| 20041759 \| 98.44 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-PMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| PRIMARY INTEGRATED COMMUNITY SERVICES LTD \| 20041759 \| 3,223.37 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS DES Extended Hours Access \| PRC DELEGATED CO-COMMISSIONING \| RAINWORTH HEALTH CENTRE \| 20128912 \| 8,555.70 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS DES Minor Surgery \| PRC DELEGATED CO-COMMISSIONING \| RAINWORTH HEALTH CENTRE \| 20128912 \| 1,098.25 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Global Sum \| PRC DELEGATED CO-COMMISSIONING \| RAINWORTH HEALTH CENTRE \| 20128912 \| 46,725.63 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS PCO Seniority \| PRC DELEGATED CO-COMMISSIONING \| RAINWORTH HEALTH CENTRE \| 20128912 \| 3,720.45 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Prem Actual Rent \| PRC DELEGATED CO-COMMISSIONING \| RAINWORTH HEALTH CENTRE \| 20128912 \| 16,020.32 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Prem Rates \| PRC DELEGATED CO-COMMISSIONING \| RAINWORTH HEALTH CENTRE \| 20128912 \| 1,000.25 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Prem Water Rates \| PRC DELEGATED CO-COMMISSIONING \| RAINWORTH HEALTH CENTRE \| 20128912 \| 158.40 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| RAINWORTH HEALTH CENTRE \| 20128912 \| 5,629.06 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Hcare Srv Rec Fdtn Trust-Contract Baseline \| ACUTE COMMISSIONING \| SHEFFIELD TEACHING HOSPITALS NHS FOUNDATION TRUST \| 20100009 \| 28,046.00 \| \|------------------------\|-----------------------------\|--------------\|----------------------------------------------\|--------------------------------\|-----------------------------------------------------\|------------\|--------------\| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Hcare Srv Rec Fdtn Trust-Contract Baseline \| ACUTE COMMISSIONING \| SHERWOOD FOREST HOSPITALS NHS FOUNDATION TRUST \| 20100094 \| 5,467,702.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Computer Network Costs \| PRIMARY CARE IT \| SHERWOOD FOREST HOSPITALS NHS FOUNDATION TRUST \| 20114677 \| 68,869.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS DES Extended Hours Access \| PRC DELEGATED CO-COMMISSIONING \| SHERWOOD MEDICAL PARTNERSHIP \| 20128917 \| (13,680.96) \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| ME-GMS GP Pension EEs \| PRC DELEGATED CO-COMMISSIONING \| SHERWOOD MEDICAL PARTNERSHIP \| 20128917 \| (6,634.30) \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| ME-GMS GP Pension ERs Adjustments \| PRC DELEGATED CO-COMMISSIONING \| SHERWOOD MEDICAL PARTNERSHIP \| 20128917 \| (6,981.91) \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS DES Extended Hours Access \| PRC DELEGATED CO-COMMISSIONING \| SHERWOOD MEDICAL PARTNERSHIP \| 20128918 \| 21,855.24 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS DES Learn Dsblty Hlth Chk \| PRC DELEGATED CO-COMMISSIONING \| SHERWOOD MEDICAL PARTNERSHIP \| 20128918 \| 420.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS DES Minor Surgery \| PRC DELEGATED CO-COMMISSIONING \| SHERWOOD MEDICAL PARTNERSHIP \| 20128918 \| 3,108.73 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Global Sum \| PRC DELEGATED CO-COMMISSIONING \| SHERWOOD MEDICAL PARTNERSHIP \| 20128918 \| 117,001.75 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS PCO Seniority \| PRC DELEGATED CO-COMMISSIONING \| SHERWOOD MEDICAL PARTNERSHIP \| 20128918 \| 1,988.61 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Prem Actual Rent \| PRC DELEGATED CO-COMMISSIONING \| SHERWOOD MEDICAL PARTNERSHIP \| 20128918 \| 42,948.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Prem Notional Rent \| PRC DELEGATED CO-COMMISSIONING \| SHERWOOD MEDICAL PARTNERSHIP \| 20128918 \| 3,583.33 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| SHERWOOD MEDICAL PARTNERSHIP \| 20128918 \| 13,279.06 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| ME - GMS GP Prior Year ERs \| PRC DELEGATED CO-COMMISSIONING \| SHERWOOD MEDICAL PARTNERSHIP \| 20128918 \| 6,137.38 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| ME-GMS GP Pension EEs Adjustments \| PRC DELEGATED CO-COMMISSIONING \| SHERWOOD MEDICAL PARTNERSHIP \| 20128918 \| 9,094.40 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| ME-GMS GP Pension ERs Adjustments \| PRC DELEGATED CO-COMMISSIONING \| SHERWOOD MEDICAL PARTNERSHIP \| 20128918 \| 9,687.20 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| ME-GMS GP Prior Year EEs \| PRC DELEGATED CO-COMMISSIONING \| SHERWOOD MEDICAL PARTNERSHIP \| 20128918 \| 5,794.01 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Global Sum \| PRC DELEGATED CO-COMMISSIONING \| SOUTHWELL MEDICAL CENTRE \| 20128928 \| 79,750.91 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS MPIG Correction Factor \| PRC DELEGATED CO-COMMISSIONING \| SOUTHWELL MEDICAL CENTRE \| 20128928 \| 5,113.55 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS PCO Seniority \| PRC DELEGATED CO-COMMISSIONING \| SOUTHWELL MEDICAL CENTRE \| 20128928 \| 3,288.34 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Prem Notional Rent \| PRC DELEGATED CO-COMMISSIONING \| SOUTHWELL MEDICAL CENTRE \| 20128928 \| 17,670.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Prem Other \| PRC DELEGATED CO-COMMISSIONING \| SOUTHWELL MEDICAL CENTRE \| 20128928 \| 775.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| SOUTHWELL MEDICAL CENTRE \| 20128928 \| 10,040.61 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Cost of Drugs -Dispensing \| PRESCRIBING \| SOUTHWELL MEDICAL CENTRE \| 20195066 \| (43,572.70) \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS PrscChrgsCll&RmttdbyGPCntra \| PRC DELEGATED CO-COMMISSIONING \| SOUTHWELL MEDICAL CENTRE \| 20195066 \| (3,474.40) \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Cost of Drugs -Dispensing \| PRESCRIBING \| SOUTHWELL MEDICAL CENTRE \| 20195067 \| 93,079.31 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Prof Fees Dispensing \| PRC DELEGATED CO-COMMISSIONING \| SOUTHWELL MEDICAL CENTRE \| 20195067 \| 15,351.68 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS PrscrptnChrgsColl&RmttdbyGP \| PRESCRIBING \| SOUTHWELL MEDICAL CENTRE \| 20195067 \| 3,474.40 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS DES Extended Hours Access \| PRC DELEGATED CO-COMMISSIONING \| THE ABBEY MEDICAL GROUP \| 20128909 \| (11,209.06) \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| ME - GMS TPS Added Years Adj EEs \| PRC DELEGATED CO-COMMISSIONING \| THE ABBEY MEDICAL GROUP \| 20128909 \| (713.82) \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| ME-GMS GP Pension EEs \| PRC DELEGATED CO-COMMISSIONING \| THE ABBEY MEDICAL GROUP \| 20128909 \| (7,825.42) \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| ME-GMS GP Pension ERs Adjustments \| PRC DELEGATED CO-COMMISSIONING \| THE ABBEY MEDICAL GROUP \| 20128909 \| (8,184.61) \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS DES Extended Hours Access \| PRC DELEGATED CO-COMMISSIONING \| THE ABBEY MEDICAL GROUP \| 20128910 \| 16,957.50 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS DES Learn Dsblty Hlth Chk \| PRC DELEGATED CO-COMMISSIONING \| THE ABBEY MEDICAL GROUP \| 20128910 \| 1,120.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS DES Minor Surgery \| PRC DELEGATED CO-COMMISSIONING \| THE ABBEY MEDICAL GROUP \| 20128910 \| 2,761.41 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Global Sum \| PRC DELEGATED CO-COMMISSIONING \| THE ABBEY MEDICAL GROUP \| 20128910 \| 93,792.27 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS PCO Locum Adop/Pat/Mat \| PRC DELEGATED CO-COMMISSIONING \| THE ABBEY MEDICAL GROUP \| 20128910 \| 3,900.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS PCO Other \| PRC DELEGATED CO-COMMISSIONING \| THE ABBEY MEDICAL GROUP \| 20128910 \| 5,237.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS PCO Seniority \| PRC DELEGATED CO-COMMISSIONING \| THE ABBEY MEDICAL GROUP \| 20128910 \| 5,963.07 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Prem Clinical Waste \| PRC DELEGATED CO-COMMISSIONING \| THE ABBEY MEDICAL GROUP \| 20128910 \| 805.70 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Prem Notional Rent \| PRC DELEGATED CO-COMMISSIONING \| THE ABBEY MEDICAL GROUP \| 20128910 \| 16,604.00 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| THE ABBEY MEDICAL GROUP \| 20128910 \| 10,605.28 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS DES Extended Hours Access \| PRC DELEGATED CO-COMMISSIONING \| THE FOUNTAIN MEDICAL CENTRE \| 20128919 \| (13,406.40) \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| ME - GMS TPS Added Years Adj EEs \| PRC DELEGATED CO-COMMISSIONING \| THE FOUNTAIN MEDICAL CENTRE \| 20128919 \| (975.00) \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| ME-GMS GP Pension EEs \| PRC DELEGATED CO-COMMISSIONING \| THE FOUNTAIN MEDICAL CENTRE \| 20128919 \| (8,942.08) \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| ME-GMS GP Pension ERs Adjustments \| PRC DELEGATED CO-COMMISSIONING \| THE FOUNTAIN MEDICAL CENTRE \| 20128919 \| (9,101.10) \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS DES Extended Hours Access \| PRC DELEGATED CO-COMMISSIONING \| THE FOUNTAIN MEDICAL CENTRE \| 20128920 \| 20,253.54 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS DES Minor Surgery \| PRC DELEGATED CO-COMMISSIONING \| THE FOUNTAIN MEDICAL CENTRE \| 20128920 \| 3,498.95 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Global Sum \| PRC DELEGATED CO-COMMISSIONING \| THE FOUNTAIN MEDICAL CENTRE \| 20128920 \| 98,202.45 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS PCO Seniority \| PRC DELEGATED CO-COMMISSIONING \| THE FOUNTAIN MEDICAL CENTRE \| 20128920 \| 4,697.14 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Prem Clinical Waste \| PRC DELEGATED CO-COMMISSIONING \| THE FOUNTAIN MEDICAL CENTRE \| 20128920 \| 1,247.99 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS Prem Notional Rent \| PRC DELEGATED CO-COMMISSIONING \| THE FOUNTAIN MEDICAL CENTRE \| 20128920 \| 6,833.33 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| C&M-GMS QOF Aspiration \| PRC DELEGATED CO-COMMISSIONING \| THE FOUNTAIN MEDICAL CENTRE \| 20128920 \| 12,566.63 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Hcare Srv Rec NHS Trust-Over/ Under Performance \| ACUTE COMMISSIONING \| UNITED LINCOLNSHIRE HOSPITALS NHS TRUST \| 19914774 \| (98,020.80) \| \|------------------------\|-----------------------------\|--------------\|---------------------------------------------------\|-----------------------\|-------------------------------------------\|------------\|---------------\| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Hcare Srv Rec NHS Trust-CQUIN \| ACUTE COMMISSIONING \| UNITED LINCOLNSHIRE HOSPITALS NHS TRUST \| 20099971 \| 2,886.68 \| \| Department of Health \| NHS Newark & Sherwood CCG \| 31/12/2017 \| Hcare Srv Rec NHS Trust-Contract Baseline \| ACUTE COMMISSIONING \| UNITED LINCOLNSHIRE HOSPITALS NHS TRUST \| 20099971 \| 391,732.42 \| \| TOTAL \| 13,541,891.85 \| \| \| \| \| \| \|	en
3368-pdf	London Councils Minutes of the London Councils Leaders' Committee held on 10 December 2013 Mayor Jules Pipe chaired the meeting Present: BARKING AND DAGENHAM Cllr Rocky Gill \| BARNET \| \| \| \| \| Cllr Richard Cornelius \| \|----------------------\|-----\|---------------------------\|-------------------\|------------------------\|---------------------------\| \| BEXLEY \| \| \| \| \| Cllr Teresa O'Neill \| \| BRENT \| \| \| \| \| Cllr Mohammed Butt \| \| BROMLEY \| \| \| \| \| Cllr Stephen Carr \| \| CAMDEN \| \| \| \| \| Cllr Sarah Hayward \| \| CROYDON \| \| \| \| \| - \| \| EALING \| \| \| \| \| Cllr Julian Bell \| \| ENFIELD \| \| \| \| \| Cllr Doug Taylor \| \| GREENWICH \| \| \| \| Cllr Chris Roberts \| \| \| HACKNEY \| \| \| \| \| Mayor Jules Pipe \| \| HAMMERSMITH & FULHAM \| \| Cllr Nicholas Botterill \| \| \| \| \| HARINGEY \| \| \| \| \| Cllr Claire Kober \| \| HARROW \| \| \| \| \| Cllr Susan Hall \| \| HAVERING \| \| \| \| \| Cllr Michael White \| \| HILLINGDON \| \| \| \| Cllr David Simmonds \| \| \| HOUNSLOW \| \| \| \| Cllr Jagdish Sharma \| \| \| ISLINGTON \| \| \| \| \| Cllr Richard Watts \| \| KENSINGTON & CHELSEA \| \| Cllr Nicholas Paget-Brown \| \| \| \| \| KINGSTON \| \| \| \| \| Cllr Liz Green \| \| LAMBETH \| \| \| \| \| Cllr Paul McGlone* \| \| LEWISHAM \| \| \| \| \| Mayor Sir Steve Bullock \| \| MERTON \| \| \| \| \| Cllr Stephen Alambritis \| \| NEWHAM \| \| \| \| \| Cllr Lester Hudson \| \| REDBRIDGE \| \| \| \| Cllr Keith Prince \| \| \| RICHMOND UPON THAMES \| \| Cllr Lord True \| \| \| \| \| SOUTHWARK \| \| \| \| \| Cllr Peter John \| \| SUTTON \| \| \| \| \| Cllr Ruth Dombey \| \| TOWER HAMLETS \| \| \| \| Mayor Lutfur Rahman \| \| \| WALTHAM FOREST \| \| \| Cllr Clyde Loakes \| \| \| \| WANDSWORTH \| \| \| \| Cllr Guy Senior \| \| \| WESTMINSTER \| \| \| \| Cllr Philippa Roe \| \| \| CITY OF LONDON \| \| \| \| Ms Catherine McGuiness \| \| \| LFEPA \| \| \| \| \| \| \| * Also GRANTS \| \| \| \| \| \| Ex officio (under the provisions of Standing Order 2.2) CAPITAL AMBITION Mr Edward Lord JP OBE CC Ex officio (under the provisions of Standing Order 2.4) EQUALITIES Cllr Marie Pye Apologies: BARKING AND DAGENHAM Cllr Liam Smith CROYDON Cllr Mike Fisher LAMBETH Cllr Lib Peck NEWHAM Mayor Sir Robin Wales WALTHAM FOREST Cllr Chris Robbins WANDSWORTH Cllr Ravi Govindia CITY OF LONDON Mr Mark Boleat London Councils officers and Mr Chris Bilsland ( Chamberlain, City of London) and Mr Bob Claxton (LB Wandsworth),were in attendance for item 4 Pensions Working Group: Progress report and proposed next steps towards a London LGPS CIV. The Chair began the meeting by apologizing to Cllr Richard Watts, Islington's new leader, for neglecting to welcome him at the previous meeting of Leaders' Committee. He also welcomed Ms Catherine McGuiness substituting from the City of London and attending Leaders' Committee for the first time. ## 1. Declarations Of Interest No interests were declared. ## 2. Minutes Of Leaders' Committee Held On The 12 November 2013 Leaders' Committee agreed the minutes of Leaders' Committee held on the 12 November 2013 ## 3. Grants Programme 2013/15: Quarter Two Update Report Cllr Paul McGlone (Labour, Grants Committee) introduced the report saying that: - it set out achievements during the six months of the programme for the 35 commissions agreed at Grants Committee 20 February 2013 - it had originally been provided to Grants Committee on 6 November and was being brought to Leaders' Committee as requested - the Grants programme was on track and largely delivering on targets - there was a tough monitoring regime in place based on a triangulation of input from o the recipient group o Grants officers and o the boroughs themselves all underpinned by member and officer visits to the commissions - the focus of the scheme was to deliver pan-London provision that did not duplicate borough services and also provided value-for-money - the process leading to the review of the Grants programme was already mapped out and would start with an analysis of the performance of commissions. - a more coherent business plan was being sought from London Funders to justify the £60,000 grant made to it Leaders' Committee agreed to note: - the results of the Red Amber Green (RAG) risk rating, and approved actions suggested by officers in this regard. - provider progress against profile and approved actions proposed by officers and that the number of red ratings had decreased from three (9%) in Q1 to zero in Q2. - the following areas highlighted by the Chair of the Grants Committee: o No interventions regarding reductions in funding to organisations were recommended at this six month review stage; o Twenty-five monitoring visits had been conducted by the end of Q2, with three organisations to receive priority visits in Q3 (Hopscotch Asian Women's Centre - 25 November, Inclusion London - 13 November, Age Concern - 29 November) The Chair concluded by proposing that the Grants section of item 9 The London Councils Business Plan: Portfolio Holder Progress Reports should be taken at this point in the meeting and invited questions or comments on it but received none. ## 4. Pensions Working Group: Progress Report And Proposed Next Steps Towards A London Lgps Civ The Chair welcomed Mr Chris Bilsland ( Chamberlain, City of London) and Mr Bob Claxton( LB Wandsworth), who he informed the committee had been working with London Councils' Director, Fair Funding, Performance and Procurement on the set of proposals that had come out of previous discussions, in particular at Leaders' Committee in March 2012, November 2012, December 2012, and May 2013, and more lately at the Executive in September and November 2013. The Chair introduced the report saying: - participation in any fund that may be established would be voluntary - that significant financial benefits could accrue from establishing a CIV from reduced costs and, for many, improved investment returns - a collaborative approach provided opportunities to potentially invest in types of assets that smaller individual funds may not have been able to easily access, for instance direct investment in appropriate infrastructure projects. The Chair invited the guest speakers to contribute and Mr Bilsland expressed his view that 'no change' was not likely to be an option at the end of the Government consultation. He went on to say that the work described in the report pre-dated the Government's decision to release an invitation to tender seeking professional advice and evidence looking at three potential, fully-costed, collaborative models: - A common investment vehicle at England and Wales level, with asset allocation strategies still determined by the local pension funds - 5-10 common investment vehicles across England and Wales, for example based on aggregate fund size or geographical areas, again with asset allocation strategies decided by local governance structures - 5-10 merged funds across England and Wales, grouped on the same basis as the common investment vehicles above, but with decision-making taken by new governance arrangements at the merged fund level. The third option, he felt sure, had been included because of the work initiated by London Councils. Leaders' Committee agreed to indicate its support for the establishment of a London LGPS CIV and that London Councils should: - continue to facilitate further work, under the oversight of the PWG, with the next step being the engagement of expert legal and financial services advisers and the formulation of a robust business case and formal proposal to proceed with implementation - explore, as part of this work, how London Councils could best support collective borough interests where those boroughs agreed to participate in the ASC and invest in the CIV - recruit a suitably qualified Project Manager and any other staff required - establish a designated fund with contributions from those boroughs interested in exploring these proposals - maintain on-going dialogue with HM Government relating to the Government's review of local authority pensions schemes which may directly impact upon these proposals and their implementation. ## 5. Growth Deal For London The Chair introduced the report saying: - Leaders' Committee on 12 November 2013 had endorsed the agreement made with the Mayor of London to advance opportunities for devolution to London through a Growth Deal. The specific proposals covered: o Welfare to Work including Skills o Housing Investment and Supply - Subsequently, the London Enterprise Panel (LEP) had also given its support to the draft Growth Deal submission which was currently being finalised in collaboration with the GLA, in preparation for the deadline on 19 December 2013. - It was anticipated that informal feedback from Government on the proposals would begin to emerge early in the New Year, and the focus would move quickly towards preparation of a more detailed final submission for March 2014. - London was likely to be challenged to calibrate the scale of its ambitions more precisely in relation to delivering better outcomes, and to demonstrate a readiness to deliver on the proposals through borough groupings. Cllr Philippa Roe (Conservative, Westminster) expressed her support for the proposals and said that there was a need to demonstrate that different boroughs and different political parties could work together. She went on to suggest that a sub-group could be a vehicle to take the work forward and the Chair undertook to explore the idea and bring back a proposal. Leaders Committee agreed: - to note the 'in principle' endorsement of the LEP for the headline Growth Deal proposals, as agreed between London Councils and the Mayor of London - to note that the initial response from Government was likely to lead to the need for finer calibration of the scale of our ambitions in relation to delivering better outcomes and a need to demonstrate a readiness to deliver on the proposals through borough groupings. - that the Chair and leading members work with officers to develop a more detailed and costed case early in 2014, drawing on the expertise of senior officers in member authorities. ## 6. Local Government Finance - Key Issues The Chair introduced the report saying that London local government could see a potential funding gap of £3.4bn by 2020 - a shortfall of 31 per cent. One major issue that needed consideration was how London Councils should respond to the Government's approach to top slicing of the New Homes Bonus in London. Cllr Richard Watts (Labour, Islington) pointed out that his borough and Tower Hamlets were the biggest losers and he could not see any reasoning why local authorities outside London were able to retain New Homes Bonus but not in London. He argued that the impact was not just in the headline losses but the further losses that came under it and that a line in the sand needed to be drawn. He called for the consideration of Judicial Review (JR) of the decision on the New Homes Bonus. Cllr Peter John (Labour, Southwark) pointed out that if the New Homes Bonus went into the LEP, boroughs would be the largest funder of it, a matter that was not reflected in its constitution. He supported the idea of exploring a judicial review. Cllr Sarah Hayward (Labour, Camden) argued that there was not the influence over the LEP that the level of funding would imply if the New Homes Bonus went into it and even if legal action was not eventually taken, advice on it should be sought. The Chair suggested that Government thinking behind the reason why London was being treated differently could be sought via an FoI while Cllr Teresa O'Neill (Conservative, Bexley) suggested a letter may achieve the same goal.The Chair proposed a letter in the first instance and if it did not elicit the required response, it should be followed by an FoI application. Cllr Richard Cornelius (Conservative, Barnet) pointed out that JR was costly and normally ineffective and should be something to explore only after all other alternatives had failed. The Chair summed up by saying that: - he noted the reservations expressed about a JR but that all options remained in play - a letter would be written to Government to establish why London was being treated so differently in relation to the New Homes Bonus and if this did not elicit the information required an FoI application would be made - that legal advice would be sought on the potential JR and this would be considered by the three party group leaders Leaders' Committee agreed to support the approach summarised by the Chair above and to note the report. ## 7. Beyond 2011: Future Census The Chair introduced the item saying that the purpose of the paper was to seek approval for London Councils' response to the ONS consultation on Beyond 2011: The census and future provision of population statistics in England and Wales. Cllr Roe pointed out that her borough was something of an outlier. She saw the proposals as merely tinkering at the edges when she would have been happier seeing a more radical approach. Leaders' Committee agreed - to note the report - the consultation response included in an appendix to the report ## 8. Proposed Revenue Budget And Borough Subscriptions And Charges 2014/15 The Chair introduced the report saying that it had received members' approval on previous occasions. Leaders' Committee agreed the following borough subscription and charges for 2014/15: - The Joint Committee subscription for boroughs of £172,427 per borough for 2014/15, the same level as for 2013/14. The City of London will continue to pay £168,664, in recognition of the fact the City is historically not part of the regional Local Government Employers (LGE) arrangements - The Joint Committee subscription for the MOPAC and the LFEPA of £16,700 for 2014/15, the same level as for 2013/14 - An overall level of expenditure of £10 million for the Grants Scheme in 2014/15 (inclusive of £2 million gross ESF programme) that taking into account the application of £1 million ESF grant, net borough contributions for 2014/15 should be £9 million, the same level as for 2013/14 - The Parking Core Administration Charge of £1,500 per borough and for TfL (2013/14 - £1,500) - The total Parking Enforcement Service Charge of £0.4519 per PCN, which will be distributed to boroughs and TfL in accordance with the number of PCNs issued in 2012/13 (2013/14 - £0.4519 per PCN) - The Freedom Pass Administration Charge of £8,674 per borough (2013/14 - £8,674) - The Taxicard Administration Charge of £4.00 per permit (2013/14 - £4.00) - The Lorry Ban Administration Charge of £98,612 in total, net of estimated PCN income, to be apportionment by population figures, with TfL paying the average borough charge of £3,287 (2013/14 - £103,172; TfL charge £3,439) - The Parking and Traffic Appeals Charge of £38.54 per appeal or £36.92 per appeal where electronic evidence is provided by the enforcing authority (2013/14 - £41.38/£39.81 per appeal) - Congestion Charging Appeals - to be recovered on a full cost recovery basis, as for 2013/14, subject to the continuing agreement of the GLA under existing contractual arrangements - The TRACE (Electronic) Charge of £10.40 per transaction (2013/14 - £10.40) - The TRACE (Fax) Charge of £12.83 per transaction (2013/14 - £12.83) and - The PEC, PED and PIE Charges of £0.20 per transaction (2013/14 - £0.20). On the basis of the above subscriptions and charges, the Leaders' Committee agreed to approve: - The consolidated revenue expenditure budget for 2014/15 for London Councils of £392.755 million - The consolidated revenue income budget for 2014/15 for London Councils of £392.755 million - Within the total income requirement, the use of London Council reserves of £1.902 million in 2014/15, inclusive of the £1.309 million repatriation to boroughs in 2014/15 The Leaders' Committee also agreed to note: - The position in respect of forecast uncommitted London Council reserves as at 31 March 2014 and - The positive statement on the adequacy of the residual London Councils reserves issued by the Director of Corporate Resources. ## 9. London Councils Business Plan: Portfolio Holder Progress Reports The Chair introduced the report by saying that the Chair of the Transport and Environment Committee (TEC), Cllr Catherine West was representing London Councils at another event and was, therefore, absent and unable to introduce her part of the report. He asked if there were any questions or comments, they should be supplied to him to be dealt with at the next meeting. The second part of the report on Grants had been disposed of under item 3. ## 10. Minutes And Summaries Leaders' Committee agreed to note the minutes and summaries - Capital Ambition - 7 October - Transport & Environment Committee - 24 October - Transport & Environment Executive Sub Committee - 14 November. ## Action Points Progress Item Action PAPA Fair Funding 4. Pensions Working Group: Progress report and proposed next steps towards a London LGPS CIV Work toward the establishment of a London LGPS CIV and that London Councils to: - continue to facilitate further work, under the oversight of the PWG, with the next step being the engagement of expert legal and financial services advisers and the formulation of a robust business case and formal proposal to proceed with implementation - explore, as part of this work, how London Councils could best support collective borough interests where those boroughs agreed to participate in the ASC and invest in the CIV Advisers engaged. Engagement of Project Management resource under review. Invoices being raised to committed boroughs for the designated fund. Dialogue with - recruit a suitably qualified Project Manager \| and any other staff required \| Government \| \|-----------------------------------------------------\|------------------------------------------------\| \| continuing. \| \| \| - \| \| \| \| establish a designated fund with contributions \| \| from those boroughs interested in exploring \| \| \| these proposals \| \| \| - \| \| \| \| maintain on-going dialogue with HM \| \| Government relating to the Government's \| \| \| review of local authority pensions schemes \| \| \| which may directly impact upon these \| \| \| proposals and their implementation. \| \| \| \| \| \| 5. \| Growth Deal for London \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| - \| \| \| \| \| \| The Chair and leading members \| \| \| officers to develop a more detailed and costed \| \| \| case early in 2014, drawing on the expertise of \| \| \| senior officers in member authorities. \| \| \| \| \| \| \| \| \| Discussions \| \| \| are in train \| \| \| with a view to \| \| \| agreeing the \| \| \| scope of a \| \| \| detailed \| \| \| submission \| \| \| PAPA Fair \| \| \| Funding \| \| \| Letter sent. \| \| \| \| \| \| Seeking legal \| \| \| advice. \| \| \| 6. \| Local Government Finance - Key Issues \| \| \| \| \| - \| \| \| \| A letter would be written to Government to \| \| establish why the New Homes Bonus would not \| \| \| be going to boroughs and if this did not elicit the \| \| \| information required an FoI application would be \| \| \| made \| \| \| - \| \| \| \| Legal advice to be sought on a JR and \| \| proceeding with one would require the agreement \| \| \| of the three party group leaders \| \| \| \| \| \| 7. \| Beyond 2011: future census \| \| \| \| \| PAPA Fair \| \| \| Funding \| \| \| - \| \| \| \| Submit the response. \| \| \| \| \| \| \|	en
2972-pdf	A maximum quantity of 50 Kgs cement bonded asbestos will be allowed for free disposal (a charge to cover the cost of collecting the asbestos is applicable). 50Kgs equates to approximately three 1.8 x 0.7 metre standard corrugated sheets, 3 x 2 metre lengths of pipe / guttering or 2-3 x 25 Kg size plastic sacks of pieces (dependent upon quantity within the sack) A water tank will weigh up to around 40 Kgs dependent upon size. Nb. Due to the extra size, thickness and hence increased weight, asbestos sheets larger than the standard 1.8 x 0.7 metres (or the equivalent area of 1.35 square metres) eg. whole 2.0 x 1.0 metre corrugated sheets will not be accepted as they cannot be safely managed within the terms of the scheme. As hazardous fibres will be released sheets larger than the maximum specified within the collection terms must not be broken to reduce the size of the sheet and alternative collection arrangements will need to be made. Please ensure that any asbestos presented for collection is free of exposed nails. Damping the asbestos with water will minimise the release of any hazardous fibres. DO NOT BREAK THE ASBESTOS TO REMOVE NAILS. If you have concerns regarding health risks from handling asbestos advice is available online at www.hse.gov.uk/asbestos or by telephoning the HSE Info line on 0845 345 0055 (Minicom: 0845 408 9577) or e-mailing hse.infoline@natbrit.com If the asbestos has been produced by the householder carrying out the work and not left as a result of a work carried out by a contractor, we will dispose of the asbestos for free and only charge to cover the cost of collection. It is the contractor's responsibility to make arrangements for the disposal of any asbestos waste they generate. The asbestos may still be collected if left by a contractor but the householder will be liable for the disposal cost of £0.51 per Kg. Dismantled garages, sheds or outhouses etc. (even if dismantled by the householder) are classed (using DEFRA Guidelines) as construction and demolition waste and are not within the scope of the service provided. Our contractors Enviroco may be able to quote for such work by contacting them	en
2088-pdf	d e v e l o p m e n t a n d c l i m at e c h a n g e d i s c u s s i o n pa p e r s D E V E L O P M E N T A N D C L I M A T E C H A N G E ## The Costs Of Adapting To Climate Change for Infrastructure ## D E V E L O P M E N T A N D C L I M A T E C H A N G E The Costs Of Adapting To Climate Change For Infrastructure Gordon Hughes Paul Chinowsky Ken Strzepek © 2010 The International Bank for Reconstruction and Development / THE WORLD BANK 1818 H Street, NW Washington, DC 20433, U.S.A. Telephone: 202-473-1000 Internet: www.worldbank.org/climatechange E-mail: feedback@worldbank.org All rights reserved. August 2010 This volume is a product of the staff of the International Bank for Reconstruction and Development / The World Bank. The findings, interpretations, and conclusions expressed in this volume do not necessarily reflect the views of the Executive Directors of The World Bank or the governments they represent. The World Bank does not guarantee the accuracy of the data included in this work. The boundaries, colors, denominations, and other information shown on any map in this work do not imply any judgement on the part of the World Bank concerning the legal status of any territory or the endorsement or acceptance of such boundaries. ## R I G H T S A N D P E R M I S S I O N S The material in this publication is copyrighted. Copying and/or transmitting portions or all of this work without permission may be a violation of applicable law. The International Bank for Reconstruction and Development / The World Bank encourages dissemination of its work and will normally grant permission to reproduce portions of the work promptly. For permission to photocopy or reprint any part of this work, please send a request with complete information to the Copyright Clearance Center Inc., 222 Rosewood Drive, Danvers, MA 01923, USA; telephone 978-750-8400; fax 978-750-4470; Internet: www.copyright.com. Cover photo: Darjeeling, India. © Shutterstock Images, LLC Note: All dollars are U.S. dollars unless otherwise indicated. ## Table Of Contents \| Abstract \| vii \| \|----------------------------------------------------------------\|-------\| \| Section 1. Setting the Scene \| 1 \| \| Section 2. Data \| 5 \| \| Section 3. Climate Change \| 5 \| \| Section 4. Econometric Specifications \| 8 \| \| Section 5. The Effects of Climate on Demand for Infrastructure \| 13 \| \| Section 6. Calculating the Cost of Adaptation \| 30 \| \| Section 7. Estimates of the Costs of Adaptation \| 34 \| \| Section 8. Conclusion \| 43 \| \| References \| 43 \| ## Tables \| 1. \| Correlation matrix of climate variables and historic demographic indicators \| 7 \| \|----\|----------------------------------------------------------------------------------\|----------------------------------\| \| 2. \| Projection equations for electricity generating capacity, fixed telephone lines, \| \| \| \| \| and electricity network coverage \| \| 3. \| Projection equations for municipal and industrial water demand \| 17 \| \| 4. \| Projection equations for water and sewer networks \| 19 \| \| 5. \| Projection equations for roads \| 20 \| 6. Projection equations for other transport 23 \| 7. \| Projection equations for health \| 25 \| \|---\|-------------------------------------------------\|------\| \| 8 \| Projection equations for social infrastructure \| 27 \| \| 9 \| Projection equations for average household size \| 31 \| 10. Delta-P costs of adaptation by category and country class for 2010–50 \| \| \| (US$ billion per year at 2005 prices, no discounting) \| 34 \| \|---\|---\|---\|------\| \| \| \| 11. \| Delta-P costs of adaptation by infrastructure category and World Bank region for 2010–50 \| \|-------------------------------------------------------------------\|------------------------------------------------------------------------------------\|-------------------------------------------------------\|----------------------------------------------------------------------------------------------\| \| \| \| (US$ billion per year at 2005 prices, no discounting) \| 36 \| \| 12. \| Delta-P costs of adaptation by decade and World Bank region for all infrastructure \| \| \| \| \| \| (US$ billion per year at 2005 prices, no discounting) \| 38 \| \| 13. \| Total costs of adaptation by infrastructure category and country class for 2010–50 \| \| \| \| \| \| (US$ billion per year at 2005 prices, no discounting) \| 40 \| \| 14. \| Total costs of adaptation by infrastructure category and region for 2010–50 \| \| \| \| \| \| (US$ billion per year at 2005 prices, no discounting) \| 41 \| \| Appendix 1. Derivation of the climate dose-response relationships \| 45 \| \| \| \| References \| 51 \| \| \| ## Abstract An approach to estimating the costs of adapting to climate change is presented along with results for major components of infrastructure. The analysis separates the price/cost and quantity effects of climate change. The first component measures how climate change alters the cost of a baseline program of infrastructure development via changes in design standards and operating costs. The second component measures the effect of climate changes on the long-run demand for infrastruc- ture. The results indicate that the price/cost element is usually less than 1 percent of baseline costs, while the quantity effect may be negative for many countries. ## 1. Setting The Scene This paper presents the results of a global analysis of the costs of adapting infrastructure to climate change over the period from 2010 to 2050. The analysis was carried out as part of the World Bank's Economics of Adaptation to Climate Change study. In this context, infrastructure has been given a rather broad definition. It includes the usual types of infrastructure services, including transport (especially roads, rail, and ports), electricity, water and sanitation, and communications.1 In addition, urban and social infrastructure such as urban drainage, urban housing, health and educational facilities (both rural and urban), and general public buildings have been included. The basic approach is extremely simple. For any counter-only jard put $\alpha$ ($\leftarrow$ 2010, 2015, $\ldots$, 2050), we start from the assumption (that we ignore the "efficient" level of provision of infrastructure is often), which will become is denoted by $Q_{ij}$. The correction of type i, which will become is not the which would be reached if the country had invested up to the point at which the marginal benefits of addition, but it is different for the marginal cost--both empirical infrastructure. It is often found that the loss of information due to the fact that the original cost--the distribution of interest is introduced that the extent of underninsert is in infrastructure and that the boost counters (ALG 2009). This is an important development issue, which is not directly related to climate change. Hence, the approach attempts to stop out the effects of country differences in brief actual provision of infrastructure by establishing a common benchmark that depends upon factors such as population and income. In the period from t to t+1, for example from 2010 to 2015, the country will have to invest in order to meet the efficient level of infrastructure in t+1 and to replace infrastructure in situ at date t, which reaches the end of its useful life during the period. Thus, the total value of investment in infrastructure of type i in country j and period t is $$I_{i j t}=C_{i j t}[Q_{i j t+1}-Q_{i j t}+R_{j t}]\tag{1}$$ where Cijt is the unit cost of investment and Rijt is the quantity of existing infrastructure of type i that has to be replaced during the period. The change in the total cost of infrastructure investment may be expressed in terms of the total differential of (1) with respect to the relevant climate variables that affect either unit costs or efficient levels of provision for infrastructure of type i: $$\Delta I_{j i t}=\Delta C_{i j t}[Q_{j i t+1}-Q_{j i t}+R_{i j t}\,]+\qquad\qquad\qquad(2)$$ An equivalent equation may be derived for the costs of operating and maintaining infrastructure. In the discussion that follows, the first part of the right-hand side of equation (2) is referred to as the Delta-P component of the cost of adaptation, while the second part is referred to as the Delta-Q component. These components themselves cover a number of ways in which climate change may cause changes in the costs or quantities of providing infrastructure services. Delta-P. At the simplest level, changes in temperature, precipitation, or other climate variables may alter the direct cost of constructing infrastructure to a standard specification. For example, seasonal weather variations can increase the costs of building. However, this is a minor factor. More important is the impact of climate change on the design standards that are applied in order to maintain the quality of infrastructure services provided by a unit of infrastructure, such as a kilometer of paved road or a fixed telephone connection (See Canadian Standards Association 2006 for a discussion of this issue). ## Changes In The Frequency And/Or The Severity Of A. storms, flooding, and other extreme weather events may compromise the performance of infrastructure designed to existing standards. Hence, it is common to refer to "climate proofing" investments or ensuring "climate resilience." The study starts from the basis that design standards should be adjusted so as to deliver the same level of performance as would have applied if climate change had not occurred. Thus, if roads or buildings are currently constructed to withstand a 1-in- 50 or 1-in-100-year flood or wind storm, then the same design standard should apply, but under the circumstances of a changed frequency or severity of those events. The changes in the unit costs— ΔCijt —represent the costs of building infrastructure that delivers the same level of performance in the face of different climatic stresses. The derivation of the cost changes, expressed as doseresponse relationships for different climate stressors, are described in Appendix 1. The doseresponse functions are applied to estimates of the average values of climate variables under a scenario of a stable climate and alternative scenarios for climate change by country.2 This gives a series of cost increases—at constant 2005 prices— by type of infrastructure, country, and time period. When applied to the baseline projection of infrastructure demand, we obtain the Delta-Q cost of adaptation; that is, the difference between the cost of the baseline investment program for a stable climate and for a changing climate. A similar exercise may be carried out for operating, mainte- nance, and replacement costs in order to calculate the increment in annualized infrastructure costs as a consequence of climate change. Delta-Q. b. The quantities of infrastructure assets required (holding income constant) will change as a consequence of different climatic conditions. Again, this has two dimensions. The first is that climate change may change the level or composition of demand for energy, transport, and water at given levels of income, so we need to calculate the net impact of these changes in terms of capital and operating costs. The second is that climate change will mean that countries have to invest in specific additional assets in order to maintain specific standards of protection for non-infrastructure activities. The Delta-P dimension of the study is uncontroversial in principle, though more or less difficult in practice. Various organizations have made broad brush estimates of the cost of "climate proofing" existing investment programs in developing countries (UNFCCC 2007; McGray et al. 2008). Typically, the analysis starts from a baseline program in investment by time of infrastruc- ture. Then, an estimate is made of the percentage increase in unit costs required to ensure that invest- ments are resilient to climate change. One problem with the "climate proofing" approach concerns the investment program to which the cost of climate proofing should be applied. For some sectors or countries/regions, it is possible to start from a detailed inventory of infrastructure assets and then to ask what investments will be required to meet future demand for infrastructure services. The best example of this approach is a study of the costs of adaptation to climate change in Alaska (Larsen et al. 2008). However, this type of exercise requires an inventory of infrastructure assets and it does not take account of future investment in infrastructure. In the case of developing countries, many institutions that are concerned with adaptation to climate change for infrastructure draw a distinction between (a) the cost of eliminating the "development deficit,"—that is, the gap between the infrastructure that a country "ought" to have and the infrastructure that it actually has—and (b) the cost of adapting to climate change on the assumption that the country has an efficient level of infrastructure. The former is seen as a development problem, while the latter is a climate change problem. Even though it is understood that money is fungible, the two elements of total investment in infrastructure might be financed out of different pots of money. The corollary of this distinction between adaptation and the development budget is that the baseline program for infrastructure investment used in constructing the Delta-Q should not be derived from actual or planned investment in infrastructure. Instead, it should reflect the "efficient" demand for infrastructure.3 This is no simple task. The World Bank has recently completed a detailed assessment of infrastructure investment needs in 22 African countries, assuming a catch-up from actual to efficient provision over a decade to 2020 (AICD 2009). That exercise involved very substantial work and cannot be extended to all countries in a short period. Instead, the analysis has to be based on an econometric model that can be used to construct projec- tions of the efficient demand for infrastructure up to 2050. While the principle of drawing a distinction between the "development deficit" and adaptation to climate change is widely followed in international negotiations, many economists consider that the distinction is either unworkable in practice or simply wrong as a matter of economic logic. The reason is that most assessments of the "efficient" demand for infrastructure ignore the question of resources. A specific country might wish to have more roads, schools, or hospitals than the stocks that are currently in situ, and the rest of the world might agree that this would be a desirable goal. But, this is nothing more than a wish list independent of the resources that are available. With limited resources some countries may choose to spend their funds on providing better roads or more healthcare services. Relying either upon wish lists or on the envelope of what other countries at similar incomes have invested ignores the trade-offs that all governments have to make. Even if external assistance is available to fund capital projects, it is common experience that lack of funds for operations and maintenance may lead to rapid deterioration in the services provided by stocks of infra- structure assets. Thus, it may be argued that the analysis should not be based on some notional "efficient" level of infrastructure, but should start from the actual levels and growth of infrastructure based on decisions that reflect real constraints on budgets and the associated priorities. To examine whether the distinction is important in prac- tice, the full study has used two sets of baseline projec- tions of demand for infrastructure. The "frontier" projection is derived by using frontier methods of esti- mation to estimate econometric equations that charac- terize the envelope of infrastructure demand given exogenous variables such as income, population, urban- ization, etc. This is intended to provide an estimate of the "efficient" level of infrastructure demand as envis- aged in discussions of the development gap. In contrast, the "panel" projection uses conventional projections derived from econometric estimates of the average rela- tionship between infrastructure and the exogenous variables. The difference between the Delta-P estimates using the two sets of baseline projections is not as large as some might expect. There is an important reason for this. We find that the relative gap between the frontier and panel projections tends to narrow, because there appears to be convergence toward standard patterns of infra- structure provision. Further, the income elasticity of demand for infrastructure is generally less than 1 for the frontier demand equations and is lower than the equivalent income elasticities for the average demand equations. For the frontier baselines projection, these factors lead to a lower level of new investment in infra- structure, but a higher level of expenditure on replacing and maintaining the initial level of infrastructure. Under the panel baseline projection, lower levels of spending on replacement and maintenance are offset by higher spending on new investment. Depending on the initial development gap and the timing of new invest- ment, it is possible—though not usual—for the cost of adaptation to be larger for the average baseline than for the frontier baseline. In this paper we will focus exclusively upon the panel projections derived from panel data models rather than the frontier models. This is consistent with the view that the distinction between the development deficit and the adaptation deficit is difficult to draw under the best of circumstances and may not be useful in practical terms. The second, Delta-Q, aspect of this work concerns the impact of changes in climate on the demand for infra- structure. To approach this issue, we have to consider the mechanisms by which changes in climate may affect the demand for infrastructure and how we might iden- tify these consequences. For example, it is generally accepted that demand for electricity depends upon climate in general, but it is not so easy to identify the key climate parameters when estimating the demand for electricity or for electricity-generating capacity. Note that even these two variables may be subject to different influences because the seasonal or diurnal pattern of electricity demand is strongly influenced by climate.4 Part of the difficulty is that the outcome depends upon the relative weights assigned to different factors. An increase in average temperatures will lead to less demand for heating in the colder seasons but more demand for cooling in the warmer seasons. The overall direction of change is not easy to predict and is likely to depend upon the way in which we set up the problem. Electricity is simple to think about by comparison with roads or other transport infrastructure because there is an intuitive sense of the mechanisms involved in a rela- tionship between climate variables and the stock of electricity-generating capacity. But it would be wrong simply to impose the assumption that climate has no effect on the demand for roads. Patently, climate vari- ables do affect the structure of economic activity hold- ing other factors constant —for example, through the level and composition of agricultural output—and this ticular location is calculated from the truncated distribution of temperatures below some threshold—often 18°C—either on an hourly or a daily basis. will influence the nature of investment in roads. There are more complex but potentially larger effects operat- ing through the economic geography of urban life, industry, and commerce; that is, in the ways in which we organize economic activity in space. Small changes may have significant consequences for the level of investment in infrastructure. While the principle that climate change may affect the demand for infrastructure seems straightforward, the task of estimating the Delta-Q costs of adaptation is much more difficult for two general reasons. ## Many Of The Impacts Of Climate On Demand For A. infrastructure are long term in nature. This may not be true for electricity, but any influence of climate on the demand for roads will operate via the path of economic development over a period of one, two, or many decades. There are two consequences. First, we should not think of the Delta-Q component of the costs of adaptation as arising on a regular schedule every five years. The calculation merely identifies additions to and subtractions from a liability (or asset) that will materialize in future as economic activity adjusts to the changes in climate that are taking place. Second, in planning for future infrastructure development, governments need to consider how climate change may affect the amount and type of infrastructure that is required if it will influence future patterns of economic activity. In practice, there is no way of examining the b. empirical impact of climate on the demand for infrastructure other than through some form of panel data analysis—pooling data for countries, regions, states, or other geographical units over time. Inevitably, climate is a cross-sectional vari- able (since year-to-year variations are weather), which may easily be confounded with other cross- section fixed effects. This has prompted various criticisms of the Ricardian approach to identifying the impact of climate change on agriculture or GDP on the grounds that climate variables are acting as a proxy for non-climate factors such as institutions. Some economists draw the conclu- sion that climate variables should not be used in this way. We do not accept this view, since it closes off any possibility of estimating the impact of climate change on overall demand for infra- structure. Instead, we have carried an extensive econometric analysis of the role of climate vari- ables in modeling the demand for infrastructure. The details are technical and take up a large amount of space, so that they are reported in a separate paper (Hughes 2010). The issues and results are summarized in sections 4 and 5 below. Our results suggest that the demand for some categories of infrastructure is affected by different climate variables with important interactions with income per capita and urbanization. The results of our econometric analysis suggest that the absolute magnitude of the Delta-Q component of adaptation should not be ignored in the long run. On the other hand, the Delta-P component is much more predictable as a basis for discussing plans for adapting to climate change. For these reasons, our detailed estimates of the costs of adaptation by 5-year period up to 2050 concentrate on the Delta-P component, while the Delta-Q estimates are presented as indicative estimates for the whole period. ## 2. Data The core data used in this study is the World Development Indicators (WDI) database published in 2008 by the World Bank, which provides panel data for up to 168 countries and the years 1960 to 2006. The year 2005 is treated as the base year for all of our estimation. Our work relies on the 2008 version of the database. One crucial consequence is that the purchasing power parity estimates of GDP per person rely on a version of the 2005 ICP baseline due to appear as Penn World Tables (PWT) Version 7. These estimates cover the period 1980–2007 for a large set of countries. They have been extended backwards to 1960 by splicing estimates from PWT Version 6.2, which uses the 2000 ICP baseline. Country gaps have been filled by the standard approach of using a quadratic equation linking GDP per person in constant (2000) USD at market exchange rates to GDP per person at constant (2005) PPP exchange rates. The WDI data has been supplemented with data on infrastructure availability from a wide variety of sources, including other international organizations (FAO, ITU, WHO, UNICEF, UPU), official country data (espe- cially census data), and various systematic surveys such as Demographic and Health Surveys (DHS) and Living Standards Measurement Surveys (LSMS), which are broadly consistent across countries. Even so, the final dataset is very patchy in terms of coverage, especially for earlier periods. The panels are unbalanced and there are many missing values for intermediate years. Thus, it is not possible to make use of econometric specifications involving autoregressive or similar errors over time. A further remark concerns the nature of the data relat- ing to different types of infrastructure. In a few cases, we have direct measures of the quantity of infrastruc- ture assets—for example, kilometers of paved or all roads, kilometers of rail track, MW of generating capac- ity. More commonly we have to rely upon measures of infrastructure output—for example, numbers of house- holds connected to electricity, water, or sewer systems. In practice, the efficient levels of infrastructure assets are closely linked to these output or input variables, so we believe that it is reasonable to base our projections on an analysis of these infrastructure indicators. ## 3. Climate Change Describing the historic climate in a manner that is compatible with macroeconomic data is far from straightforward without any of the complications of projecting climate change into the second half of the 21st century. The literature on the influence of climate on economic variables has tended to rely upon average values of climate variables, primarily temperature, measured for the capital city of the country. The classic dataset is the data compiled by NCAR—NOAA's National Center for Atmospheric Research in Boulder, Colorado—for weather stations around the world iden- tified by their World Meteorological Organization reference code. The difficulty with this dataset is that there is no consistency across stations in the data that is reported. We have examined average data for capital cities derived from weather stations in or near the capi- tal—including, for example, nearby airports. This is used to obtain an average elevation for the capital city, but there are too many missing values to rely upon the climate variables for our econometric analysis. The Climate Research Unit at the University of East Anglia has compiled a series of historic weather data for 0.5 degree grid squares for land areas of the globe. Summary statistics have been computed for each grid cell for monthly average, maximum and minimum temperatures (in degrees C), and precipitation (in mm) for the period 1901–2002. The distribution of tempera- tures is generally accepted as being well-approximated by the normal distribution, so it was sufficient to compute the mean and standard deviation for each grid cell. For precipitation, the distribution is closer to the log-normal, so the mean and standard deviation of ln(precipitation+1mm) were calculated in addition to the mean of precipitation.5 Country estimates of the climate variables were constructed using grid cell means for monthly mean, maximum, and minimum temperatures and precipita- tion. The primary variables are population-weighted averages using the population in each country in each grid cell to weight the grid-cell means, thus reflecting the average exposure for the population of each coun- try.6 Alternative sets of country means weighted by (a) the land areas in each cell, and (b) the inverse of popu- lation in each cell were also constructed. The reason for doing this is linked to the demand for transport and other types of hard infrastructure. Consider a country such as Australia. The population is concentrated in the coastal areas of the continent, while the interior— with very different climatic conditions—is very thinly populated. So the population-weighted averages will reflect the climate on the coast whereas the inverse population-weighted averages reflect the climate in the interior, while the area-weighted averages fall in between.7 The correlations between the population- more than one country, but the data only provide the land area of each country in each grid cell plus total population in the grid cell. It is, therefore, necessary to assume that population density is uniform over these grid cells so that population is split between countries in the same proportion as land area. 7 We have tested whether using either the inverse-population-weight- weighted and inverse population-weighted climate variables are shown in Table 1 along with correlations with historic demographic variables used as instruments for institutional development as discussed in Section 4. The primary climate variables used in the econometric analyses are the two weighted means for (a) annual average temperature (computed as the average of monthly average temperatures) in °C; (b) total annual precipitation (computed as the sum of monthly average precipitation); (c) the temperature range (the average maximum temperature in the hottest month, the aver- age minimum temperature in the coldest month); and (d) the precipitation range (average precipitation in the wettest month, average precipitation in the driest month). One point to note is that annual average temperature measured in degrees C is negative or very small in a number of countries, especially for the inverse popula- tion-weighted means. Because of the use of the loga- rithmic transform, it is necessary either to exclude countries with extreme temperatures or to apply some linear shift to temperatures. The transformation adopted was to add 40°C to all temperatures. This value reflects the range from the minimum value of the monthly minimum temperature (-29.1°C) and the maximum value of the monthly maximum temperature (+46.9°C). Of course, the shift has no effect on the temperature range. The choice and use of climate projections to 2050 and beyond is considerably more complex. Global climate models (GCMs) are programmed to produce projec- tions of different variables for different time periods. At a micro scale, there are large differences between the results generated by the various models, so that it is necessary to be very careful about relying upon a single model. The standard deviation of projections for any one grid cell is typically large relative to the mean value of the projected change up to 2050 or even 2100. Further, the problem is more serious than simple models may suggest. Our econometric models suggest ed and area-weighted means instead of or in addition to the popula- tion-weighted means improves the performance of our equations. In all of the cases that we have examined, the area-weighted climate vari- ables are dominated by the inverse population-weighted (ipop) climate variables. \| Population-weighted climate \| Inverse population-weighted climate \| \|-------------------------------\|---------------------------------------\| \| Average \| \| \| temper- \| \| \| ature \| \| \| Precipi- \| \| \| tation \| \| \| Temper- \| \| \| ature \| \| \| range \| \| \| Precipi- \| \| \| tation \| \| \| range \| \| \| Population-weighted \| \| \| climate \| \| \| Average temperature \| 1 \| \| Precipitation \| 0.229 \| \| Temperature range \| -0.656 \| \| Precipitation range \| 0.6 \| \| Inverse population- \| \| \| weighted climate \| \| \| Average temperature \| 0.83 \| \| Precipitation \| 0.083 \| \| Temperature range \| -0.563 \| \| Precipitation range \| 0.373 \| \| Historic demographic \| \| \| indicators \| \| \| Birth rate 1950-54 \| 0.728 \| \| Infant mortality 1950-54 \| 0.595 \| Source: Authors' estimates using data for 157 countries with non-missing data for GDP, population, urbanization, and generating capacity in 2005. that the ranges between maximum and minimum monthly temperatures and precipitation are often the primary drivers of infrastructure demand. This means that the projections used to calculate the Delta-Q costs must be based upon climate scenarios that generate monthly maximum and minimum temperatures as well as average temperatures, which restricts the set of GCMs that can be used. But even more important, the variance of the difference between two variables is the sum of their variances minus their covariance. Under most plausible outcomes, this will exceed the variance of each element, so that the uncertainty about climate ranges will be higher than for climate means.8 Average temperature Precipitation Temperature range Precipitation range Birth rate 1950–54 For the main scenario analysis in this study, we have used results from the NCAR CCSM-3 and CSIRO-3 models (abbreviated to NCAR and CSIRO). These have relatively similar changes in the global moisture index, but they differ significantly in their patterns of climate change at the regional and country level. The models are part of a larger set of 26 GCMs that have been examined in detail by the MIT Joint Program on the Science and Policy of Global Change. As part of their analysis, the MIT group has down-scaled the climate projections to match the 0.5 degree grid cells used for the historic climate data, so population- and area-weighted means were constructed for the countries covered by our study for the NCAR and CSIRO scenarios. These projections are not sufficient for the Delta-P analysis, because design standards for certain types of infrastructure are driven by extreme values rather than monthly average values. However, GCMs are not capa- ble of generating reliable estimates of daily maximum/ minimum temperatures, precipitation, or wind speed, so it is necessary to deal with this requirement in an indirect manner. We have proceeded as follows: Use the normal or log-normal distributions of a. monthly averages of maximum/minimum temperature and monthly precipitation to estimate the 99th percentile of monthly maximum temperature, the 1st percentile of monthly minimum temperature, and the 99th percentile of maximum monthly precipitation. Express these percentiles as a ratio of the maxib. mum/minimum of monthly average maximum/ minimum temperatures and the maximum monthly precipitation and assume that these ratios will remain broadly constant in the future. Apply the ratios of the 99 c. th/1st percentiles to the associated monthly extremes for 2050 in order to compute the change from extreme values for the historic climate to extreme values for the climate scenario in absolute units—degrees C or mm of rainfall. In the case of wind speed, we have estimated the d. elasticity of the 99th percentile of wind speed with respect to the 99th percentile of precipitation by fitting extreme value distributions to the historic climate data and used the change in maximum precipitation to project changes in extreme wind events. ## 4. Econometric Specifications In considering the specification of the econometric analysis, it has to be remembered that the goal is to generate projections of the average demand for infrastructure up to 2050, whether or not these are affected by climate. We are not trying to examine the factors that drive the actual amounts of infrastructure assets supplied today or in the past. The key implication is that it is not appropriate to include, for example, indicators of governance or institutional development in the analysis. These may be relevant factors explaining actual outcomes for individual countries today. But they are not relevant when we wish to make projections 40 or more years into the future, since it is neither possible nor desirable to attempt to project how governance or institutions will evolve over that period. To the extent that (a) institutional factors influence the current level of infrastructure provision, and (b) there is a correlation between institutional development and GDP per person or urbanization, then the impact of institutional development will be (partly) captured by the coefficients on GDP per person or urbanization in the reduced form discussed below. This is one reason why the elasticities of infrastructure demand with respect to these variables may be higher when estimated using a sample of all countries than for a sample of high-income countries only. But, equally, there are many other factors that may affect the reduced form elasticities. Quite apart from matters of econometric philosophy, the nature of the data available for the purpose of making projections of future demand for infrastructure has an important influence upon the specification of the models. There are a very limited number of variables for which independent projections extending to 2050 have been constructed and can be used. In addition to the climate variables discussed above, these are total population, the age structure of the population, urban- ization, and growth in income (GDP per capita measured at purchasing power parity), plus a number of geographical features, which act as country-fixed effects.9 The basic approach for the econometric analysis is to develop a reduced form specification of the efficient demand for the services provided by each type of infrastructure—for example, paved roads or railways.10 9 The demographic projections are based on the medium fertility projection in the UN Population Division's 2006 revision, which is linked to the urbanization projections. The central scenario for growth rates for GDP per person at purchasing power is computed by taking the average of five economic integrated assessment models— Hope (2003), Nordhaus (2002), Tol (2007), IEA (2008) and EIA (2008). The average growth rate for world GDP in real terms is very close to the IPCC A1 SRES scenario, but the country growth rates are not based upon the downscaled versions of that scenario since those were constructed with a base data of 1990 and the relative country weights are very out of date. The sources of the population and income projections are described in a separate note. 10 There is an extensive literature, much of it originating in the World Bank, on developing econometric models to identify links between We assume that the structural equation defining the efficient demand for infrastructure type i in country j in period t may be written as: $$Q_{i j t}=f_{i}\{P_{j t},Y_{j t},C_{i j t},X_{j t},Z_{i j t},V_{j t},t\}\qquad\qquad(3)$$ The variables are defined as follows: Pjt is the population of country j in period t;11 Yjt is average income per head for country j in period t; d p y x v y x = + + + + + + a b b b b g g 2 2 ijt i pi jt yi jt xim mjt vir rjt yi jt xim mjt y x y v x x x v r j s f Cijt is the unit cost of infrastructure type i for country j in period t; im jt mjt ir jt rjt imn mjt njt imr mjt rjt + + + + ∑ ∑ ∑ ∑ ∑ ∑ ∑ d p y x v y x = + + + + + + a b b b b g g + + + + ∑ ∑ ∑ ∑ ∑ ∑ ∑ 2 2 ijt i pi jt yi jt xim mjt vir rjt yi jt xim mjt y x y v x x x v r j s f im jt mjt ir jt rjt imn mjt njt imr mjt rjt $\mathbf{X_{jt}}$ is a vector of country characteristics for country j in period t; $\sum\mathbf{r}_{\text{\emph{inv}}}\mathbf{y}_{\text{\emph{jt}}}\mathbf{x}_{\text{\emph{mijt}}}+\sum\mathbf{j}_{\text{\emph{iv}}}\mathbf{y}_{\text{\emph{jt}}}\mathbf{v}_{\text{\emph{jt}}}$ - $\sum\mathbf{s}_{\text{\emph{inv}}}\mathbf{x}_{\text{\emph{mijt}}}\mathbf{x}_{\text{\emph{jt}}}+\sum\mathbf{f}_{\text{\emph{inv}}}\mathbf{x}_{\text{\emph{mijt}}}\mathbf{v}_{\text{\emph{jt}}}$ Zijt is a vector of economic or other variables that affect the demand for infrastructure type i for country j in period t; and Vjt is a vector of climate variables for country j in period t. We can observe or project values for some of these variables, notably P, Y, X, and V (dropping subscripts). For the other variables we assume that: $$C_{ijt}=c_{i}\{Y_{jt},X_{j},Z_{ijt},V_{jt},t\}\tag{4}$$ and $$Z_{ijt}=g_{i}\{Y_{jt},X_{jt},V_{jt},t\}\,.\tag{5}$$ Solving for Zijt and Cijt allows us to write the reduced form as $$Q_{ijt}=h_{i}\{P_{jt},Y_{jt},X_{jt},V_{jt},t\}\tag{6}$$ Since there are no strong priors on the appropriate functional forms for fi{ }, ci{ }, and gi{ }, we can use a standard flexible functional form to represent the demand equation hi{ } in terms of the explanatory vari- ables. We have adopted a restricted version of the translog specification for all variables other than popu- lation. Using the notation xj=ln(Xj), the general trans- log function for infrastructure services may be written as: d p y x v y = + + + + + + a b b b b g g (7) 2 ijt i pi jt yi jt xim mjt vir rjt yi jt d p y = + + + a b b b ijt i pi jt yi jt x y x y v x x x v r j s f im jt mjt ir jt rjt imn mjt njt imr mjt rjt + + + + ∑ ∑ ∑ ∑ ∑ ∑ ∑ d p y x v y = + + + + + + a b b b b g g y x y v r j 2 ijt i pi jt yi jt xim mjt vir rjt yi jt x im jt mjt ir jt r + + ∑ ∑ ∑ . y x y v x x x v r j s f im jt mjt ir jt rjt imn mjt njt imr mjt rjt In practice, it is often difficult to estimate the full trans- log specification using the more complex econometric models, so the approach adopted was to start with the log-linear specification and then test whether the coef- ficients on the quadratic and cross-product terms are significant. Because this involves repeated testing of overlapping specifications, we have followed the spirit of the Bonferroni adjustment to test statistics by requir- ing that any coefficients retained in the model are significantly different from zero at the 1 percent level using conventional statistical tests.12 We have noted that including climate variables in equa- tions for the demand for infrastructure may be chal- lenged by some economists, especially if one goes on to assume that future demand for infrastructure will be affected by projected changes in these climate variables. The reason for the debate is that climate variables are believed to act as a proxy for institutional and other factors that determine actual outcomes, partly as a consequence of historical patterns of development (Acemoglu et al. 2001; Albouy 2008; Dell et al. 2008; Horowitz 2008. For example, attempts have been made to estimate a relationship linking income per person and average temperature as a basis for measuring the impact of climate change at highly aggregated level. Indeed, any simple correlation of these variables appears to show that a higher average temperature (usually for the capital city of the country) is associated with lower average income per person. But even this relationship is complicated by the role of natural resource endowments. Acemoglu et al. (2001) suggest that, in part, temperature is serving as an instrument for institutional development, so they include historical mortality rates in their analysis on the grounds that this is an alternative—and better—proxy for institutional development. The strategy adopted for our analysis relies on a number of alternative ways of dealing with this problem. The Acemoglu et al (AJR) study used colonial a. (mostly 18th century) mortality as an instrument for institutional development and found that this had a very significant coefficient in their equations for recent economic growth. However, estimates of colonial mortality are not available for more than one-half of the countries in our sample and, in any case, there is considerable controversy about the reliability of the estimates that have been used. Instead, we have used an alternative set of instru- mental variables. The UN's population statistics include a variety of demographic variables for the early 1950s for almost all countries. These provide good instruments because they are closely correlated with the historical endowment of both institutions and infrastructure, but demographic changes over the past 50 years mean they are less associated with current patterns.13 Two instru- ments have been used—the crude birth rate and infant mortality. These two were chosen because they capture the highest proportion of the cross- country variation of the demographic variables examined. Reflecting their special role, these vari- ables were included on their own without quadratic terms or cross-products with other explanatory variables. Consistently, one or both of the variables have coefficients that are significantly different from zero at the 95 percent or 99 percent levels. For this reason, the variables are included in all of the models discussed below. So, it must be remembered that—even without further controls for the possible role of climate as an instrument for institutional development—the analysis starts from a point that matches the state of the art in the current literature. The role of climate as an instrument for institub. tional development is a geographical argument— that is, it is about the geography of regional development—as much as it is about climate per se. Thus, the natural approach— again made difficult in the past by data limitations—is to consider the use of spatial econometrics in which spatially weighted values of variables are used as instruments for institutional and other factors. The standard model of spatial interaction (or autocorrelation) is: $$y_{i}={\bf a}\ +{\bf j}\ \sum_{j\neq i}W_{ij}y_{j}+{\bf b}\,x_{i}+{\bf e}_{i}\tag{8}$$ where the matrix W is a matrix of weights capturing the spatial influence of location j on location i, φ is called the spatial autocorrelation coefficient, and ε is the error term whose distribution depends upon the model specification. The inverse-distance model has been used for this analysis for which the elements of W are proportional to the reciprocal of the distance between the population centroids for countries i and j up to a maximum of 2,500 km.14 The W matrix is normalized so that the row sums are equal to 1. The equations are estimated using panel GMM with spatially weighted values of population, GDP per person, urbanization, and country size as instruments. The details of the analysis are given in a separate paper, but the overall bors." conclusion is that (a) the spatial interactions are consistently insignificant, and (b) including them does not alter the role of the climate variables in our equations. Setting aside the spatial argument, the central c. econometric contention of the argument that climate variables do not reflect the role of climate per se is that some or all of these variables are correlated with the error terms in the regression. This is a classic econometric problem that may be caused by omitted variables, measurement errors, or other factors. The standard solution is to treat the suspect climate variables as endogenous and look for instruments that are correlated with the climate variables but not with the error term—see, for example, Cameron and Trivedi (2006, chapter 4) or Baum (2005, chapter 8). It is not easy to find suitable instruments for all of the climate variables, especially as a group, since physical char- acteristics of countries are included in the infra- structure demand equations. We have investigated a range of potential instruments, such as the abso- lute value of latitude (the best instrument for temperature); internal renewable water resources; numbers of bird, mammal, and plant species per sq km; percentage covered by water and snow/ice; and spatially weighted physical characteristics for neighboring countries. These instruments perform reasonably well for mean temperature and temperature range (both population-weighted and inverse population-weighted) on their own. In these cases, the use of instrumental variables does not alter our conclusions. The variables turn out to be weak instruments for total precipitation and precipitation range on their own or for all climate variables together, but no one has seriously proposed that either total precipitation or precipi- tation range act as proxies for other influences on infrastructure demand. Finally, the analysis using instrumental variables consistently fails to reject the hypothesis that the climate variables—either individually or as a group—can be treated as exog- enous; that is, that the correlation between the climate variables and the error term is zero. A final possibility is that climate variables act as d. instruments for governance variables. One problem is that governance ratings change over time, whereas the climate variables are constant. To get around this, we have computed country averages for the years for which data is available and constructed the correlation matrices for both population-weighted and inverse population- weighted climate variables. Population-weighted mean temperature and precipitation range would be the best instruments, as they have simple corre- lations of -0.41 to -0.49 for the main WGI gover- nance variables—notably government effectiveness, regulatory quality, and rule of law. Population-weighted precipitation and tempera- ture range have very low correlations with the governance variables, and the correlations for the inverse population-weighted variables are signifi- cantly worse than for the population-weighted variables. With squared correlations of 0.2 or less, climate variables would have high standard errors if they were acting as instruments for gover- nance—roughly 5 times the true standard errors for the governance variables—which is difficult to reconcile with the relatively high t-ratios actually obtained. Further, including governance variables in the tests reported below may reduce or increase the F-values for the joint tests on the sets of climate variables, but it does not alter the infer- ence. Overall, our results provide little support for this interpretation. It is not possible to prove a negative. Our analysis cannot demonstrate conclusively that the coefficients on our climate variables reflect the effects of climate per se rather than the indirect influence of other, non-climate, factors. Nonetheless, we would argue that the cumula- tive weight of evidence is strong enough to shift the burden of proof. A key point is that the influence of climate in our infrastructure equations rarely depends upon a single climate variable on its own, whereas argu- ments about the role of climate as a proxy or instrument for other factors focus almost exclusively on mean temperature. There is even less reason to believe that inverse population-weighted climate variables act in this way, since by definition these reflect climate patterns in areas where people do not live and have not lived in large numbers.15 Hence, after extensive and careful investigation, we conclude that the evidence supports the view that climate does and will have a significant influence on future demand for infrastructure. In reaching this conclusion, we have been particularly strict when considering the inclusion of mean temperature (population-weighted and inverse population-weighted) in our projection models, so there has been a bias in favor of omitting these variables unless there was unam- biguous support for retaining them. On that basis, we believe it is reasonable to estimate the Delta-Q compo- nent of adaptation over the full period from 2010 to 2050 on the basis of the demand projections generated by our equations. The primary investigation of alternative specifications is carried out using pooled OLS with Driscoll-Kraay stan- dard errors, which allow for a general pattern of spatial dependence between countries (Driscoll and Kraay 1998; Hoechle 2007).16 In the case of the proportions of the population covered by electricity, water, and sewer networks, the dependent variable is the logit of the rele- vant shares in order to translate values between 0 and 1 to the entire real line. It is necessary to censor values that are reported as either 0 or 1 in order to avoid degeneracy. Thus, the minimum and maximum values correspond to shares of 0.001 and 0.999, as the shares are reported to the nearest 0.1 of a percentage point. A panel tobit model has been used to estimate the demand equations for coverage rates for which a 15 The absolute values of the correlation coefficients between the logs of similarly weighted climate variables are less than 0.66 across our sample of countries, with the sole exception of total precipitation and precipitation range (see Table 1). Both temperature and precipitation are negatively correlated with temperature range. The correlation coefficients between population-weighted and inverse populationweighted variables range from 0.78 to 0.83, with the exception of temperature range, for which the value is 0.94. In view of this last correlation, we have excluded the inverse-population weighted temperature range from the analysis. 16 Driscoll-Kraay standard errors are robust to panel heteroscedasticity and temporal autocorrelation as well as spatial interdependence. The estimation is carried out using Hoechle's xtscc procedure in Stata, which generalizes the Driscoll-Kraay estimator to allow for unbalanced panels. There is an important feature of the Driscoll-Kraay/Hoechle procedure that needs to be kept in mind. The method relies upon the derivation of a robust covariance matrix for a sequence of cross-sectional averages. The panels used for our analysis of some categories of infrastructure are very unbalanced and do not span continuous periods of time. Nonetheless, cross-sectional averages can be calculated for more than 25 years. The sample of countries in each cross-sectional average differs, but this is consistent with the way in which the covariance estimator is specified. Thus, even though the Driscoll-Kraay analysis relies upon asymptotics as T→∞, the nature of our data is significant fraction of observations are censored from above with the upper limit equal to logit (0.999). In addition to climate variables, the explanatory variables in the base models are: Log of population - Logs of GDP per person at 2005 PPP, country size, - and urban population as percentage of total population plus quadratic terms in these variables Log of a cross-country building cost index with the - U.S.=1.0 Logs of the proportions of land area that are desert, - arid, semi-arid, steep, very steep, and have no soil constraints for agriculture—obtained from FAO's Terrastat database Logs of the birth rate and infant mortality for - 1950-54 Dummy variables for World Bank regions. - The last two groups of variables are retained in all models. Tests for the inclusion of non-climate and climate variables are performed separately. At the first stage, the non-climate variables are tested for signifi- cance in a model containing the seven climate vari- ables—pop and ipop variants other than temperature range. After dropping non-climate variables that do not have significant coefficients, tests on the hypotheses that the coefficients for (a) the population-weighted climate variables, (b) the inverse population-weighted climate variables, and (c) all climate variables are all equal to zero are carried out. If one or more of these hypotheses are rejected, the set of climate variables included in the model is reduced by first dropping either the pop or the ipop variants and then those vari- ables within each category that do not have significant coefficients. Finally, interactions with GDP and urban- ization are tested for the climate variables that have been retained. Finally, we have used total, urban, or rural population weights (as appropriate) in estimating equations for which the dependent variable is the log or logit of an infrastructure indicator per person or per household; for example, municipal industrial water use per person, average household size, or the percentages of households connected to electricity, water, or sewer networks. In all cases, the weights are normalized to sum to the number of observations used for the analysis. ## 5. The Effects Of Climate On Demand For Infrastructure the inverse population-weighted climate variables. The rejection of the hypothesis of zero coefficients is partic- ularly strong for the inverse-population weighted climate variables; this is reinforced by the higher values of the t-ratios for these coefficients. The only climate variable with a coefficient that is not significantly different from zero is population-weighted mean temperature. On the other hand, both temperature range and inverse population-weighted mean tempera- ture have coefficients that are highly significant. The signs of the coefficients differ, but these variables are negatively correlated (see Table 1) so that warmer coun- tries tend to have less generating capacity, holding other factors constant. Electricity generating capacity. Model (1) in Table 2 shows that the tests for the joint significance of the climate variables reject the hypothesis of zero coefficients decisively for both the population-weighted and \| Ln(Generating capacity) \| Ln(Fixed telephone lines) \| \|---------------------------\|-----------------------------\| \| Logit(Urban \| \| \| electricity coverage) \| \| \| Logit(Rural \| \| \| electricity coverage) \| \| \| Variables \| (1) \| \| Ln(Population) \| 0.954* \| \| (0.028) \| (0.021) \| \| Ln(GDP per per- \| \| \| son) \| \| \| 0.975* \| 0.926* \| \| (0.141) \| (0.129) \| \| Ln(Country size) \| 1.111* \| \| (0.137) \| (0.117) \| \| Ln(% urban) \| 2.936* \| \| (0.563) \| (0.711) \| \| Ln(% urban) \| \| \| squared \| \| \| 0.324* \| 0.309* \| \| (0.050) \| (0.044) \| \| Ln(GDP per per- \| \| \| son) * \| \| \| -0.115* \| -0.108* \| \| Ln(Country \| \| \| size) \| \| \| (0.014) \| (0.012) \| \| Ln(GDP per per- \| \| \| son) * \| \| \| -0.239* \| -0.226* \| \| Ln(% urban) \| (0.056) \| \| Ln(Country size) * \| 0.131* \| \| Ln(% urban) \| (0.027) \| \| Ln(Generating capacity) \| Ln(Fixed telephone lines) \| \|---------------------------\|-----------------------------\| \| Logit(Urban \| \| \| electricity coverage) \| \| \| Logit(Rural \| \| \| electricity coverage) \| \| \| Variables \| (1) \| \| Ln(Building cost) \| -1.878* \| \| (0.289) \| (0.284) \| \| Ln(% desert) \| 0.0276* \| \| (0.004) \| (0.005) \| \| Ln(% semi-arid) \| -0.0378* \| \| (0.011) \| (0.011) \| \| Ln(% steep land) \| -0.107* \| \| (0.008) \| (0.012) \| \| Ln(% very steep \| \| \| land) \| \| \| 0.0947* \| 0.0792* \| \| (0.008) \| (0.007) \| \| Ln(% no soil con- \| \| \| straint) \| \| \| -0.0522* \| -0.0414* \| \| (0.010) \| (0.008) \| \| Ln(Temperature - \| \| \| pop) \| \| \| -0.837 \| -2.158* \| \| (0.480) \| (0.202) \| \| Ln(Precipitation - \| \| \| pop) \| \| \| 0.395* \| 0.152* \| \| (0.069) \| (0.040) \| \| Ln(Temp range - \| \| \| pop) \| \| \| 0.313 \| 0.386* \| \| (0.103) \| (0.074) \| \| Ln(Precip range - \| \| \| pop) \| \| \| -0.431* \| -0.272* \| \| 1.388* \| \| \| (0.055) \| (0.052) \| \| Ln(Temperature - \| \| \| ipop) \| \| \| -1.057* \| -1.447* \| \| -13.65* \| \| \| (0.137) \| (0.125) \| \| Ln(Precipitation - \| \| \| ipop) \| \| \| -0.272* \| -0.269* \| \| (0.045) \| (0.036) \| \| Ln(Precip range - \| \| \| ipop) \| \| \| 0.479* \| 0.468* \| \| (0.055) \| (0.048) \| \| Ln(% urban) * \| -1.006** \| \| \| \| \| Ln(Temperature - \| \| \| pop) \| \| \| (0.363) \| \| \| Ln(Generating capacity) \| Ln(Fixed telephone lines) \| \|---------------------------\|-----------------------------\| \| Logit(Urban \| \| \| electricity coverage) \| \| \| Logit(Rural \| \| \| electricity coverage) \| \| \| Variables \| (1) \| \| Ln(% urban) * \| -0.388*** \| \| \| \| \| Ln(Precipitation - \| \| \| pop) \| \| \| (0.050) \| \| \| Ln(% urban) * \| 0.328*** \| \| \| \| \| Ln(Temp range - \| \| \| pop) \| \| \| (0.070) \| \| \| Ln(% urban) * \| 0.270*** \| \| \| \| \| Ln(Precip range - \| \| \| pop) \| \| \| (0.066) \| (0.031) \| \| Ln(% urban) * \| 0.862*** \| \| \| \| \| Ln(Temperature - \| \| \| ipop) \| \| \| (0.102) \| (1.151) \| \| Ln(% urban) * \| -0.0749* \| \| Ln(Precip \| \| \| range - ipop) \| \| \| (0.009) \| \| \| Model \| POLS \| \| Observations \| 6027 \| \| Number of coun- \| \| \| tries \| \| \| 165 \| 165 \| \| R-squared \| 0.923 \| \| Log-likelihood \| -250.6 \| \| DF \| 26 \| \| No of censored \| \| \| obs \| \| \| 716 \| 716 \| \| P-value for all cli- \| \| \| mate variables = \| \| \| 0 \| \| \| 0.000 \| 0.000 \| \| P-value for pop \| \| \| climate variables \| \| \| = 0 \| \| \| 0.000 \| 0.000 \| \| P-value for ipop \| \| \| climate variables \| \| \| = 0 \| \| \| 0.000 \| 0.000 \| Note: Standard errors are shown in brackets underneath the relevant coefficients with * p < 0.001, ** p < 0.01, * p < 0.05. In addition to the variables shown, all of the equations include the following explanatory variables: ln(birthrate 1950), ln(infant mortality 1950) and dummy variables for World Bank regions. Source: Authors' estimates. Overall, however, temperature and temperature range are less important influences on the amount of generating capacity than precipitation and precipitation range together with their interactions with urbanization. There are various mechanisms by which precipitation may affect installed capacity. One factor is the role of hydro power in total electricity supply, since utilization factors tend to be lower for hydro plants. Another is the role of pumped irrigation systems and similar influences on patterns of electricity demand in countries with high interseasonal variations in rainfall. Even though the absolute values of the coefficients for precipitation and precipitation range are smaller than the equivalent coefficients for temperature, these variables have an important effect in the calculation of the Delta-Q changes because the distributions of changes in total precipitation and precipitation range are much more dispersed and much larger relative to their historic values than are the equivalent distributions for temperature. Fixed telephone lines. The projection equations for fixed telephone lines are reported as Models (3) & (4) in Table 2. Again, the hypotheses of zero coefficients for climate variables are decisively rejected, particularly for the population-weighted variables, with mean temperature, temperature range, and precipitation range all having significant coefficients. There are strong interactions with urbanization, so that the impact of climate change on demand for telephones varies markedly both within and across country classes. Electricity network coverage. Models (5) through (8) in Table 2 show the estimated equations for the logits of electricity coverage for urban and rural households weighted by the relevant populations in 2005.17 Panel tobit models are used with an upper censoring value corresponding to a coverage of 99.9 percent. Since the majority of observations are censored, the number of exogenous variables is reduced in each equation by much more than for electricity generating capacity. Nonetheless, population-weighted precipitation, precipi- tation range, and temperature range clearly warrant inclusion in the equation for urban coverage. For rural coverage, population-weighted precipitation range and inverse population-weighted temperature—on its own and interacted with urbanization—are the key climate variables. The chi-square statistic for the test of zero influence of the temperature variables is 59.7, so that these cannot be excluded. Water use. The dependent variables for water use are the logs of water abstractions per person for municipal and industrial use, which are derived from FAO data. This includes water that is lost in treatment and in water supply networks. Models (1) and (2) in Table 3 summarize the results of the econometric analysis for municipal water use per person. In this case, the tests for the joint significance of the climate variables reject the hypothesis of zero coefficients decisively for the population-weighted variables, but not for the inverse population-weighted variables. The best specification includes population-weighted precipitation and precipi- tation range. Another point to note is the quadratic in GDP per person. The results seem to be intuitively reasonable, reflecting rainfall patterns where people live and the effect of changes in GDP on water use. The quadratic terms in GDP per person imply that water consumption per person reaches a peak at an income of about $12,000 per capita in 2005 PPP, and falls gradu- ally as countries get richer beyond this point. Models (3) and (4) in Table 3 summarize the results for industrial water use per person. In this case, the tests reject the hypotheses that the population-weighted and/ or inverse population-weighted climate variables have zero coefficients. The detailed investigation identifies population-weighted temperature range and precipita- tion range plus inverse population-weighted precipita- tion and precipitation range as having significant coefficients. There are significant interactions between the inverse-population weighted climate variables and GDP per person with urbanization. Use of water in industry is a derived demand, so the influence of climate variables operates through the scale and location of food processing and similar resource-based industries. Hence, it is climate conditions in rural and thinly popu- lated areas that have a significant influence. Water and sewer connections. Table 4 summarizes the results for coverage rates of piped water supply and \| \| \| \| Ln(Municipal water use per person) \| Ln(Industrial water use per person) \| \|----------------------------\|-----------\|-----------\|--------------------------------------\|---------------------------------------\| \| Variables \| (1) \| (2) \| (3) \| (4) \| \| Ln(GDP per person) \| 2.159 \| 2.000 \| 3.455** \| 2.953* \| \| (0.679) \| (0.632) \| (1.073) \| (1.197) \| \| \| Ln(Country size) \| \| \| \| \| \| Ln(% urban) \| 0.530* \| 0.559* \| \| \| \| (0.071) \| (0.067) \| \| \| \| \| Ln(GDP per person) squared \| -0.115 \| -0.105 \| -0.191 \| -0.219* \| \| (0.039) \| (0.036) \| (0.064) \| (0.064) \| \| \| Ln(Building cost) \| -2.477*** \| -2.342* \| \| \| \| (0.662) \| (0.904) \| \| \| \| \| Ln(% steep land) \| 0.970* \| 0.943* \| \| \| \| (0.124) \| (0.100) \| \| \| \| \| Ln(% very steep land) \| 0.152* \| 0.156* \| -0.225* \| -0.183 \| \| (0.023) \| (0.032) \| (0.054) \| (0.059) \| \| \| Ln(% no soil constraint) \| -0.265* \| -0.156* \| \| \| \| (0.040) \| (0.027) \| \| \| \| \| Ln(Temperature - pop) \| 0.923* \| -0.027 \| \| \| \| (0.391) \| (1.219) \| \| \| \| \| Ln(Precipitation - pop) \| -0.150 \| -0.306* \| 0.456 \| \| \| (0.173) \| (0.087) \| (0.354) \| \| \| \| Ln(Temp range - pop) \| 0.459 \| 2.091* \| 2.003* \| \| \| (0.163) \| (0.294) \| (0.221) \| \| \| \| Ln(Precip range - pop) \| 0.205 \| 0.367*** \| -0.819* \| -0.594*** \| \| (0.175) \| (0.103) \| (0.323) \| (0.127) \| \| \| Ln(Temperature - ipop) \| 0.079 \| -0.842 \| \| \| \| (0.239) \| (0.592) \| \| \| \| \| Ln(Precipitation - ipop) \| 0.102 \| -0.512* \| -5.318* \| \| \| (0.081) \| (0.240) \| (0.836) \| \| \| \| Ln(Precip range - ipop) \| -0.054 \| 0.902 \| 5.682*** \| \| \| (0.103) \| (0.287) \| (0.931) \| \| \| \| Ln(GDP per person) * \| 0.577*** \| \| \| \| \| Ln(Precipitation - ipop) \| (0.099) \| \| \| \| \| Ln(GDP per person) * \| -0.577* \| \| \| \| \| Ln(Precip range - ipop) \| (0.107) \| \| \| \| \| Model \| POLS \| POLS \| POLS \| POLS \| \| Observations \| 368 \| 368 \| 337 \| 337 \| \| Number of countries \| 161 \| 161 \| 158 \| 158 \| \| \| \| \| Ln(Municipal water use per person) \| Ln(Industrial water use per person) \| \|---------------------------------------\|-------\|-------\|--------------------------------------\|---------------------------------------\| \| Variables \| (1) \| (2) \| (3) \| (4) \| \| R-squared \| 0.980 \| 0.979 \| 0.954 \| 0.955 \| \| Log-likelihood \| \| \| \| \| \| DF \| 19 \| 14 \| 19 \| 18 \| \| No of censored obs \| \| \| \| \| \| P-value for all climate variables = 0 \| 0.000 \| 0.000 \| \| \| \| P-value for pop climate \| \| \| \| \| \| variables = 0 \| \| \| \| \| \| 0.000 \| 0.000 \| \| \| \| \| P-value for ipop climate \| \| \| \| \| \| variables = 0 \| \| \| \| \| \| 0.087 \| 0.000 \| \| \| \| Note: Standard errors are shown in brackets underneath the relevant coefficients with * p < 0.001, ** p < 0.01, * p < 0.05. In addition to the variables shown, all of the equations include the following explanatory variables: ln(birthrate 1950), ln(infant mortality 1950) and dummy variables for World Bank regions. Source: Authors' estimates. sewer networks in urban and rural areas. Models (1) to (6) are based upon panel tobit estimation, allowing for the upper censoring of countries with reported coverage of 99.9 percent or higher. In general, populationweighted climate variables have a significant influence on coverage rates in urban areas, while inverse population-weighted climate variables are more important in rural areas. The only exception is rural water supply, for which both sets of climate variables are significant. Interactions with GDP per person and urbanization are not significant. Since coverage rates for piped water supply are close to or equal to 99.9 percent in high income countries, changes in climate variables will not have any effect on costs of adaptation in many countries. However, changes in average temperature—and precipitation for rural households—may affect the numbers of households connected to collective sewer systems.18 For the purpose of costing wastewater treatment, we have assumed that the BOD/COD concentration and other characteristics of sewage handled by wastewater treatment plants correspond to typical values for munic- ipal wastewater. This implies that industries will be expected to process wastewater with high concentra- tions of industrial pollutants. Further, it is assumed that wastewater treatment plants are scaled to process 80 percent of the volume of water treated by water treat- ment plants, allowing for network losses and wastewater that is not discharged to sewers. Roads. Table 5 shows equations for the total length of roads (both paved and unpaved) and for the logit of the share of paved roads in total road length, weighted by total road length in the latter case. The key climate variables affecting the length of roads are temperature and precipitation range—both population-weighted and inverse population-weighted—plus population-weighted temperature range. There are strong interactions with GDP per person for temperature and precipitation tions by assuming that the total numbers of water supply and sewer connection are 10 percent higher than the numbers of household con- nections, based on typical ratios for middle-income countries. Logit(Urban water coverage) Logit(Rural water coverage) Logit(Urban sewer coverage) Logit(Rural water coverage) Variables (1) (2) (3) (4) (5) (6) (7) (8) Ln(Population) 0.353** 0.300* 0.513* 0.488* 0.357** 0.278* 0.765* 0.783* (0.127) (0.118) (0.113) (0.113) (0.119) (0.117) (0.149) (0.230) Ln(GDP per person) 0.889* 0.901* 0.430 0.647 2.576* 2.629* 1.405* 1.407* (0.150) (0.148) (0.826) (0.824) (0.348) (0.350) (0.346) (0.335) Ln(Country size) -0.580* -0.539* 1.327* 1.439* 2.035* 2.161* -0.636* -0.635* (0.112) (0.095) (0.318) (0.314) (0.407) (0.405) (0.102) (0.175) Ln(% urban) -3.744* -3.797* 1.388* 1.371* 1.247* 1.226* (0.995) (0.982) (0.230) (0.229) (0.339) (0.268) Ln(GDP per person) squared 0.157 0.149 (0.053) (0.053) Ln(GDP per person) * -0.282* -0.293* -0.276* -0.285* Ln(Country size) (0.035) (0.034) (0.041) (0.042) Ln(GDP per person) * 0.451* 0.462* Ln(% urban) (0.131) (0.130) Ln(Building cost) -7.790 -9.089* 13.91** 14.16* (2.878) (2.607) (4.162) (5.822) Ln(% desert) -0.188* -0.201* (0.080) (0.051) Ln(% arid land) -0.421* -0.295* -0.254* -0.266*** (0.082) (0.073) (0.053) (0.072) Ln(% semi-arid land) 0.141* 0.162* 0.375* 0.449* (0.064) (0.063) (0.075) (0.074) Ln(% no soil constraint) -0.282* -0.422* (0.114) (0.091) Ln(Temperature - pop) -8.469* -8.000* -0.351 -5.950 -7.603* 0.281 (2.303) (1.352) (2.406) (2.128) (1.452) (3.102) Ln(Precipitation - pop) -0.262 -1.690 -1.319*** 0.128 0.149 (0.530) (0.570) (0.214) (0.529) (0.625) Ln(Temp range - pop) -0.693 -1.793* -1.498** -0.119 -0.023 (0.742) (0.767) (0.484) (0.747) (0.325) Ln(Precip range - pop) -1.184* -1.500* 0.870 0.288 -0.413 (0.517) (0.238) (0.593) (0.531) (0.823) Ln(Temperature - ipop) -0.761 -6.472* -6.385* -1.098 -3.842* -3.745* (1.033) (0.947) (0.863) (0.889) (0.864) (0.485) Ln(Precipitation - ipop) -0.017 0.131 -0.283 -0.981* -0.855* (0.375) (0.381) (0.356) (0.190) (0.085) Logit(Urban water coverage) Logit(Rural water coverage) Logit(Urban sewer coverage) Logit(Rural water coverage) Variables (1) (2) (3) (4) (5) (6) (7) (8) Ln(Precip range - ipop) -0.084 -0.486 -0.429 0.255 (0.416) (0.425) (0.430) (0.269) Model Tobit Tobit Tobit Tobit Tobit Tobit POLS POLS Observations 582 582 547 547 318 318 272 272 Number of countries 157 157 155 155 140 140 124 124 R-squared 0.901 0.901 Log-likelihood -452.1 -452.9 -461.5 -464.7 -327.0 -335.1 DF 21 16 21 17 21 15 20 15 No of censored obs 94 94 36 36 10 10 P-value for all climate variables = 0 0.000 0.000 0.000 0.000 P-value for pop climate variables = 0 0.000 0.000 0.024 0.021 P-value for ipop climate variables = 0 0.854 0.001 0.002 0.000 Note: Standard errors are shown in brackets underneath the relevant coefficients with * p < 0.001, ** p < 0.01, * p < 0.05. In addition to the variables shown, all of the equations include the following explanatory variables: ln(birthrate 1950), ln(infant mortality 1950) and dummy variables for World Bank regions. Source: Authors' estimates. \| \| \| \| Ln(Total road length) \| Logit(Share of paved roads) \| \|--------------------------\|-----------\|------------\|-------------------------\|-------------------------------\| \| Variables \| (1) \| (2) \| (3) \| (4) \| \| Ln(Population) \| 0.584* \| 0.590* \| 0.599* \| 0.668* \| \| (0.004) \| (0.005) \| (0.057) \| (0.064) \| \| \| Ln(GDP per person) \| -0.042 \| 2.070* \| 1.980* \| 8.010*** \| \| (0.034) \| (0.098) \| (0.094) \| (0.781) \| \| \| Ln(Country size) \| -0.0931* \| -0.007 \| 3.645* \| 0.081 \| \| (0.045) \| (0.029) \| (0.473) \| (0.300) \| \| \| Ln(% urban) \| 0.395* \| 0.786* \| -2.207* \| -0.845 \| \| (0.069) \| (0.074) \| (0.389) \| (0.520) \| \| \| Ln(Country size) squared \| 0.0166* \| 0.0175* \| -0.108* \| -0.0668* \| \| (0.002) \| (0.001) \| (0.019) \| (0.013) \| \| \| Ln(% urban) squared \| -0.155* \| -0.0581* \| \| \| \| (0.015) \| (0.010) \| \| \| \| \| \| \| \| Ln(Total road length) \| Logit(Share of paved roads) \| \|--------------------------\|------------\|------------\|-------------------------\|-------------------------------\| \| Variables \| (1) \| (2) \| (3) \| (4) \| \| Ln(GDP per person) * \| 0.0331* \| 0.0217* \| -0.316*** \| 0.010 \| \| Ln(Country size) \| (0.003) \| (0.002) \| (0.023) \| (0.023) \| \| Ln(GDP per person) * \| -0.105* \| -0.199* \| \| \| \| Ln(% urban) \| (0.006) \| (0.012) \| \| \| \| Ln(Country size) * \| 0.434* \| 0.036 \| \| \| \| Ln(% urban) \| (0.053) \| (0.037) \| \| \| \| Ln(Building cost) \| -11.84* \| -9.597* \| \| \| \| Ln(% desert) \| 0.0347* \| 0.0546* \| -0.157* \| -0.232* \| \| (0.009) \| (0.006) \| (0.025) \| (0.033) \| \| \| Ln(% arid) \| 0.396* \| 0.371* \| \| \| \| Ln(% semi-arid) \| -0.0492* \| -0.0503* \| \| \| \| (0.005) \| (0.004) \| \| \| \| \| Ln(% steep land) \| 0.100* \| 0.0660* \| \| \| \| (0.013) \| (0.011) \| \| \| \| \| Ln(% very steep land) \| -0.0245* \| -0.0111* \| 0.196* \| 0.174* \| \| (0.004) \| (0.002) \| (0.040) \| (0.045) \| \| \| Ln(% no soil constraint) \| 0.0279* \| 0.0402* \| \| \| \| (0.006) \| (0.005) \| \| \| \| \| Ln(Temperature - pop) \| -1.267* \| 1.589* \| 2.041 \| \| \| (0.190) \| (0.424) \| (1.121) \| \| \| \| Ln(Precipitation - pop) \| 0.017 \| 0.262 \| \| \| \| (0.030) \| (0.242) \| \| \| \| \| Ln(Temp range - pop) \| -0.108 \| -0.208* \| -2.074* \| 16.46* \| \| (0.038) \| (0.042) \| (0.106) \| (1.595) \| \| \| Ln(Precip range - pop) \| -0.170 \| -0.154* \| -2.099* \| 0.663* \| \| (0.055) \| (0.028) \| (0.319) \| (0.315) \| \| \| Ln(Temperature - ipop) \| 0.593* \| 0.684* \| -2.213* \| -1.829* \| \| (0.141) \| (0.145) \| (0.530) \| (0.256) \| \| \| Ln(Precipitation - ipop) \| 0.039 \| -0.646*** \| \| \| \| (0.069) \| (0.176) \| \| \| \| \| Ln(Precip range - ipop) \| 0.156* \| 1.334* \| 0.976* \| \| \| (0.060) \| (0.070) \| (0.071) \| \| \| \| Ln(% urban) * \| 0.110*** \| \| \| \| \| Ln(Precip range - pop) \| (0.011) \| \| \| \| \| Ln(GDP per person) * \| -0.373*** \| \| \| \| \| Ln(Temperature - pop) \| (0.025) \| \| \| \| \| (0.778) \| (0.527) \| \| \| \| \| (0.041) \| (0.065) \| \| \| \| \| \| \| \| Ln(Total road length) \| Logit(Share of paved roads) \| \|----------------------------------------\|-----------\|-------\|-------------------------\|-------------------------------\| \| Variables \| (1) \| (2) \| (3) \| (4) \| \| Ln(GDP per person) * \| -2.150*** \| \| \| \| \| Ln(Temp range - pop) \| (0.192) \| \| \| \| \| Ln(GDP per person) * \| -0.190*** \| \| \| \| \| Ln(Precip range - pop) \| (0.038) \| \| \| \| \| Ln(GDP per person) * \| -0.127* \| \| \| \| \| Ln(Precip range - ipop) \| (0.008) \| \| \| \| \| Model \| POLS \| POLS \| POLS \| POLS \| \| Observations \| 2040 \| 2040 \| 1790 \| 1790 \| \| Number of countries \| 182 \| 182 \| 179 \| 179 \| \| R-squared \| 0.922 \| 0.926 \| 0.816 \| 0.822 \| \| Log-likelihood \| \| \| \| \| \| DF \| 27 \| 28 \| 25 \| 23 \| \| No of censored obs \| \| \| \| \| \| P-value for all climate variables = 0 \| 0.000 \| 0.000 \| \| \| \| P-value for pop climate variables = 0 \| 0.000 \| 0.000 \| \| \| \| P-value for ipop climate variables = 0 \| 0.000 \| 0.000 \| \| \| Note: Standard errors are shown in brackets underneath the relevant coefficients with * p < 0.001, ** p < 0.01, * p < 0.05. In addition to the variables shown, all of the equations include the following explanatory variables: ln(birthrate 1950), ln(infant mortality 1950) and dummy variables for World Bank regions. Source: Authors' estimates. GDP per person. In particular, higher temperatures in rural areas—that is, inverse population-weighted temperature—lead to a lower share of paved roads, which is exactly what one would expect in view of the higher costs of construction and maintenance for rural paved roads associated with higher temperatures. range and with urbanization for precipitation range. These climate variables are directly linked to the cost of building and maintaining roads—temperature is particularly important for paved roads subject to heavy use, while temperature and precipitation ranges affect the capital and maintenance costs of both paved and unpaved roads. The fact that both population-weighted and inverse-population weighted climate variables are significant reflects the impact of climate on all types of roads—rural, urban, and national. It is likely that climate may also play a role through the structure of the economy—for example, the nature and role of agricultural production—and through geographical patterns of economic development. Other transport. Table 6 shows the projection equations for rail track length, aircraft movements, and container traffic handled by ports. The last two are indicators used in estimating investments in airports and sea/river ports. With one exception, the tests reject the hypothe- sis of zero coefficients for all climate variables decisively. The exception is for inverse population-weighted climate variables in the rail equation. The primary climate influences are: The share of paved roads in total road length is influenced by the same variables and their interactions with \| \| \| \| \| Ln(Rail track length) \| Ln(Aircraft movements) \| Ln(Container traffic) \| \|--------------------------\|-----------\|-----------\|-----------\|-------------------------\|--------------------------\|-------------------------\| \| Variables \| (1) \| (2) \| (3) \| (4) \| (5) \| (6) \| \| Ln(Population) \| 0.484* \| 0.472* \| 0.540* \| 0.540* \| 0.649* \| 0.649* \| \| (0.043) \| (0.041) \| (0.035) \| (0.032) \| (0.034) \| (0.023) \| \| \| Ln(GDP per person) \| 0.259* \| 0.971 \| 0.710* \| 0.692* \| 0.005 \| -2.830* \| \| (0.053) \| (0.741) \| (0.065) \| (0.066) \| (0.074) \| (0.748) \| \| \| Ln(Country size) \| 0.425* \| 0.405* \| -0.184* \| -0.167* \| -2.751* \| -3.495* \| \| (0.076) \| (0.049) \| (0.030) \| (0.030) \| (0.195) \| (0.363) \| \| \| Ln(% urban) \| -0.315 \| -0.215 \| -0.376 \| 2.202* \| 3.989* \| -0.071 \| \| (0.172) \| (0.146) \| (0.143) \| (0.571) \| (0.389) \| (1.116) \| \| \| Ln(Country size) squared \| 0.0337* \| 0.0325* \| 0.0299* \| 0.0278*** \| \| \| \| Ln(% urban) squared \| -0.112* \| 1.090* \| 1.563* \| \| \| \| \| Ln(GDP per person) * \| 0.222* \| 0.302* \| \| \| \| \| \| Ln(Country size) \| (0.015) \| (0.034) \| \| \| \| \| \| Ln(Country size) * \| -0.507* \| -0.513* \| \| \| \| \| \| Ln(% urban) \| (0.021) \| (0.026) \| \| \| \| \| \| Ln(Building cost) \| -3.062* \| -2.936* \| \| \| \| \| \| (0.349) \| (0.339) \| \| \| \| \| \| \| Ln(% desert) \| 0.0862* \| 0.0728* \| 0.266* \| 0.223* \| \| \| \| Ln(% arid) \| -0.333* \| -0.363* \| \| \| \| \| \| Ln(% semi-arid) \| 0.0404* \| 0.0710* \| \| \| \| \| \| Ln(% steep land) \| -0.132* \| -0.144* \| \| \| \| \| \| Ln(% very steep land) \| 0.0743* \| 0.0819* \| \| \| \| \| \| Ln(Temperature - pop) \| -2.235*** \| 3.225* \| -0.466 \| 0.712* \| \| \| \| (0.660) \| (1.288) \| (0.334) \| (0.307) \| \| \| \| \| Ln(Precipitation - pop) \| 0.362* \| -1.378* \| -0.396* \| -0.351* \| 0.591* \| 0.909* \| \| (0.035) \| (0.153) \| (0.102) \| (0.080) \| (0.140) \| (0.124) \| \| \| Ln(Temp range - pop) \| 0.939* \| -0.797 \| -1.038* \| -1.400* \| 0.232 \| \| \| (0.183) \| (0.512) \| (0.131) \| (0.111) \| (0.170) \| \| \| \| Ln(Precip range - pop) \| -0.175 \| 0.373* \| 0.313* \| 0.035 \| \| \| \| (0.123) \| (0.053) \| (0.044) \| (0.079) \| \| \| \| \| Ln(Temperature - ipop) \| 0.814 \| -1.005* \| -1.084* \| -0.906* \| -6.590* \| \| \| (0.745) \| (0.114) \| (0.091) \| (0.093) \| (1.305) \| \| \| \| (0.003) \| (0.003) \| (0.003) \| (0.003) \| \| \| \| \| (0.047) \| (0.168) \| (0.171) \| \| \| \| \| \| (0.021) \| (0.020) \| (0.009) \| (0.015) \| \| \| \| \| (0.012) \| (0.011) \| \| \| \| \| \| \| (0.006) \| (0.004) \| \| \| \| \| \| \| (0.029) \| (0.032) \| \| \| \| \| \| \| (0.010) \| (0.011) \| \| \| \| \| \| \| \| \| \| \| Ln(Rail track length) \| Ln(Aircraft movements) \| Ln(Container traffic) \| \|----------------------------------------\|-----------\|-----------\|---------\|-------------------------\|--------------------------\|-------------------------\| \| Variables \| (1) \| (2) \| (3) \| (4) \| (5) \| (6) \| \| Ln(Precipitation - ipop) \| 0.149 \| 0.326* \| 0.026 \| 0.429* \| 0.261* \| \| \| (0.133) \| (0.046) \| (0.072) \| (0.075) \| (0.051) \| \| \| \| Ln(Precip range - ipop) \| -0.217 \| -0.183* \| 0.060 \| -0.457* \| -0.326*** \| \| \| (0.174) \| (0.041) \| (0.059) \| (0.034) \| (0.058) \| \| \| \| Ln(% urban) * \| 0.707*** \| \| \| \| \| \| \| Ln(Precipitation - pop) \| (0.163) \| \| \| \| \| \| \| Ln(% urban) * \| -0.508*** \| \| \| \| \| \| \| Ln(Temp range - pop) \| (0.074) \| \| \| \| \| \| \| Ln(% urban) * \| -0.354*** \| \| \| \| \| \| \| Ln(Precipitation - ipop) \| (0.089) \| \| \| \| \| \| \| Ln(% urban) * \| 0.324*** \| \| \| \| \| \| \| Ln(Precip range - ipop) \| (0.058) \| \| \| \| \| \| \| Ln(GDP per person) * \| -0.580*** \| \| \| \| \| \| \| Ln(Temperature - pop) \| (0.156) \| \| \| \| \| \| \| Ln(GDP per person) * \| 0.167*** \| \| \| \| \| \| \| Ln(Precipitation - pop) \| (0.014) \| \| \| \| \| \| \| Ln(GDP per person) * \| 0.159** \| \| \| \| \| \| \| Ln(Temp range - pop) \| (0.051) \| \| \| \| \| \| \| Ln(GDP per person) * \| 0.612* \| \| \| \| \| \| \| Ln(Temperature - ipop) \| (0.139) \| \| \| \| \| \| \| Model \| POLS \| POLS \| POLS \| POLS \| POLS \| POLS \| \| Observations \| 1969 \| 1969 \| 5040 \| 5040 \| 407 \| 407 \| \| Number of countries \| 133 \| 133 \| 175 \| 175 \| 69 \| 69 \| \| R-squared \| 0.741 \| 0.740 \| 0.831 \| 0.833 \| 0.805 \| 0.822 \| \| Log-likelihood \| \| \| \| \| \| \| \| DF \| 19 \| 18 \| 23 \| 24 \| 25 \| 24 \| \| No of censored obs \| \| \| \| \| \| \| \| P-value for all climate variables = 0 \| 0.000 \| 0.000 \| 0.000 \| \| \| \| \| P-value for pop climate variables = 0 \| 0.000 \| 0.000 \| 0.000 \| \| \| \| \| P-value for ipop climate variables = 0 \| 0.040 \| 0.000 \| 0.000 \| \| \| \| Note: Standard errors are shown in brackets underneath the relevant coefficients with * p < 0.001, ** p < 0.01, * p < 0.05. In addition to the variables shown, all of the equations include the following explanatory variables: ln(birthrate 1950), ln(infant mortality 1950) and dummy variables for World Bank regions. Source: Authors' estimates. Rail length—temperature, precipitation, and a. temperature range, both on their own and interacted with GDP per person movement will be affected by factors such as the amount and distribution of tourism (both internal and external), the dispersion and nature of natural-resource based industries, and the availability of alternative methods of transport. Aircraft movements—all climate variables other b. than population-weighted temperature plus interactions with urbanization Container traffic—both precipitation variables, c. inverse population-weighted temperature, and precipitation plus interactions with urbanization and GDP per person. Health care. Our analysis of adaptation costs relies upon two health care inputs—the numbers of hospital beds and physicians —as indicators used in assessing the baseline cost of health infrastructure (hospitals and clinics) and the impact of climate change. The projec- tion equations are shown in Models (1) through (4) of Table 7. In addition, Models (5) and (6) report equa- tions for one important indicator of health outcomes— the log of the infant mortality rate. In these cases, there is no easy explanation for the results since it is clear that there are multiple influences on the indicators. For example, the number of aircraft \| \| \| \| \| Ln(No of hospital beds) \| Ln(No of doctors) \| Ln(Infant mortality rate) \| \|----------------------------\|------------\|------------\|------------\|---------------------------\|---------------------\|-----------------------------\| \| Variables \| (1) \| (2) \| (3) \| (4) \| (5) \| (6) \| \| Ln(Population 0-14) \| 0.283 \| 0.323* \| -0.520* \| -0.558 \| 1.423* \| 1.444* \| \| (0.099) \| (0.060) \| (0.135) \| (0.187) \| (0.116) \| (0.129) \| \| \| Ln(Population 15-64) \| 0.881* \| 0.736* \| 1.300* \| 1.196* \| -0.982* \| -0.964* \| \| (0.131) \| (0.064) \| (0.120) \| (0.182) \| (0.132) \| (0.143) \| \| \| Ln(Population 65+) \| -0.224* \| -0.128* \| 0.275* \| 0.391* \| -0.475* \| -0.508* \| \| (0.032) \| (0.023) \| (0.045) \| (0.034) \| (0.035) \| (0.033) \| \| \| Ln(GDP per person) \| 1.721* \| -2.680* \| 0.246 \| -4.951* \| 0.928* \| 0.947* \| \| (0.327) \| (0.605) \| (0.080) \| (0.589) \| (0.390) \| (0.384) \| \| \| Ln(Country size) \| -0.155* \| -0.0984* \| 0.364* \| 0.147 \| 0.105* \| 0.109* \| \| (0.021) \| (0.021) \| (0.106) \| (0.046) \| (0.031) \| (0.031) \| \| \| Ln(% urban) \| -0.094 \| 1.077* \| 1.301* \| -0.165* \| 1.738 \| \| \| (0.072) \| (0.211) \| (0.162) \| (0.031) \| (0.584) \| \| \| \| Ln(GDP per person) squared \| -0.100* \| -0.0853* \| -0.0661 \| -0.0661 \| \| \| \| (0.019) \| (0.010) \| (0.023) \| (0.023) \| \| \| \| \| Ln(Country size) squared \| 0.0173* \| 0.0124* \| 0.0111* \| 0.0116* \| \| \| \| (0.002) \| (0.001) \| (0.001) \| (0.001) \| \| \| \| \| Ln(GDP per person) * \| -0.0454* \| -0.0185* \| -0.0172* \| -0.0186* \| \| \| \| Ln(Country size) \| (0.011) \| (0.004) \| (0.004) \| (0.004) \| \| \| \| Ln(GDP per person) * \| -0.118* \| -0.130* \| \| \| \| \| \| Ln(% urban) \| (0.027) \| (0.024) \| \| \| \| \| \| Ln(Country size) * \| 0.0966* \| 0.0642* \| \| \| \| \| \| Ln(% urban) \| (0.015) \| (0.010) \| \| \| \| \| \| \| \| \| \| Ln(No of hospital beds) \| Ln(No of doctors) \| Ln(Infant mortality rate) \| \|--------------------------------\|-----------\|-----------\|-----------\|---------------------------\|---------------------\|-----------------------------\| \| Variables \| (1) \| (2) \| (3) \| (4) \| (5) \| (6) \| \| Ln(% arid) \| 0.0627* \| 0.0462* \| \| \| \| \| \| (0.011) \| (0.007) \| \| \| \| \| \| \| Ln(% very steep land) \| 0.0306* \| 0.0244* \| \| \| \| \| \| (0.005) \| (0.006) \| \| \| \| \| \| \| Ln(Temperature - pop) \| -1.275* \| -10.13* \| -1.512* \| -7.442* \| 0.954* \| 0.345 \| \| (0.084) \| (1.416) \| (0.173) \| (1.432) \| (0.142) \| (0.216) \| \| \| Ln(Precipitation - pop) \| -0.275* \| -0.357* \| -0.244* \| 0.054 \| \| \| \| (0.079) \| (0.040) \| (0.031) \| (0.047) \| \| \| \| \| Ln(Temp range - pop) \| 0.011 \| -0.037 \| 0.263* \| 0.203* \| \| \| \| (0.102) \| (0.044) \| (0.052) \| (0.053) \| \| \| \| \| Ln(Precip range - pop) \| 0.168* \| 0.0722* \| -0.102* \| \| \| \| \| (0.080) \| (0.035) \| (0.049) \| \| \| \| \| \| Ln(Temperature - ipop) \| 0.102 \| -0.276* \| -5.061* \| -0.262* \| -0.208*** \| \| \| (0.110) \| (0.113) \| (1.114) \| (0.049) \| (0.047) \| \| \| \| Ln(Precipitation - ipop) \| 0.164* \| 0.0756*** \| -0.0824* \| 0.0911 \| 0.0622 \| \| \| (0.079) \| (0.021) \| (0.039) \| (0.034) \| (0.020) \| \| \| \| Ln(Precip range - ipop) \| -0.039 \| 0.104** \| -0.028 \| \| \| \| \| (0.058) \| (0.037) \| (0.044) \| \| \| \| \| \| Ln(% urban) * \| -0.463** \| \| \| \| \| \| \| Ln(Temperature - pop) \| (0.139) \| \| \| \| \| \| \| Ln(GDP per person) * \| 1.022* \| 0.709* \| \| \| \| \| \| Ln(Temperature - pop) \| (0.159) \| (0.162) \| \| \| \| \| \| Ln(GDP per person) * \| 0.536* \| \| \| \| \| \| \| Ln(Temperature - ipop) \| (0.125) \| \| \| \| \| \| \| Model \| POLS \| POLS \| POLS \| POLS \| POLS \| POLS \| \| Observations \| 1852 \| 1852 \| 2650 \| 2650 \| 2486 \| 2486 \| \| Number of countries \| 177 \| 177 \| 180 \| 180 \| 177 \| 177 \| \| R-squared \| 0.936 \| 0.939 \| 0.950 \| 0.955 \| 0.917 \| 0.917 \| \| Log-likelihood \| \| \| \| \| \| \| \| DF \| 22 \| 17 \| 25 \| 23 \| 24 \| 22 \| \| No of censored obs \| \| \| \| \| \| \| \| P-value for all climate vari- \| \| \| \| \| \| \| \| ables = 0 \| \| \| \| \| \| \| \| 0.000 \| 0.000 \| 0.000 \| \| \| \| \| \| P-value for pop climate vari- \| \| \| \| \| \| \| \| ables = 0 \| \| \| \| \| \| \| \| 0.000 \| 0.000 \| 0.000 \| \| \| \| \| \| P-value for ipop climate vari- \| \| \| \| \| \| \| \| ables = 0 \| \| \| \| \| \| \| \| 0.000 \| 0.000 \| 0.000 \| \| \| \| \| Note: Standard errors are shown in brackets underneath the relevant coefficients with * p < 0.001, ** p < 0.01, * p < 0.05. In addition to the variables shown, all of the equations include the following explanatory variables: ln(birthrate 1950), ln(infant mortality 1950) and dummy variables for World Bank regions. Source: Authors' estimates. Again, the hypothesis that climate variables have no effect on either health inputs or health outcomes is consistently rejected at very high confidence levels. Hospital beds—Population-weighted temperature a. on its own and interacted with GDP per person plus inverse population-weighted precipitation are the key variables in this case. The overall coeffi- cient (elasticity) on mean temperature increases— from -3.07 for a low-income country with a GDP per person of $1,000, to -0.72 for a middle- income country with a GDP of $10,000 per person, and to +0.70 for a high-income country with a GDP of $40,000 per person. Thus, it is easy to be misled by simple assumptions about how climate "ought" to affect investment in healthcare facilities that are based on experience in a narrow range of countries. The coefficient on precipitation is positive but quite small. It is possible that this reflects an increased need for dispersed hospital facilities when communications are subject to disruption caused by high rainfall. Doctors —The results for the number of doctors b. are similar to those for hospital beds, but the influence of temperature is divided between popu- lation and inverse population-weight variables. This seems reasonable since hospitals are invari- ably located in urban areas, whereas doctors may be more dispersed, though this is not the case in the poorest countries. Again, the interactions with GDP per person mean that the overall coefficients switch from negative to positive at a GDP per person of $12,600 for inverse population-weighted temperature, and at a GDP per person of $36,200 \| \| \| \| Ln(No of teachers) \| Ln(No of post offices) \| \|----------------------\|----------\|----------\|----------------------\|--------------------------\| \| Variables \| (1) \| (2) \| (3) \| (4) \| \| Ln(Population 0-14) \| 0.360* \| 0.397* \| 0.276* \| 0.366* \| \| (0.062) \| (0.074) \| (0.065) \| (0.060) \| \| \| Ln(Population 15-64) \| 0.670* \| 0.544* \| 0.363* \| 0.048 \| \| (0.115) \| (0.132) \| (0.099) \| (0.091) \| \| for population-weighted temperature. How this works out country-by-country depends upon the temperature distribution across heavily and thinly populated areas. In this case, the coefficient on precipitation is negative and is linked to the popu- lation-weighted variable. Infant-mortality—This is influenced by tempera- c. ture, including an interaction with urbanization plus temperature range and inverse population- weighted precipitation. The signs of the coeffi- cients on temperature can be misinterpreted. Assuming that temperature increases (or decreases) uniformly throughout a country, the net coefficient on temperature is +0.88 for a country with an urbanization rate of 20 percent, but +0.24 for a country with an urbanization rate of 80 percent. Hence, an increase in mean temperature is likely to increase infant mortality, but by more in low-income countries with low levels of urban- ization than in middle- and high-income coun- tries with higher levels of urbanization. These results conform with a priori expectations. In addition, a higher temperature range and higher precipitation in rural areas tend to increase infant mortality, both of which seem reasonable. Social infrastructure. The number of teachers is used as the indicator for investment in schools, while the number of post offices is used as one indicator for municipal infrastructure. The equations are shown in Table 8. As one would expect, one cannot reject the hypothesis that the inverse population-weighted climate variables have no effect on the number of post offices, which are concentrated in areas of greater population \| \| \| \| Ln(No of teachers) \| Ln(No of post offices) \| \|----------------------------\|------------\|------------\|----------------------\|--------------------------\| \| Variables \| (1) \| (2) \| (3) \| (4) \| \| Ln(Population 65+) \| -0.059 \| 0.029 \| 0.231* \| 0.445* \| \| (0.042) \| (0.048) \| (0.032) \| (0.030) \| \| \| Ln(Population) \| \| \| \| \| \| Ln(GDP per person) \| 0.0878* \| 0.0851* \| 1.977* \| -1.124 \| \| (0.022) \| (0.020) \| (0.155) \| (0.403) \| \| \| Ln(Country size) \| -0.188* \| -0.111* \| -0.0338* \| -0.018 \| \| (0.011) \| (0.014) \| (0.010) \| (0.011) \| \| \| Ln(% urban) \| -0.404* \| -3.032* \| -2.066* \| -2.178* \| \| (0.064) \| (0.429) \| (0.097) \| (0.078) \| \| \| Ln(GDP per person) squared \| -0.107* \| -0.109* \| \| \| \| (0.009) \| (0.009) \| \| \| \| \| Ln(Country size) squared \| 0.00308*** \| 0.00191* \| 0.0139* \| 0.0133* \| \| (0.001) \| (0.001) \| (0.001) \| (0.001) \| \| \| Ln(% urban) squared \| -0.222* \| -0.185* \| -0.641* \| -0.701* \| \| (0.023) \| (0.025) \| (0.031) \| (0.027) \| \| \| Ln(GDP per person) * \| 0.0170* \| 0.0114* \| \| \| \| Ln(Country size) \| (0.001) \| (0.002) \| \| \| \| Ln(Country size) * \| 0.0861* \| 0.0729* \| \| \| \| Ln(% urban) \| (0.011) \| (0.011) \| \| \| \| Ln(% desert) \| 0.0318* \| 0.013 \| \| \| \| (0.007) \| (0.007) \| \| \| \| \| Ln(% arid) \| -0.121* \| -0.0989* \| \| \| \| (0.006) \| (0.005) \| \| \| \| \| Ln(% semi-arid) \| 0.0423* \| 0.0489* \| \| \| \| (0.006) \| (0.007) \| \| \| \| \| Ln(% steep land) \| -0.0549* \| -0.0488* \| \| \| \| (0.012) \| (0.013) \| \| \| \| \| Ln(% very steep land) \| 0.0167* \| 0.00934* \| 0.0827* \| 0.0667* \| \| (0.003) \| (0.003) \| (0.006) \| (0.010) \| \| \| Ln(% no soil constraint) \| 0.0532* \| 0.0314* \| \| \| \| (0.003) \| (0.007) \| \| \| \| \| Ln(Temperature - pop) \| -0.923* \| -0.694* \| -2.167* \| -10.35* \| \| (0.071) \| (0.084) \| (0.119) \| (0.859) \| \| \| Ln(Precipitation - pop) \| -0.130* \| -0.289* \| -0.173 \| 0.650* \| \| (0.027) \| (0.017) \| (0.059) \| (0.084) \| \| \| Ln(Temp range - pop) \| -0.277* \| -0.217* \| -0.518* \| -0.537* \| \| (0.017) \| (0.026) \| (0.066) \| (0.047) \| \| \| \| \| \| Ln(No of teachers) \| Ln(No of post offices) \| \|----------------------------------------\|-----------\|-----------\|----------------------\|--------------------------\| \| Variables \| (1) \| (2) \| (3) \| (4) \| \| Ln(Precip range - pop) \| -0.125* \| 0.0871* \| -0.058 \| \| \| (0.014) \| (0.014) \| (0.052) \| \| \| \| Ln(Temperature - ipop) \| 0.222* \| 0.751*** \| -0.110 \| \| \| (0.046) \| (0.056) \| (0.178) \| \| \| \| Ln(Precipitation - ipop) \| 0.041 \| -0.0824* \| \| \| \| (0.028) \| (0.038) \| \| \| \| \| Ln(Precip range - ipop) \| -0.022 \| 0.068 \| \| \| \| (0.031) \| (0.046) \| \| \| \| \| Ln(% urban) * \| -0.444*** \| \| \| \| \| Ln(Precipitation - pop) \| (0.043) \| \| \| \| \| Ln(% urban) * \| 0.485*** \| \| \| \| \| Ln(Precip range - pop) \| (0.036) \| \| \| \| \| Ln(% urban) * \| 0.825*** \| \| \| \| \| Ln(Temperature - ipop) \| (0.045) \| \| \| \| \| Ln(GDP per person) * \| 0.931*** \| \| \| \| \| Ln(Temperature - pop) \| (0.112) \| \| \| \| \| Ln(GDP per person) * \| -0.100* \| \| \| \| \| Ln(Precipitation - pop) \| (0.007) \| \| \| \| \| Model \| POLS \| POLS \| POLS \| POLS \| \| Observations \| 950 \| 950 \| 3251 \| 3251 \| \| Number of countries \| 167 \| 167 \| 173 \| 173 \| \| R-squared \| 0.979 \| 0.982 \| 0.909 \| 0.911 \| \| Log-likelihood \| \| \| \| \| \| DF \| 25 \| 26 \| 29 \| 27 \| \| No of censored obs \| \| \| \| \| \| P-value for all climate variables = 0 \| 0.000 \| 0.000 \| \| \| \| P-value for pop climate variables = 0 \| 0.000 \| 0.000 \| \| \| \| P-value for ipop climate variables = 0 \| 0.000 \| 0.065 \| \| \| Note: Standard errors are shown in brackets underneath the relevant coefficients with * p < 0.001, ** p < 0.01, * p < 0.05. In addition to the variables shown, all of the equations include the following explanatory variables: ln(birthrate 1950), ln(infant mortality 1950) and dummy variables for World Bank regions. Source: Authors' estimates. density. Otherwise the results show a mixture of climate interactions with urbanization for the number of teachers and with GDP per person for post offices. Focusing again on mean temperature in the equation for the number of teachers, the overall coefficients for a uniform increase in temperature are -0.55 for an urbanization rate of 20 percent and -0.02 for an urbanization rate of 80 percent, so the effect of climate on teachers is much larger in low-income and rural countries. This is consistent with the well-established difficulty of equipping and staffing rural schools. Of course, low-income countries today are likely to be much more urban in 2050, so that the cumulative impact of an increase in temperature on the number of teachers will be small even in these cases. Household size. In several cases, the amount of infrastructure is linked to the projected number of households, so it is necessary to rely upon equations that project the average household size in urban and rural areas. These are shown in Table 9. It seems that climate does affect average household sizes. The primary mechanism is that higher temperatures are associated with larger average sizes for both urban and rural households. There is also a significant but quantitatively small impact of precipitation on rural household size. ## 6. Calculating The Cost Of Adaptation The calculation of the cost of adaptation involves a number of steps. The description that follows focuses on investment or capital costs. A similar process is required to estimate changes in the costs of operation and maintenance, both for the baseline level of infrastructure and for changes in infrastructure resulting from changes in climate conditions.19 attempt is made to allow for within-period changes in variables. Some of the demographic variables (urbanization and population age structure) used in the projection equations are based on period averages. Step 1—Construct baseline projections of infrastructure investment. The projection equations discussed in the previous section are used to construct baseline projec- tions of the efficient stock of infrastructure assets for periods from 2010 to 2050 under the assumption of no climate change. The projections of physical infrastruc- ture demand are based upon standard assumptions about income and population growth, population struc- ture, and urbanization. The value of new investment required for infrastructure type i for country j in period t is obtained by multiplying ΔQijt = Qijt+1 - Qijt by Cij, the unit cost of infrastructure type i in country j at 2005 prices. The unit costs have been compiled from a large variety of World Bank and other sources. A stan- dardized construction cost index has been used to allow for broad cross-country differences in construction costs, but allowances are also made for location (urban or rural) and other special factors. In addition to new investment, we have estimated the amount of invest- ment that would be required to replace infrastructure assets that reach the end of their economic life. There is no realistic way of modeling the age structure of assets in situ at the beginning of the analysis. Implementing a full vintage model of infrastructure is not sensible given the uncertainty about other parame- ters in the model. Hence, we have adopted a continu- ous depreciation assumption—that is, in period t the required replacement investment is (5/Li)Qijt where Li is the typical economic life of infrastructure of type i. Step 2—Add alternative climate scenarios. The data used for the baseline projections is supplemented with projections of the climate variables taken from the climate scenarios that are being used for the whole EACC study. These are constructed as deltas at differ- ent dates with respect to the no-climate-change base- line derived from calculations of monthly average, maximum, and minimum temperatures and precipita- tion. To avoid instability in the projections arising from path-dependency and other effects, the climate variables for 2010 are 20-year averages centered on 2010. These are computed for 2010, 2030, … and then interpolated to give the projections for the 5-year periods. Step 3—Project infrastructure quantities under the alterna- tive climate scenarios. This is similar to the projection of baseline infrastructure quantities in Step 1, but using the climate variables for the alternative climate scenarios. \| \| \| \| Ln(Urban household size) \| Ln(Rural household size) \| \|----------------------------\|------------\|------------\|----------------------------\|----------------------------\| \| Variables \| (1) \| (2) \| (3) \| (4) \| \| Ln(Population 0-14) \| 0.295 \| 0.353* \| 0.285* \| 0.304* \| \| (0.051) \| (0.044) \| (0.047) \| (0.031) \| \| \| Ln(Population 15-64) \| -0.247 \| -0.357** \| -0.208 \| -0.258* \| \| (0.132) \| (0.120) \| (0.113) \| (0.109) \| \| \| Ln(Population 65+) \| -0.119 \| -0.073 \| -0.120 \| -0.089 \| \| (0.099) \| (0.094) \| (0.084) \| (0.096) \| \| \| Ln(GDP per person) \| -0.038 \| -0.028 \| 0.521* \| 0.373 \| \| (0.028) \| (0.027) \| (0.150) \| (0.112) \| \| \| Ln(Country size) \| 0.0254* \| 0.0303* \| 0.0897* \| 0.0798 \| \| (0.011) \| (0.012) \| (0.022) \| (0.025) \| \| \| Ln(% urban) \| 0.109 \| 0.119 \| 0.017 \| 0.044 \| \| (0.034) \| (0.036) \| (0.026) \| (0.023) \| \| \| Ln(GDP per person) squared \| -0.0292** \| -0.0200* \| \| \| \| (0.009) \| (0.008) \| \| \| \| \| Ln(GDP per person) * \| -0.0112* \| -0.0107* \| \| \| \| Ln(Country size) \| (0.002) \| (0.003) \| \| \| \| Ln(% desert) \| -0.0196* \| -0.0212* \| \| \| \| (0.003) \| (0.003) \| \| \| \| \| Ln(% arid) \| 0.0152* \| 0.0195* \| \| \| \| (0.004) \| (0.004) \| \| \| \| \| Ln(% semi-arid) \| 0.0217* \| 0.0248* \| \| \| \| (0.003) \| (0.004) \| \| \| \| \| Ln(Temperature - pop) \| 0.859* \| 0.777* \| 0.844* \| 0.718* \| \| (0.140) \| (0.138) \| (0.178) \| (0.111) \| \| \| Ln(Precipitation - pop) \| -0.118* \| -0.118* \| -0.119* \| \| \| (0.047) \| (0.053) \| (0.025) \| \| \| \| Ln(Temp range - pop) \| 0.054 \| 0.156 \| \| \| \| (0.079) \| (0.080) \| \| \| \| \| Ln(Precip range - pop) \| 0.109 \| 0.039 \| \| \| \| (0.066) \| (0.064) \| \| \| \| \| Ln(Temperature - ipop) \| -0.166 \| -0.177* \| 0.057 \| \| \| (0.063) \| (0.047) \| (0.043) \| \| \| \| Ln(Precipitation - ipop) \| 0.0785* \| 0.0795* \| 0.0296 \| \| \| (0.016) \| (0.022) \| (0.010) \| \| \| \| Ln(Precip range - ipop) \| -0.0827* \| -0.0496 \| \| \| \| (0.019) \| (0.018) \| \| \| \| \| Model \| POLS \| POLS \| POLS \| POLS \| \| Observations \| 322 \| 322 \| 254 \| 254 \| \|----------------------------------------\|---------\|---------\|---------\|---------\| \| Number of countries \| 126 \| 126 \| 112 \| 112 \| \| R-squared \| 0.991 \| 0.991 \| 0.996 \| 0.996 \| \| Log-likelihood \| \| \| \| \| \| DF \| 20 \| 15 \| 25 \| 21 \| \| No of censored obs \| \| \| \| \| \| P-value for all climate variables = 0 \| 0 \| 0 \| \| \| \| P-value for pop climate variables = 0 \| 0 \| 0 \| \| \| \| P-value for ipop climate variables = 0 \| 0 \| 0.001 \| \| \| Note: Standard errors are shown in brackets underneath the relevant coefficients with * p < 0.001, p < 0.01, * p < 0.05. In addition to the variables shown, all of the equations include the following explanatory variables: ln(birthrate 1950), ln(infant mortality 1950) and dummy variables for World Bank regions. Source: Authors' estimates. Variant 2 b. assumes that the asset is designed to withstand the worst conditions that it might be exposed to over its life—that is: $$\Delta C_{ijt}=d[\max(V_{jt},...,V_{j,t+L_{j}})]C_{ij}\tag{10}$$ on the assumption that the severity of storms increases monotonically with the relevant climate variable(s) V. Step 4—Apply the dose-response relationship to estimate changes in unit costs for alternative climate scenarios. We calculate the changes in unit costs for infrastructure type i in country j for period t, ΔCijt, using the climate change deltas for the alternative climate scenarios and the dose-response relationships discussed in Appendix 1. There is a complication that has to be considered. This concerns the question of whether the design standards used for infrastructure are—or should be—forward looking. Normal engineering practice does not take account of changes in underlying climate conditions. Thus, in designing for a 100-year storm, the engineer looks at the characteristics of the 100-year storm on the basis of evidence of storms up to the current date. Clearly, this does not allow for changes in the severity of the 100-year storm that might be expected to occur over the life of the asset. There are two possible approaches that can be adopted. Variant 1 a. assumes that the dose-response adjustment to unit costs is calculated using current climate conditions—that is: $$\Delta C_{i j i}=d[V_{j i}]C_{i j}$$ The difficulty with Variant 2 is that it implies that the asset is significantly overdesigned for most of its work- ing life because it will only be exposed to the most severe weather conditions at the very end of its life. In economic terms, Variant 2 is not the optimal solution and it would be sensible to design for the 100-year storm consistent with the expected climate at some earlier date. There is no general solution, since the optimal period to look ahead depends upon both the expected increase in the severity of storms over the future and the shape of the dose-response relationship. For consistency with the analysis of coastal protection, we have modified Variant 2 to look ahead for a fixed period of 50 years. (9) where d[ ] is the dose-response relationship. Step 5—Estimate the change in total investment costs for the baseline projections. This yields the Delta-P estimates of the cost of adaptation for each climate scenario with two variants corresponding to the alternatives at Step 4 above. Step 6—Estimate the change in investment costs due to the difference between the baseline infrastructure quantities and the alternative climate scenario quantities. This yields the Delta-Q estimates of the cost of adaptation for each climate scenario. Step 7—Special adjustments. We have incorporated some special factors in the calculation of the costs of adapting to climate change that could not be represented by the general dose-response relationships. These are: For electricity generation, we have taken account a. of the decrease in the operating efficiency of existing thermal power plants as the ambient temperature increases. The effect is documented in the literature for ambient temperatures above 15°C, though it is possible to design new power plants to include absorption chillers to bring the ambient temperature of the air entering turbines down to 15°C for a relatively minor penalty on operating costs. $$\Delta Q_{ijt}+\Delta R_{ijt}\,\big]\,\big[$$ A and b are equal. Another special factor for electricity generation b. concerns the efficiency and feasibility of water cooling as temperatures increase, because of limits on the temperature rise that can be permitted in the receiving waters. Dry cooling can be adopted either in parallel with wet cooling or as an alternative in particularly hot or dry locations. The model assumes that an increasing proportion of power plants will rely upon dry cooling as average temperatures rise. The operating costs of water treatment plants may c. increase as a result of climate change. Primary attention has focused on the amount of chemicals used for flocculation if the levels of turbidity and suspended solids in raw water rise. This is likely to be associated with changes in levels of peak flow in rivers from which water is abstracted, so the model allows for cost of chemicals to increase pro rata with maximum monthly precipitation. Changes in temperature affect the rate at which d. oxygen levels recover in rivers to which the efflu- ent is discharged from waste water treatment plants. Thus, a higher level of BOD removal is required to maintain the quality of receiving waters. This implies higher consumption of elec- tricity or use of chemicals at treatment plants. The increase in O&M costs is linked to the increase in average temperatures and is incorpo- rated in our estimates of the cost of adaptation. These steps are followed in deriving the estimates of ΔCijt used in calculating the Delta-P costs of adapta- tion in the first part of equation (2): $$\Delta I_{j i}[1]=\sum_{i}\Delta C_{i j i}[Q_{i j i+1}-Q_{j i i}+R_{i j i}\,]\qquad\qquad(11)$$ with the Qijt, etc. given by the baseline projections of infrastructure investment. The Delta-Q costs of adaptation are defined by: $$\Delta I_{ji}[2]=\sum_{i}(C_{ji}+\Delta C_{ji})[\Delta Q_{ji+1}-\tag{12}$$ in which ΔQijt are obtained from the changes in the baseline investments associated with the alternative climate scenarios. Equation (12) yields engineering estimates of the Delta-Q costs, which reflect an assumption that coun- tries will respond to climate change by building more or less infrastructure. However, it should be noted that more cost-effective options may be available. In another paper, we examine one of these options in more detail for the water sector (Hughes, Chinowsky, and Strzepek 2010). We show that the welfare cost of using water abstraction fees to limit increases in demand for water may be lower than the cost of building additional capacity for water and wastewater treatment. Our results demonstrate that this economic approach can reduce the cost of adaptation in the water sector by a substantial amount relative to the engineering approach of building more infrastructure assets in response to an ## Increase In Demand For Water. 7. Estimates Of The Costs Of Adaptation There is an obvious instrument—water abstraction fees—available in the water sector. Similar policies could be followed for some other types of infrastructure—for example, energy and transport. As a consequence, the estimates of the Delta-Q costs of adaptation will tend to overstate the economic costs of adaptation in countries that face an increase in demand for infrastructure as a consequence of climate change. Since the effect is one-sided—that is, an economic approach can reduce costs when the demand for infrastructure increases, but would not be required when the demand for infrastructure decreases—it is safe to conclude that the engineering estimates of the Delta-Q costs of adaptation presented in the next section represent an upper bound on the costs of following a cost-effective strategy of adaptation. Our estimates of the costs of adaptation for electricity and water services are shown in Tables 10 to 14. To facilitate comparisons all figures in the tables are presented as average costs per year at 2005 prices over the relevant period—that is, for 2010–50 as a whole or for each decade—with no discounting. Figures are rounded to the nearest $1 billion per year to avoid any impression of spurious accuracy. As a consequence, sums of the separate numbers may differ from the rele- vant totals due to rounding. The Delta-P increases in investment, O&M, and total costs for the two climate scenarios are shown by infrastructure category and country class in Table 10. The baseline costs without any climate change are shown as a point of reference. In all cases, the costs of adaptation are substantially \| NCAR scenario \| Cost type \| Low income \| \|------------------------\|--------------\|--------------\| \| Lower middle \| \| \| \| income \| \| \| \| Upper middle \| \| \| \| income \| High income \| Total \| \| 1. Power & telephones \| Capital cost \| 0 \| \| O&M cost \| 0 \| 0 \| \| Total cost \| 0 \| 1 \| \| Baseline cost \| 132 \| 173 \| \| 2. Water & sewers \| Capital cost \| 0 \| \| O&M cost \| 0 \| 0 \| \| Total cost \| 0 \| 0 \| \| Baseline cost \| 119 \| 154 \| \| 3. Roads \| Capital cost \| 3 \| \| O&M cost \| 0 \| 0 \| \| Total cost \| 3 \| 2 \| \| Baseline cost \| 67 \| 56 \| \| 4. Other transport \| Capital cost \| 0 \| \| O&M cost \| 0 \| 0 \| \| Total cost \| 0 \| 0 \| \| Baseline cost \| 8 \| 18 \| \| 5. Health & schools \| Capital cost \| 0 \| \| O&M cost \| 0 \| 0 \| \| Total cost \| 0 \| 1 \| \| Baseline cost \| 36 \| 121 \| \| ( \| continued \| ) \| \| NCAR scenario \| Cost type \| Low income \| \|--------------------------\|--------------\|--------------\| \| Lower middle \| \| \| \| income \| \| \| \| Upper middle \| \| \| \| income \| High income \| Total \| \| 6. Urban infrastructure \| Capital cost \| 8 \| \| O&M cost \| 0 \| 0 \| \| Total cost \| 8 \| 6 \| \| Baseline cost \| 287 \| 219 \| \| Total \| Capital cost \| 11 \| \| O&M cost \| 0 \| 0 \| \| Total cost \| 11 \| 9 \| \| Baseline cost \| 649 \| 740 \| \| CSIRO scenario \| \| \| \| 1. Power & telephones \| Capital cost \| 0 \| \| O&M cost \| 0 \| 0 \| \| Total cost \| 0 \| 0 \| \| Baseline cost \| 132 \| 173 \| \| 2. Water & sewers \| Capital cost \| 0 \| \| O&M cost \| 0 \| 0 \| \| Total cost \| 0 \| 0 \| \| Baseline cost \| 119 \| 154 \| \| 3. Roads \| Capital cost \| 1 \| \| O&M cost \| 0 \| 0 \| \| Total cost \| 1 \| 1 \| \| Baseline cost \| 67 \| 56 \| \| 4. Other transport \| Capital cost \| 0 \| \| O&M cost \| 0 \| 0 \| \| Total cost \| 0 \| 0 \| \| Baseline cost \| 8 \| 18 \| \| 5. Health & schools \| Capital cost \| 0 \| \| O&M cost \| 0 \| 0 \| \| Total cost \| 0 \| 0 \| \| Baseline cost \| 36 \| 121 \| \| 6. Urban infrastructure \| Capital cost \| 4 \| \| O&M cost \| 0 \| 0 \| \| Total cost \| 4 \| 2 \| \| Baseline cost \| 287 \| 219 \| \| Total \| Capital cost \| 5 \| \| O&M cost \| 0 \| 0 \| \| Total cost \| 5 \| 4 \| \| Baseline cost \| 649 \| 740 \| Source: Authors' estimates higher for the NCAR scenario than for the CSIRO scenario, so we will focus on the NCAR figures. The total Delta-P cost of adaptation over 40 years is about 1 percent of the baseline cost for all countries. The ratio of adaptation costs to baseline costs is highest for lowincome countries at about 1.7 percent and is lowest for high-income countries. the low-income countries, the costs of adaptation are highest for East Asia (EAP) and for South Asia (SAS), reflecting their populations and aggregate income. The costs for Europe and Central Asia (ECA) are higher than might have been anticipated, but this reflects the initial level of infrastructure leading to relatively high O&M costs. Sub-Saharan Africa (SSA) has the high- est ratio of adaptation costs to baseline costs at 2.3 percent. Broken down by infrastructure category and region, the heaviest burden of adaptation is for other NCAR scenario Cost type EAP ECA LCA MNA SAS SSA Total 1. Power & telephones Capital cost 0 0 0 0 0 0 1 O&M cost 0 0 0 0 0 0 0 Total cost 0 0 0 0 0 0 1 Baseline cost 137 75 41 24 79 41 397 2. Water & sewers Capital cost 0 0 0 0 0 0 0 O&M cost 0 0 0 0 0 0 0 Total cost 0 0 0 0 0 0 1 Baseline cost 115 71 54 25 81 22 368 3. Roads Capital cost 1 0 1 0 2 1 5 O&M cost 0 0 0 0 0 0 0 Total cost 1 0 1 0 2 1 5 Baseline cost 36 37 31 13 44 23 183 4. Other transport Capital cost 0 1 0 0 0 0 1 O&M cost 0 3 0 0 0 0 4 Total cost 0 4 0 0 0 0 5 Baseline cost 16 80 6 2 4 4 111 5. Health & schools Capital cost 1 0 0 0 0 0 1 O&M cost 0 0 0 0 0 0 0 Total cost 1 0 0 0 0 0 1 Baseline cost 93 49 52 20 25 9 249 6. Urban infrastructure Capital cost 5 1 2 0 5 2 15 O&M cost 0 0 0 0 0 0 0 NCAR scenario Cost type EAP ECA LCA MNA SAS SSA Total Total cost 5 1 2 0 5 2 15 Baseline cost 163 159 78 32 252 31 714 Total Capital cost 8 2 3 1 8 3 24 O&M cost 0 3 0 0 0 0 4 Total cost 8 5 3 1 8 3 28 Baseline cost 560 470 262 116 485 130 2,023 CSIRO scenario 1. Power & telephones Capital cost 0 0 0 0 0 0 1 O&M cost 0 0 0 0 0 0 0 Total cost 0 0 0 0 0 0 1 Baseline cost 137 75 41 24 79 41 397 2. Water & sewers Capital cost 0 0 0 0 0 0 0 O&M cost 0 0 0 0 0 0 0 Total cost 0 0 0 0 0 0 0 Baseline cost 115 71 54 25 81 22 368 3. Roads Capital cost 0 0 0 0 1 0 2 O&M cost 0 0 0 0 0 0 0 Total cost 0 0 0 0 1 0 2 Baseline cost 36 37 31 13 44 23 183 4. Other transport Capital cost 0 0 0 0 0 0 0 O&M cost 0 2 0 0 0 0 2 Total cost 0 2 0 0 0 0 3 Baseline cost 16 80 6 2 4 4 111 5. Health & schools Capital cost 0 0 0 0 0 0 1 O&M cost 0 0 0 0 0 0 0 Total cost 0 0 0 0 0 0 1 Baseline cost 93 49 52 20 25 9 249 6. Urban infrastructure Capital cost 2 1 1 0 3 1 7 O&M cost 0 0 0 0 0 0 0 Total cost 2 1 1 0 3 1 7 CSIRO scenario NCAR scenario Cost type EAP ECA LCA MNA SAS SSA Total Baseline cost 163 159 78 32 252 31 714 Total Capital cost 3 1 1 0 4 1 11 O&M cost 0 2 0 0 0 0 3 Total cost 3 3 1 1 4 1 14 Baseline cost 560 470 262 116 485 130 2,023 Source: Authors' estimates. transport in the ECA region, largely because of the high level of O&M costs. This is followed by roads in South Asia, but in both cases the cost of adaptation is little more than 5 percent of baseline costs. Table 12 shows the breakdown of the Delta-P costs of adaptation for all infrastructure by decade. The relative cost of adaptation increases gradually from about 1 percent of baseline costs for 2010–19 to about 1.6 percent for 2040–49. One component of this increase is the rise in O&M costs in the ECA region, which has already been highlighted, but even for all regions other than ECA there is an increase from about 1.2 percent of baseline costs in the first decade to 1.6 percent in the final decade. Tables 13 and 14 give details of the costs of adaptation by infrastructure category and country class or region when the definition of the cost of adaptation is extended to include both the Delta-P and the Delta-Q components in the analysis. Recall that the Delta-Q costs are driven by the increase or decrease in the demand for infrastructure associated with the projected changes in climate. Table 13 shows that the Delta-Q changes are negative for the world as a whole in both scenarios. This means that total expenditure on infra- structure will fall as a consequence of climate change, though more investment may be required in some coun- tries and some sectors. However, the fall in total expen- diture is most important for high-income countries, so that the overall scale of the Delta-Q adjustments for developing countries is similar to that of the Delta-P NCAR scenario Cost type EAP ECA LCA MNA SAS SSA Total 2010-19 Capital cost 5 2 1 1 4 1 13 O&M cost 0 0 0 0 0 0 1 Total cost 5 2 1 1 4 1 14 Baseline cost 417 395 197 77 273 79 1,438 2020-29 Capital cost 7 2 2 1 6 2 21 O&M cost 0 2 0 0 0 0 3 Total cost 7 5 2 1 7 2 24 Baseline cost 505 452 238 101 396 109 1,801 NCAR scenario Cost type EAP ECA LCA MNA SAS SSA Total 2030-39 Capital cost 9 2 3 1 9 3 27 O&M cost 0 5 0 0 0 0 6 Total cost 9 7 3 1 9 3 33 Baseline cost 608 497 283 127 550 146 2,213 2040-49 Capital cost 11 2 4 1 11 5 34 O&M cost 0 6 0 0 0 0 7 Total cost 11 8 4 1 12 5 41 Baseline cost 710 538 330 156 719 187 2,641 CSIRO scenario 2010-19 Capital cost 3 1 1 0 1 0 6 O&M cost 0 0 0 0 0 0 1 Total cost 3 1 1 0 1 1 7 Baseline cost 417 395 197 77 273 79 1,438 2020-29 Capital cost 3 1 1 0 2 1 7 O&M cost 0 1 0 0 0 0 2 Total cost 3 2 1 1 2 1 9 Baseline cost 505 452 238 101 396 109 1,801 2030-39 Capital cost 3 1 1 0 4 1 12 O&M cost 0 3 0 0 0 0 4 Total cost 4 4 1 1 4 1 15 Baseline cost 608 497 283 127 550 146 2,213 2040-49 Capital cost 4 2 1 1 8 2 19 O&M cost 0 3 0 0 0 0 4 Total cost 4 6 2 1 8 2 23 Baseline cost 710 538 330 156 719 187 2,641 Source: Authors' estimates. costs. This is illustrated in the breakdown of adaptation costs by World Bank region in Table 14, which shows that the sum of Delta-P and Delta-Q costs of adaptation is close to zero for all developing countries. The net costs of adaptation per year over the full period vary from a negative cost (that is, a saving) of $7 billion per year for East Asia to a positive cost of $2 billion per year for the Middle East and North Africa (MNA). The striking feature of the results—taking account of both Delta-P and Delta-Q costs of adaptation—is how small the overall costs of adaptation are relative to the baseline costs. The impact of climate change is far from evenly distributed, but even in the worst-affected region—MNA—the net cost is little more than 2 percent of baseline expenditures. Thus, in practice the cost of adaptation for infrastructure is well within all of the margins of error inherent in this type of exercise. \| NCAR scenario \| Cost type \| Low income \| \|--------------------------\|-------------\|--------------\| \| Lower middle \| \| \| \| income \| \| \| \| Upper middle \| \| \| \| income \| \| \| \| High income \| Total \| \| \| 1. Power & telephones \| Delta-P \| 0 \| \| Delta-Q \| -4 \| -2 \| \| Delta-P+Delta-Q \| -4 \| -2 \| \| Baseline cost \| 132 \| 173 \| \| 2. Water & sewers \| Delta-P \| 0 \| \| Delta-Q \| -5 \| 1 \| \| Delta-P+Delta-Q \| -5 \| 1 \| \| Baseline cost \| 119 \| 154 \| \| 3. Roads \| Delta-P \| 3 \| \| Delta-Q \| 0 \| -2 \| \| Delta-P+Delta-Q \| 3 \| 0 \| \| Baseline cost \| 67 \| 56 \| \| 4. Other transport \| Delta-P \| 0 \| \| Delta-Q \| 0 \| 0 \| \| Delta-P+Delta-Q \| 0 \| 0 \| \| Baseline cost \| 8 \| 18 \| \| 5. Health & schools \| Delta-P \| 0 \| \| Delta-Q \| 0 \| -1 \| \| Delta-P+Delta-Q \| 0 \| 0 \| \| Baseline cost \| 36 \| 121 \| \| 6. Urban infrastructure \| Delta-P \| 8 \| \| Delta-Q \| -3 \| -5 \| \| Delta-P+Delta-Q \| 5 \| 0 \| \| Baseline cost \| 287 \| 219 \| \| Total \| Delta-P \| 11 \| \| Delta-Q \| -13 \| -10 \| \| Delta-P+Delta-Q \| -1 \| -1 \| \| Baseline cost \| 649 \| 740 \| \| CSIRO scenario \| \| \| \| 1. Power & telephones \| Delta-P \| 0 \| \| Delta-Q \| -4 \| 1 \| \| Delta-P+Delta-Q \| -4 \| 2 \| \| Baseline cost \| 132 \| 173 \| \| 2. Water & sewers \| Delta-P \| 0 \| \| Delta-Q \| -2 \| 1 \| \| Delta-P+Delta-Q \| -2 \| 1 \| \| Baseline cost \| 119 \| 154 \| \| 3. Roads \| Delta-P \| 1 \| CSIRO scenario NCAR scenario Cost type Low income Lower middle income Upper middle income High income Total Delta-Q -2 -2 -4 -23 -30 Delta-P+Delta-Q -1 -1 -4 -18 -24 Baseline cost 67 56 60 215 398 4. Other transport Delta-P 0 0 2 1 4 Delta-Q 0 0 -2 -1 -3 Delta-P+Delta-Q 0 0 0 1 0 Baseline cost 8 18 86 31 142 5. Health & schools Delta-P 0 0 0 1 2 Delta-Q -1 -2 0 1 -2 Delta-P+Delta-Q -1 -1 0 1 0 Baseline cost 36 121 92 302 551 6. Urban infrastructure Delta-P 4 2 1 4 11 Delta-Q -5 -5 -3 -10 -24 Delta-P+Delta-Q -1 -3 -3 -7 -13 Baseline cost 287 219 209 841 1,555 Total Delta-P 5 4 4 11 25 Delta-Q -14 -7 -9 -45 -75 Delta-P+Delta-Q -8 -3 -5 -34 -50 Baseline cost 649 740 634 1,887 3,910 Source: Authors' estimates. NCAR scenario Cost type EAP ECA LCA MNA SAS SSA Total 1. Power & telephones Delta-P 0 0 0 0 0 0 1 Delta-Q -5 -1 1 2 -3 -1 -9 Delta-P+Delta-Q -5 -1 1 2 -3 -1 -7 Baseline cost 137 75 41 24 79 41 397 2. Water & sewers Delta-P 0 0 0 0 0 0 1 Delta-Q -3 4 0 1 -4 -1 -3 Delta-P+Delta-Q -3 4 0 1 -4 -1 -3 Baseline cost 115 71 54 25 81 22 368 3. Roads Delta-P 1 0 1 0 2 1 5 Delta-Q -1 -1 -1 0 0 0 -4 Delta-P+Delta-Q 0 -1 0 0 2 1 1 Baseline cost 36 37 31 13 44 23 183 NCAR scenario Cost type EAP ECA LCA MNA SAS SSA Total 4. Other transport Delta-P 0 4 0 0 0 0 5 Delta-Q 0 -4 0 0 0 0 -5 Delta-P+Delta-Q 0 0 0 0 0 0 0 Baseline cost 16 80 6 2 4 4 111 5. Health & schools Delta-P 1 0 0 0 0 0 1 Delta-Q -1 1 0 0 0 0 -1 Delta-P+Delta-Q 0 1 0 0 0 0 1 Baseline cost 93 49 52 20 25 9 249 6. Urban infrastructure Delta-P 5 1 2 0 5 2 15 Delta-Q -4 -2 -1 -1 -2 0 -11 Delta-P+Delta-Q 1 -2 0 -1 3 1 4 Baseline cost 163 159 78 32 252 31 714 Total Delta-P 8 5 3 1 8 3 28 Delta-Q -15 -5 -2 1 -10 -2 -33 Delta-P+Delta-Q -7 0 1 2 -2 1 -5 Baseline cost 560 470 262 116 485 130 2,023 CSIRO scenario 1. Power & telephones Delta-P 0 0 0 0 0 0 1 Delta-Q -1 0 0 1 -3 -2 -4 Delta-P+Delta-Q -1 1 0 1 -3 -2 -3 Baseline cost 137 75 41 24 79 41 397 2. Water & sewers Delta-P 0 0 0 0 0 0 0 Delta-Q -1 2 0 1 -2 0 0 Delta-P+Delta-Q -1 2 0 1 -2 0 0 Baseline cost 115 71 54 25 81 22 368 3. Roads Delta-P 0 0 0 0 1 0 2 Delta-Q -1 -2 -2 -1 -1 -1 -8 Delta-P+Delta-Q -1 -2 -2 0 0 0 -6 Baseline cost 36 37 31 13 44 23 183 4. Other transport Delta-P 0 2 0 0 0 0 3 Delta-Q 0 -2 0 0 0 0 -3 Delta-P+Delta-Q 0 0 0 0 0 0 0 Baseline cost 16 80 6 2 4 4 111 5. Health & schools Delta-P 0 0 0 0 0 0 1 Delta-Q -1 0 0 -1 -1 0 -2 Delta-P+Delta-Q -1 0 0 0 0 0 -1 Baseline cost 93 49 52 20 25 9 249 6. Urban infrastructure Delta-P 2 1 1 0 3 1 7 CSIRO scenario NCAR scenario Cost type EAP ECA LCA MNA SAS SSA Total Delta-Q -4 -3 -1 -1 -4 -1 -13 Delta-P+Delta-Q -2 -2 -1 -1 -1 0 -6 Baseline cost 163 159 78 32 252 31 714 Total Delta-P 3 3 1 1 4 1 14 Delta-Q -8 -5 -3 0 -10 -3 -29 Delta-P+Delta-Q -5 -2 -1 1 -7 -2 -16 Baseline cost 560 470 262 116 485 130 2,023 Source: Authors' estimates. ## 8. Conclusion The work reported in this paper represents the most extensive and careful effort that has been made to estimate the costs of adapting to climate change in the infrastructure sector at a global level. Our primary conclusion is that the cost of adapting to climate change, given the baseline level of infrastructure provision, is no more than 1–2 percent of the total cost of providing that infrastructure. While there are differences across regions and sectors, the pattern is clear and unambiguous—the cost of adaptation is small in relation to other factors that may influence the future costs of infrastructure. We accept that we may have omitted or underestimated some of the costs of adaptation. On the other hand, we have consistently tried to err on the generous side—increasing our estimates of probable costs when there is reasonable doubt. Further, it can be shown that an economic rather than an engineering approach to adaptation when climate change increases the demand for infrastructure will reduce the Delta-Q costs by a substantial amount in some cases. Thus, in our view it is extremely unlikely that revised estimates will alter our conclusion about the relative magnitude of the costs of adaptation. The second conclusion of our study is that the impact of climate change on the overall demand for infrastructure may be more important than the increase in the cost of providing the baseline level of provision. These Delta-Q effects may be positive or negative—increasing or decreasing the costs of adaptation—in different countries. Summed by region, the Delta-Q totals are negative in all regions except MNA. The results of our econometric analysis do not dictate that climate change will have the effect of reducing demand for generating capacity or roads. The equations contain complex inter- actions between income and various climate variables —not merely temperature—with both population- weighted and inverse population-weighted variants. It does not seem plausible that these effects are merely capturing the influence of one or more omitted vari- ables. Hence, estimates of the costs of adaptation that ignore the potential impact of climate change on the demand side may give a rather partial view of the over- all picture. ## References Acemoglu, D., S. Johnson, and J.A. Robinson. 2001. "The Colonial Origins of Comparative Development." American Economic Review 91:1369–1401. AICD. 2009. Africa's Infrastructure: A Time for Transformation. Washington, DC: World Bank. Albouy, D.Y. 2008. "The Colonial Origins of Comparative Development: An Investigation of the Settler Mortality Data." National Bureau of Economic Research Working Paper. Cambridge, MA: NBER. Baum, C.F. 2005. An Introduction to Modern Econometrics using Stata. College Station, TX: Stata Press. Cameron, A.C., and P.K. Trivedi. 2006. Microeconometrics. Cambridge, UK: Cambridge University Press. Canadian Standards Association. 2006. The Role of Standards in Adapting Canada's Infrastructure to the Impacts of Climate Change. Toronto: Canadian Standards Association. Dell, M., B.F. Jones, and B.A. Olken. 2008. "Climate Shocks and Economic Growth: Evidence from the Last Half Century." National Bureau of Economic Research Working Paper. Cambridge, MA: NBER. Driscoll, J.C., and A.C. Kraay. 1998. "Consistent Covariance Matrix Estimation with Spatially Dependent Panel Data." Review of Economics and Statistics 80: 549–560. EIA. 2008. International Energy Outlook 2008. Washington, DC: Energy Information Agency. Estache, A., B. Speciale, and D. Veredas. 2005. "How much does infrastructure matter to growth in Sub-Saharan Africa?" Working Paper. Brussels: EeCARES, Universite Libre de Bruxelles. Fay, M., and T. Yepes. 2003. "Investing in Infrastructure: What is needed from 2000 to 2010?" Policy Research Working Paper. Washington, DC: World Bank. Hoechle, D. 2007."Robust standard errors for panel regression with cross-section dependence."The Stata Journal 7:281–312. Hope, C. 2003. The Marginal Impacts of CO2, CH4 and SF6 Emissions. Judge Institute of Management Working Paper No. 10/2003. Cambridge, UK: University of Cambridge. Horowitz, J.K. 2008. "The Income-Temperature Relationship in A Cross-Section of Countries and its Implications for Predicting the Effects of Global Warming." Working Paper. College Park, MD: Department of Agricultural and Resource Economics. Hughes, G.A. 2010. "The Econometrics of Climate Change." Department of Economics Working Paper. Edinburgh: University of Edinburgh. Hughes, G.A, P. Chinowsky, and K. Strzepek. 2010. "The Costs of Adaptation to Climate Change for Water Infrastructure in OECD Countries." Department of Economics Working Paper. Edinburgh: University of Edinburgh. IEA. 2008. World Energy Outlook 2008. Paris: International Energy Agency. Larsen, P.H., S. Goldsmith, O. Smith, M.L.Wilson, K. Strzepek, P. Chinowsky, and B. Saylor. 2008. "Estimating future costs for Alaska public infrastructure at risk from climate change." Global Environment Change 18(3):442–457. McGray, H., A. Hammill, and R. Bradley, eds. 2008. Weathering the Storm: Options for Framing Adaptation and Development. Washington, DC: World Resources Institute. Nordhaus, W.D. 2002." Modelling induced innovation in climate-change policy." In A. Grubler, N. Nakicenovic and W.D. Nordhaus (eds), Modeling Induced Innovation in Climate Change Policy. Washington, DC; Resources for the Future Press. Tol, R.S.J. 2007. On the optimal control of carbon dioxide emissions: an application of FUND. Amsterdam: Institute for Environmental Studies, Vrije Universiteit. UNFCCC. 2007. Climate Change: Impacts, Vulnerabilities and Adaptation in Developing Countries. UNFCCC Secretariat. Bonn: UNFCCC. ## Appendix 1. Derivation Of The Climate Dose-Response Relationships Paul Chinowsky (Department of Civil, Environmental and Architectural Engineering, University of Colorado) Jason Price & Jim Neumann (Industrial Economics Inc, Cambridge, Mass) The dose-response relationship between climate change and the cost of building and maintaining infrastructure is a central component of the World Bank's assessment of infrastructure adaptation costs. The magnitude of the dose-response relationship is likely to vary both by infrastructure type and by country. Variation in this relationship by infrastructure type reflects, among other factors, differences in the materials with which different types of infrastructure are constructed and the ways in which different types of infrastructure are used; for example, buildings often provide heating and cooling. In addition, variation in the dose-response relationship by country reflects inter-country variation in labor and materials costs as well as terrain; for example, varying degrees of flat versus mountainous terrain. The data and methods supporting the World Bank's assessment of dose-response values by infrastructure type and country are outlined in the sections below. This information is presented separately for infrastructure construction costs and infrastructure maintenance costs. Exhibits 1 and 2 describe the specific doseresponse relationships analyzed. We note that the doseresponse values estimated for both construction costs and maintenance costs are based on the cost of building and maintaining infrastructure in the United States. To develop dose-response values specific to individual developing countries, we scaled the U.S.-based cost estimates using an inter-country construction cost index published by Compass International Consultants Inc. (2009). The country-specific values that make up this index represent average construction costs for each country relative to costs in the United States. ## 1. Estimation Of Dose-Response Values For Construction Costs To generate dose-response values for infrastructure construction costs, we employed two general approaches. The first estimates dose-response values based on the cost associated with the change in the typical building code update, while the second more directly estimates the incremental costs of climate stres- sors and design changes. We use the building code approach to generate dose-response values for paved roads, buildings, and transmission towers and the latter for bridges and unpaved roads. Our assessment of dose-response values for infrastruc- ture construction costs assumes perfect foresight with respect to climate change. Therefore, these dose- response values represent the relationship between infrastructure construction costs at the time of construction and the changes in climate projected during the infrastructure's lifespan. ## A. Building Code Methodology The building code methodology is based on the premise that a major update of design standards results in a 0.8 percent increase in construction costs (FEMA 1998). The readily available data suggest that such code updates would occur with every 10 centimeter (cm) increase in precipitation for paved roads and buildings; therefore, we express the precipitation dose-response relationship for these specific types of infrastructure as follows: $$\quad(1)\qquad C_{P,B P R}=0.8\%_{0}\bigl(B_{B P R}\,\bigr)$$ where CP ,BPR = change in building and paved road construc- tion costs associated with a 10 cm change in annual precipitation BBPR = base construction costs for buildings and paved roads Based on published construction cost information, we assume base construction costs of $185 per square foot for medical buildings as a base for public facilities ## Exhibit 1 - Dose-Response Descriptions For Construction Costs \| Precipitation Dose-Response \| Temperature Dose-Response \| \|----------------------------------------\|--------------------------------------\| \| Not estimated. Impact likely to \| \| \| be minimal. \| \| \| Bridges \| Change in construction costs per \| \| bridge per 1 foot increase in bridge \| \| \| height. \| \| \| Paved Roads \| Change in costs of constructing a km \| \| of paved road per 10 cm change in \| \| \| annual precipitation projected during \| \| \| lifespan relative to baseline climate. \| \| \| Dose-response represents change in \| \| \| costs for every 10 cm increment. \| \| \| Change in cost of constructing \| \| \| a km of paved road per step- \| \| \| wise increase in the maximum \| \| \| of monthly maximum tempera- \| \| \| ture values projected during \| \| \| lifespan relative to baseline cli- \| \| \| mate. The first increase occurs \| \| \| after a 1 degree Celsius \| \| \| change in maximum tempera- \| \| \| ture. Every other step occurs 3 \| \| \| degrees Celsius beyond that. \| \| \| Not estimated. Impact likely to \| \| \| be minimal. \| \| \| Unpaved Roads \| Change in construction costs per km \| \| per 1% change in the maximum of the \| \| \| monthly maximum precipitation values \| \| \| projected during lifespan relative to \| \| \| baseline climate. \| \| \| Transmission Poles \| Not estimated. Impact likely to be \| \| minimal. \| \| \| Not estimated. Impact likely to \| \| \| be minimal. \| \| \| Buildings \| Change in costs per square foot, per \| \| 10 cm change in annual precipitation \| \| \| projected during lifespan. \| \| \| Change in costs per square \| \| \| foot, per 0.5 degree change \| \| \| Celsius in annual average tem- \| \| \| perature during lifespan, rela- \| \| \| tive to baseline climate. \| \| ## Exhibit 2 - Dose-Response Descriptions For Maintenance Costs \| Precipitation \| Temperature \| \|------------------------------------------------------------------------------------------------------\|-------------------------------------------\| \| Paved Roads - Existing \| Change in annual maintenance costs per \| \| km per 10 cm change in annual rainfall \| \| \| projected during lifespan relative to base- \| \| \| line climate. \| \| \| Paved Roads - Newly \| \| \| Constructed \| \| \| Paved roads constructed after 2010 would have no maintenance impact if designed for changes in cli- \| \| \| mate expected during their lifetime. \| \| \| Unpaved Roads \| Change in annual maintenance costs per \| \| 1% change in maximum of monthly maxi- \| \| \| mum precipitation projected during \| \| \| lifespan. \| \| \| Railroads \| Not estimated. Impact likely to be mini- \| \| mal. \| \| \| Buildings - Existing \| Change in annual maintenance costs per \| \| square foot per 10 cm change in annual \| \| \| rainfall projected during lifespan. \| \| \| Buildings - Newly \| \| \| Constructed \| \| \| Buildings constructed after 2010 would have no maintenance impact if designed for changes in climate \| \| \| expected during their lifetime. \| \| \| Not estimated. Impact likely to \| \| \| be minimal. \| \| \| Not estimated. Impact likely to \| \| \| be minimal. \| \| \| Not estimated. Impact likely to \| \| \| be minimal. \| \| \| Percent change in costs per 15 \| \| \| mph (~24 kmh) increase in the \| \| \| maximum of the monthly maxi- \| \| \| mum wind speeds projected \| \| \| during lifespan, relative to base- \| \| \| line climate. \| \| \| Not estimated. Impact likely to \| \| \| be minimal. \| \| \| Change in annual maintenance costs per km per 1 degree \| \| \| change Celsius in maximum of monthly maximum temper- \| \| \| ature projected during lifespan. \| \| \| Not estimated. Impact likely to be minimal. \| \| \| Change in annual maintenance costs per km per 1 degree \| \| \| Celsius change in maximum of monthly maximum temper- \| \| \| ature projected during lifespan. \| \| \| Change in annual maintenance costs per square foot per \| \| \| 1 degree change Celsius in annual average temperature \| \| \| projected during lifespan. \| \| (DCD 2007) and $621,000 per kilometer (km) for paved roads, the latter of which represents the average cost per km of constructing a 2-lane collector road in rural areas (FDOT 2009a).20 The code update methodology that we employed for temperature effects is similar to the approach outlined in Equation 1 for precipitation. Unlike the code update approach for precipitation, we do not apply the full 0.8 percent cost increase of a code update to each incremental change in temperature. Instead, we scale the 0.8 percent value to reflect the portion of construc- tion costs likely to be associated with temperature effects. Based on data published by Whitestone Research (2008), we assume that 28 percent of the costs associated with a code update for buildings are related to HVAC equipment affected by temperature. Similarly, research into the effects of temperature on roads provides a guideline of 36 percent of the costs for a code update for roads is temperature-related (Miradi 2004). Based on these values, we assume a 0.22 percent increase in building construction costs for each incre- mental change in temperature and a 0.29 percent increase in paved road construction costs for such changes. Based on professional judgment and the design parameters for HVAC systems, which are typi- cally based on the number of degree days per year (NOAA 2009), we assume that the 0.22 percent value is applied to building costs for each 0.5 degree Celsius increase in average annual temperature. For paved roads, we apply the 0.29 percent increase as a step func- tion, with the first increase occurring after a 1 degree Celsius increase in temperature and later increases occurring with each 3-degree increase in temperature. This reflects the need for new pavement binders with every 3-degree increase in temperature and a change in practice for a 1-degree change as an initial safety factor (Blacklidge Emulsions, Inc. 2009). We also apply the building code methodology to trans- mission line towers, but instead of precipitation and temperature, wind is the climate stressor of concern. For every 15 mile per hour (~24 km per hour) increase in the maximum of the maximum monthly wind speeds projected, we assume a 0.8 increase in construction costs due to a design standard update. The readily available data suggests several relationships will have no impact or minimal impact in these catego- ries as follows: 1) no impact from wind on paved roads or buildings, 2) no impact from temperature on trans- mission poles, and finally 3) no impact from precipita- tion on transmission poles. ## B. Example Of Building Code Methodology Two examples are presented here to illustrate the appli- cation of the building code methodology to new construction, a building example for precipitation and a paved road example for temperature. For the former, assume that a new hospital is to be built in a location that has a base precipitation level of 100 cm per year. It is projected that due to climate change, the location will have a 15 cm increase during the 40-year anticipated lifespan of the building. Given the 10cm threshold for a building code update, the design of the structure would anticipate the precipitation increase and the asso- ciated building code update. Essentially, the building will be overbuilt for Year 0 to anticipate the need later in the lifespan to accommodate the increased precipita- tion. The cost of this overbuild will be the cost of one code update for the 10 cm increase, or 0.8 percent of the base construction costs. In the context of temperature, consider the example of paved road construction. Using the 36 percent relative impact discussed above, the standard 0.8 percent cost increase for a code update is modified by this percent- age resulting in a modified value of 0.29 percent of base construction costs. However, to apply this to new construction, the guidelines for pavement design are brought into the equation. Specifically, temperature increases require new pavement binders every 3 degrees Celsius (Blacklidge Emulsions, Inc. 2009). Therefore, for a new construction scenario where the maximum temperature will increase 2 degrees over the 20-year lifespan of the road, a cost increase of 0.29 percent of base construction costs is applied after the first 1 degree to account for an initial safety factor built into the design. Since the increase does not total an additional 3 degrees, the total increase from the temperature impact is 0.29 percent of base construction costs. ## C. Direct Response Methodology For bridges and unpaved roads, we use a more direct approach for estimating the cost impact of changes in climate stressors. Under this approach, we directly relate changes in infrastructure construction costs to specific changes in climate or infrastructure design requirements. In general terms, this approach is summarized by Equation 2. $${\mathrm{(2)}}\qquad C_{U R B T}=M\times B_{U R B T}$$ where CURB = change in construction costs for bridges and unpaved roads associated with a unit change in climate stress or design requirements $$\begin{array}{r l}{M={\mathrm{cost~multiplier}}}\\ {B_{U R B}~=~{\mathrm{base~construction~costs~for~}}}\\ {{\mathrm{~bridges~and~unproved~roots}}}\end{array}$$ Implementation of the approach represented by Equation 2 is somewhat different for unpaved roads than it is for bridges. For unpaved roads, we express the dose-response relationship represented by Equation 2 as the change in construction costs associated with a 1 percent change in maximum monthly precipitation. Research findings have demonstrated that 80 percent of degradation of unpaved roads can be attributed to precipitation (Ramos-Scharron and MacDonald 2007). The remaining 20 percent is attributed to factors such as tonnage of traffic and traffic rates. Given this 80 percent attribution to precipitation, we assume that the base construction costs for unpaved roads increase by 80 percent of the total percentage increase in maximum monthly precipitation; that is, a 0.8 percent increase in costs for each 1 percent increase in maximum precipitation. For example, if the maximum monthly precipitation increases by 10 percent in a given location, then 80 percent of that increase is used (8 percent) as the increase in base construction costs. In addition, we further assume a base construction cost of $13,000 per km for unpaved roads, based on published cost data (Cerlanek et al. 2006). The readily available data suggest no relationship between temperature and the cost of building unpaved roads. For bridges, we estimate the climate-related change in costs per one-foot increase in bridge clearance. The most significant design changes associated with an increase in clearance would involve changes to bridge- deck support structures, which account for approxi- mately 50 percent of bridge construction costs (Kinsella and McGuire 2005). In addition, based on the standard 16-foot clearance for bridges on highways (FHWA 2009), a one-foot increase in bridge clearance would represent a 6.25 percent increase. Assuming that the increase in costs for bridge foundations would be proportional to the change in clearance, we assume that construction costs for the bridge support structures would increase by 6.25 percent with each 1-foot increase in clearance. Because support structures repre- sent approximately 50 percent of bridge construction costs, we assume that the total construction costs for a bridge would increase by approximately 3.13 percent (50 percent x 6.25 percent) with each one-foot increase in clearance. The base cost of a bridge is likely to vary significantly due to differences in the number of lanes per bridge and bridge length. For the purposes of this analysis, we use the costs of a 2-lane bridge spanning 100 feet. Assuming an average lane width of 12 feet, this trans- lates to a bridge deck with an area of approximately 2,400 square feet. Based on a unit cost of $220 per square foot (FDOT 2009b), we estimate that the total base construction costs for a bridge are approximately $528,000. Applying the 3.13 percent value derived above to this estimate, we assume an increase of $16,500 in bridge construction costs for each one-foot increase in bridge clearance.21 The readily available data suggest no impact or minimal impact will originate from wind or temperature increases for new construction of bridges or unpaved roads. ## 2. Estimation Of Dose-Response Values For Maintenance Costs Similar to our development of dose-response values for infrastructure construction costs, we employed two basic methodologies to generate dose-response values relating changes in climate stressors to changes in infrastructure maintenance costs. The first approach is based on infrastructure lifespan decrements that could potentially result from climate change if maintenance practices remain unchanged following changes in climate stress. We use this methodology to develop dose-response values for existing paved roads and buildings.22 Newly constructed paved roads and buildings are assumed to not be affected by climate stressors because forward- looking design allows these structures to accommodate future climate changes at the time of construction. For railroads and unpaved roads (both existing and newly constructed), we use a separate methodology similar to the direct dose-response approach outlined above for bridge and unpaved road construction costs. ## A. Avoided Lifespan Decrement Methodology To assess the relationship between climate stressors and maintenance costs for existing paved roads and buildings, we use an approach based on the cost of preventing the reduction in lifespan that may result from changes in climate-related stress. As indicated by Equation 3, implementation of this approach involves two basic steps: (1) estimating the lifespan decrement that would result from a unit change in climate stress and (2) estimating the costs of avoiding this reduction in lifespan. (3) $M$ $T_{\rm{ERB}}$ = ($L_{\rm{ERB}}$)($C_{\rm{ERB}}$) where MTERB = Change in maintenance costs for existing paved roads and buildings associated with a unit change in climate stress LERB = Potential percent change in lifespan for existing paved roads and buildings associated with a unit change in climate stress CERB = Cost of preventing a given lifespan decrement for existing paved roads and buildings To estimate the reduction in lifespan that could result from an incremental change in climate stress (LERB), we assume that such a reduction is equal to the percent change in climate stress, scaled for the stressor's effect on maintenance costs, as shown in Equation 4. $${\mathrm{(4)}}\qquad L_{E R B}={\frac{\Delta S}{B a s e S}}(S M T)$$ where LERB = Potential percent change in lifespan for existing paved roads and buildings associated with a unit change in climate stress ΔS = Change in climate stress (i.e., precipitation or temperature) BaseS = Base level of climate stress with no climate change SMT = Percent of existing paved road or building maintenance costs associated with a given climate stressor (i.e., precipitation or temperature) As indicated in Equation 4, the potential change in lifespan is dependent on the change in climate stress. For precipitation effects, we assume a potential reduc- tion in lifespan for existing paved roads and buildings for every 10 cm increase in annual rainfall. For temper- ature, we assume a potential lifespan reduction with every 1 degree Celsius change in temperature (average annual temperature for existing buildings and maximum annual temperature for existing paved roads). Equation 4 also illustrates that our estimate of the potential reduction in lifespan associated with a given change in climate stress reflects the contribution of that stressor to baseline maintenance costs (i.e., variable SMT). For buildings, we assume that changes in precipitation associated with climate change will affect roofing and external enclosures and changes in temper- ature will affect HVAC systems. Because roofing and external enclosures represent 15 percent of building maintenance costs (Whitestone Research 2008), we assumed that precipitation contributes 15 percent to a building's maintenance costs. Similarly, because HVAC represents 28 percent of building maintenance costs (Whitestone Research 2008), we assume that tempera- ture effects are responsible for 28 percent of a building's maintenance costs. We also identified similar data for paved roads suggesting that precipitation-related main- tenance represents 4 percent of maintenance costs and that temperature-related maintenance represents 36 percent (Miradi 2004). After estimating the potential reduction in lifespan associated with a given climate stressor, we estimate the costs of avoiding this reduction in lifespan. To estimate these costs, we assume that the change in maintenance costs would be approximately equal to the product of (1) the potential percent reduction in lifespan (LERB) and (2) the base construction costs of the asset. Therefore, if we project a 10 percent potential reduction in lifespan, we estimate the change in maintenance costs as 10 percent of base construction costs. As indicated above, we estimate base construction costs of $185 per square foot for buildings and $621,000 per km for paved roads in the U.S.23 ## B. Example Of Avoided Lifespan Decrement Approach As an example of the avoided lifespan methodology, consider a country with baseline annual precipitation of 80 cm without climate change. For such a country, a 10-cm increase in annual precipitation would represent a 12.5 percent increase in precipitation. Because precipitation accounts for approximately 15 percent of building-related maintenance costs, we would assume a 1.9 percent potential reduction in building lifespan (12.5% x 15%). If baseline building construction costs in this country are approximately $175 per square foot, we would estimate an increase in maintenance costs of approximately $3.30 per square foot for every 10 cm increase in annual precipitation. If the country were to experience a 15-cm increase in annual precipitation, we would still assume a $3.30 per square foot increase because the 15-cm increase includes just one 10-cm incremental change. However, if we were to project a 21-cm increase, we would assume an increase of $6.60 per square foot. ## C. Direct Response Methodology To estimate dose-response values for railroad and unpaved road maintenance costs, we follow an approach similar to that outlined above for bridge and unpaved road construction costs. More specifically, we estimate the change in railroad and unpaved road maintenance costs associated with a unit change in climate stress as a fixed percentage of baseline construction costs (for rail- roads) or maintenance costs (for unpaved roads), as illustrated by Exhibit 5. $${\mathrm{(5)}}\qquad M T_{U R R}=M\times B_{U R R}$$ where MTURR = Change in maintenance costs for unpaved roads and railroads associated with a unit change in climate stress M = Cost multiplier BURR = Baseline maintenance (for unpaved roads) costs or construction costs (for railroads) Similar to the direct response methodology for construction costs, implementation of this approach for maintenance costs also varies by infrastructure type. For railroads, we express the relationship described by Equation 5 as the change in maintenance costs associ- ated with a 1 degree Celsius change in the maximum of the maximum monthly temperature projections for an area. Based on research on the effect of heat stress on rails and the associated costs, we estimate that for every 1 degree increase in maximum temperature, railroad maintenance costs increase by 0.14 percent of railroad construction costs (DRPT 2008). Therefore, assuming construction costs of approximately $404,000 per km (in the U.S) (Railroad 2009; Vickers 1992), we estimate that railroad maintenance costs would increase by $565 for every 1 degree increase in maximum temperature. For unpaved roads, we express the dose-response rela- tionship represented by Equation 5 as the change in maintenance costs associated with a 1 percent change in maximum monthly precipitation. As indicated above, research has demonstrated that 80 percent of unpaved road degradation can be attributed to precipitation, while the remaining 20 percent is due to traffic rates and other factors (Ramos-Scharron and MacDonald 2007). Given this 80 percent attribution to precipita- tion, we assume that maintenance costs increase by 0.8 percent with every 1 percent increase in the maximum of the maximum monthly precipitation values projected for any given year. Published data indicates that the Washington, DC: Federal Emergency Management Agency. baseline cost of maintaining an unpaved road is approximately $930 per km (Cerlanek et al. 2006). Therefore, for every 1 percent increase in maximum temperature, we assume a maintenance cost increase of $7.45 per km. FHWA. 2009. "Right of Passage: Controversy Over Vertical Clearance on the Interstate System." Federal Highway Administration. http://www.fhwa.dot.gov/ infrastructure/50vertical.cfm, viewed May 31, 2009. The readily available data suggest climate stressors will have no impact or minimal impact in these categories as follows: 1) no impact from temperature on unpaved roads, 2) no impact from precipitation on railroads. Kinsella, Y., and F. McGuire. 2005. "Climate Change Impacts on the State Highway Network: A Moving Target." Proceedings of the NIZHT Conference, Christchurch, New Zealand, November 2005. ## References Blacklidge Emulsions, Inc. 2009. "SHRP Performance Graded Asphalt Binders." http://www.blacklidgeemulsions.com/shrp.htm, viewed May 31, 2009. Miradi, M. 2004. "Artificial neural network (ANN) models for prediction and analysis of ravelling severity and material composition properties." In M. Mohammadian, ed. CIMCA 2004. Gold Coast, Australia: CIMCA. Cerlanek , W. D., C.M Zeigler, and S.E. Torres. 2006. Maintenance of Paved and Unpaved Roads in Alachua County. Alachua, FL: Department of Public Works. NOAA. 2009. "Heating and Cooling Degree Day Data." NOAA Satellite and Image Information Service. http://www.ncdc.noaa.gov/oa/documentlibrary/ hcs/hcs.html#51overview. Compass International Consultants, Inc. 2009. Global Construction Costs Yearbook. Morrisville, PA: Compass International. Railroad. 2009. "Railroad Construction Costs." Henry County Library. http://tacnet.missouri.org/history/rail- roads/rrcosts.html#1995, Clinton, MO, viewed May 31, 2009. DCD. 2007. "The DCD Cost Guide for Medical Buildings." DCD Construction Magazine, March/April Issue. Ramos-Scharron, C. E., andL.H. MacDonald. 2007. "Runoff and suspended sediment yields from an unpaved road segment, St. John, U.S. Virgin Islands."Hydrological Processes 21(1): 35–50. DRPT. 2008. Heat Order Issues Technical Memorandum. Richmond, VA: Virginia Department of Rail and Public Transportation. Vickers, R.A. 1992. Cost Effective Maintenance of Railway Tracks. London: Institute of Civil Engineers. FDOT. 2009a. "Generic Cost Per Mile Models." Florida Department of Transportation. htp://ftp.dot. state.fl.us/LTS/CO/Estimates/CPM/summary.pdf, viewed May 31, 2009. Whitestone Research. 2008. Building Maintenance and Repair Cost Reference 2008-2009. Santa Barbara, CA: Whitestone Research. FDOT. 2009b. "Bridge Costs." Florida Department of Transportation. http://www.fhwa.dot.gov/ infrastructure/50vertical.cfm, viewed May 31, 2009. FEMA. 1998. "Promoting the Adoption and Enforcement of Seismic Building Codes." FEMA 313. The World Bank Group 1818 H Street, NW Washington, D.C. 20433 USA Tel: 202-473-1000 Fax: 202-477-6391 Internet: www.worldbank.org/climatechange	en
4558-pdf	## Paying To Park Basic Rules In Pay To Park Areas · check the signs and lines and make sure that you are parked correctly in a payment bay or area · check the times that apply - in some areas you must pay on bank holidays, in the evenings and/or weekends · decide how long you need to stay and pay for that time when you park - in most authorities you cannot go back and pay for more time later · do not exceed the maximum stay (usually two or four hours) for the bay · if you need to stay longer, move the vehicle to another street or beyond the double white lines at the end of a parking place · always have enough change on you for meters and pay and display - there is no time allowed to go and get change. Pay and Display (and other pay to park schemes) are introduced in areas where demand for parking exceeds supply. In order for businesses, shops and local residents to receive visitors it is essential that some parking spaces are available at all times. In order to balance demand for parking against what is available, charges are introduced for parking and enforcement against meter feeding ensures that people do not stay longer than the maximum time. ## Parking Times The times of day and days of the week that you are expected to pay to park are shown on Controlled Zone Entry signs, pay and display machines, meter plates and signage relating to voucher and mobile phone parking. Typical pay and display hours are 08:30 to 18:30 Monday to Friday. However some will run much later while others may operate on Saturdays and Sundays. ## Controlled Zone It is therefore very important that you check all of the signage at the parking location to ensure that you are parked in accordance with the regulations. ## Parking Bays Always make sure that your vehicle is fully within the parking bay before you leave it. If it is beyond the end of the bay, obstructing the road, or partially on the footway you may receive a Penalty Charge Notice (PCN) even if you pay. In areas with pay and display, voucher and mobile phone parking, be careful not to park in the wrong bay (e.g. Disabled Badge Holders only bay). Some councils run resident and business permit schemes. In order to park in these bays your vehicle must have the appropriate permit. Never park on a suspended bay. Yellow signs or cones are used to indicate a suspended bay, while suspended meter bays should have a yellow bag over the top of the meter head. Because bays are suspended for a particular purpose (roadworks, house removals, funeral cortege etc.) and have been paid for, you run a high risk of being towed as well as receiving a PCN. ## Pay And Display (P&D) Before you enter money into the pay and display machine, check that you are parked in the correct pay and display bay and are using the correct machine. Check signage and instructions on the machine to ensure that payment is required and there is no suspension in place. Make sure that you are aware of the maximum stay and that the monies that have been inserted have registered correctly before obtaining your ticket. P&D machines usually take a range of currency denominations but please ensure that you have the correct change for your stay. Newer machines may also accept payment by credit and debit cards using chip and pin. Please follow the instructions on the machine if this is the case. Once you have received your ticket please ensure that it is displayed correctly in the windscreen of the vehicle in accordance with the instructions. Make sure that it is clearly visible when you leave the vehicle. If it blows off the dashboard after the close the door then you may receive a PCN. If you discover that a P&D machine is out of order please use the nearest machine that is in working order and purchase a ticket from there instead. You can only park for free if all P&D machines in the vicinity are not working. If this is the case, place a note in the windscreen stating that all the machines are out of order with the date and time that you parked. You should check the location periodically to see if the machines have been repaired. P&D machines are checked automatically - if there is no fault you will receive a PCN. Do not park in a suspended P&D bay. If the whole pay and display bay is suspended there will be a yellow bag over machine. If the bay is partly suspended the pay and display machine will be operational, and a temporary suspension sign will indicate which area is suspended. ## Meter Rules Before you pay, make sure that you are at the correct meter. Some meters are numbered with the corresponding bays, others have small arrows on the ground pointing to the base of the meter to the relevant parking bay others are marked A and B. Check the instruction legend on the meter, which should provide details of the hours of control and the hourly tariff. Check that the meter registers the time as the money goes in. The digital display should add extra minutes as each coin is inserted. Meters in London accept £1 or 20p coins and do not give change. Most meters will allow a maximum stay of two or four hours. If the meter has a yellow 'no parking' bag on it you must not park in that bay. You should not park on a meter that has a sign saying 'no parking at out of order meter' on the meter plate, or when the words 'Out of Order' appear in the meter window. If a meter that does not have an out of order sign appears to take your money and fails to register the time, do not attempt to put more coins in: place a note in the windscreen explaining that the meter is out of order with the date and time that you parked and leave the vehicle where it is (the meter will be checked - if there is no fault you will receive a PCN). ## Mobile Phone Parking Many authorities operate parking bays which allow you to make a cashless payment using your mobile phone. To do this you will need to set up an account and register your vehicle and bank details when you first park in a mobile phone parking bay. You do this by calling the telephone number provided at the bay. You only need to register with each service provider once. Some councils provide an online pre-registration service for setting up accounts. Once your details have been registered you can pay for your parking by entering the specific location code and the length of stay via your mobile phone. Signs located at mobile phone parking bays provide the relevant phone numbers and location codes, while detailed instructions can be followed once you call. ## Voucher Parking Voucher parking is similar to both P&D and meters, except you display a cardboard voucher to show that you have paid and are not overstaying. Any shop in the voucher area showing the respective voucher logo will sell you a parking voucher. You can only use the voucher in the designated area. Signs will advise which bays are set out for voucher parking and usually advise of the hours of control and maximum stay. The vouchers will have full instructions of how to use them on the back. Read the instructions carefully and display the voucher clearly. Clamping and towing If you break any of the parking regulations you are at risk of having your vehicle towed away or wheel clamped as well as receiving a PCN. You cannot be clamped unless you have overstayed the time paid for by more than 30 minutes. If your vehicle is missing when you return to it this may be because it has been towed away - telephone the TRACE service on 020 7747 4747. They can locate your vehicle and provide details of where to go to reclaim it and how much you will have to pay. It typically costs around £250 to reclaim your vehicle - more for storage costs if the vehicle is not reclaimed quickly. If you return to your vehicle and find that it has been wheel clamped, follow the instructions set out on the information card attached to the vehicle. If you cannot follow the instructions or the information card is missing, telephone TRACE on 020 7747 4747. ## If You Receive A Pcn Penalty Charge Notice Warning IT IS AN OFFENCE FOR ANY PERSON OTHER THAN THE DRIVER TO REMOVE THIS NOTICE Do not ignore PCNs, they may carry extra penalties if they are not either paid or contested promptly. Most PCNs have a 50 per cent discount if paid within 14 days. Pay as instructed on the penalty and/or accompanying payment slip. PCNs are issued by councils for pay-to-park contraventions. If you believe the PCN was wrongly issued, you can appeal. Check the PCN for details of what contravention you are alleged to have committed and write to the address on the back. They will either cancel the PCN or write to you giving the reasons why it is still valid. If they do not cancel the PCN they will also advise how to take the matter further, through to an independent adjudicator at the Parking and Traffic Appeals Service. ## Addresses And Contacts Towed away or clamped Telephone our London-wide information service: TRACE 020 7747 4747 (24 hrs) Parking and Traffic Appeals Service PO Box 280, Chertsey, Surrey KT16 6BW Telephone: 020 7520 7200 (please note that telephone calls are recorded) E-mail: patas.team@patas.gov.uk London Councils Transport and Mobility Services 59 1/2 Southwark Street, London SE1 0AL Telephone: 020 7934 9999 E-Mail: parking@londoncouncils.gov.uk Traffic Enforcement Centre Northampton County Court, St Katharine's House, St Katharine's Street Northampton NN1 2LH Telephone: 0845 704 5007 E-mail: customerservice.tec@hmcourts-service.gsi.gov.uk Leaflets available: Footway Parking Loading and Unloading Parking for Diplomats Parking your car in London Paying to Park Understanding Parking Penalties Health Emergency Badge London Councils 59 1/2 Southwark Street London SE1 0AL www.londoncouncils.gov.uk design: Copyprint publication date: January 2010 London Councils supports environmentally-friendly products and value for money. This publication is printed on NAPM accredited paper that uses 75% recycled fibre and manufactured in the UK at mills with ISO 14001 accreditation.	en
2720-pdf	Fracture Liaison Service Database Annual report December 2018 Achieving effective service delivery by Fracture Liaison Services Data from January to December 2017 In association with: Commissioned by: ## Key Messages - Report At A Glance A fracture liaison service (FLS) aims to reduce the risk of subsequent fractures by systematically identifying, assessing, treating and referring to appropriate services all eligible patients aged 50 and over who have suffered a fragility fracture. ## Demographics And Data Completeness We congratulate the achievement of the 55 FLSs* across England and Wales that submitted data which contributed towards this report. were included in 2017, an increase from 42,589 in 2016. There has been an improvement in most key performance indicators (KPIs) but further work is needed for effective and efficient service delivery. * Page 15 gives details about the number of commissioned FLSs in England and Wales. ## Key Findings Key Recommendations being contacted at 12–16 weeks post fracture compared with 41% in 2016. * National Osteoporosis Guideline Group (NOGG) Secondary fracture prevention in the NHS: Achieving effective service delivery by FLSs Falls and Fragility Fracture Audit Programme The Fracture Liaison Service Database (FLS-DB) is commissioned by the Healthcare Quality Improvement Partnership (HQIP) and managed by the Care Quality Improvement Department of the Royal College of Physicians (RCP) as part of the Falls and Fragility Fracture Audit Programme (FFFAP) alongside the National Hip Fracture Database (NHFD) and Falls Prevention Audit. FFFAP aims to improve the delivery of care for patients having falls or sustaining fractures through effective measurement against standards and feedback to providers. Healthcare Quality Improvement Partnership The Healthcare Quality Improvement Partnership (HQIP) is led by a consortium of the Academy of Medical Royal Colleges, the Royal College of Nursing and National Voices. Its aim is to promote quality improvement in patient outcomes, and in particular, to increase the impact that clinical audit, outcome review programmes and registries have on healthcare quality in England and Wales. HQIP holds the contract to commission, manage and develop the National Clinical Audit and Patient Outcomes Programme (NCAPOP), comprising around 40 projects covering care provided to people with a wide range of medical, surgical and mental health conditions. The programme is funded by NHS England, the Welsh Government and, with some individual projects, other devolved administrations and crown dependencies. www.hqip.org.uk/nationalprogrammes. The Royal College of Physicians The Royal College of Physicians (RCP) is a registered charity that aims to ensure high-quality care for patients by promoting the highest standards of medical practice. It provides and sets standards in clinical practice, education and training, conducts assessments and examinations, quality assures external audit programmes, supports doctors in their practice of medicine, and advises the government, the public and the profession on healthcare issues. Citation for this report: Royal College of Physicians. Secondary fracture prevention in the NHS: Achieving effective service delivery by FLSs. London: RCP, 2018. Copyright All rights reserved. Applications for the copyright owner's written permission to reproduce significant parts of this publication (including photocopying or storing it in any medium by electronic means and whether or not transiently or incidentally to some other use of this publication) should be addressed to the publisher. Brief extracts from this publication may be reproduced without the written permission of the copyright owner, provided that the source is fully acknowledged. Copyright © Healthcare Quality Improvement Partnership 2018 ISBN 978-1-86016-743-0 eISBN 978-1-86016-744-7 Royal College of Physicians 11 St Andrews Place, London NW1 4LE www.rcplondon.ac.uk Registered Charity No 210508 ## Acknowledgements Thank you to all the FLS teams that have contributed data to the audit; without your considerable effort, this report would not have been possible. Fracture Liaison Service Database team Kassim Javaid, clinical lead Naomi Vasilakis, project manager Rosie Dickinson, programme manager Bonnie Wiles, programme coordinator Nuffield Department of Orthopaedics, Rheumatology and Musculoskeletal Sciences (NDORMS), University of Oxford Anjali Shah, epidemiologist/biostatistician Rafael Pinedo-Villanueva, health economist Fracture Liaison Service Database advisory group Rachel Bradley, British Geriatrics Society Will Carr, National Osteoporosis Society Andrew Judge, University of Bristol Gavin Clunie, The British Society for Rheumatology Clare Cockill, Royal College of Nursing Neil Gittoes, Society for Endocrinology Celia Gregson, University of Bristol Xavier Griffin, British Orthopaedic Association Debbie Janaway, Royal College of Nursing Tim Jones, National Osteoporosis Society Iona Price, Royal College of Physicians, Patient and Carer Network David Stephens, Royal College of General Practitioners Michael Stone, Cardiff and Vale University Health Board Alison Smith, National Osteoporosis Society, patient representative Crown Informatics The FLS-DB data collection webtool is provided by Crown Informatics (http://crowninformatics.com) Glossary of terms  BOA - British Orthopaedic Association (BOA), the surgical specialty association for trauma and orthopaedics in the UK.  DXA - (dual-energy X-ray absorptiometry) scan - a test that assesses whether you have normal bone density, low bone density (also referred to as osteopenia), or osteoporosis.  Fragility fracture - a fracture that occurs after low trauma (equivalent to a fall from standing height or less), excluding skull, face, fingers and toes.  Fracture liaison service (FLS) - a service that systematically identifies, treats and refers to appropriate services eligible for patients aged 50 years and over within a local population who have suffered a fragility fracture, with the aim of reducing their risk of subsequent fractures.  Monitoring - includes any review performed at the patient level to ascertain anti-osteoporosis medication use, refracture and/or falls. This can be at a clinic, via a letter or telephone call.  NICE - National Institute for Health and Care Excellence (NICE) provides national guidance and advice to improve health and social care.  NOGG - the National Osteoporosis Guideline Group (NOGG).  NOS - the National Osteoporosis Society (NOS), the only UK-wide charity dedicated to improving the prevention, diagnosis and treatment of osteoporosis  Site - defined as a hospital, primary care practice, network and/or other community service managing fragility fractures. ## Foreword By The National Osteoporosis Society The National Osteoporosis Society (NOS) is the only UK-wide charity that supports people living with osteoporosis and the families, friends and professionals who care for them. As chief executive of the charity I'm delighted to welcome you to the latest FLS-DB audit report on patient data in England and Wales. This annual report presents findings from the only national secondary fracture prevention patient-level audit in the world. In its own right, this is an enviable achievement. The number of participating services continues to increase and the improvements in standards of care can start to be seen; this is further testament to the hard work of NHS staff who provide services that people with osteoporosis need. Across a range of specialties, national audit has been shown to be a vital tool in facilitating quality improvement and narrowing inequality in healthcare provision. Highlighting variation and reinforcing best practice will help all those working in secondary fracture prevention. The FLS-DB is still embryonic - this is just the third report - yet it has provided the required catalyst for service transformation. Our charity understands the impact that fractures have on the lives of people with osteoporosis and we share an ambition to see positive changes in the identification and management of fragility fractures. I am confident that the focus this year on several key performance indicators will continue to drive progress in standards of care in a targeted fashion. The report shows us that there is still more work to be done; but importantly, it shows us where improvements are required and how to achieve them. Thank you to everyone who has contributed to the audit and to the team at FFFAP for their work to compile the report. ## Patients' Perspective Across England and Wales, 300,000 fragility fractures were sustained in 1 year by patients aged over 50. This is not merely a statistic in an academic paper, these numbers represent individuals, and for many these injuries will have been traumatic with far-reaching consequences. Patients deserve an efficient, effective, caring and joined-up treatment pathway following such a fracture. The local FLS can provide this, but in order to do so needs to be properly resourced - this includes staff to carry out follow-up checks on patients after 12–16 weeks and 1 year. Identifying those at risk of osteoporosis or falling is simply the start. If the patient has problems with their medication and stops taking it, or falls and suffers a fracture during the long wait for strength and balance training, the FLS has not successfully prevented a secondary fracture. The value of a successful FLS can be easily demonstrated when it knows and can prove the long-term outcomes for its patients. We have an ageing population and can expect the number of fragility fractures to increase. Let us ensure now that caring and comprehensive pathways exist for these individuals. Pathways that bridge the systems across hospitals, primary care, local authorities and public health enable comprehensive monitoring to make sure these patients receive the best ongoing care. A patient's story can be very powerful and often has far more impact than any number of statistics. Therefore I am delighted to report we now have a FFFAP Patient Panel working with the advisory teams. This panel is made up of ten patients and carers all with experience of one or more of the three areas of the programme, either personally or through those they care for. Iona Price Chair FFFAP Patient Panel ## Information For Patients Information describing the minimum standards of care you can expect following a fragility fracture has been made easily accessible to the general public using a short online animation and patient guide. By giving information about bone health and fracture prevention, we hope that patients, carers and their families will have the confidence to approach their doctor and ask for further investigations. A still from the online animation Patients, family, carers and those with an interest in broken bones are encouraged to look up how their local NHS services are performing, using the data contained in this report and use this information to ensure they receive the standard of NHS care they need after a broken bone. Live information about how well FLSs are working can be found in public run charts. The run charts also show how an FLS's performance changes over time. An example run chart is shown on page 13. Patients, family and carers wanting to support their local FLS should contact their local National Osteoporosis Society (NOS) support group for more information or the RCP FFFAP patient panel which is hosted in collaboration with the NOS. Both can be contacted on 01761 471771 or info@nos.org.uk. ## Why Monitoring Is Important One of the key recommendations from this report is asking FLSs to improve their monitoring rates. Drug treatments help to strengthen your bones and reduce your risk of having fractures. Treatments must be taken consistently and appropriately over many years to be effective. However, many patients who are given oral treatments find them difficult to take, and stop taking them. If you are recommended treatment you should be contacted by the FLS to ensure you continue with the medication and have minimal side effects. This is referred to as monitoring. Monitoring shows if there are any issues with prescribed medications that need to be addressed. This sometimes results in a change in medicine that's better suited to you. It is very important to continue to take treatments when they are prescribed, and if you find it difficult to take them, seek advice on what to do. ## Summary Of Recommendations Local commissioners and FLSs should use this report to improve the effectiveness in post-fracture care delivery through service improvement and/or additional commissioning to reduce the number of preventable subsequent fragility fractures. FLSs should work towards improving one key performance indicator (KPI) to green and one KPI to amber in 2019 while maintaining existing green/amber status. FLSs should share good practice and work with local NHS quality improvement teams. Recommendations for fracture liaison services 1. General recommendations a) Develop, implement and assess at least two local service improvement plans in the next 6 months by working with local NHS quality improvement teams, including the Getting it Right First Time (GIRFT) programme, and the NOS Service Delivery Team. b) Attend at least one regional or national FLS workshop to share experiences and improve the efficiency of participating in the FLS-DB in 2019. 2. KPI recommendations a) Data quality i) Aim to develop IT solutions that enable and combine clinical service delivery with automatic uploading of patient data to the FLS-DB, releasing nurse and administrative time to provide direct clinical care. b) Identification i) Improve the identification of patients and uploading of patient data onto the FLS-DB before April 2019, by implementing a service improvement plan informed by learning and sharing of good practice from high performing FLSs and the NOS (for FLSs submitting less than 50% of their estimated fragility fracture caseload). ii) Form a network to define best practice pathways for effective and efficient spinal fracture identification and share these with other FLSs before April 2019. This could be a virtual network which meets regularly to share experiences of successful and unsuccessful service improvement plans with the aim of developing a toolkit to support other FLSs (for FLSs submitting more than 10% of their patients as spine fractures). c) Falls assessment and strength and balance training i) Co-develop, with expertise from local falls services, an agreed falls pathway within their FLS by April 2019 (for FLSs that are not routinely recommending or referring their patients for falls assessment). ii) Demonstrate evidence of working with other stakeholders (such as falls services, community physiotherapy teams, local authorities and third sector providers) towards implementing effective strength and balance training provision for this frail population in their locality by 2019. d) Treatment recommendation i) Review data entry methods for the FLS-DB before April 2019 (for FLSs with missing treatment recommendation rates of more than 10%). ii) Audit treatment recommendation data to ensure services meet NICE and NOGG guidelines for when to recommend anti-osteoporosis medication. e) Monitoring contact i) Review method of checking adherence. ii) Prioritise improving monitoring over further improving identification for 2019 (for FLSs that are achieving at least 50% in the identification KPI). Recommendations for commissioners and local health boards 3. Find out what secondary fracture prevention services are available in your area. a) If you do commission an FLS you should: i) work with the local champion(s) to align the KPIs for your FLS(s) with the 11 KPIs that are detailed on page 15 of this report, to reduce duplication and improve transparency ii) review the FLS's performance and prioritise the improvement of KPIs with less than 50% attainment and review commissioning of additional services so FLS can make the improvement required. b) If you do not commission an FLS you should: i) quantify the impact of effective secondary fracture prevention in your local population to inform priority commissioning of FLSs, with support from the NOS and NHS RightCare ii) identify and engage with your local clinical champions and the NOS (fls@nos.org.uk) to codevelop the specification for a sustainable and effective FLS to prevent further avoidable fractures and their significant consequences for your local patients. Recommendations for executive teams for NHS trusts and community service boards The FLS-DB is a mandatory National Clinical Audit and Patient Outcomes Programme (NCAPOP) audit. NHS foundation trusts are required to participate in NCAPOP audits that are relevant to the services they provide as part of their NHS contract. Those services that are not currently participating should implement an urgent action plan to address this. 4. Find out what secondary fracture prevention services are available in your area. a) If you do have an FLS covering your local fracture population, you should: i) understand the full potential impact of an effective FLS to your organisation's provision of effective healthcare ii) provide evidence at board level of support for the FLS's participation in the FLS-DB audit - this could be by sharing regular data at the meeting iii) provide evidence at board level of support for the FLS's service improvement and development plans, by reviewing these plans. b) If you do not have an FLS covering your local fracture population, you should: i) quantify the impact of effective secondary fracture prevention in your local population to inform a priority application for business case for an FLS in 2019/20, with support from the NOS and NHS RightCare ii) identify and engage with your local clinical champion(s), the NOS (fls@nos.org.uk) and NHS RightCare delivery partners to co-develop a business case for a sustainable and effective FLS to prevent further avoidable fractures and their consequences for your local patients. Recommendations for national policy makers 5. Develop an effective integrated commissioning model(s) by April 2020 that reduces the primary-secondary provision gap, focusing on secure and easy communication regarding initiation, adherence and tolerability to anti-osteoporosis medications and falls prevention interventions. Multidisciplinary staff such as primary care advanced nurse practitioners may be specifically supported in this role. 6. Develop options for delivering effective strength and balance training provision for this frail population. ## Introduction There are over 300,000 fragility fractures in the England and Wales every year in patients aged 50 years and over. This includes 66,668 hip fractures (NHFD, 2018) and 70% survive at least a year (Schnell et al, 2010) with one in two needing to start using walking aids (Keene et al, 1993) and one in five having to move to a care home setting (Griffin et al, 2015). This has a life-changing impact on the patient and their family, as well as presenting a burden to health and social care. Having a fragility fracture identifies a patient at risk of another fracture and each patient needs to be assessed for their risk of osteoporosis and falling. Those assessed to be at high risk must be offered effective interventions to reduce their risk of future fractures. This post-fracture care requires joint working between specialties in hospitals, GP surgeries and community services. A major challenge for the NHS is the translation of evidence-based therapies into routine care that is effective, efficient and provides a good patient experience. FLSs were recommended by the Department of Health in 2009 to provide this vital link, guiding patients through the different parts of the NHS to ensure the patient gets the right treatment at the right time. FLSs need to deliver effective care at scale to realise the potential benefits of secondary fracture prevention for their communities. The FLS-DB began collecting patient level data on a continuous basis from 1 January 2016. There has been tremendous engagement from the FLS community and to date 65 FLSs have submitted patient data from over 135,000 patients across the NHS in England and Wales. The FLS-DB is the only national secondary fracture prevention patient-level audit in the world. Following our first national benchmark report in 2016, we developed 11 KPIs critical for an FLS to be effective and highlighted variation in each of them, particularly in identification and monitoring. These were derived from NICE technology appraisals and guidance on osteoporosis and falls and the NOS clinical standards for FLSs and quality standards for osteoporosis and prevention of fragility fractures. Documents mapping the datasets to evidence-based guidance are available on the RCP website. Methods A detailed description of the methodology, including the analysis plan, is available on the RCP website. Since the last report we have changed KPI number 7 (treatment recommendation) to represent the proportion of patients being recommended anti-osteoporosis medication (it was previously the proportion where treatment was recorded as being inappropriate). This change was informed by feedback from the clinical community to previous audit data and to make it easier to interpret the findings. As the target proportion of patients who require recommendations for bone therapy is not known, we have used 50% as a standard based on the current performance of more effective FLSs. In line with the NHFD, we have restricted KPI number 8 (the proportion of patients having started strength and balance training by first follow-up) by excluding patients with a hip fracture. This report describes the assessment and treatment for osteoporosis for 52,731 patients who sustained a fragility fracture in 2017. Quality improvement To support local service improvement, the FLS-DB provides feedback in a number of formats, including annual reports, patient reports, run charts and regional workshops. Since the last report run chart lines have been added for all the KPIs described on page 14. Live run charts allow FLSs to monitor their performance over time and to measure the impact of the implementation of service improvement plans, by comparing performance measures before and after as well as assessing whether any improvement was sustained. FFFAP has also pioneered the release of real-time clinical audit data to the general public making its analyses openly available so that clinical teams, hospital management and the public can share the same access to live information about services in their area. The availability of these public reports gives KPI data access to the wider stakeholder group (www.fffap.org.uk/FLS/charts.nsf). In March 2018 we ran two workshops in Nottingham and York for 58 FLS-DB participants representing various disciplines. The learning objectives were to know how to use the FLS-DB outputs to improve and monitor the quality of service and how to develop a quality improvement project. The workshop included sessions on quality improvement theory and learning from other FLSs. National Osteoporosis Society (NOS) Service Delivery Team The NOS Service Delivery Team includes experienced health professionals with specialist knowledge in FLS, osteoporosis, health service commissioning and service improvement. The team provides a holistic offer of support to health services; health professionals; people affected by osteoporosis; and other local stakeholders across the UK. The support includes the FLS implementation toolkit, advice on clinical pathways, local awareness raising and signposting by working directly with local clinical leads, the operational FLS team and commissioners/service planners. The team facilitate FLS sites to engage with their own data alongside the narrative of a clinical pathway to highlight 'realworld' blocks or pinch points. At one site in the north-west of England, comparing expected identification rates with the number of cases submitted to the audit highlighted identification as an issue. The procedures and techniques used to case-find were robust but analysing the next step in the pathway identified that the letters offering appointments to patients were too passive; essentially requiring the patient to 'opt-in' to the service. Recommendations and examples from other best-practice FLSs were provided to improve the initial FLS appointment letter. In addition to supporting the RCP-led FLS-DB workshops, the NOS promotes excellence in FLSs through the annual FLS Champions' Summit and other national or regional events. In 2018, the focus of the All Wales Osteoporosis Advisory Group (WOAG) skills and knowledge study day was learning how to deliver best practice based on an exemplar site and how this could be replicated on a national level. Future developments Spinal fracture sprint audit Identifying spinal fractures systematically has proven challenging for all FLSs as shown in this report. A sprint audit will be developed and implemented in 2020 to examine the identification and management of fragility spinal fractures. We will work closely with clinical colleagues across radiology and other clinical specialties to develop a robust methodology to understand, and ultimately improve, the identification of spinal fractures. Quality improvement collaboratives The FFFAP team is working with the RCP Quality Improvement programme team to run a series of quality improvement collaboratives focusing on FLSs and secondary fracture prevention. The collaborative will consist of three 1-day learning sessions plus supporting action periods and coaching calls. The collaboratives are designed for small multidisciplinary teams and will take participants through the basic ideas and theory of quality improvement, as well as methodologies used to plan and implement a quality improvement project. It will utilise the FLS-DB data that they collect. Service improvement toolkits In 2019, we will co-develop a library of successful and unsuccessful service improvement plans to address each KPI with the NOS Service Delivery Team, the FLS champions, GIRFT, NHS RightCare and other key stakeholders. This resource will support local FLSs to rapidly develop effective service improvement plans for their service enabling learning from good practice as well as lessons learnt from unsuccessful attempts at improvement (which are just as valuable). ## National Performance Against Kpis: Summary All KPIs measure performance against technology assessments, guidance on osteoporosis and clinical standards for FLSs from NICE, the NOS and the NOGG. Documents mapping the datasets to evidence-based guidance are available on the RCP website. \| KPI \| \| \|---------------------------------------------------------------------------\|-----------------------------------------------------------------\| \| 2016 \| 2017 \| \| KPI 1 - Data completeness \| \| \| FLSs with good level of data completeness \| \| \| * \| \| \| \| \| \| 50% \| 53% \| \| 40% \| 43% \| \| KPI 2 - Identification (all fragility fractures) \| \| \| Percentage of patient records submitted compared with the local \| \| \| estimated caseload \| \| \| KPI 3 - Identification (spinal fractures) \| \| \| Percentage of patients with a spine fracture as their index fracture site \| \| \| \| \| \| 4% \| 6% \| \| 67% \| 70% \| \| KPI 4 - Time to FLS assessment \| \| \| Percentage of patients who were assessed by the FLS within 90 days of \| \| \| their fracture \| \| \| 43% \| 46% \| \| KPI 5 - Time to DXA \| \| \| Percentage of patients who had a DXA ordered or recommended and \| \| \| were scanned within 90 days of fracture \| \| \| 40% \| 46% \| \| KPI 6 - Falls assessment \| \| \| Percentage of patients who received a falls assessment or were referred \| \| \| or recommended for a falls assessment \| \| \| 38% \| 43% \| \| KPI 7 - Bone therapy recommended \| \| \| Percentage of patients who were recommended anti-osteoporosis \| \| \| medication \| \| \| 4% \| 4% \| \| KPI 8 - Strength and balance training \| \| \| The percentage of non-hip fracture patients who had started strength \| \| \| and balance training within 16 weeks of their fracture \| \| \| † \| \| \| \| \| \| KPI 9 - Monitoring contact 12–16 weeks post fracture \| \| \| \| \| \| 41% \| \| \| \| \| \| 38% \| The percentage of patients who were followed up following their \| \| fracture \| \| \| 31% \| 27% \| \| KPI 10 - Commenced bone therapy by first follow up \| \| \| The percentage of patients who had commenced (or were continuing) \| \| \| anti-osteoporosis medication. \| \| \| -- \| 19% \| \| ‡ \| \| \| KPI 11 - Adherence to prescribed anti-osteoporosis medication at 12 \| \| \| months post fracture \| \| \| The percentage of patients who had confirmed adherence to a \| \| \| prescribed anti-osteoporosis medication at 12 months post fracture \| \| ## Key Findings And Improvement Opportunities Data completeness and demographics There has been a 16% increase in the number of patient records submitted in 2017 (n=52,968) compared with 2016 (45,396). Of these, 2,356 were re-fractures. The NOS estimate that there are approximately 95 FLSs in England and Wales. This includes all commissioned services designed to identify, assess and treat patients at risk of osteoporosis. It should be noted that many FLSs cover more than one hospital (see fig 2); the number of FLSs changes as services are commissioned and decommissioned and some of these services will have recently received funding and are not yet operational. Sixty-five FLSs have submitted patient data since the audit opened. This includes 59 FLSs which submitted patient level data in 2017, compared with 52 FLSs in 2016. Four FLSs submitted fewer than 50 records and were excluded from the remainder of the report. There were 237 patients with a duplicate fracture date and NHS number and these were also excluded, giving 52,731 cases from 55 FLSs used in this report. This compares with an estimated total fragility fracture caseload of 333,340 cases, based on the 175 hospitals from England, Wales and Northern Ireland submitting 66,668 hip fracture cases to the NHFD in 2017. Of the 171 NHFD hospitals in England and Wales, 102 are not currently covered by an FLS submitting data to the FLS-DB and nine are only covered by an FLS submitting organisational audit data. Of the 55 FLSs, 53% of FLSs had good levels of data completeness (fewer than five fields with more than 20% data missing). Of the 52,731 patients, 19% sustained a hip, 6% spine and 69% other fragility fracture as their index fracture (see Appendix 1). The fracture site was missing for 7% of patients. Just over half (56%) of patients were under 75 years old. The average number of patients submitted per FLS was 959. The average population served was 390,000 with 1.23 WTE nurses and 0.4 administrators per FLS. Six FLSs were community-based services. Key - hospitals where patients are: Not covered by an FLS submitting data to the FLS-DB and so unable to benchmark effectiveness of any potential FLS. Covered by an FLS that participated in the organisational audit but has too few cases to be included in the patient level audit. Covered by an FLS submitting less than 50% of their estimated fragility fracture caseload to the FLS-DB. Covered by an FLS submitting 50–79% of their estimated fragility fracture caseload to the FLS-DB. Covered by an FLS submitting at least 80% of their estimated fragility fracture to the FLS-DB. Summary of the key results There has been an improvement in the number of FLSs achieving good (green) or requires improvement (amber) standards for each KPI: For each KPI, green denotes 80% or higher achievement and amber 50–79% achievement, except for recommendation of bone therapy where green denotes 50% or higher achievement and amber was not used. The achievement of individual KPIs for each FLS is shown in Appendix 2. ## Results Kpis 2 And 3 - Identification Of Patients With Any Fragility Fracture And Those With A Spine Fracture As Their Index Fracture Site Guidelines  Nice Qs 149: Adults Who Have Had A Fragility Fracture Have An Assessment Of Their Fracture Risk.  NOS 2015: All patients aged 50 years and over who have a new fragility fracture or a newly reported vertebral fracture will be systematically and proactively identified.  NOGG: Coordinator-based FLSs should be used to systematically identify men and women with a fragility fracture. Why is the metric important and how has the standard been set? Systematically identifying all patients aged over 50 years with a fragility fracture is a core function of an FLS. Without systematic identification the local impact of an FLS to improve secondary fracture prevention and reduce future fractures will be blunted. The standard has been set at 80% of the estimated fragility fracture caseload. The estimated caseload is derived using the 'rule of five' method developed in the feasibility study of the FLS-DB and was determined by multiplying the local count of hip fractures in 2017 from the NHFD by five. Key findings The average rate of submitted identification has increased from 40% in 2016 to 43% in 2017 with 20 FLSs now identifying at least 50% of their expected caseload compared with 16 FLSs in 2016. The number of FLSs identifying at least 10% of their caseload from spine fractures has increased from six in 2016 to 14 in 2017. However, across all FLSs identification rates remain low at 6%. Identifying spinal fractures systematically has proven challenging for all FLSs as shown in this report. 61% of FLSs said they don't cover opportunistic radiological spinal fractures and 73% said they don't cover vertebral fracture assessment (VFA) using DXA spine imaging. The most frequently reported barriers in finding patients with spinal fractures included lack of standardised practice/language for radiology reporting (37%) and the pathway still being in development (47%). Recommendations for FLSs  Improve the identification of patients and uploading of patient data onto the FLS-DB before April 2019, by implementing a service improvement plan informed by learning and sharing of good practice from high performing FLSs and the NOS (for FLSs submitting less than 50% of their estimated fragility fracture caseload).  Form a network to define best practice pathways for effective and efficient spinal fracture identification and share these with other FLSs before April 2019. This could be a virtual network which meets regularly to share experiences of successful and unsuccessful service improvement plans with the aim of developing a toolkit to support other FLSs (for FLSs submitting more than 10% of their patients as spine fractures). ## Case Study: Improving The Identification Of Spinal Fracture Patients Milton Keynes University Hospital Foundation Trust - Debbie Minney, fragility advanced nurse practitioner Background Identifying spinal fractures was a challenge as most of these patients are admitted under the medical team or only attend an outpatient clinic. Due to resourcing, the fragility team had limited availability to attend the wards to identify patients. Aim  To assess more fragility fracture patients overall.  To ensure more spinal fracture patients are referred directly to the FLS. Process I presented the 2016 FLS-DB report at the department audit meeting and discussed our results compared with the national average. I gave a brief overview of the service and encouraged colleagues to refer fragility fracture patients directly to the FLS. The orthopaedic spinal consultant agreed to refer all patients with osteoporotic spinal fractures to the FLS for a bone health assessment. Education sessions on fragility fractures were given to all junior doctors, along with guidelines on how to treat patients with osteoporotic spinal fractures. The fracture clinic nurses have been educated to identify patients who have attended the clinic and refer them to the FLS for assessment. The therapy team at Milton Keynes is in constant contact with the fragility and trauma coordinator and any spinal fractures that are identified by the therapy team are fed back to the fragility team for assessment. Outcomes  The proportion of spinal fracture patients has increased from 7% to 15%.  The referrals we are receiving from the spinal clinic have helped increase the amount of spinal fractures seen by the FLS. However, we are now also receiving an increased number of referrals from all areas within the hospital.  Patients are being assessed and commencing treatment while still an inpatient so the patient does not have to return to clinic. Next steps Due to the increase in patients referred to the FLS, the waiting time for assessment in our outpatient clinics has increased (with some patients waiting 8 weeks). If inpatients are identified earlier in their stay, treatment could be commenced before they are discharged. This would avoid them having to attend an outpatient appointment. We have produced a business case for extra staff to improve on waiting times and allow a better coverage from the fragility service within the hospital and for administration assistance, as this is all being completed by the band 7. In turn this will make space for more clinic work. This will also allow us to expand the service we provide. Summary  Make contact with the spinal consultant as they will be able to identify patients.  Liaise with the therapists as they will also be rotating and working within the medical wards, enabling them to identify and refer patients to the FLS. ## Kpi 7 - Bone Therapy Recommended Guidelines  Nos 2015, Nos 2017, Nogg, Nice Ta 464, Nice Ta 204, Nice Qs 149: Patients At Increased Risk Of Further Fracture Will Be Offered Appropriate Bone Protection Treatments. Why is the metric important and how has the standard been set? Not every patient with a fragility fracture requires anti-osteoporosis medication. However, those patients identified to be at high imminent risk of another fracture require rapidly effective antiosteoporosis medication with good adherence as this is the highest impact intervention to reduce patients' risk of another fracture. There are a number of national and local thresholds used for intervention which has led to marked variability in recommendation rates between FLSs. The standard has been set at 50% of the total number of submitted to ensure FLSs are not only identifying the patients at the extremes of fracture risk but also those at moderate fracture risk. Key findings The average rate of bone recommendation being recorded has increased from 38% in 2016 to 43% in 2017 with 17 FLSs now recommending anti-osteoporosis medication in at least 50% of patients with a fragility fracture. Anti-osteoporosis medication was recommended in 56% of patients aged over 75 years and 31% in patients aged under 75 years. The presence of missing data makes it challenging to interpret the treatment recommendation rate for an FLS. This is because those FLSs with a high proportion of missing treatment data have a consequently lower proportion of treatment recommendation compared with the number of cases submitted, as shown in fig 4. ## The Red Line Denotes 50% Of Submitted Patients Recommended Or Referred For Anti-Osteoporosis Medication. Recommendations For Flss  Review Data Entry Methods For The Fls-Db Before April 2019 (For Flss With Missing Treatment recommendation rates of more than 10%).  Audit treatment recommendation data to ensure services meet NICE and NOGG guidelines for when to recommend anti-osteoporosis medication. ## Kpis 6 And 8 - Falls Assessment And Strength And Balance Class Training Guidelines  Nos 2015, Nogg, Nice Cg 161, Nice Qs86 And The Boa: Older People Who Present For Medical Attention Because Of A Fall Or Have Reported Recurrent Falls In The Past Year Should Be Offered A Multi-Factorial Falls Risk Assessment.  NICE CG 161, NICE QS 86 and NOGG: A muscle-strengthening and balance programme should be offered. This should be individually prescribed and monitored by an appropriately trained professional. Why is the metric important and how has the standard been set? Achieving reduction in secondary fracture prevention requires a holistic approach addressing both bone health and falls risk. Addressing risk factors for falls permits interventions that have rapid effects on falls risk, eg addressing cardiovascular disease or specific medications. All patients presenting with a fragility fracture should have a falls assessment or be recommended for one. Strength and balance training is the best-evidenced intervention for falls prevention. It is effective as a single intervention, as well as part of a multifactorial approach. A Cochrane collaboration systematic review on interventions to prevent falls in community dwelling adults found that group exercise reduced the rate of falls by 29% and the risk of falling by 15%. Home-based exercise reduced the rate of falls by 32% and the risk of falls by 22% (Gillespie LD, et al). Following advice from the NHFD advisory group, this KPI excludes patients with hip fractures. Key findings The average rate of falls assessment or referral for falls assessment has increased from 40% to 46% between 2016 and 2017. Twenty-six FLSs now record a falls assessment or referral for one in over 50% of their patients compared with 19 FLSs in 2016. Thirty-six percent of FLSs said they could refer patients for strength and balance training, and 31% of these programmes were delivered by appropriately trained healthcare professionals. However, the average reported initiation of strength and balance classes in patients recommended antiosteoporosis medication is 4%, although two FLSs were able to report initiation of strength and balance classes in over 50% of patients. Recommendations for FLSs  Co-develop, with expertise from local falls services, an agreed falls pathway within their FLS by April 2019 (for FLSs that are not routinely recommending or referring their patients for falls assessment).  Demonstrate evidence of working with other stakeholders (such as falls services, community physiotherapy teams, local authorities and third sector providers) towards implementing effective strength and balance training provision for this frail population in their locality by 2019. Recommendation for national policy makers  Develop options for delivering effective strength and balance class provision for this frail population. ## Case Study: Increasing The Number Of Patients Receiving A Falls Assessment Musgrove Park Hospitals - Gemma Hembery, fracture liaison specialist practitioner Background The first FLS-DB annual report showed we were performing above the national average in many areas. However, we felt there were still improvement opportunities. A quarter of patients were not documented as having received or been referred for a falls assessment. After discussing this at an NOS champions meeting we realised that only patients physically seen in clinic or as an inpatient were recorded as having a falls assessment. A large group of patients, many of whom are over 75 and require a falls assessment, were referred to primary care for treatment. Aim To ensure all patients were getting an adequate falls assessment and that we were maintaining a record of this. Process Gemma Hembery, fracture liaison specialist practitioner, and Ron Perry, fracture liaison administrator, determined the best way to document when a falls assessment was carried out by another clinician such as the GP, or a referral to the independent living team and falls clinic. We included a sentence in our letter to GPs requesting a falls assessment for patients who did not require a face-to-face clinic appointment. We also changed our postal questionnaire sent to patients to include a section on falls. This gave us an initial indication of the type of support patients might need and allows us to pass on more information to the GP and engage them to carry out assessments. Regular reviews of the number of assessments or referrals were carried out to enable us to see patient groups we may be missing. Outcomes  The number of patients receiving or being referred for a falls assessment increased from 75% in 2016 to 95% in 2017.  The increase in our KPI performance is proof that our numbers are now truly reflective of all patients who received a falls assessment, whether in primary or secondary care. Summary  Discuss each database field fully within your team to ensure there is an understanding of what constitutes a positive or negative response.  Look at the processes of other FLSs in your area or those that are high achieving and try to see where you may be able to adapt your service.  Regularly reflect on your processes and identify areas you are not capturing and adjust accordingly. ## Kpi 9 - Monitoring Guidelines  NOS 2015, NOS 2017: Patients who are recommended anti-osteoporosis therapy to reduce risk of fracture will be reviewed within 4 months of initiation to ensure appropriate treatment has been started, and every 12 months to monitor adherence with the treatment plan.  NICE QS 149: Adults prescribed drug treatment to reduce fracture risk are asked about adverse effects and adherence to treatment at each medication review. Why is the metric important and how has the standard been set? Given up to 50% of the risk of re-fracture occurs in the first 2 years following an index fracture, it is essential that eligible patients are rapidly started on anti-osteoporosis medication and stay on therapy for at least this length of time. Oral bisphosphonates are the recommended first-line therapy for osteoporosis. These medications have a complex administration regimen for patients to follow, produce no beneficial effect on symptoms and are sometimes associated with troublesome side effects. This leads to rates of persistence of less than 30% at 12 months, and 10% of patients do not even initiate anti-osteoporosis medication. This level of non-compliance is not compatible with an effective FLS. FLSs should actively monitor patients' recommended therapy to support patient choices, including therapeutic switches to other anti-osteoporosis medications with better persistence rates. Active monitoring of patients should ideally take place within 16 weeks of index fracture to ensure rapid initiation and be repeated at 52 weeks to ensure ongoing persistence. Currently active monitoring of adherence is not standard within the NHS with only 38% of patients who were recommended anti-osteoporosis medication having any monitoring contact. At this early stage of the audit we are reporting whether there is any monitoring of a patient by an FLS and will focus on improving the timing of monitoring in later reports. Key findings Monitoring remains challenging for FLSs and the average rate of any monitoring information being recorded decreased from 41% to 38% between 2016 and 2017. Twenty FLSs were able to submit monitoring information in over 50% of patients in 2017 and 2016. Reported proportion of adherence at 12 months was 19% of patients who were recommended or referred for therapy, with 5/55 FLSs able to confirm this in over 50% of their patients. Nearly half (46%) of FLSs reported that they delegated some monitoring to primary care, in which case it becomes almost impossible for hospital-based FLSs to track individual patients and identify whether the patient has continued with their treatment. Recommendations for FLSs  Review method of checking adherence.  Prioritise improving monitoring over further improving identification for 2019 (for FLSs that are achieving at least 50% in the identification KPI). ## For An Fls To Be Successful It Is Essential That They Deliver The Whole Pathway To Patients Who Are At Risk Of Further Fractures. Therefore, Given The Importance Of Ensuring Adherence To Anti-Osteoporosis Medication We Recommend Flss Who Are Already Achieving Moderate Identification Rates (50% Or More) Prioritise Improving Monitoring Over Improving Identification In 2019. Case Study: Identification And Assessment Of Patients Guy'S And St Thomas' Nhs Foundation Trust Background A Band 7 Clinical Nurse Specialist (1 Wte) Was Funded To Run The Fls. However, This Was Not Sufficient And Fragility Fracture Patients Were Not Being Identified On A Daily Basis With The Majority Being Referred Back To Their Gps For Dxa Scans And Bone Health Management. In Addition, The Fls Was Not Capturing Incidental Spinal Fractures Or Patients Who Would Not Be Followed Up In The Fracture Clinic. Aim To Identify All Fragility Fracture Patients Coming Through A&E, Wards, Fracture Clinics And Radiology. To Capture Incidental Spinal Fractures Via Electronic Screening In Liaison With Radiology. Process  An Application Was Submitted To The Clinical Commissioning Group (Ccg) Which Resulted In An Increase To Two Wte Band 7 Clinical Nurse Specialists And One Wte Administrator.  Radiology agreed to send the FLS monthly lists of all patients with the word 'fracture' in report.  Radiology, A&E, ageing and health staff and orthopaedic staff were encouraged to refer patients who might require a fragility fracture assessment directly to the FLS.  The FLS started daily ward rounds and having a daily presence in the fracture clinic to identify new fracture patients. Outcomes  The percentage of eligible patients seen by the FLS has risen from 66% to 144%.  The proportion of patients with spine fracture has risen from 2% to 8%.  The percentage of patients assessed within 90 days of fracture has risen from 19% to 93%.  An increasing number of patients discharged on oral bisphosphonates or arrangement to return for parenteral treatment.  The FLS is able to visit wards to advise on bone health treatment and plan prior to discharge rather than delegating this to primary care. References and bibliography The references cited in this report and bibliography are available online on the RCP website. ## Appendices Notes On The Appendices Appendix 1. Index fracture site proportion and total number of fragility fracture records submitted by FLSs in 2017 This figure shows the site of the first fracture site (bars) and the total number of cases submitted (blue diamonds) by FLSs. The left vertical axis shows what proportion of patients presented with a hip, spine or other fractures. The right vertical axis shows the total number of cases submitted by each FLS. The figure shows that there was a wide variation in the proportion of patients with hip fracture submitted and a low rate of vertebral fractures were identified. Appendix 2. KPI achievement in 2016 vs. 2017 by FLS Actual percentage achievement shown for each FLS with additional colour coding of green as 80% or more achievement, amber as 50–79% achievement and red as <50% achievement; except for KPI 1 where green shows 0–5 fields, amber shows 6–10 fields and red shows >11 fields; KPI 3 where green shows >20%, amber as 11–19% achievement and red <10% achievement and KPI 7 where green shows >50% and red < 50% achievement. The 2016 national averages are based on the results published in the 2017 annual report. This includes data from FLSs who no longer submit data to the FLS-DB. KPI 7 was not published in the 2017 annual report but was calculated using the 2016 data. KPI 11 relates to patients seen in 2016 and followed up in 2017. 100Ashford & St Peter's Hospitals NHS Foundation TrustBarking Havering and Redbridge University Hospitals NHS TrustBarnet HospitalBradford Teaching Hospitals NHS Foundation TrustBromley HealthcareBroomfield HospitalBuckinghamshire Healthcare NHS TrustCambridge University Hospitals NHS Foundation TrustChesterfield Hospital NHS Foundation TrustCroydon University HospitalDiana Princess of Wales HospitalDorset County HospitalEast Kent Hospitals University NHS Foundation TrustEast Lancashire Hospitals NHS TrustEast Surrey HospitalEast Sussex HealthcareEpsom St Helier University Hospitals NHS TrustGuy's and St Thomas' NHS Foundation TrustMedway NHS Foundation TrustMilton Keynes University Hospital Foundation TrustMorriston HospitalMusgrove Park HospitalNorth Bristol NHS TrustNorth Tees and Hartlepool NHS Foundation TrustNorth West Anglia NHS Foundation TrustNottingham University HospitalsOxfordshire Fracture Prevention ServicePoole Hospital NHS Foundation TrustPortsmouth and Southeast HampshireQueen Elizabeth Hospital LewishamRoyal Derby HospitalRoyal Surrey County HospitalRoyal United HospitalRoyal Wolverhampton HospitalSalford Royal NHS Foundation TrustSalisbury NHS Foundation TrustSandwell and West Birmingham Hospitals NHS TrustSt George's HospitalSunderland Royal HospitalThe Haywood HospitalThe Hillingdon Hospitals NHS Foundation TrustThe Ipswich Hospital NHS TrustThe Rotherham NHS Foundation TrustUnited Lincolnshire Hospitals NHS TrustUniversity Hospital LewishamUniversity Hospital LlandoughUniversity Hospital of North Durham and DarlingtonUniversity Hospitals Birmingham NHS Foundation TrustUniversity Hospitals Bristol NHS Foundation TrustUniversity Hospitals Southampton NHS Foundation TrustWest BerkshireWest Suffolk NHS Foundation TrustWeston General HospitalWye Valley NHS TrustYeovil District Hospital ## Appendix 2. Kpi Achievement In 2016 Vs. 2017 By Fls Indicates: Where any n<3, the numbers and percentages were suppressed. This process was conducted for data protection reasons, to ensure anonymity of the patient data included in reporting. Ashford & St Peter's Hospitals NHS Foundation Trust #N/A 3 11 * 98 82 99 49 0 54 54 Barking Havering and Redbridge University Hospitals NHS Trust 11 8 13 12 7 5 19 31 18 31 4 46 38 46 0 53 60 61 48 53 10 Barnet Hospital 1 1 18 23 5 7 88 92 68 71 95 96 45 60 * 4 84 87 69 66 72 Bradford Teaching Hospitals NHS Foundation Trust 0 0 4 41 25 48 82 84 77 77 * * 46 66 0 0 0 49 0 34 44 Bromley Healthcare 1 0 32 29 2 1 99 99 91 85 100 100 40 45 8 0 82 81 56 59 0 Broomfield Hospital 0 10 36 41 1 1 96 98 22 8 1 * 71 50 0 0 0 0 0 0 0 Buckinghamshire Healthcare NHS Trust 2 2 14 27 5 4 100 99 2 26 93 94 91 92 4 0 0 1 0 1 * Cambridge University Hospitals NHS Foundation Trust* #N/A 0 30 0 90 74 28 90 23 29 21 \| 2016 \| 2017 \| 2016 \| 2017 \| 2016 \| 2017 \| 2016 \| \|----------------------------------\|---------\|---------\|---------\|---------\|---------\|---------\| \| Chesterfield Hospital NHS \| \| \| \| \| \| \| \| Foundation Trust* \| \| \| \| \| \| \| \| #N/A \| 17 \| \| 70 \| \| 0 \| \| \| Croydon University Hospital \| 6 \| 16 \| 15 \| 20 \| 11 \| 12 \| \| Diana Princess of Wales Hospital \| 5 \| 10 \| 12 \| 58 \| 0 \| 3 \| \| Dorset County Hospital \| 11 \| 11 \| 70 \| 87 \| 3 \| 10 \| \| East Kent Hospitals University \| \| \| \| \| \| \| \| NHS Foundation Trust* \| \| \| \| \| \| \| \| #N/A \| 7 \| \| 10 \| \| 31 \| \| \| East Lancashire Hospitals NHS \| \| \| \| \| \| \| \| Trust \| \| \| \| \| \| \| \| 2 \| 2 \| 24 \| 21 \| * \| 1 \| 90 \| \| East Surrey Hospital \| 2 \| 11 \| 29 \| 54 \| 3 \| 3 \| \| East Sussex Healthcare* \| \| \| \| \| \| \| \| #N/A \| 0 \| \| 9 \| \| 1 \| \| \| Epsom St Helier University \| \| \| \| \| \| \| \| Hospitals NHS Trust* \| \| \| \| \| \| \| \| #N/A \| 1 \| \| 30 \| \| 4 \| \| \| Guy's and St Thomas' NHS \| \| \| \| \| \| \| \| Foundation Trust \| \| \| \| \| \| \| \| 12 \| 12 \| 66 \| 144 \| 2 \| 8 \| 19 \| \| Medway NHS Foundation Trust \| 11 \| 9 \| 56 \| 60 \| 2 \| 3 \| \| Milton Keynes University \| 2 \| 3 \| 21 \| 13 \| 7 \| 15 \| 2017 2016 2017 2016 2017 2016 2017 2016 2017 2016 2017 2016 2017 2016 2017 \| 2016 \| 2017 \| 2016 \| 2017 \| 2016 \| 2017 \| 2016 \| \|---------------------------------\|---------\|---------\|---------\|---------\|---------\|---------\| \| Hospital Foundation Trust \| \| \| \| \| \| \| \| Morriston Hospital \| 2 \| 2 \| 27 \| 45 \| 5 \| 4 \| \| Musgrove Park Hospital \| 0 \| 0 \| 80 \| 77 \| 4 \| 5 \| \| North Bristol NHS Trust \| 7 \| 7 \| 84 \| 77 \| 4 \| 4 \| \| North Tees and Hartlepool NHS \| \| \| \| \| \| \| \| Foundation Trust \| \| \| \| \| \| \| \| 5 \| 5 \| 63 \| 77 \| 3 \| 3 \| 100 100 \| \| North West Anglia NHS \| \| \| \| \| \| \| \| Foundation Trust \| \| \| \| \| \| \| \| 2 \| 2 \| 30 \| 29 \| 1 \| 2 \| 91 \| \| Nottingham University Hospitals \| 9 \| 4 \| 64 \| 58 \| 0 \| 0 \| \| Oxfordshire Fracture Prevention \| \| \| \| \| \| \| \| Service \| \| \| \| \| \| \| \| 2 \| 2 \| 88 \| 81 \| 3 \| 4 \| 73 \| \| Poole Hospital NHS Foundation \| \| \| \| \| \| \| \| Trust \| \| \| \| \| \| \| \| 9 \| 0 \| 2 \| 31 \| 6 \| 3 \| 10 \| \| Portsmouth and Southeast \| \| \| \| \| \| \| \| Hampshire FLS \| \| \| \| \| \| \| \| 13 \| 10 \| 48 \| 49 \| 1 \| 1 \| 92 \| \| Queen Elizabeth Hospital \| \| \| \| \| \| \| \| Lewisham \| \| \| \| \| \| \| \| 6 \| 13 \| 33 \| 75 \| 2 \| 3 \| 1 \| 2017 2016 2017 2016 2017 2016 2017 2016 2017 2016 2017 2016 2017 2016 2017 fractures fractures >20% missing data KPI 2 Identification - all KPI 3 Identification - spine KPI 1 Number of fields with KPI 4 Time to FLS assessment \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 2016 \| 2017 \| 2016 \| 2017 \| 2016 \| 2017 \| 2016 \| \|--------------------------------\|-----\|-----\|------\|----\|----\|----\|-----\|------\|----\|------\|----\|-----\|-----\|----\|----\|---------\|---------\|---------\|---------\|---------\|---------\|---------\| \| Royal Derby Hospital \| 6 \| 7 \| 10 \| 38 \| 7 \| 3 \| 81 \| 83 \| 91 \| 96 \| * \| 0 \| 53 \| 64 \| 0 \| 0 \| 5 \| * \| 3 \| * \| 0 \| \| \| Royal Surrey County Hospital \| 0 \| 3 \| 33 \| 35 \| 9 \| 10 \| 93 \| 97 \| 75 \| 73 \| 90 \| 89 \| 37 \| 47 \| 0 \| 2 \| 55 \| 61 \| 38 \| 46 \| * \| \| \| Royal United Hospital \| 16 \| 16 \| 8 \| 65 \| \| 0 \| 0 \| 93 \| 40 \| 45 \| 42 \| 18 \| 0 \| 29 \| \| * \| \| 14 \| \| 0 \| 0 \| \| \| Royal Wolverhampton NHS Trust \| 10 \| 10 \| 21 \| 15 \| 5 \| * \| 98 \| 99 \| 0 \| 0 \| 1 \| 0 \| 1 \| * \| 0 \| 0 \| 0 \| 0 \| 0 \| 0 \| 0 \| \| \| Salford Royal NHS Foundation \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Trust \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 7 \| 12 \| 40 \| 42 \| 2 \| 2 \| 3 \| 0 \| 5 \| * \| 24 \| 11 \| 5 \| 1 \| 0 \| 0 \| 75 \| 0 \| 25 \| 0 \| 0 \| \| \| \| Salisbury NHS Foundation Trust \| 5 \| 3 \| 48 \| 44 \| 2 \| 17 \| 68 \| 96 \| 64 \| 71 \| 26 \| 77 \| 50 \| 50 \| 0 \| 0 \| 57 \| 33 \| 53 \| 32 \| 26 \| \| \| Sandwell and West Birmingham \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Hospitals NHS Trust \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 11 \| 0 \| 10 \| 19 \| 16 \| 14 \| 54 \| 28 \| 10 \| 9 \| 69 \| 97 \| 10 \| 48 \| 0 \| 24 \| 0 \| 13 \| 0 \| 12 \| 0 \| \| \| \| St George's Hospital \| 14 \| 15 \| 120 \| 77 \| 11 \| 14 \| 39 \| 25 \| 71 \| 100 \| 59 \| 43 \| 41 \| 29 \| 22 \| 19 \| 58 \| 23 \| 55 \| 23 \| 0 \| \| \| Sunderland Royal Hospital \| 0 \| 0 \| 65 \| 74 \| 5 \| 5 \| 99 \| 100 \| 69 \| 71 \| 68 \| 70 \| 41 \| 43 \| 9 \| 3 \| 55 \| 72 \| 41 \| 56 \| * \| \| \| The Haywood Hospital \| 0 \| 0 \| 41 \| 57 \| 15 \| 16 \| 77 \| 68 \| 78 \| 75 \| 40 \| 68 \| 39 \| 37 \| * \| 0 \| 66 \| 80 \| 47 \| 40 \| 52 \| \| \| The Hillingdon Hospitals NHS \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Foundation Trust \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 0 \| 0 \| 20 \| 23 \| * \| 2 \| 94 \| 96 \| 69 \| 75 \| 3 \| 52 \| 21 \| 44 \| 35 \| 33 \| 45 \| 52 \| 36 \| 36 \| 49 \| \| \| \| The Ipswich Hospital NHS Trust \| 11 \| 11 \| 75 \| 76 \| 2 \| 2 \| 42 \| 43 \| 39 \| 44 \| 51 \| 53 \| 47 \| 44 \| 1 \| 2 \| 24 \| 18 \| 21 \| 15 \| 18 \| \| \| The Rotherham NHS Foundation \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Trust \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 0 \| 0 \| 32 \| 36 \| 7 \| 10 \| 43 \| 22 \| 43 \| 18 \| 14 \| 19 \| 35 \| 38 \| 33 \| 29 \| 0 \| 0 \| 0 \| 0 \| 0 \| \| \| days referred within 90 days KPI 7 Bone therapy KPI 11 Patient confirmed bone therapy at 16 weeks commenced (patients >75) KPI 8 Strength and balance KPI 10 Patient commenced KPI 5 Time to DXA within 90 16 weeks post index fracture KPI 9 Recorded follow-up 12– recommended as appropriate adherence to bone therapy at KPI 6 Falls assessment done or 2017 2016 2017 2016 2017 2016 2017 2016 2017 2016 2017 2016 2017 2016 2017 \| 2017 \| 2016 \| 2017 \| 2016 \| 2017 \| 2016 \| \|----------------------------------\|---------\|---------\|---------\|---------\|---------\| \| United Lincolnshire Hospitals \| \| \| \| \| \| \| NHS Trust \| \| \| \| \| \| \| 11 \| 6 \| 52 \| 2 \| 4 \| * \| \| University Hospital Lewisham \| 7 \| 7 \| 48 \| 48 \| 2 \| \| University Hospital Llandough \| 7 \| 6 \| 36 \| 34 \| 3 \| \| 0 \| 3 \| 47 \| 42 \| 2 \| 2 \| \| University Hospital of North \| \| \| \| \| \| \| Durham and Darlington \| \| \| \| \| \| \| Memorial Hospital \| \| \| \| \| \| \| University Hospitals Birmingham \| \| \| \| \| \| \| NHS Foundation Trust \| \| \| \| \| \| \| 0 \| 0 \| 67 \| 42 \| 1 \| 1 \| \| University Hospitals Bristol NHS \| \| \| \| \| \| \| Foundation Trust \| \| \| \| \| \| \| 9 \| 7 \| 91 \| 96 \| 7 \| 8 \| \| #N/A \| 8 \| \| 13 \| \| 4 \| \| University Hospitals \| \| \| \| \| \| \| Southampton NHS Foundation \| \| \| \| \| \| \| Trust* \| \| \| \| \| \| \| West Berkshire FLS \| 2 \| 2 \| 36 \| 34 \| 4 \| \| West Suffolk NHS Foundation \| \| \| \| \| \| \| Trust \| \| \| \| \| \| \| 2 \| 5 \| 35 \| 44 \| 6 \| 5 \| \| Weston General Hospital* \| \| \| \| \| \| \| #N/A \| 0 \| \| 5 \| \| 10 \| 2017 2016 2017 2016 2017 2016 2017 2016 2017 2016 2017 2016 2017 2016 2017 fractures fractures >20% missing data KPI 2 Identification - all KPI 3 Identification - spine KPI 1 Number of fields with KPI 4 Time to FLS assessment 2016 2017 2016 2017 2016 2017 2016 Wye Valley NHS Trust 10 4 56 67 1 1 99 98 0 0 66 84 66 87 0 0 * 0 0 0 0 Yeovil District Hospital 2 2 95 95 13 12 59 46 19 27 50 85 55 63 1 4 72 70 52 54 16 Overall (average) 251 295 40 43 4 6 67 70 43 46 40 46 38 43 4 4 41 38 31 27 19 #N/A Total no. green values 25 31 6 5 1 2 24 30 5 7 8 14 13 18 0 0 3 6 0 0 0 0 days referred 12 months within 90 days KPI 7 Bone therapy KPI 11 Patient confirmed bone therapy at 16 weeks commenced (patients >75) KPI 8 Strength and balance KPI 10 Patient commenced KPI 5 Time to DXA within 90 16 weeks post index fracture KPI 9 Recorded follow-up 12– recommended as appropriate adherence to bone therapy at KPI 6 Falls assessment done or 2017 2016 2017 2016 2017 2016 2017 2016 2017 2016 2017 2016 2017 2016 2017 This report provides the second national benchmark for the performance of FLSs at the patient level and demonstrates the step change in engagement and quality improvement in England and Wales. ## Falls And Fragility Fracture Audit Programme (Fffap) A suite of linked national clinical audits, driving improvements in care; managed by the Royal College of Physicians > Falls Pathway Workstream > Fracture Liaison Service Database (FLS-DB) > National Hip Fracture Database (NHFD)	en
0900-pdf	## Internal Audit Report Accounts Receivable (Invoice Processing) Audit 2019/20 To: Director of Finance Deputy Director of Finance Head of Finance (Exchequer) Copied to: Assistant Finance Manager (AR) Council Management Team (CMT) Operations Director, Re Operations Director, CSG Education & Skills Director, Cambridge Education Head of Property Services & Valuation, CSG Street Scene Commercial Manager Group Manager, Licensing, Re Head of Performance and Risk, CSG and Re Finance Manager, Cambridge Education Education Welfare Manager, Cambridge Education Document Centre and Mailroom Manager, CSG Finance Manager- Family Services Head of Service, Hospitals and Health Partnerships - Adults & Communities Manager Community Financial Assessment Team From: Internal Audit Executive, LBB Head of Internal Audit LBB We would like to thank management and staff of the Accounts Receivable team and other teams in the Council / its partners for their time and co-operation during the course of the internal audit. ## Executive Summary \| \| \| \| Assurance level \| Number of recommendations by risk category \| \|-------------------\|------\|--------\|---------------------\|------------------------------------------------\| \| Critical \| High \| Medium \| Low \| Advisory \| \| Limited Assurance \| \| \| \| \| \| - \| 1 \| 6 \| 1 \| - \| ## Scope The Council issues invoices to its customers and clients to collect income for services provided for them. Invoice processing reviews will allow the income of the council to flow in without hindrances as the invoices are produced accurately and on a timely basis. The invoices should be issued at whatever intervals are agreed in the service agreement. The audit covered arrangements within the Council's central finance team as well as reviewing a sample of invoicing teams across the Council and three of its contracted partners (CSG, Re and Cambridge Education). ## Summary Of Findings This audit has identified 1 high, 6 medium and 1 low risk finding. We identified the following issues as part of the audit: - Income Collection manual invoicing (Spreadsheet) Process (high): We found within our sample that controls on manually produced invoices (through spreadsheet) are not adequate. The invoices are not checked or authorised by senior officers. - Income Collection and Debt Management Guidance (ICDMG) (medium): During fieldwork, we noted that most invoicing teams (6/8 (75%) that we tested) are not aware of the ICDMG. We identified that the ICDMG was not version controlled, the date of production, the producer and next review date were not included on the document. - Commercial Rents - CSG Estates (medium): During fieldwork, we identified 8 expired leases/rent contracts (40%) which had not been renewed. The contract renewal process is slow, we identified that 8 cases (40%) the renewal took between 5 months to 5 years. - Commercial Waste - Street Scene (medium): Waste contract management controls are not operating effectively; we identified 12 cases (48%) where Business Recycling & Waste Agreement Forms were not counter-signed by LBB. - Premises Licensing and Gambling (PLG) - Re (medium) In the process of the audit we established that 8/15 credits notes issued (53%) were issued to previous holders of licenses who were no longer in control of the premises and had not informed PLG of their change of circumstances, 5/15 (33.3%) were issued to suspended customers; while 2/15 (13%) credit notes were issued to correct duplicated invoices. Additionally, we found that 12 invoices that were supposed to be cancelled in 2017 were still outstanding in Integra as at October 2019. It is also noted that all the AR requests for approval to take recovery action had not been granted. Lastly, we found that the council's debt write-off process was not followed by the team. - Education Accounts - Cambridge Education (medium): We found three cases (30%) which had no source document for invoices issued. We noted 10 cases (100%) where the old location of the team was on the invoices instead of the new location. We identified that in 100% of the debt write-off process tested, the LBB process was not followed. - Document Centre and Mailroom - CSG (medium): There is no evidence of adequate separation of duties in the printing process, we identified that whereas there is a good, separate first level security control of ID and password for members of staff printing the invoices, the second level of security is not adequate as the two members of staff use the same code to print. - Overpayments - Family Services (low): We noted that the overpayments bad debts were due to delay in accessing the necessary information required to enable the team to confirm outstanding invoices and chase them before they become doubtful or bad. We followed up to confirm that the actions agreed as part of the 2018/19 Debt Management audit had been completed. The AR2 concerning "Age debt monitoring" has been implemented while AR3 regarding "Third party debt collections" is not yet fully implemented, although reasonable progress has been made (See appendix 4). ## 2. Findings, Recommendations And Action Plan \| \| \| \| \|---------------\|---------\|-------\| \| Ref \| Finding \| Risks \| \| Risk \| \| \| \| category \| \| \| \| Agreed action \| \| \| ## 1 Invoices Procedure - Invoices Produced On Spreadsheet High a) All manually loaded A sample of eight invoicing teams were selected for testing across the Council and three of its contracted partners: CSG, Re and Cambridge Education. If invoices and credit notes are not independently reviewed and approved then there is a risk of error or fraud. The review established that Council's invoices are produced in two main ways: manual and electronic. The electronic method is produced, checked and authorised on the Integra system, while the manual method involves production of invoices using spreadsheets. The spreadsheets are then sent to the Integra team for upload into the system. The testing confirmed that adequate controls authorisation is in place for the electronic invoice production method through Integra; invoices are checked and authorised by appropriate officers. spreadsheets must include documented approval by an appropriate authorised person to evidence that the spreadsheet has been independently checked for accuracy, in line with the Financial Regulations requirement that separation of duties must be in place for all financial transactions. If invoicing teams are not aware of the procedures in place then, there a risk that Responsible officers: inconsistent practices may occur and go a) All invoicing teams across the undetected. However, manually loaded spreadsheets (invoices) in the service areas reviewed established that those service areas do not comply with section 3.1.2 of the Financial Regulations which state: "There must be adequate separation of duties to ensure that no one officer is able to handle any financial transaction from start to finish without there being some mechanism for independent checking. By finish is meant the completion of the accounting for the transaction". Council and its partners. Target date: The testing established that: 31 January 2020 - There is not adequate segregation of duties in the manual invoicing process in the two service areas we reviewed that had used this method. One member of staff starts the process from beginning to the end. - The spreadsheets are produced and forwarded to the Integra team for upload by the same officer without any authorisation or approval by a senior officer. - There is no evidence that the spreadsheets were checked and signed by a senior officer or a manager. \| Ref \| Finding \| \|---------------------------------------------------------------------\|-----------------------------------------------------------------------\| \| Risk \| \| \| - \| Unlike for teams invoicing via Integra, for manual spreadsheets there \| \| is no control on the Integra system to ensure that a senior officer \| \| \| approves the content of the spreadsheet on the system (see table \| \| \| below showing the invoicing teams sampled). \| \| Invoicing Teams Tested Team Using Integra Team Using Spreadsheet Team Using Integra and Spreadsheet Public Protection (Re): Licensing and Gambling Adult Social Care: Social Care and Ad-hoc Property Services & Valuation (CSG): Commercial Rents Note: this team had not invoiced via spreadsheet during the period under review Street Scene Commercial Services: Commercial Waste Education Partnership & Commercial Services (Cambridge Education): Education Account. Adult & Health: Actual Billing (Community) Early Intervention & Prevention (Family Services): Overpayments Adult & Health: Residential Care Homes 5 2 1 category Agreed action \| \| \| \| \|------\|---------\|-------\| \| Ref \| Finding \| Risks \| \| Risk \| \| \| ## 2. Invoicing Procedure - Income Collection And Debt Management Guidance (Icdmg) There is an Income Collection and Debt Management Guidance (ICDMG) document in place. A sample of eight invoicing teams were selected for testing and our discussion with each team established that six teams (75%) are unaware of the guidance note. Our testing found examples of the guidance not being followed, e.g. with regards to Write Offs (see findings 4 and 5 below). The guidance is not version controlled as the date of production and next review dates were not indicated on the document. Although, the Assistant Finance Manager (AR) informed us that the guidance was reviewed last year, there is no evidence to confirm this as the document was not version controlled. category Agreed action Medium (a) Finance will ensure that all invoicing teams are aware of and understand procedures as set out in the Income Collection and Debt Management If invoicing teams are not aware of the procedures in place then, there a risk that Guidance (ICDMG). This may require a training session or a notification each time the inconsistent practices may guidance is updated. occur and go (b) Finance will ensure that a undetected. procedure note is produced and publish on the intranet. (c) Finance will ensure that the Income Collection and Debt Management Guidance If process and procedure documents used by the Council are not version controlled then (ICDMG) is version controlled to ensure teams can identify and are using the correct version. inconsistent practices may occur and go undetected as Responsible officer: various versions of the documents may be in Assistant Income Manager circulation. Target date: 31 January 2020 \| \| \| \| \|------\|---------\|-------\| \| Ref \| Finding \| Risks \| \| Risk \| \| \| ## 2. Commercial Rents - Csg Estates The Commercial rents invoicing process was tested to ensure that the process and procedure comply with the Council's Income Collection and Debt Management Guidance. 20 invoices were randomly selected from year 2019/20 commercial rent list (portfolio) for our testing. The testing established that: - Contracts for eight out of 20 (40%) invoices selected are expired and are yet to be renewed. Effectively, the fees/charges have not been agreed and signed up to by the lessor. - The leases and rents renewal process is very slow. Our testing confirmed that for eight out of 20 (40%) rents/leases reviewed, it took an average of between 5months to 5years for renewal. During the process of renewal, tenants were not invoiced leading to loss of income to the Council. The table below shows the analysis of delays detected in the tenancy and rents/leases renewal process. Number of Customer Number Expiry Date Years 10043960 12/02/2014 5 years 10004859 30/06/2014 4 years + 10019650 15/03/2015 4 years 10004620 25/10/2016 3 years + 10060430 1/10/ 2017 2 years + 10026742 24/12/2017 1.5 years 10026754 25/12/2018 1 year 10029515 30/06/2019 4 months category Agreed action Medium a) The Commercial Rents team will If lease/rents contracts renewal process is ensure that expired leases and rents are renewed promptly to improve the income and cash flow of the Council. b) The lease and rent renewal process will be reviewed for efficiency and effectiveness and changes implemented where necessary. unnecessarily delayed then the council could lose income, potentially leading to budget pressures and cash flow Responsible officer: problems. Head of Property Services & Valuation Property Services Officer Target date: 31st March 2020 \| \| \| \| \|-----------------------------------\|---------\|-------\| \| Ref \| Finding \| Risks \| \| Risk \| \| \| \| category \| \| \| \| Agreed action \| \| \| \| a) The Commercial Waste team will \| \| \| ## 3. Commercial Waste - Street Scene \| \| \| \|--------\|-----------\| \| If \| \| \| \| contracts \| \| Medium \| \| Our testing of the commercial waste invoicing process revealed that records of transactions are maintained. However, the records are not complete and show evidence of lack of administrative/internal controls. agreements between the A sample of 25 invoices were obtained for testing and we established that: council and its clients are not ensure there are controls in place to certify that all waste contracts are reviewed for accuracy and correctness by making sure that all BRWA Form are countersigned by LBB staff and that signed copies of the form are retained appropriately. In 12/25 (48%) of the invoices tested, the "Business Recycling & Waste Agreement Form" (BRWA Form) were signed by the clients but not signed by LBB staff to show evidence of administrative and internal control; adequately documented and signed then there is a risk that Responsible officer: Street Scene Commercial Manager - In one case (4%), the BRWA Form was not signed by either of the two parties (i.e. representative of the Council and the client), which invalidates the contract; and charges for the Council's services to such clients might Finance& Performance Manager (Commercial Development Team) - S unenforceable, leading to the Target date: 31st March 2020 council losing income, or lead to disputes should there be a misunderstanding or reason for litigation. a) The Premises Licensing and ## 4 Premises Licensing And Gambling (Plg) - Re \| \| \|--------\| \| \| \| Medium \| A sample of 15 credit notes were obtained for testing and we established that 15/15 (100%) were issued to clients who were no longer in control of the premises and did not inform PLG of their change of circumstances. We noted that: If necessary and timely information is not available to the right team at the right time - 8/15 were issued to previous holder of licenses who were no longer in control of the premises and did not inform PLG of their change of circumstances then, there is a risk of delay in acting against Gambling team will review its processes in relation to termination and transfer of licences to ensure terminated clients are removed from the database for invoicing immediately. Team to also review last 12 months to ensure these have been actioned. \| Ref \| \|---------------\| \| Risk \| \| category \| \| Agreed action \| b) The PLG team will cancel all - 5/15 were issued to suspended customers debtors leading to loss of income or cash flow problems. - 2/15 were issued to correct duplicated invoices (and this is an avoidable error) outstanding items coded 49 in the system to ensure that the balances available in the account are accurate and correct. c) The PLG team will raise a call with If credit notes are delayed then, Furthermore, our review found that all the12 invoices coded 49 by Team Leader (Licensing & Anti-Social Behaviour) on Integra on 8th August and 12th September 2017 are still outstanding as at end of November 2019. Items coded 49 are supposed to be cancelled immediately but in this case the items were delayed without any reason. there is a risk that the account CST for any further bespoke reports that are required from Integra. balances might ## Debt Recovery \| be \| misleading \| \|-----------------------------\|---------------\| \| \| \| \| d) Henceforth, the Premises \| \| \| resulting \| in \| \| overstated \| \| \| income \| which \| The Premises Licensing and Gambling team stated they have no access to run the report that will enable them to obtain the necessary information required to act promptly against a licensing payments defaulter. The AR team provided evidence of the reports that they provide the PGR team with ('PRL DEBT' report and 'PRL debts MH'). Licensing and Gambling team will be routinely providing authorisation for the AR team to take recovery action against unpaid invoices when the premises ceased trading. would be reported by the council's external auditor. e) The Premises Licensing and Our discussion with the Team Leader (Licensing & Anti-Social Behaviour) confirmed their view that the reports received are not sufficient and the team is not configured to produce reports on Integra to enable it to effectively monitor its clients. Gambling team will explore the possibility of setting up direct debits for all its clients/customers to improve the council's income. f) The AR team will provide a direct Additionally, we noted that permission to take recovery action made by the AR for unpaid invoices where premises has ceased trading were not authorised by the Premises Licensing and Gambling Team (as the PLG team claimed they were unaware that authorisation is required) making it impossible for AR to pass the bad debt over for debt recovery and collection action. debit form with the correct address. ## Direct Debits g) The Premises Licensing and It is noted that updating customers' payment method to Direct Debit (DD)might reduce the debts and make it easier for the team to monitor payments effectively. The PLG team stated that their last attempt to update the customers' payment system to the direct debit method was not possible as the form provided by the AR team for the update carried the wrong Gambling team bad debts will be processed for approval in accordance with the Council's Financial Regulations. The team \| Ref \| \|---------------------------------------------------------------------------\| \| Risk \| \| category \| \| Agreed action \| \| \| \| will verify the required approval \| \| limits and comply with these. \| \| address (it carries the North London Business Park address instead of the \| \| team's Colindale address). \| ## Write-Off Responsible officer: Our review established that Premises Licensing and Gambling team wrote off bad debts annually with approval from the Commercial Premises Manager only. They were unaware of any other need for approval, as required by the Council's Financial Regulations. The team stated that the Commercial Premises Manager meets periodically with the AR team who had not provided any other process for the team to follow. However, the Financial Regulations form part of the Council's constitution which partners are required to comply with. The review confirmed that credit notes were raised to cancel outstanding invoices (effectively write-off bad debts). This method by-passes the process and controls put in place by management. ## Note: Please Also Refer To Finding 1, Invoices Procedure - Invoices Produced On Spreadsheet And Its Associated Action Which Should Be Taken Forward By The Plg Team: All manually loaded spreadsheets must include documented approval by an appropriate authorised person to evidence that the spreadsheet has been independently checked for accuracy, in line with the Financial Regulations requirement that separation of duties must be in place for all financial transactions. If there are no source documents for invoices issued 5 Education Welfare Accounts - Cambridge Education Ten invoices were randomly selected for our testing from the education penalty charges issued in the current financial year by the Education team. The invoices were issued to parents/guardians for unauthorised absenteeism from school. The testing established that: that the address on the invoices is changed to its current location from NLBP in accordance with the London Borough of Barnet Income Collection and Debt Management Guidance. then there is a risk that invoice disputes will be \| \| \| \| \|----------------------\|---------\|-------\| \| Ref \| Finding \| Risks \| \| Risk \| \| \| \| category \| \| \| \| Agreed action \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| difficult to resolve \| \| \| \| and inconsistent \| \| \| \| practices \| might \| \| - Three out of ten had no source document. Discussion with the officer indicated that the documents might have been shredded by the Education Welfare Manager. b) The Education team will ask be going - All the ten invoices tested had the team's old address of North London \| schools \| \|-------------------------------------------------------------------------\| \| \| \| undetected in the \| \| system. \| \| \| \| \| \| \| \| \| \| \| \| \| \| documents/forms to the team and \| \| the scanned copies will be kept \| \| electronically until the end of the \| \| financial year when bad debts will \| \| be written off and forms erased. \| \| \| \| Business Park, Oakleigh Road South, N11 1NP whereas the team is \| \| currently located in Colindale. This is contrary to the information on \| \| page 5 of the London Borough of Barnet Income Collection and Debt \| \| Management Guidance which states "All invoices will be raised within \| \| 2 days of service delivery……, and will include clear, relevant and full \| \| information as to: how to contact the Council if there is a query in \| \| relation to the invoice or in relation to making payment". \| \| \| \| \| \| \| \| \| \| \| \| c) Going forward, Education Account \| \| \| \| \| \| \| \| \| \| \| Team's credits, bad debts and doubtful debts will be processed for approval in accordance with the Council's Financial Regulations Write-Off Our testing established that the Education Accounts team wrote off debts annually with the authorisation of the Education Welfare Team Manager only. The review confirmed that credit notes for a total sum of £41,400 were raised to cancel outstanding invoices and debts at the end of the last financial year without the list of write-offs subsequently being signed off formally by the head of service. A proportion of this debt related to credits raised for prompt payment by parents within 21 days as stated under the terms of the invoice. Both these prompt payment credits and other bad debt write offs require management approval. (Fin Reg). The Team will verify the approval limits and comply with the provision of the Fin Reg. If an exception to the Fin Reg is required, this will be documented and approved by senior management and the Director of Finance. If credits, bad debts and Responsible officer: Note: Please also refer to Finding 1, Invoices Procedure - Invoices produced on Spreadsheet and its associated action which should be taken forward by the Education team: doubtful debts are processed without approval in accordance with the financial regulation provisions then All manually loaded spreadsheets must include documented approval by an appropriate authorised person to evidence that the spreadsheet has been independently checked for accuracy, in line with the Financial Regulations requirement that separation of duties must be in place for all financial transactions. there is a risk of \| \| \| \| \|------\|---------\|-------\| \| Ref \| Finding \| Risks \| \| Risk \| \| \| ## 6 Document Centre And Mailroom - Csg Our review/observation of the invoice production, compilation and postage process by the Document Centre & Mail team established that there are two levels of security to enable the two members of staff involved to print the invoices. The first level consists of ID and password and the second level is an access code. These two levels of security are supposed to be independent and distinct to ensure effective control and an efficient audit trail so that it is clear who printed the invoices. Our testing established that: - The first level of security for the two members of staff is satisfactory, each of them have distinct IDs and passwords; however: - the second level of security/control is unsatisfactory as the two staff members share one code instead of having distinct access. It is therefore not currently possible to confirm who has printed which invoices. The Document Centre and Mailroom Manager informed us that the CST- Helpdesk and Assistant Finance Manager (AR) have been informed of the problem but are yet to update the process. ## 7 Family Services Finance Team (Overpayments) The testing of the invoicing process by the Family Services (FS) Finance Team (Overpayments) is satisfactory. However, we observed that most of the bad debts that occurred in this area were due to a delay in accessing necessary information on the Integra finance system. The FS Finance Team is unable to produce aged debt reports from Integra to confirm outstanding invoices and chase these before they become doubtful or bad debts. category Agreed action misappropriation and fraud. a) The Document centre and Medium mailroom team will liaise with the CST-Helpdesk to ensure that the second level of printing security is separated between the two If adequate first level and second level of printing security is not put in place then, Document Centre & Mail team staff members responsible for printing. Responsible officer: Document Centre and Mailroom Manager there is a risk that the audit trail may not be clear and distinct in case of investigation. Target date: 31st March 2020 a) The Family Services Finance Team (Overpayments) will liaise with the AR team and CST to ensure they are given Integra access that will enable it to run aged debt reports. This will allow greater visibility of status of the debts and will enable the FS Finance Team to share information with the AR team where possible ## Ref Finding Risks Risk Category Agreed Action The FS Finance Team (overpayment) currently receives information on nonpaying clients after the debt has become doubtful or bad. to reduce the risk of debts becoming bad. ## Responsible Officer: Finance Manager (Family Services) and ineffectiveness leading to loss of income to the council. Target date: 31st March 2020 Whilst it is not the responsibility of the FS Finance Team to chase debts, having access to an aged debt Integra report would give them visibility of the status of outstanding debts and would allow them to share information with the Accounts Receivable (AR) team where possible to reduce the risk of debts becoming bad. ## Appendix 1: Definition Of Risk Categories And Assurance Levels In The Executive Summary Note: the criteria should be treated as examples, not an exhaustive list. There may be other considerations based on context and auditor judgement. ## Risk Rating Critical Immediate and significant action required. A finding that could cause: - Life threatening or multiple serious injuries or prolonged work place stress. Severe impact on morale & service performance (e.g. mass strike actions); or  - Critical impact on the reputation or brand of the organisation which could threaten its future viability. Intense political and media scrutiny (i.e. front-page headlines, TV). Possible criminal or high profile civil action against the Council, members or officers; or - Cessation of core activities, strategies not consistent with government's agenda, trends show service is degraded. Failure of major projects, elected Members & Senior Directors are required to intervene; or - Major financial loss, significant, material increase on project budget/cost. Statutory intervention triggered. Impact the whole Council. Critical breach in laws and regulations that could result in material fines or consequences. High Action required promptly and to commence as soon as practicable where significant changes are necessary. A finding that could cause: - Serious injuries or stressful experience requiring medical many workdays lost. Major impact on morale & performance of staff; or  - Significant impact on the reputation or brand of the organisation. Scrutiny required by external agencies, inspectorates, regulators etc. Unfavourable external media coverage. Noticeable impact on public opinion; or - Significant disruption of core activities. Key targets missed, some services compromised. Management action required to overcome medium-term difficulties; or - High financial loss, significant increase on project budget/cost. Service budgets exceeded. Significant breach in laws and regulations resulting in significant fines and consequences. Medium A finding that could cause: - Injuries or stress level requiring some medical treatment, potentially some workdays lost. Some impact on morale & performance of staff; or  - Moderate impact on the reputation or brand of the organisation. Scrutiny required by internal committees or internal audit to prevent escalation. Probable limited unfavourable media coverage; or - Significant short-term disruption of non-core activities. Standing orders occasionally not complied with, or services do not fully meet needs. Service action will be required; or - Medium financial loss, small increase on project budget/cost. Handled within the team. Moderate breach in laws and regulations resulting in fines and consequences. A finding that could cause: Low - Minor injuries or stress with no workdays lost or minimal medical treatment, no impact on staff morale; or  - Minor impact on the reputation of the organisation; or - Minor errors in systems/operations or processes requiring action or minor delay without impact on overall schedule; or - Handled within normal day to day routines; or - Minimal financial loss, minimal effect on project budget/cost. ## Level Of Assurance Substantial There is a sound control environment with risks to key service objectives being reasonably managed. Any deficiencies identified are not cause for major concern. Recommendations will normally only be Advice and Best Practice.  Reasonable  An adequate control framework is in place but there are weaknesses which may put some service objectives at risk. There are Medium priority recommendations indicating weaknesses but these do not undermine the system's overall integrity. Any Critical recommendation will prevent this assessment, and any High recommendations would need to be mitigated by significant strengths elsewhere. Limited There are a number of significant control weaknesses which could put the achievement of key service objectives at risk and result in error, fraud, loss or reputational damage. There are High recommendations indicating significant failings. Any Critical recommendations would need to be mitigated by significant strengths elsewhere.  No  There are fundamental weaknesses in the control environment which jeopardise the achievement of key service objectives and could lead to significant risk of error, fraud, loss or reputational damage being suffered. ## Appendix 2 - Analysis Of Findings \| Critical \| High \| Medium \| Low \| Total \| \|-------------------------\|---------\|-----------\|--------\|----------\| \| Area \| \| \| \| \| \| D \| OE \| D \| OE \| D \| \| Process and procedure \| \| \| \| \| \| \| \| \| \| \| \| - \| - \| 1 \| - \| 1 \| \| 2 \| \| \| \| \| \| Invoicing process \| \| \| \| \| \| - \| - \| - \| - \| - \| \| 5 \| \| \| \| \| \| Reconciliation process \| \| \| \| \| \| - \| - \| - \| - \| - \| \| - \| \| \| \| \| \| Access data restriction \| \| \| \| \| \| - \| - \| - \| - \| - \| \| 1 \| \| \| \| \| \| Follow up \| \| \| \| \| \| - \| - \| - \| - \| - \| \| - \| \| \| \| \| \| Total \| - \| - \| 1 \| - \| \| \| \| \| \| \| \| Key: \| \| \| \| \| - Control Design Issue (D) - There is no control in place or the design of the control in place is not sufficient to mitigate the potential risks in this area. - Operating Effectiveness Issue (OE) - Control design is adequate; however, the control is not operating as intended resulting in potential risks arising in this area. Timetable Terms of reference agreed: Fieldwork commenced: Fieldwork completed: Draft report issued: Management comments received: Final report issued: Date Date Date Date Date Date 23rd September 2019 30th Sept 2019 2-14th January 2020 14th November 2019 30th December 2019 17th January 2020 ## Appendix 3 - Identified Controls \| Area \| Objective \| Risks \| Identified Controls \| \|---------------------------------------------------------------------\|---------------\|------------\|------------------------\| \| Documented invoice process procedure in place. \| \| \| \| \| Process and \| \| \| \| \| Procedure \| \| \| \| \| Procedure available in electronic and hard copies. \| \| \| \| \| \| \| \| \| \| There are adequate invoicing \| \| \| \| \| processes and procedures in \| \| \| \| \| place and they operate \| \| \| \| \| effectively. \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Staff are aware of their role in \| \| \| \| \| the invoice production process, \| \| \| \| \| and perform their tasks \| \| \| \| \| appropriately. \| \| \| \| \| \| \| \| \| \| Procedure accessible to all members of staff involved in invoice \| \| \| \| \| processing. \| \| \| \| \| \| \| \| \| \| Procedure is reviewed and revised periodically. \| \| \| \| \| \| \| \| \| \| Roles responsibilities and separation of duties information is well \| \| \| \| \| documented. \| \| \| \| \| \| \| \| \| \| Next review date is documented on the procedure. \| \| \| \| \| \| \| \| \| \| If \| \| \| \| \| the current process is not \| \| \| \| \| documented and approved, \| \| \| \| \| there is a risk that inconsistent \| \| \| \| \| practices may go undetected \| \| \| \| \| and customers might not be \| \| \| \| \| invoiced. \| \| \| \| \| \| \| \| \| \| If \| \| \| \| \| the procedures and the \| \| \| \| \| process are not revised and \| \| \| \| \| updated regularly, there is a \| \| \| \| \| risk that the system may not \| \| \| \| \| include adequate separation \| \| \| \| \| of duties to reduce risk of \| \| \| \| \| fraud or collusion. \| \| \| \| \| \| \| \| \| \| If \| \| \| \| \| the process and procedures \| \| \| \| \| are not updated regularly, they \| \| \| \| \| may \| not \| enable \| staff \| \| understand their tasks or to \| \| \| \| \| avoid overlapping tasks or \| \| \| \| \| confusion. \| \| \| \| \| \| \| \| \| \| Invoicing \| \| \| \| \| Process \| \| \| \| \| There are adequate controls in \| \| \| \| \| place to ensure that the invoices \| \| \| \| \| are \| produced \| correctly, \| \| \| \| \| \| \| \| accurately and on time. \| \| \| \| \| If \| \| \| \| \| there is no documented \| \| \| \| \| invoicing process in place, \| \| \| \| \| there is a risk that income will \| \| \| \| \| not be collected on a timely \| \| \| \| \| basis leading to cash flow \| \| \| \| \| problems. \| \| \| \| \| Staff assigned to check \| \| \| \| \| arithmetical and other \| \| \| \| \| accuracies of invoices are \| \| \| \| \| aware of their responsibilities. \| \| \| \| \| If \| \| \| \| \| the invoice production \| \| \| \| \| process is not monitored and \| \| \| \| \| checked regularly, the \| \| \| \| \| invoices might not be raised in \| \| \| \| \| Documented and approved invoicing procedure is in place. \| \| \| \| \| \| \| \| \| \| Annual updates are carried out on electronic invoicing system. \| \| \| \| \| \| \| \| \| \| Test runs are carried out on the update to ensure that its accurate \| \| \| \| \| and such update should be signed off. \| \| \| \| \| \| \| \| \| \| There is segregation of duties in place and an individual officer \| \| \| \| \| cannot start and complete invoicing process. \| \| \| \| \| \| \| \| \| \| Senior member of staff is delegated to check the accuracy of the \| \| \| \| \| invoicing system and ensure that the content is correct. \| \| \| \| time or may be forgotten leading to loss of income. Checks are in place to ensure that mistakes are detected before its goes out of the council. If staff are not assigned to check the invoicing production process for accuracy, there is a risk that the inputting officer may not raise the invoices correctly or accurately or there may be errors or omissions in amounts invoiced. Reconciliation Process The suspense and unidentified accounts are monitored regularly and income moved appropriately or in to the correct accounts. If suspense and unidentified accounts are not reconciled regularly, there is risk of loss of income, fraud or misappropriated funds. If suspense accounts are not regularly reconciled and monitored, the council might be unable to trace or identify payees of income; There is segregation of duties between staff reviewing the suspense and unidentified accounts and staff given approval for movement of income to the appropriate accounts/codes. Reconciliations are performed on a regular basis between Accounts Receivable (AR) and the General Ledger (GL) to ensure mistakes and errors are detected on a timely basis. If income/payments are left in the suspense/unidentified accounts longer than necessary, there is a risk of having complaints from customers leading to bad publicity/image for the Council. Suspense accounts containing unidentified income or payments are monitored and reconciled weekly. Payments in the suspense account should be investigated and funds transferred to its appropriate code. There is a limit to numbers of days funds/payments could stay in the suspense account. Age analysis of suspense accounts items are produced on a monthly basis to determine if none of the items are over required limit. There is process in place for movement of funds in and out of the suspense account. Approvals are required for funds to be moved out of the suspense account. Monthly or weekly reconciliation in place and are checked and authorised by senior officers. If movements in and out of suspense/unidentified accounts are not monitored and approved, there is a risk of wrong accounts being debited in error or intentionally for fraudulent purposes; If reconciliation between AR and the GL is not carried out regularly, there is a risk that mistakes and errors will not be detected. Access Data Restriction There are controls in place to restrict access to data to prevent fraud and misappropriation of funds. Access to the invoicing system is restricted by ID and password. There is process in place to report leavers promptly to ensure deactivation of ID and password Audit trail of activities conducted by individual on the system should be retrievable in case of fraud investigation. There is sufficient audit trail in place to maintain and If access to the invoicing system is not restricted and leavers are not deleted on a timely basis, there is a risk that the undeleted access could be used to perpetrate fraud. demonstrate review and approval of invoices prior to production. If access to the invoicing system is not restricted and is being access by leavers, there is risk that the invoice history/audit trails might be untraceable, removed or eliminated to cover frauds and misappropriation. If there is an insufficient audit trail to maintain and demonstrate review and approval of invoices prior to production, there is a risk of lack of accountability which could lead to reputational damage. ## Follow-Up Of Previous Audit Recommendations 2018-19 Accounts Receivable - Debt Management And Collection \| Ref \| Finding \| Risks \| \|-----------------------------------------------------------\|-------------\|----------\| \| Agreed action \| \| \| \| Debt \| collection \| \| \| agencies are not \| \| \| \| engaged \| in \| a \| \| timely \| manner, \| \| \| AR3 \| \| \| \| Third Party Debt Collections \| \| \| \| A sample of 25 instances of debts collected by third \| \| \| \| parties for the period 01/04/2018 - 31/10/2018 (per the \| \| \| \| Council's accounts receivable listing) was reviewed. Our \| \| \| \| audit noted: \| \| \| \| - \| \| \| \| 1 / 25 instances where the Council has not performed \| \| \| \| leading to debts \| \| \| \| which might have \| \| \| \| been recoverable \| \| \| \| becoming \| \| \| \| unrecoverable. \| \| \| \| \| \| \| \| follow up procedures (or consulted with the Council's \| \| \| \| legal team) to seek recovery of a debt since December \| \| \| \| 2017, when initial recovery attempts were made by the \| \| \| \| Councils bailiff service at the time and the Council. \| \| \| \| The value of the debt was £1,641. \| \| \| \| During the course of our testing we also noted that there \| \| \| \| was not a valid current contract in place between this \| \| \| \| bailiff and CSG Finance. \| \| \| \| \| \| \| \| Internal \| \|-------------------------\| \| Medium \| \| Agreed Actions: \| \| 1. \| \| Ensure that the \| \| Assessment \| \| December 2019 \| \| In Progress \| \| Reasonable progress \| \| has been made. \| \| lack of valid current \| \| contract with this \| \| bailiff is addressed \| \| and that the \| \| Council's Contract \| \| Procedure Rules are \| \| adhered to. \| \| 2. \| \| Communicate \| \| The responsible officer \| \| reported progress as \| \| follows: \| \| \| \| Contract in place but \| \| not signed. High level \| \| consultation is \| \| expected to take place \| \| between Finance and \| \| Legal services to \| \| resolve some issues \| \| before final \| \| implementation. \| \| \| \| and reinforce the \| \| requirements for third \| \| party debt collection, \| \| including where initial \| \| recovery attempts \| \| made by the bailiff \| \| and the Council are \| \| not successful, to \| \| ensure that follow up \| \| procedures are \| \| performed, or the \| \| debt is written off if \| \| required. \| \| Responsible Officer: \| \| \| \| Head of Finance \| \| ( \| \| Exchequer) \| \| Ref \| Finding \| Risks \| \|-----------------------------------------------\|-------------\|----------\| \| Agreed action \| \| \| \| Where \| budget \| \| \| AR2 \| \| \| \| Aged debt monitoring \| \| \| \| Our audit noted: \| \| \| \| managers do not \| \| \| \| have \| sufficient \| \| \| - \| \| \| \| A sample of service managers advised that the \| \| \| \| details of aged debt \| \| \| \| and \| formal \| \| \| requirements \| for \| \| \| follow \| up \| and \| monthly aged debt report is high level only, and is insufficiently detailed for effective review of aged debt. As such, it is used for summary purposes only rather than detailed debt monitoring; - Whilst departmental budget managers are expected to monitor and recover aged debt, there is no formal requirement for any actions to be taken by departmental budget managers upon receipt of the monthly aged debt report (i.e. to evidence that debt monitoring and appropriate follow up procedures have been completed); and recovery procedures are not in place, there is an increased risk that staff may not have enough oversight of aged debt in their service area. Further, debt - The 'Aged Debt Report' at February 2019 showed the sum of aged debt older than one month was £18.3m, of which £3.6m was older than two years. monitoring may not be carried out in a way that allows targeted collection of debt and early identification of issues with particular debtors, leading to financial loss for the Council. \| Internal \| Audit \| \|-------------------------\|-----------\| \| Medium \| \| \| Agreed Actions: \| \| \| Management will: \| \| \| Assessment \| \| \| December 2019 \| \| \| 1. \| \| \| Review the monthly \| \| \| Implemented \| \| \| The response from the \| \| \| responsible officer and \| \| \| our review confirmed \| \| \| that: \| \| \| In addition to a high \| \| \| level summary report \| \| \| being \| produced \| \| aged debt reporting \| \| \| process. In \| \| \| conjunction with \| \| \| departmental budget \| \| \| managers, update \| \| \| and amend the \| \| \| format of the aged \| \| \| debt report to ensure \| \| \| that it is sufficiently \| \| \| detailed to allow \| \| \| service areas to \| \| \| conduct effective \| \| \| review and follow up \| \| \| of aged debt \| \| \| balances. \| \| \| 2. \| \| \| Develop and \| \| \| details of all invoices \| \| \| are attached to the \| \| \| report. One can drill \| \| \| down to a specific \| \| \| invoice by clicking on \| \| \| each \| service \| \| debt. \| \| \| \| \| \| The main service areas \| \| \| such \| as \| \| property \| services, \| \| commercial \| waste, \| \| licencing, print room \| \| \| etc. \| receive \| implement a process to ensure that departmental budget managers have completed debt monitoring and follow up procedures. This may include responding to the monthly aged debt report with details of follow up procedures undertaken and (where required), weekly/monthly report which details only their specific service area \| Ref \| Finding \| Risks \| \|-------------------------\|-------------\|-----------\| \| Agreed action \| \| \| \| actions to be taken to \| \| \| \| recover aged debt. \| \| \| \| and status of invoices \| \| \| \| and debts. \| \| \| \| 3. \| \| \| \| Review existing \| \| \| \| \| \| \| \| The \| Integra \| \| \| development \| team \| \| \| report \| has \| been \| \| improved and detail of \| \| \| \| the debt by cost centre \| \| \| \| is now available to \| \| \| \| assist \| each \| service \| \| aged debt balances \| \| \| \| to establish whether \| \| \| \| further debt recovery \| \| \| \| processes can be \| \| \| \| carried out, or \| \| \| \| whether write off of \| \| \| \| debt is required \| \| \| \| (particularly for debt \| \| \| \| which is older than \| \| \| \| two years). \| \| \| \| area / budget manager \| \| \| \| to \| ensure \| effective \| \| monitoring \| of \| their \| \| Responsible Officer: \| \| \| \| \| \| \| \| Head of Finance \| \| \| \| ( \| \| \| \| Exchequer) \| \| \| \| debts. \| \| \| \| \| \| \| \| \| \| \| ## Appendix 5– Internal Audit Roles And Responsibilities Limitations inherent to the internal auditor's work We have undertaken the review of Account Receivable Audit, subject to the limitations outlined below. ## Internal Control Internal control systems, no matter how well designed and operated, are affected by inherent limitations. These include the possibility of poor judgment in decision-making, human error, control processes being deliberately circumvented by employees and others, management overriding controls and the occurrence of unforeseeable circumstances. Specifically, we will not: - be focusing on controls in place for debt management which has been carried out in 2018/19 audit ## Future Periods Our assessment of controls is for the period specified only. Historic evaluation of effectiveness is not relevant to future periods due to the risk that: - the design of controls may become inadequate because of changes in operating environment, law, regulation or other; or - the degree of compliance with policies and procedures may deteriorate. Responsibilities of management and internal auditors It is management's responsibility to develop and maintain sound systems of risk management, internal control and governance and for the prevention and detection of irregularities and fraud. Internal audit work should not be seen as a substitute for management's responsibilities for the design and operation of these systems. We endeavour to plan our work so that we have a reasonable expectation of detecting significant control weaknesses and, if detected, we shall carry out additional work directed towards identification of consequent fraud or other irregularities. However, internal audit procedures alone, even when carried out with due professional care, do not guarantee that fraud will be detected. Accordingly, our examinations as internal auditors should not be relied upon solely to disclose fraud, defalcations or other irregularities which may exist.	en
4837-pdf	# Office Of Rail Regulation # Publication Scheme Guide # May 2011 ## Contents 1) Introduction..................................................................................................1 2) Who we are and what we do........................................................................1 Structure of ORR..........................................................................................1 Legislation ....................................................................................................2 Interface with other Government Departments and the industry ..................2 How to contact ORR.....................................................................................3 3) Accounts and Finance .................................................................................3 4) Aims and Objectives ....................................................................................3 Aim - our vision of success for Britain's railways .........................................3 Objectives.....................................................................................................4 5) Decision Making ..........................................................................................5 Board Meeting Minutes ................................................................................5 Accountability ...............................................................................................6 Consultations................................................................................................6 Inspection and Investigation.........................................................................6 6) Our polices and procedures.........................................................................6 Working at ORR ...........................................................................................6 Memoranda of Understanding......................................................................7 Customer Service.........................................................................................7 Complaints Procedures ................................................................................8 Data Protection.............................................................................................8 Charging.......................................................................................................9 7) Public Register...........................................................................................10 Register of Interests ...................................................................................10 8) Information and Guidance..........................................................................10 Selection of guidance and information available: .......................................10 ## 1) Introduction The Freedom of Information Act requires the Office of Rail Regulation (ORR) to adopt and maintain a Publication Scheme that sets out the information we intend to pro-actively publish as a matter of routine. The purpose of a publication scheme is to ensure that a significant amount of information is available, without the need to make specific general information requests. ## 2) Who We Are And What We Do 2.1 ORR is the independent safety and economic regulator for the railway industry. Details of our key roles and corporate strategy can be found at: http://www.rail-reg.gov.uk/server/show/nav.84 ## Structure Of Orr 2.2 ORR is an independent statutory body led by a Board. The Secretary of State for Transport makes appointments to the Board for a fixed term of up to five years and may dismiss a member on the grounds set out in paragraph 2 of Schedule 1 to the Railways and Transport Safety Act 2003. The Board is responsible for setting ORR's strategy and oversight of its efficient, effective and economic delivery. The Chair of the Board is Anna Walker. The Board meets monthly and consists of a mix of non-executive and executive directors. The Board has five Committees covering Approvals, Audit, Remuneration, Periodic Review and Safety Regulation and their terms of reference are included in the Board Rules of Procedure. For biographical details for Board members and the independent member of its Audit Committee please see: http://www.rail-reg.gov.uk/server/show/nav.1197 This link also provides access to the Board's rules of procedure, remuneration & register of interests and Board minutes. 2.3 The chief executive is an executive member of the Board. He is responsible for the delivery by the Office of the strategy set by the Board, for carrying out effectively the duties assigned to ORR under statute. He is in charge of ensuring the Office operates efficiently, with integrity and probity. He works closely with the chair to engage with external stakeholders at all levels. 2.4 There are six Directorates each headed by an Executive Director, overseen by the Chief Executive. These Directorates are: - Corporate services; - External affairs; - Legal services; - Rail markets and economics; - Rail planning and performance; - Railway safety. For further details of the Executive Directors and Directorates see: http://www.rail-reg.gov.uk/server/show/nav.76 ## Legislation 2.5 The national rail network infrastructure (track, signalling, bridges, tunnels and stations) is owned and operated by Network Rail. ORR's principal function is to regulate Network Rail's stewardship of the national rail network and to enforce health and safety legislation on Britain's railways. ORR has a range of statutory powers under the Railways Act 1993. Using these powers, it sets the contractual and financial framework within which Network Rail operates the network, ensuring that the company carries out its activities efficiently and well, and that it is appropriately funded. The framework for the regulation of Network Rail is designed to provide effective incentives so that the company is rewarded for doing a good job. If necessary however, ORR may enforce compliance with the network licence if the network operator fails to fulfill its obligations, and it may also impose monetary penalties. Details of railway related legislation which ORR is involved in can be found at: http://www.rail-reg.gov.uk/server/show/var.1836 ## Interface With Other Government Departments And The Industry 2.6 Through its statutory functions, ORR works closely with various stakeholders, including: - Department for Transport; - Rail Accident Investigation Branch; - British Transport Police; - Health and Safety Executive; - Network Rail; - Train and freight operating companies; - Association of Train Operators (ATOC); - Passengerfocus; - London TravelWatch; - Heritage Railways Association; - Transport for London; - Tram operators; - Light rapid transit operators. - Channel Tunnel Safety Authority (CTSA); and - Rail trade unions. ## How To Contact Orr 2.7 Our contact details can be found at: http://www.rail-reg.gov.uk/server/show/nav.27 ## 3) Accounts And Finance 3.1 Details of our budgets, expenditure, financing and staff costs can be found in our annual report and resource accounts. The latest report incorporated in our annual report 2009-10, covering 1 April 2009 - 31 March 2010 can be found at: http://www.rail-reg.gov.uk/upload/pdf/371.pdf ## 4) Aims And Objectives 4.1 ORR's current aims and objectives have been developed in full consultation with external stakeholders. The aims form our vision for success for Britain's railways and the objectives are based on seven strategic themes. They are summarised below and further details can be found in our corporate strategy 2009-14 and latest business plan: http://www.rail-reg.gov.uk/server/show/nav.77 ## Aim - Our Vision Of Success For Britain'S Railways - Satisfaction levels of passenger and freight companies equivalent to the best in railways and other forms of transport. - Zero workforce and industry-caused passenger fatalities, with an ever decreasing overall safety risk. - Efficiency equivalent to that achieved by the best comparable railways across the world. ## Objectives Theme 1 Focus On Passenger And Freight Customers Now And In The Future Passenger and freight customers benefit from improved safety, performance, efficiency and capacity. ## Theme 2 Excellence In Health And Safety Culture And Risk Control All parts of the railway have excellent health and safety culture and risk control processes. ## Theme 3 Excellence In Asset Management That by 2014 whole life asset management in the railway industry matches that of best practice comparators. ## Theme 4 Improved Industry Planning And Timely And Efficient Delivery Of Major Projects That committed improvements to the railways are delivered in a timely and efficient way, and credible plans are in place to meet the longer term challenges the industry faces. ## Theme 5 Efficient Use Of Capacity On The Mainline Network That the mainline industry has in place arrangements to achieve the best use of capacity on the network. ## Theme 6 Development By The Industry Of The Capabilities Of Its People All parts of the industry put in place arrangements so that they have and can sustain the skills and competence needed to meet the challenges of 2009 -14 and beyond. ## Theme 7 High Quality Data And Information For Key Decisions That data produced by the industry is better turned into information so that all parties can make effective and consistent use of it, and the industry's management systems are more robust and meet international standards. 4.2 We publish an annual report including resource accounts and also a yearly overview of health and safety in the railway industry. These can be viewed at: http://www.rail-reg.gov.uk/server/show/nav.1240 http://www.rail-reg.gov.uk/server/show/nav.2457 ## 5) Decision Making 5.1 Orr Makes Decisions In A Number Of Ways: - The ORR Board has overall responsibility. It has a number of committees which serve the Board in an advisory role. The Board reserves some decisions to itself but has otherwise delegated authority to: - Our chief executive, who in turn, has delegated some of his authority to: - Individual directors, who make individual decisions and use their authority within the scope of their roles. In some instances, the Board has also delegated some authority directly to directors. - The chief inspector makes decisions, using authority delegated by the Board, on health and safety enforcement matters, but must do so in accordance with any health and safety enforcement policy it has approved. - Directors' group (DG) is the forum that the chief executive uses to discuss, monitor and make decisions with the directors collectively and ensure a consistent approach on significant management and policy matters. In addition, DG ensures oversight of delivery of the corporate strategy/business plan, corporate governance, and value for money. It approves draft Board reports, makes key cross-directorate policy decisions, provides policy steer and monitors and reviews corporate information such as the accounts. - Some staff members have statutory functions delegated to them by the Board, for example the approval of routine access agreements. Every staff member makes decisions in the course of their job within their directorate and the wider ORR. ## Board Meeting Minutes 5.2 Minutes of meetings of the Board can be found at: http://www.rail-reg.gov.uk/server/show/nav.83 ## Accountability 5.3 For details of our accountability see: http://www.rail-reg.gov.uk/server/show/nav.93 Consultations 5.4 ORR issue various consultation documents, including consultations on: - Land disposal. - Licence applications. - Track Access applications. - Station Access applications - Depot Access applications. Further information and responses are available at: http://www.rail-reg.gov.uk/server/show/nav.1089 Inspection and Investigation 5.5 Details of our processes for inspection and investigation incidents in relation to health and safety can be found at: http://www.rail-reg.gov.uk/server/show/nav.1077 6) Our polices and procedures ## Working At Orr 6.1 ORR employ around 300 people, responsible for regulating the stewardship of the national railway network, the relationships between train operators and the network operator, enforcing health and safety legislation on the railways and many other key aspects of rail service provision. These include the issue and enforcement of licences, approval of key industry contracts (in particular the setting of track access charges) and competition law powers. ORR is largely based in at their headquarters near Covent Garden, London. We also have five regional offices at Birmingham, Bristol, Glasgow, Manchester, and York. 6.2 ORR is committed to equal opportunities and details of our policies in relation to equality, race and disability can be found at: http://www.rail-reg.gov.uk/server/show/nav.110 6.3 Details of current vacancies are available at: http://www.rail-reg.gov.uk/server/show/nav.112 ## Memoranda Of Understanding 6.4 ORR has Memoranda of Understanding with a number of different government departments. Their purpose is to promote effective co-ordination of the regulatory roles of each body, and effective co-operation between them. It is not intended to be legally binding or to create expectations whose nonfulfillment would give rise to rights at law. Memoranda of understanding are sometimes accompanied by Agency Agreements which relate the functions which the ORR has agreed to perform of others. For details please see: http://www.rail-reg.gov.uk/server/show/nav.1242 ## Customer Service 6.5 ORR has a Customer Correspondence Team to ensure that anyone who contacts the office receives a prompt and full response to their comment, query or request for information under the Freedom of Information Act 2000. CCT members are available between 09.00 and 17.00 Monday to Friday (except public holidays). If you write, we will: - send you a full reply within twenty working days; and - respond to your complaint or enquiry as fully as possible, or where necessary refer your complaint to the appropriate rail industry or regulatory body. If you telephone, we will: - respond to any messages received on the telephone answering machine as soon as possible. If you send an e-mail, we will: - provide you with a full response within twenty working days; and - refer your e-mail to the most appropriate organisation or regulatory body if necessary. The team can be contacted as follows: Customer Correspondence Team Office of Rail Regulation One Kemble Street London WC2B 4AN Telephone: 020 7282 2018 / 3857 / 3925 / 3941 /3951 Email: contact.cct@orr.gsi.gov.uk If we fail to meet any of our target response times, we would expect you to contact us immediately. 6.6 We publish details of Freedom of Information requests received which have a wider public interest. These can be viewed at: http://www.rail-reg.gov.uk/server/show/nav.73 6.7 Requests for information made under the Environmental Information Regulations 2004 should be made to the Customer Correspondence Team ## Complaints Procedures 6.8 We have procedures for dealing with the following type of complaints: - Health and safety complaints. - Complaints about the railway infrastructure. - Complaints made under the Competition Act 1998. - Complaints against ORR. Guidance on these procedures can be found at: http://www.rail-reg.gov.uk/server/show/nav.2730 ## Data Protection 6.9 ORR is bound by the principles of the Data Protection Act 1998 (DPA 1998). The DPA 1998 regulates the processing of personal data relating to individuals (referred to as data subjects). The DPA 1998 includes a number of exemptions to protect certain sensitive personal data held by public bodies. 6.10 Any personal data held will be processed in compliance with DPA 1998 and any codes of practice issued by the Information Commissioner and will be stored in a secure, confidential and appropriate manner 6.11 ORR is committed to upholding the following principles (a) personal data will be processed fairly and lawfully; (b) the amount of personal data held will be adequate, relevant and not excessive in relation to the purposes for which it is held; (c) personal data will be accurate and, where necessary, kept up to date; (d) personal data will be obtained only for the specified and lawful purposes and will not be further processed in any manner incompatible with the purpose(s); (e) personal data will only be held for so long as it is necessary to enable those specified and lawful purposes to be achieved; (f) any individual about whom personal data is retained or is being processed will be informed by the ORR of: (i) the purpose for which this is being done; (ii) to whom such data may be disclosed; (iii) the source of such data and who will have access to it, in an intelligible form upon request; and (iv) how to have such data corrected or erased, where appropriate. (g) personal data will be secured against unauthorised or unlawful processing, accidental loss, destruction or damage; (h) personal data will only be transferred to a country outside the European economic area if that country's laws provide similar protection to the individual concerned or if such transfer is necessary for the performance of any obligations under the contract of employment or for any other lawful reason. 6.12 Details of our information charter can be found at: http://www.rail-reg.gov.uk/server/show/nav.289 Charging 6.13 ORR is funded through a combination of licence fees and a railway safety levy. Economic regulation activities are funded through the licence fee and health and safety activities through the safety levy. Further details can be found at: http://www.rail-reg.gov.uk/server/show/nav.1238 ## 7) Public Register 7.1 The Office of Rail Regulation (ORR) is required under section 72 of the Railways Act 1993 to maintain a public register. The provisions to be entered in the public register are detailed in section 72. Details, together with information on health and safety enforcement action (notices and prosecutions) electronically via our website at: http://www.rail-reg.gov.uk/server/show/nav.274 ## Register Of Interests 7.2 Paragraph 18(1), Schedule 1 of the Railways and Transport Safety Act 2003 requires ORR Board Members, Committee Members or employees who have a financial or other personal interest that is likely to influence their performance of a particular function to declare that interest. The Register is available for scrutiny by the public. The entries for ORR Board Members are available at: http://www.rail-reg.gov.uk/server/show/nav.82 ## 8) Information And Guidance 8.1 ORR regulates Network Rail, the owners of the national rail infrastructure and we publish a wide range of information and guidance for the railway industry and members of the public. 8.2 Details of our most requested and popular items can be accessed via the links shown below: ## Selection Of Guidance And Information Available: - Minutes of ORR Board meetings http://www.rail-reg.gov.uk/server/show/nav.83 - Press notices http://www.rail-reg.gov.uk/server/show/nav.40 - Public register http://www.rail-reg.gov.uk/server/show/nav.274 - Annual reports http://www.rail-reg.gov.uk/server/show/nav.1240 - Corporate strategy http://www.rail-reg.gov.uk/server/show/nav.78 - Business plan http://www.rail-reg.gov.uk/server/show/nav.79 - National rail trends http://www.rail-reg.gov.uk/server/show/nav.2026 - Periodic review 2008 http://www.rail-reg.gov.uk/server/show/nav.180 - Station usage data http://www.rail-reg.gov.uk/server/show/nav.1529 - Information catalogue http://www.rail-reg.gov.uk/server/show/nav.1530 - Network Rail licence http://www.rail-reg.gov.uk/server/show/nav.141 - Agreements and contracts http://www.rail-reg.gov.uk/server/show/nav.1823 - Operator licensing http://www.rail-reg.gov.uk/server/show/nav.192 - Complaints about rail fares and car park charges http://www.rail-reg.gov.uk/server/show/nav.2033 - Policy consultation documents http://www.rail-reg.gov.uk/server/show/nav.67 - Reporting of serious railway incidents to ORR http://www.rail-reg.gov.uk/server/show/nav.1845 - Safety guidance and research http://www.rail-reg.gov.uk/server/show/nav.1096 - Key safety topics http://www.rail-reg.gov.uk/server/show/nav.1340 - Enforcement of health and safety legislation http://www.rail-reg.gov.uk/server/show/nav.1120 - The Railways and Other Guided Transport Systems (Safety) Regulations 2006 (ROGS) http://www.rail-reg.gov.uk/server/show/nav.1511 - Railway safety statistics http://www.rail-reg.gov.uk/server/show/nav.1932	en
1095-pdf	## Blaby District Council Pay Policy Statement 2016/17 1. Introduction 1.1 Section 38 of the Localism Act 2011 requires local authorities to produce an Annual Pay Policy Statement 1.2 This Pay Policy Statement includes: (a) the level and elements of remuneration for Chief Officers; (b) the remuneration of the lowest paid employees; (c) the pay differential, known as the 'pay multiple' between the remuneration of Chief Officers and other officers and (d) other aspects of Chief Officer remuneration, fees and charges and other discretionary payments ## 2. Principles 2.1 Blaby District Council recognises that, in the context of managing scarce resources, remuneration at all levels needs to be adequate to secure high quality employees who provide excellent services to the public, yet at the same time needs to avoid being unnecessarily generous or otherwise excessive. This pay policy sets out how the Council determines pay decisions across all aspects of pay and provides a framework to assist council Members in determining a pay strategy in a fair and equitable way within the council's Medium Term Financial Strategy. 2.2 The Public Sector Equality Duty also requires the Council to develop and publish a policy on how it is meeting its duty, having due regard to the need to eliminate unlawful discrimination particularly in relation to employment and pay. The council supports the principle of equal opportunities in employment and acknowledges that men and women should receive equal pay for the same or broadly similar work, for work rated as equivalent and for work of equal value. This Pay Policy sets out the Council's approach in ensuring equality of pay in line with those legal requirements. 2.3 It is important that local authorities are able to determine their own pay structures in order to address local priorities and to compete in the local labour market. ## 3. Scope 3.1 The policy covers all staff employed by the Council irrespective of grade and conditions of service. It will have reference to national agreements which affect pay and grading including:  National Agreement on Pay and Conditions of Service (the Green book, for all staff below Head of Service)  Joint Negotiating Committee for Chief Officers  Joint Negotiating Committee for Chief Executives A copy of the Council's salary scales is at Appendix A. ## 4. Remuneration Of Senior Officers 4.1 In this policy the senior pay group refers to posts within the top three tiers of the organisation. These include the Chief Executive Officer, (1) Directors (2) and Chief Officers (7). ## 4.2 Chief Executive 4.2.1 The Chief Executive is the head of the council's paid service. The salary paid to the Chief Executive (this excludes Returning Officer fees which are paid separately) is approved by full Council at the time of appointment. 4.2.2 The current salary range for the Chief Executive is £87,892 - £100,000 per annum; the range contains 5 increments and is subject to cost of living increases agreed by the Joint National Council (JNC). This is a local grade which was established in 2011, following an analysis of the degree of responsibility in the role, benchmarking with other comparators and the ability to recruit and retain an exceptional candidate. 4.2.3 The Chief Executive Remuneration Panel, which comprises of the elected leader and the leaders of the opposition groups, determines incremental pay progression on an annual basis with the potential to increase one point every year subject to agreed priorities being met. The current Chief Executive is currently on point 1 of a 5 point scale 4.2.4 Other conditions of service are as prescribed by the JNC for Local Authority Chief Executives national conditions. ## 4.3 Directors And Group Managers 4.3.1 The pay and grading for the Directors and Group Managers are evaluated using a local evaluation scheme. Its methodology reviews current job information including: job descriptions, staff structure including lines of accountability and capital and revenue budget responsibility. This information is used to determine the value of the job size and comparison with other Councils. 4.3.2 The grades are as follows: Directors Salary Range £66,329 - £77,809 Group Managers Salary Range £45,367 - £62,030 4.3.3 These salaries are subject to cost of living increases agreed by Joint Negotiating Committee for Chief Officers. Other conditions of service are as prescribed by the JNC for Local Authority Chief Officers ## 4.4 Other Allowances 4.4.1 The Council operates an essential car user scheme in accordance with JNC handbook. 4.4.2 Fees are payable for Returning Officer duties which are not part of the post holder's substantive role. Whilst appointed by the council, the role of the Returning Officer is one which involves and incurs personal responsibility and accountability and is statutorily separate from his/her duties as an employee of the council. Returning Officer fees are variable and paid based upon the number of electors per election. The Returning Officer for the council is the Chief Executive. 4.4.3 For any Chief Officer who undertakes duties that have been procured by another local authority, a discretionary payment (honorarium) will be made following an assessment of the additional time that the Chief Officer will spend in carrying out these additional duties. 4.4.4 There are two additional proper officer appointments within the Council; that of S151 Officer and the Monitoring Officer. The S151 Officer role is currently undertaken by the Director of People & Finance and recompense for this responsibility is subsumed within the current salary for this role. The Monitoring Officer appointment is currently carried out by a Chief Officer who receives an additional responsibility allowance. 4.4.5 There are no other additional elements of remuneration in respect of: overtime, bank holiday working, standby payments etc. paid to senior staff as they are expected to undertake duties outside their contractual hours and working patterns without additional payment. ## 5. Pay Structure 5.1 The current pay structure (Grades 1-9) applies to all employees excluding the senior pay group. Salaries within the pay spine are subject to pay awards as agreed by the National Agreement on Pay and Conditions of Service (NJC). From 1 April 2016 the lowest paid employee will be paid at spinal point 6 within Scale 1 at a full time equivalent basic pay rate of £14,514 per annum and is above that of the National Living Wage. 5.2 All posts are evaluated using the NJC Job Evaluation Scheme, which is recognized by public sector employers and unions nationally. This scheme allows for robust measurement against set criteria resulting in fair and objective evaluations and ensures equal pay. 5.3 Progression within the grade for all staff takes place annually on 1 April, with the exception of newly appointed employees with start dates between November and March, who will receive their first increment six months after their start date. Any subsequent increments will then occur on 1 April in line with all other employees. 5.4 The grading structure aims to meet the current and/or market position for most jobs. At certain times some types of jobs are very scarce either because of national shortages or high demand for certain skills. ## 6. Other Allowances 6.1 NJC employees may claim allowances which may be locally and nationally agreed in the course of their work duties. A list of typical allowances that employees can claim is set out at Appendix B. ## 7. Pension Arrangements 7.1 All employees of the council, irrespective of pay group, are entitled to join the Local Government Pension Scheme. The table below sets out the varied rates that employees are required to contribute based upon their whole time salary. The employee contribution rates for 2016/17 are below: \| Actual Pensionable Pay \| Gross contribution rate \| \|---------------------------\|-----------------------------\| \| Up to £13,600 \| 5.5% \| \| £13,601 to £21,200 \| 5.8% \| \| £21,201 to £34,400 \| 6.5% \| \| £34,401 to £43,500 \| 6.8% \| \| £43,501 to £60,700 \| 8.5% \| \| £60,701 to £86,000 \| 9.9% \| \| £86,001 to £101,200 \| 10.5% \| \| £101,201 to £151,800 \| 11.4% \| \| More than £151,801 \| 12.5% \| The council, as an employer, currently contributes 17.17% of the employee's basic salary plus an overall flat rate cash contribution of £300,000 to the fund. This equates to approximately 22.8% of pensionable pay. ## 8. Multipliers 8.1 Publishing the pay ratio of the organisation's top earner to that of its lowest paid earner and median earner has been recommended to support the principles of Fair Pay (Will Hutton, 2011) and transparency. 8.2 In the context of the council's payroll the Chief Executive, who is the top earner in the Council, currently earns £88,771 per annum. This is 3.57 times the average earnings in the Council, 3.96 times the median earnings and 5.39 times the lowest earner. 8.3 The multipliers will be monitored each year as part of the review of the Pay Policy Statement. ## 9.0 Severance Payments 9.1 The council operates a voluntary severance scheme which is applicable to all employees of the Council. The scheme applies to:  Redundancy  Voluntary early retirement 9.2 Redundancy Redundancy payments are payable to Employees, who are dismissed on the grounds of redundancy and who have at least two years' continuous employment at the date of termination of employment. Redundancy payments use an actual week's pay (annual salary divided by 52 pro rata'd as appropriate) or the statutory capped figure, whichever is the higher. 9.3 Early Retirement - efficiency grounds Employees who will be 55 or more and have at least 2 years' pensionable service in the Local Government Pension Scheme (LGPS) may retire early upon entering into a formal agreement with the Council which will include a mutually agreed retirement date, where it is considered to be in the interests of the efficient exercise of the Council's functions. The employee will not receive a severance payment or additional year's service but will have access to the pension scheme. The capital cost of early payment of pension benefits is subject to approval by Council ## 9.4 Flexible Retirement An employee who is a member of the LGPS and 55 years or over may request, with the Councils consent, to reduce their hours and/or grade and make an election to the administering authority for payment of their accrued benefits without having retired from employment. However the council will only agree to release pension where there is no capital cost to the authority. ## 10. Re-Employment/Engagement Of Senior Managers 10.1 Where a senior manager, as defined under paragraph 4.1, has left the authority on redundancy or early retirement grounds, the authority will not normally re-employ at a later stage or re-engage the former employee as a consultant. ## 11. Decision Making 11.1 Decisions on remuneration are made as follows: (a) Chief Executive local pay structure approved by full Council (b) Performance progression of Chief Executive approved by Chief Executives Remuneration Panel (c) Pay structure for Directors and Chief Officers posts approved by full Council ## Blaby District Council Salary Scales 1 April 2016 \| Scale 1 \| \| \| Scale 2 \| \| \| Scale 3 \| \|------------\|--------\|-----------\|-------------------\|---------\|-----------\|-------------------\| \| (0-279) \| \| \| (280-379) \| \| \| (380-428) \| \| S.P. \| £ \| \| S.P. \| £ \| S.P. \| £ \| \| \| \| \| \| \| \| \| \| 6 \| \| 14,514 \| \| 12 \| \| 15,823 \| \| 7 \| \| 14,615 \| \| 13 \| \| 16,191 \| \| 8 \| \| 14,771 \| \| 14 \| \| 16,481 \| \| 9 \| \| 14,975 \| \| 15 \| \| 16,772 \| \| 10 \| \| 15,238 \| \| 16 \| \| 17,169 \| \| 11 \| \| 15,507 \| \| 17 \| \| 17,547 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Scale 4 \| \| \| Scale 5 \| \| \| Scale 6 \| \| (429-468) \| \| \| (469-554) \| \| \| (555-609) \| \| S.P. \| £ \| \| S.P. \| £ \| S.P. \| £ \| \| \| \| \| \| \| \| \| \| 23 \| \| 21,057 \| \| 28 \| \| 24,717 \| \| 24 \| \| 21,745 \| \| 29 \| \| 25,694 \| \| 25 \| \| 22,434 \| \| 30 \| \| 26,556 \| \| 26 \| \| 23,166 \| \| 31 \| \| 27,394 \| \| 27 \| \| 23,935 \| \| 32 \| \| 28,203 \| \| \| \| \| \| \| 33 \| \| \| \| \| \| \| \| 34 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Scale 7 \| \| \| \| Scale 8 \| \| \| \| (610-639) \| \| (640-654) \| \| \| (655-669) \| \| \| S.P. \| £ \| \| S.P. \| £ \| \| \| \| \| \| \| \| \| \| \| \| 39 \| 34,196 \| \| 43 \| \| 37,858 \| \| \| \| \| \| \| \| \| \| \| 42,474 \| \| \| \| \| \| \| \| 40 \| 35,093 \| \| 44 \| \| 38,789 \| \| \| 41 \| 36,019 \| \| 45 \| \| 39,660 \| \| \| 42 \| 36,937 \| \| 46 \| \| 40,619 \| \| \| 43 \| 37,858 \| \| 47 \| \| 41,551 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| ## Chief Officers Scale 10 Scale 11 Scale 12 (670-689) (690-710) (711 - ) S.P. £ S.P. £ S.P. £ A 45,367 A 49,388 A 54,897 B 48,720 B 52,953 B 58,463 C 62,030 Directors Scale 13 Scale 14 S.P £ S.P £ A £66,329 A £74,139 B £68,380 B £77,809 C £71,980 Chief Executive S.P £ A £88,771 B £92,644 C £96,103 D £99,561 E £101,000 ## Local Allowances - Njc Staff Saturday And Sunday Working: If weekend working is not part of a normal working week (that is regular rostered weekend working) then the following payments apply. Saturday - Time and half Sunday - Time and half if basic pay above SCP 11 Double time if basic pay at or below SCP 11 If weekend working is part of a normal working week then plain time rates apply unless part of an approved overtime arrangements in which circumstance overtime rates will apply. ## Additional Hours And Overtime Payments Employees, on or below SCP 34, and required to work additional hours beyond a full 37 hour week (or average 37 hour week) are entitled to receive time and half for additional hours worked Monday to Saturday and double time for additional hours worked on a Sunday. Part time workers are entitled to these enhancements only after a 37-hour week (or average 37 hour week) is exceeded, although rostered work on a Saturday and Sunday will attract the overtime allowance. For employees on or above SCP 35 enhanced rates will not be paid. In exceptional circumstances the Head of Service may agree that overtime at plain time rates may be paid in order to clear backlogs or catch up on projects. In normal circumstance employees are expected to accrue and bank approved additional hours as time off in lieu. Managers have a responsibility under health and safety legislation to ensure that excessive hours are not worked and that accumulated TOIL is taken on a regular basis. Overtime payments are full settlement and are not enhanced by any other allowance e.g. a shift allowance that is paid on normal working hours. ## Public And Extra Statutory Days Employees required to work on a public or extra statutory day shall be paid at plain time for all hours worked within their normal working hours for that day. In addition, time off with pay shall be allowed as follows: Less than half normal hours worked - half day More than half normal hour's worked - full day	en
1268-pdf	Annual report and accounts 2016–17 Annual report and accounts 2016–17 ## Correction Slip 1 Title: BEIS Annual Report and Accounts 2016-17 Session: 2017/18 HC 202 Print ISBN: 9781474143059 Web ISBN: 9781474143066 Ordered by the House of Commons to be printed 19 July 2017 ## Correction: There are two rows missing from the bottom of the table on page 158. The two rows should read: Low carbon price assumption: Favourable changes: nil, Unfavourable changes: 6,480 High carbon price assumption: Favourable changes: 6,340, Unfavourable changes: nil ## Correction Slip 2 Title: BEIS Annual Report and Accounts 2016-17 Session: 2017/18 HC 202 Print ISBN: 9781474143059 Web ISBN: 9781474143066 Ordered by the House of Commons to be printed 19 July 2017 Correction: Page 81 shows ethnicity data for BEIS as follows: 16% BAME 16% Prefer not to say 35% White 33% Unknown The corrections data should state: 9% BAME 3% Prefer not to say 51% white 37% unknown ## Annual Report And Accounts # 2016–17 ## For The Year Ended 31 March 2017 Accounts presented to the House of Commons pursuant to Section 6(4) of the Government Resources and Accounts Act 2000 Annual Report presented to the House of Commons by Command of Her Majesty Ordered by the House of Commons to be printed on 19 July 2017 HC 202 This is part of a series of departmental publications which, along with the Main Estimates 2017-18 and the document Public Expenditure: Statistical Analyses 2017, present the Government's outturn for 2016-17 and planned expenditure for 2017-18. ## © Crown Copyright 2017 This publication is licensed under the terms of the Open Government Licence v3.0 except where otherwise stated. To view this licence, visit nationalarchives.gov.uk/doc/open-government-licence/version/3 or write to the Information Policy Team, The National Archives, Kew, London TW9 4DU, or email: psi@nationalarchives.gsi.gov.uk. Cover Image: UK from the International Space Station at night © ESA/NASA p246 Image: Visit England, p32 Image: © VisitBritain/Michael Turtle This publication is available at www.gov.uk/government/publications Any enquiries regarding this publication should be sent to us at: 1 Victoria Street, London. SW1H 0ET Tel: 020 7215 5000 Email: enquiries@beis.gov.uk Print ISBN 9781474143059 Web ISBN 9781474143066 ID 07041701 07/17 Printed on paper containing 75% recycled fibre content minimum Printed in the UK by the Williams Lea Group on behalf of the Controller of Her Majesty's Stationery Office ## Contents \| Foreword by the Secretary of State \| 6 \| \|----------------------------------------------------\|-----\| \| Report of the Permanent Secretary \| 7 \| \| Performance report \| 8 \| \| Overview \| 9 \| \| Our purpose \| 9 \| \| What we are aiming to achieve \| 9 \| \| How we were formed \| 10 \| \| How we are organised \| 11 \| \| Our highlights this year \| 12 \| \| Where we spent our money in 2016-17 \| 14 \| \| Our performance \| 16 \| \| Our aims and achievements \| 16 \| \| Principal risks and uncertainties \| 26 \| \| Looking ahead \| 30 \| \| Accountability report \| 32 \| \| Directors' report \| 33 \| \| Financial review \| 33 \| \| Departmental board and leadership team \| 44 \| \| Statement of Accounting Officer's responsibilities \| 49 \| \| Governance statement \| 50 \| \| Sustainability report \| 74 \| \| Staff report \| 78 \| \| Remuneration report \| 86 \| \| Parliamentary accountability and audit report \| 98 \| \| Financial statements \| 118 \| \| Trust statement \| 218 \| \| Annexes \| 240 \| \| A \| \| \| nnex A: Our major projects and programmes \| 241 \| \| Annex B: Other Information \| 243 \| \| Annex C: Expenditure Tables \| 244 \| \| Annex D: Glossary \| 253 \| ## Foreword By The Secretary Of State It's a great pleasure to introduce the first annual report of the Department for Business, Energy and Industrial Strategy. As the first Secretary of State for this new department, I'm immensely grateful for the hard work and dedication of Getting the best value from these resources is even more important. This is the purpose of the Higher Education and Research Act, which became law in April. It brings together the 7 Research Councils and other funding bodies into a single, strategic agency called UK Research and Innovation. UKRI will encourage collaborative research across the sciences, and closer cooperation between researchers, innovators and entrepreneurs. its staff. Over the last 12 months they've joined together as one team to deliver a truly ambitious programme. The core purpose of BEIS is to put industrial strategy at the heart of economic policy. It's a mission that encompasses the whole department. Indeed, the scope of the strategy extends across Whitehall and beyond, with BEIS as the focal point. Science and technology is the basis for economic progress - and also for the action we need to take on climate change. Over the past year, the UK has ratified the Paris Agreement and passed the fifth carbon budget. BEIS itself was created to align economic and environmental objectives. By working with industry partners, on projects from Hinkley Point C in Somerset to the Siemens wind turbine factory in Hull we are showing that investment in clean energy is also investment in jobs, skills and local growth. This department's second year will be just as important as its first. In particular, we will work to secure a business-friendly Brexit, endeavouring to represent British enterprise and British workers on this and every other issue. The industrial strategy green paper was published by the Department in January. I've been hugely encouraged by the scale and breadth of the response to the consultation. From the beginning, we promised to engage with every part of the country and every sector of the economy - and we have. We are therefore well placed to build the industrial strategy with, and not just for, British industry. Energy and Industrial Strategy One of our early breakthroughs was securing more money for British science and innovation. At the last Autumn Statement, the Chancellor announced the biggest increase in public R&D investment since 1979. As a country we cannot afford to lag behind in the race for the future. That is why, looking further ahead, our target is now to match - and then exceed - the current level of R&D investment among advanced industrial nations. ## Report Of The Permanent Secretary Following the creation of the Department in July 2016, we have made good progress against our four headline objectives: to deliver an ambitious industrial strategy; to maximise investment opportunities and bolster UK interests; to promote competitive markets and responsible business practices; and to ensure the UK has a reliable, low-cost and clean energy system. We have also built a strong new department, well equipped to deliver on our ambitious agenda. This report highlights the key achievements during 2016-17 towards these four objectives. In January, we launched an industrial strategy green paper to consult on proposals for a modern industrial strategy. As well as receiving nearly 1,900 responses, Ministers and officials engaged extensively with stakeholders through workshops, roundtables and other events, gathering insights which will shape our industrial strategy going forward. We also announced additional investment in sectors including advanced materials and life sciences, and we increased our support for science, research and innovation, with an additional £4.7 billion to be invested over the next 4 years. We have continued our support for businesses and employees, making £250 million of Start Up loans available since 2012 and announcing £400 million for the British Business Bank to invest in innovative firms planning to scale up. We have seen a further increase to the National Living Wage, rising to £7.50 in April 2017, and a doubling of female representation in boardrooms, up 26% compared to 2011. To boost our economy and increase the security of our energy supply, we gave the go–ahead to build the first new nuclear power station in a generation at Hinkley Point C. We are continuing to take action to reduce energy bills for consumers, and, as of March 2017, there were nearly 7 million meters operating under our Smart Meter Programme. We have shown our continued commitment to tackling climate change, passing the UK's fifth carbon budget into law, and ratifying the Paris Agreement, which committed signatories to limit global warming to well below 2°C, and to a long-term goal of net zero emissions by the end of the century. This year also saw the first coal-free day in Britain since the 1880s. Following the result of the EU referendum, we know that there will be new opportunities and challenges ahead. We are continuing to engage with businesses and consumers to ensure that we represent their views and maintain business confidence throughout the negotiations. Alongside this, we are preparing for the significant domestic and legislative changes required to ensure a smooth exit from the EU. Internally, following the Machinery of Government change, we worked quickly to create a single, fully functioning department of state with a unified identity, budget and systems, whilst continuing to make efficiency savings. We have achieved a lot in a short time and we are ensuring that we have strong leadership and the right people and skills to deliver our vision and objectives. As our identity, culture and ways of working take root, we are continuing to transform our Department, to ensure that we remain highperforming and impactful, delivering successful outcomes for business and consumers. and Permanent Secretary ## Performance Report Overview This section gives a summary of our Department, its purpose, the key risks to the achievement of its objectives, and how it has performed during the past year. ## Our Purpose We exist to drive forward the changes which will build an economy that works for everyone, so that there are great places in every part of the United Kingdom for people to work and for businesses to invest, innovate and grow. ## What We Are Aiming To Achieve BEIS ministers set out 4 overarching objectives for our Department to provide a framework for delivering the Government's priorities: We will deliver these objectives by: ## How We Were Formed between industry, energy and climate change and enabling a united focus on markets, investors and consumers. On 14 July 2016, the Prime Minister, Theresa May, created the Department for Business, Energy and Industrial Strategy (BEIS) and appointed Rt Hon Greg Clark MP as Secretary of State. The elements of the BIS portfolio that were not transferred to BEIS comprised: • post-18 education and skills policies, which The announcement was part of a reorganisation of central government in response to changing priorities following the referendum vote in favour of leaving the European Union and the subsequent change in political leadership. • offender learning, which was transferred • international trade policies from BIS and the BEIS brings together the business and science policy portfolios of the Department for Business, Innovation and Skills (BIS) and the full policy portfolio of the Department of Energy and Climate Change (DECC), building the links ## Transfer Of Policy Responsibilities were transferred to the Department for Education, giving that department complete oversight of education policies. to the Ministry of Justice; and Foreign and Commonwealth Office, which were brought together to form the Department for International Trade. ## How Are We Organised Our Department is led by the Secretary of State for Business, Energy and Industrial Strategy who is responsible to Parliament for the Department as a whole. Ministers look to the core Department's Accounting Officer, the Permanent Secretary, to delegate within the Department to deliver their decisions and to support them in policy-making and managing public funds. Public sector bodies are classified based on the level of control the core Department has over them. Executive agencies act as an arm of the ## Core Department And Agencies The Copyright Tribunal Council for Science and Technology Industrial Development Advisory Board Insolvency Practitioners Tribunal Low Pay Commission ## Consolidated Departmental Group Advisory, Conciliation and Arbitration Service BIS (Postal Services Act 2011) Company British Business Bank Civil Nuclear Police Authority Coal Authority Committee on Fuel Poverty Committee on Radioactive Waste Management Competition Appeal Tribunal Competition Service Electricity Settlements Company Enrichment Holdings Fleetbank Funding The Financial Reporting Council Low Carbon Contracts Company Midlands Engine Investments The NESTA Trust Northern Powerhouse Investments Nuclear Decommissioning Authority Nuclear Liabilities Financing Assurance Board Oil and Gas Authority Postal Services Holding Company South Tees Site Company ## Wider Departmental Group Ordnance Survey National Physical Laboratory Companies House UK Intellectual Property Office Our area of responsibility extends beyond the bodies listed in the wider Departmental group. A more comprehensive picture can be found in our Accounting Officer System Statement, published separately. core Department, undertaking executive functions, rather than giving policy advice. The other bodies in the Departmental group are separate legal entities, but the core Department usually sets its strategic framework and normally appoints the chair and all non-executive members of the board and is consulted on the appointment of the CEO. The wider Departmental group includes other public sector bodies which work with us to achieve our objectives, but have more authority over their own policies and are not consolidated into the group financial statements. Office of Manpower Economics Regulatory Policy Committee UK Space Agency Government Office for Science The Insolvency Service UK Green Investment Bank UK Shared Business Services United Kingdom Atomic Energy Authority UK Atomic Energy Authority Harwell Science and Innovation Campus Public Sector UK Climate Investments Research Councils The Arts and Humanities Research Council The Biotechnology and Biological Sciences Research Council The Economic and Social Research Council The Engineering and Physical Sciences Research Council The Medical Research Council The Natural Environment Research Council The Science and Technology Facilities Council Nuclear site licence companies ## Our Highlights This Year 14Th July 2016 The announcement to create BEIS was made on 14 July 2016. We immediately set about creating a fully functioning department of state which has a real impact for consumers and business. On 1 April 2017, around 1.7 million workers aged 25 and over benefited from a 4.2% pay rise: a 30p increase on their hourly wage to £7.50. For full-time workers (38 hours), this would amount to just under £600 per year. We set out our approach and the early actions we have committed to take to secure the UK's long-term competitiveness, improve our national productivity and deliver growth across the whole country. The first wave of scientists moved into the new Francis Crick Institute in London. They will investigate the biological processes that could lead to the creation of pioneering drugs and treatments for illnesses such as cancer, stroke and motor neurone disease. Low carbon energy for We gave the go-ahead to build the first nuclear power station in a generation. When it becomes operational it will provide 7% of the UK's electricity, providing reliable, low carbon energy to 6 million homes for 60 years. We published Lord Davies' final report on gender balance in Britain's boardrooms. It found that, since his first report in 2011, female representation has doubled to 26%. We have continued this work, publishing the Hampton-Alexander review this year. 26% female representation in Britain's boardrooms for research and development We're carrying out the largest reform of the research and innovation landscape in over 30 years and investing at record levels. This year we announced an additional £4.7 billion of funding between now and 2020-21. ## 186 Days In Space Tim Peake returned to Earth after spending 186 days on the International Space Station, carrying out research and essential maintenance on this unique spacecraft. Tim was the first British European Space Agency astronaut. We continue to tackle financial wrongdoing. The Insolvency Service disqualified 1,214 directors and made 430 referrals to prosecuting authorities this year. We also fast-tracked the investigation into the circumstances surrounding BHS going into administration. When the world came together in Paris last year to reach this ambitious deal, the UK played a major role. This year, we ratified this landmark agreement, continuing our commitment to tackling climate change. The British Business Bank launched the £400 million Northern Powerhouse Investment Fund, aimed at boosting the North of England's economy and helping the region's businesses realise their growth potential. Research funded by the National Environment Research Council (NERC) found evidence that the ozone layer above Antarctica is healing. In the 1980s, NERC-funded scientists were the first to notice that ozone levels over the continent were dropping, leading to the international agreement to phase out production of the substances responsible. ## Where We Spent Our Money In 2016-17 The diagram opposite represents the funding costs of each core Department business. The significant items (more than £250 million) of expenditure recorded in the core Department were: The core Department's gross expenditure for the year was £13.8 billion, as seen in the primary statements that start on page 119. Of this, £3.4 billion related to the Research Councils and £3.2 billion to the Nuclear Decommissioning Authority (NDA). The remaining expenditure was split across: • grant-in-aid to other Partner Organisations; £1,992 million - funding for the Higher Education Funding Council for England for Science and Research; • programme costs to deliver the Department's priorities; and • internal and other costs. £545 million - delivering the Renewable Heat Incentive, a scheme to encourage homes and businesses to install heating systems using renewable heat sources; £373 million - grants to the UK Space Agency £333 million - International Climate Finance Official Development Assistance, as part of the Government's commitment to spend 0.7% of Gross National Income on overseas aid; £265 million - support for energy intensive industries; The NDA recognised income of £1 billion from its commercial activities, reducing the net cost of funding by the Department. The income mainly arose from management of spent fuel and waste (including reprocessing). The Department also received £55 million relating to the Regional Venture Capital Fund and a payment of £51 million from surpluses in the Mineworkers' Pension Scheme. More details on expenditure can be found in the financial statements from page 119. ## Notes: 1. A number of the Department's partner organisations were funded through cash grant-in-aid from the core Department - see Note 4.4 in the accounts. 2. Other programme costs include expenditure on a number of smaller schemes and staff costs that fall within programme. 3. Non-cash programme costs includes an increase in the value of provisions of £72 million, together with depreciation and amortisation costs and other non-cash charges - see Note 4.3 in the accounts. Programme delivery Grants and the purchase of goods and services Internal & other costs Administration and non-cash costs, for example provisions and depreciation ## Our Performance Our Aims And Achievements Following the creation of BEIS in July 2016, the Secretary of State set out his vision for the Department. This section sets out the key achievements made in 2016-17 towards the Department's four strategic objectives and towards building a new, high-performing department of state. gap between our best performing companies, industries, places and people and those that are less productive, and make the UK one of the most competitive places in the world to start and grow a business. ## Our Objectives In 2016-17: We are designing and delivering the Government's industrial strategy to secure the UK's long-term competitiveness, improve our productivity and deliver growth around the whole country. In January, we launched a green paper on industrial strategy that set out an approach, and series of actions, for addressing longterm challenges to the UK economy. Between then and April, we consulted individuals and organisations from all over the country and received nearly 1,900 responses. Informed by these insights, we will be setting out the next steps on our industrial strategy later this year. We will deliver our objectives by: We are investing in science, research and innovation by carrying out the largest reform of the research and innovation landscape in over 30 years, bringing the 9 existing UK research and innovation funding bodies together into a single entity called UK Research and Innovation (UKRI). This is an ambitious undertaking; it requires effective programme management to deliver. We have established the programme in compliance with Government major project guidelines to help ensure successful delivery and manage risks. UKRI will be responsible for spending over £6 billion annually and will have a lead role in advising ministers on the additional £4.7 billion increase in R&D funding for the period 2017-18 to 2020-21 as announced in the 2016 Autumn Statement. Deliver an ambitious industrial strategy We are delivering a modern industrial strategy to build on our strengths now and for the future, to close the UKRI will provide a single voice and coherent strategic approach for public investment in research and innovation. It is intended to remove structural barriers, supporting multi-disciplinary research; improve collaboration between research and business; and catalyse a more effective approach to addressing future societal challenges. We have further increased our support for science, research and innovation by: • providing £100 million for new testing infrastructure for connected and autonomous vehicles (CAVs); and • opening the £650 million Francis Crick Institute in London, supported by £350 million of government investment. Increased public investment in research and development has been mirrored in the private sector, with expenditure by UK businesses on research and development also continuing to increase. We are cultivating world-leading sectors by supporting successful UK industries such as automotive, life sciences, and aerospace, and emerging sectors such as robotics and autonomous systems. We also work closely with our business partners to transform their sectors, including exploring targeted 'Sector Deals' for established industries, new entrants and challenger businesses. As part of our industrial strategy, we announced £229 million of investment in the development of cutting-edge advanced materials and a new centre of excellence for life and physical sciences. This funding comprises: • £126 million in grants for the Henry Royce Institute, the leading UK body for advanced materials research and innovation; and • £103 million investment in a new centre of excellence at the Rosalind Franklin Institute. We are supporting businesses to start and grow by working closely with partners such as the British Business Bank to improve awareness of and access to financial support, and using the Challenger Business Programme to identify and address barriers to expansion for highly innovative businesses with high growth potential. Since 2012, we have made £250 million of Start Up Loans available to get entrepreneurs up and running. This year we also announced the provision of £400 million for the British Business Bank's venture capital funds to support innovative firms planning to scale up. 45% (2014: 51%) of small business employers expected their turnover to increase over the next 12 months.2 build a global, outward-looking Britain that is confident on the world stage. We are working to deliver the best results for the UK through ever stronger global relationships and by building business and investor confidence. In our work to seek out and close investment deals we will ensure our economy is resilient to unforeseen economic shocks. 26% (2014: 32%) of small business employers expected to employ more people in 12 months' time.3 We are encouraging inward investment through: fostering a competitive investment environment for business and industry; working to establish new partnerships globally to accelerate growth and investment in existing and emerging technologies; and building our business intelligence capability to identify opportunities or external investment in the UK. We are driving growth across the country by creating a framework to build on the particular strengths of regions and localities, and to address factors that hold them back. ## We Are Working To Ensure Our Economy Is Resilient And Best Placed To Seize Opportunities Through: • capturing opportunities presented by • earlier identification and increased prevention This includes building a Northern Powerhouse, backing regional strengths, supporting Local Enterprise Partnerships, delivering more bespoke Growth Deals4 with local councils, supporting Business Improvement Districts, and establishing the Productivity Council to encourage and support UK businesses. • providing a more effective response to shocks Alongside the Department for Communities and Local Government, this year we announced additional funding through Growth Deals for: the Northern Powerhouse; London, the South East and East of England; the South West; and the Midlands. As above 4 https://www.gov.uk/government/collections/local-growth-deals ## Maximising Investment Opportunities And Bolstering Uk Interests As outlined in the Government's Plan for Britain, as we leave the EU we will internationally mobile investment; of risk through investigation of future trends and enhanced business intelligence; and through targeted contingency planning. We are promoting the interests of UK businesses and our other stakeholders in the EU exit negotiations. The department is responsible for a wide range of sectors as well as individual and cross-cutting policy areas that will be impacted by the decision to leave the EU. By analysing the impacts and opportunities of an EU exit, and working collaboratively, our Department is ensuring that the views of businesses, consumers, workers and other economic actors are reflected in the Government's negotiating priorities and approach. In addition, we continue to engage fully with ongoing EU business in order to ensure that the negotiating outcomes meet the needs of the UK economy as a whole and the specific concerns of our stakeholders. We are preparing for the domestic policy changes required as a result of the EU exit. We are working with the Department for Exiting the European Union (DExEU) and the Parliamentary Business and Legislation Committee (PBL) to ensure that the Repeal Bill and the wider legislative programme reflects our needs. ## We Are Maintaining A Strong Nuclear Safeguards Regime Outside Of The European Atomic Energy Community (Euratom). When We Triggered Article 50 We Committed To Leaving Euratom As Well As The Eu - These Are Separate Treaties But They Are Legally Entwined And Share a common EU budget and EU institutions. Our objective in the negotiations will be to continue a constructive relationship of full co-operation with Euratom after we have left. We are confident that the EU wants the same outcome. The UK will continue to meet all its international obligations in respect of nuclear safeguards and non-proliferation, and it was announced in the Queen's Speech that the Government will bring forward legislation to establish a UK nuclear safeguards regime. This change should not have any adverse impact on our existing nuclear fleet or our nuclear new build programme. We are building the profile of the UK on the international stage through fostering new international relationships to make it easier for our businesses, researchers and innovators to collaborate with international partners and to establish our own trading arrangements with the EU and the rest of the world. The UK's independent trade policy is being developed to maximise the opportunities from new trading arrangements with the rest of the world, and to deliver the best outcomes for business and consumers. We are also continuing to play a leading role in global efforts to tackle climate change by effectively using UK climate finance to accelerate a low carbon shift within developing countries. For example, our Department's climate finance in 2016 directly supported: • re-forestation efforts in the Colombian Amazon; • large scale solar and geothermal projects rolled out in multiple countries; and • loan schemes for energy efficiency improvements and renewables for small businesses in Africa and Asia. In total, UK climate finance supported 21 million people to cope with the effects of climate change, improved access to clean energy for 6.6 million people, and reduced or avoided 4.9 million tonnes of CO2. It continues to build on these results year on year. ## Promoting Competitive Markets And Responsible Business Practices We are promoting fairness in the labour market and improving working conditions by reforming enforcement of the National Minimum Wage and other employment rights. We are securing better outcomes for consumers by creating a more competitive business environment. We are strengthening the corporate governance framework to support strong businesses that focus on long-term value creation so they can thrive in a global economy, and demonstrate their commitment to their employees and to the communities in which they operate. We are setting clearer expectations for good business citizenship, and cracking down on individuals and businesses that abuse the system so that everyone - however big or small - plays by the same rules. We are protecting and enhancing workers' rights, ensuring that in a modern, flexible economy people are properly protected at work. ## We Are Reforming Corporate Governance By Consulting On Reforms Aimed At: • strengthening shareholder control on executive pay and increasing transparency on pay; In 2011, we published Lord Davies' review, Women on Boards, which recommended that FTSE100-listed companies target 25% female representation. Since then, female representation on boards has more than doubled to 26%. This year, we published the initial reports of: • strengthening employee and other stakeholder • The Hampton-Alexander review into FTSE voices in company boardrooms; and • ensuring high standards of corporate governance in the UK's largest private businesses. • The Parker review into the ethnic diversity We are also continuing to enhance transparency over ownership of corporate entities, both improving good governance and trust in business and helping to tackle illicit finance. In November, we published a green paper on corporate governance reform, which was followed by an extensive consultation exercise on the potential options for reform. The way people work in the UK is changing. We recognise the importance of being open to new and innovative ways of working, but it is also crucial that workers receive a decent wage and benefit from the right balance of flexibility, rights and protections. In November, we launched the Matthew Taylor review of employment practices in the modern economy to consider the implications of new forms of work and our existing regulatory framework on employment. This year, we launched the register of people with significant control, listing the beneficial owners of all companies and limited liability partnerships registered in the UK. It is the first public register of this scale and ambition in the world. We raised the National Living Wage to £7.50 This is 57% of median earnings. We aim to increase the National Living Wage to reach 60% of median earnings by 2020, subject to sustained economic growth. women leaders, which sets a target for women to hold one third of FTSE leadership positions by 2020; and of UK boards, which sets out practical issues, objectives and timescales for progressive business leaders. ## We Are Ensuring The Uk Has The Right Regulatory Frameworks To Help Meet Business And Consumer Needs Through: • tackling markets that are not working fairly for consumers; • empowering consumers to make changes; • continuing the Government's commitment to regulate more efficiently by bringing into scope, through legislation, the activities of a range of regulators; and As well as leading on better regulation for Government as a whole, we are committed to improving our own regulation and policies by ensuring any new regulation we introduce is effective, targeted and proportionate, and overall costs to business are kept to a minimum. 6 In the 2015-2017 Parliament, we reduced burdens to business by £3.9 billion In March 2016, the Government set a cross-government business impact target of £10 billion of savings to business during the course of the expected Parliament (2015- 2020) - our Department's share of this was £4 billion. For the 2015-2017 Parliament, the prorated business impact target would be £4.2 billion, of which our share was £1.6 billion. ## In 20177 (2016: 6Th) World Bank 'Ease Of Doing Business' Ranking: 7Th The UK improved overall ease of doing business, remaining firmly in the top 10 globally.8 In July, the Pubs Code came into force, giving tenants more rights and greater protection when dealing with large pub companies that own tied pubs, including increased transparency about the tied deals available, a fair rent assessment and the right to move to a free-of-tie tenancy in certain circumstances. We are bringing forward proposals to ensure that critical national infrastructure is protected to safeguard national security. 6 Current estimated figure. Final, validated figures will be published this summer. Interim report available: https:// www.gov.uk/government/uploads/system/uploads/at tachment_data/file/610874/business-impact-target-in terim-report-16-17.pdf 7 http://www.doingbusiness.org/rankings 8 Economies are ranked by their 'Distance to Frontier' score. The score helps assess the absolute level of regulatory performance over time. It measures the distance of each economy to the "frontier," which rep resents the best performance observed on each of the indicators across all economies in the Doing Business sample since 2005. The UK's score improved from 82.73 in 2016 to 82.74 in 2017. The lower the LOLE, the more secure the electricity system, and the Government has a legal target to not exceed 3 hours. ## Ensuring The Uk Has A Reliable, Low–Cost And Clean Energy System We are ensuring that the UK has a competitive and wellfunctioning energy system that will meet our needs for the future, by upgrading and diversifying our energy supplies to make them smarter, cleaner and more secure. We are working to help people with everyday costs and bills by ensuring retail energy markets work in the way they should. ## We Are Delivering Affordable Energy And Clean Growth By: • Working To Minimise Energy Costs For Uk businesses and consumers; • managing the changes to energy networks required by the transition to a low carbon economy; • continuing our efforts to pursue ambitious global action on climate change to help level the playing field for UK companies; and • making sure that the UK capitalises on its We also have a very high level of gas security. Gas system capacity is measured on how the system would cope - indicating what percentage of demand could be met - if it lost its largest single piece of infrastructure (the 'N-1' indicator). strengths in energy industries and innovation to win a substantial share of global markets. ## We Are Ensuring That Our Energy System Is Reliable And Secure By: • Working Across The Electricity, Oil And Gas sectors to support, upgrade and diversify our energy supplies; • creating a smarter and more flexible system; and • obtaining further investment in new nuclear capability. We have successfully improved our security of supply through 2016-17. Loss of Load Expectation (LOLE) is used to measure security of the electricity supply. It is the expected amount of time per year that the electricity supply cannot meet demand, when National Grid may need to use back-up balancing tools. ## 2016-17 Lole: 0.5 Hours (2015-16: 1.1 Hours) This is the time that the National Grid forecast they may need to use balancing tools in the electricity supply in 2016-17,9 demonstrating significant resilience in our electrical security. If the largest piece of gas infrastructure failed, 127% of demand could be met even in a severely cold winter. 10 This is a 15 point increase from 112% last year, and shows that we could maintain gas supply even in the most difficult circumstances. We have taken further steps to increase security of supply by: • agreeing to proceed with the first nuclear power station in a generation at Hinkley Point C, and taking steps to secure further investment in new nuclear capability; • providing policy and regulatory support and development to facilitate progress in the shale industry. Four sites have been granted for exploration; and • launching a call for evidence on smart, flexible energy systems that give consumers choice and control over how they use or generate electricity. We are delivering affordable energy for households and businesses by encouraging competition and considering how to extend protection currently in place for pre-payment meter customers to a wider group of domestic consumers. We also support households, the public sector and businesses to reduce costs through our energy efficiency policies and schemes. Smart meters aim to bring bills down by helping consumers understand and save on the cost of the energy they use, enabling new innovative tariffs; and supporting faster and easier switching. There were over 6.78 million smart and advanced meters operating in homes and businesses across Great Britain as of 31 March 2017 11 (2016: 3.6 million). The Smart Meter Programme aims to roll-out over 50 million by the end of 2020. The national communications infrastructure for smart meters went live across the country in November. This will enable the roll-out of the second generation of smart meters across Great Britain - and for consumers to switch energy suppliers without losing their smart service. We have also continued to tackle fuel poverty by reforming the Energy Company Obligation (ECO), helping people to keep bills down by living in more energy–efficient homes. The Government has set a target of insulating a million more homes over the next five years, supporting energy efficiency and our commitment to tackle fuel poverty. From the start of May 2015 to the end of January 2017, around 346,000 homes have had at least one insulation measure installed under the ECO or the Green Deal. We launched a new £320 million capital fund to support investment in low carbon heat networks, expected to leverage up to £2 billion of wider investment by 2020–21. ## We Are Taking Action On Climate Change And Low–Cost Decarbonisation By Passing The Uk'S Fifth Carbon Budget Into Law, Equivalent To A 57% Reduction On 1990 Levels By 2032, And Ratifying The Paris Agreement. We continue to use our strong domestic record on decarbonisation to press for international action on climate change - at country, region and city level - that keeps the goal set out in the Paris Agreement of limiting global warming to well below 2°C firmly in reach and helps level the playing field for UK companies in global markets. UK emissions in 2015 were 38% lower than in 1990 and 4% lower than 2014.12 At the same time, GDP has increased. In 2015, GDP was 64% higher than in 1990 and 2% higher than in 2014. We have consulted on proposals to close unabated coal power stations by 2025, and are currently considering our response. We are managing our energy legacy safely and responsibly by working closely with the Nuclear Decommissioning Authority (NDA) to discharge our legal liabilities effectively and manage the security risks from the legacies of our nuclear and coal industries, and other energy interests. We are also helping to fund promising low carbon technologies where they clearly represent value for money and we are supporting the deployment of renewables by running Contracts for Difference (CfDs) auctions. We launched the second CfD auction which we expect will result in enough renewable electricity to power around one million homes, reducing carbon emissions by around 2.5 million tonnes per year from 2021- 22 onwards. We announced new projects worth £28 million in our Energy Innovation Programme, including: • a new Offshore Wind Innovation Hub to build on the UK's expertise in offshore wind; • a competition to develop cost reduction options for large-scale energy storage (including electricity, thermal and power-togas); • a competition to develop smarter energy 'demand side response' technology for businesses or public sector organisations to reduce peak-time energy use and provide flexibility to the energy system; • an accelerator to develop innovations to reduce energy costs for UK industry through energy efficiency, while leveraging private sector investment; • a nuclear innovation programme to support innovation in the civil nuclear sector; and • phase five of the Energy Entrepreneurs Fund, particularly aimed at small and medium-sized enterprises, which supports the demonstration of state of the art energy technologies The NDA has faced a legal challenge this year regarding Magnox sites. A high court judgement in July 2016 found that the NDA had acted unlawfully in the course of the competition to appoint a new parent body organisation for the Magnox sites. With the support of our Department and Government, the NDA Board judged that claims were best settled out of court, to avoid the risk of prolonged and potentially more damaging litigation. A full and final settlement of these claims came at the cost of £97 million to the public purse. The NDA's business plan covers 120 targets, encompassing site restoration, spent fuels, integrated waste management, business optimisation and critical enablers. Progress against these objectives is summarised below. 13 Separately from the litigation, it became apparent that the Magnox contract awarded to the Cavendish Fluor Partnership (CFP) was at risk of legal challenge. This is because its scope and value had become materially different from that anticipated at the time of award. To avert the risk of further financial exposure to the taxpayer, the NDA Board also decided to terminate the contract, with the support of Government and CFP. In response to this defective procurement, the Secretary of State requested Steve Holliday, the former Chief Executive of National Grid, to lead an independent inquiry into the procurement, litigation, settlement and termination of the Magnox contract. The inquiry is anticipated to deliver initial findings by Autumn 2017. Our Department is determined that the reasons for this failure should be exposed and understood, that those responsible should properly be held to account, and that it should never happen again. Our Department also sponsors the Coal Authority to manage the £2.8 billion long-term mining legacy and to regulate the coal industry. ## In 2016-17, The Coal Authority Achieved 97% (2015-16: 97%) Of Its 2016-17 Corporate Objectives.14 Building A New, High-Performing Department Of State The announcement to create BEIS was made on 14 July 2016, and our key priority is to make sure that our Department has the corporate capability to deliver its objectives now, and in the future. ## We Have Delivered A Fully Functioning Department Of State Through A Successful Transition Programme Which: • moved all London staff into 1 Victoria Street, which required moving around 4,000 people across four locations; • installed a unified IT system with all staff able to access the same services in 1 Victoria Street • agreed the organisational structure for the new Department; and • allocated budgets across the department The programme cost around £3 million. All key milestones have been achieved, enabling colleagues to continue delivering their ministerial objectives. Rigorous programme management tools and techniques have been applied throughout, supporting effective delivery and ensuring a focus on value for money. A key strength of the programme has been its engagement with colleagues - drawing on their skills and expertise to shape plans and help deliver activity. This has been facilitated at all levels - with senior leaders playing a particular role in communicating and engaging with staff. We will continue to build the Department's capability - making sure that we are able to adapt to the challenges and opportunities that may arise in the coming years. ## Principal Risks And Uncertainties The formation of a new department presents opportunities and challenges associated with Machinery of Government changes. We have continued, however, to manage a range of risks and issues, including uncertainties often outside our direct influence or control. Our wide-ranging and multifaceted objectives, which can have a direct impact on the majority of UK citizens, present us with an equally wide array of risks. Many of these situations, such as Tata Steel, the Nissan manufacturing plant in Sunderland and Hinkley Point C, receive detailed media coverage. But the Department also manages risks that do not get the same level of media scrutiny with the same rigour and control as any other risk. In an unpredictable and everchanging environment, our risk management processes are designed to adapt to provide us with the best chance of successfully delivering our 4 objectives and improving our corporate performance. The principal risks that we have faced over the fiscal year are described in the following table. f f Increasing dedicated resources to oversee and monitor EU negotiations. f f Engaging intensively at all levels with the Department for exiting the European Union and the Prime Minister's Office, including ministerially. For example, through membership of central steering groups which maximises the Department's influence. f f Putting clear, well-organised and wellcommunicated programme management structures in place. EU exit negotiations The EU exit negotiations end in suboptimal outcomes for our policy areas and sectors, leading to an adverse impact for the UK economy. f f Working to identify our EU exit priorities and defining the interdependencies between policy teams. f f Putting a tanker fleet on standby with Army drivers provided by the Ministry of Defence. f f Introducing a contingency plan to help manage potential strike actions. f f Making investment decisions to maintain the financial viability of Grangemouth and reduce the threat of industrial action. f f Putting the National Emergency Plan Interruptions to supply owing to industrial action, cyber attack, terrorism, accident or financial failure. for Fuel into action. The uncertainty around EU exit will continue to rise until negotiations are further advanced. We were involved in successful efforts to avoid industrial action at Grangemouth. However, this risk has an array of threats, among them cyber crime which we are managing as the threat increases. ## Risk Mitigating Activities f f Monitoring negotiations between Tata Steel, trade unions and pension trustees. f f Exploring the contribution Government UK steel sector Tata Steel's assets in the UK fail to secure a future and the wider UK steel sector fails to respond to the findings of the capability and capacity study. may be able to provide to secure the future of Port Talbot. The Department successfully worked with the steel industry to avoid thousands of job losses. The uncertainty has improved, but the department remains fully engaged. f f Undertaking continued statistical updates of UK progress against our target. f f Maintaining a credible strategy for meeting the target, including contingencies and policy options. f f Monitoring the outcome of the Renewable Heat Initiative consultation and the Department for Transport's proposals for increasing deployment of renewable fuels in transport. f f Continuing to assess the target in the context of exiting the EU. f f Staying on track to deliver the UK's next carbon budget. Climate change The Department cannot demonstrate a credible plan to meet the 2020 renewables target without making significant trade-offs with other objectives - damaging investor confidence, bringing undue costs to the UK consumer, and leading to legal action against the UK. The possibility of weakened commitment to the Paris agreement could threaten success. \| Risk \| \|-----------------------------------------------\| \| Risks internal to the department \| \| f \| \| f \| \| Engaging closely across Whitehall to ensure \| \| the development of wide-ranging and \| \| ambitious proposals. \| \| f \| \| f \| \| Working with Government to define \| \| ambitions and to ensure resources \| \| are available for their implementation. \| \| Industrial strategy \| \| The industrial strategy fails to \| \| deliver its objective to improve \| \| productivity and growth across \| \| the UK. \| \| f \| \| f \| \| Finalising the investment contract. \| \| f \| \| f \| \| Setting up cross-governance arrangements \| \| to provide sufficient oversight of HPC. \| \| f \| \| f \| \| Putting Government initiatives with industry \| \| in place to address to potential skills gaps \| \| and supply chain issues. \| \| f \| \| f \| \| Providing safeguards against unapproved \| \| stake ownership by foreign investors. \| \| Hinkley Point C (HPC) \| \| EDF fails to deliver HPC on time \| \| and to budget, resulting in 3.2GW \| \| of electricity generation not \| \| coming online in 2025. \| \| f \| \| f \| \| NDA has negotiated settlements of £97 \| \| million with Energy Solutions and Bechtel \| \| to conclude all the ongoing litigation \| \| proceedings against it. \| \| f \| \| f \| \| The NDA also terminated the contract with \| \| Cavendish Fluor Partnership (CFP) because \| \| it became clear that the work required on the \| \| Magnox sites was significantly different from \| \| that which was tendered. \| ## Nuclear Decommissioning Authority - Magnox Contract Litigation As A Result Of Failed Procurement Process. f f Aiming to reach an initial view on the new contract delivery model in September. f f Conducting an extensive pre-marketing exercise. f f Designing the sale process to attract diverse and relevant potential investors. f f Developing a clear and independently assured value for money framework. f f Following an active engagement and handling strategy with bidders and with GIB. ## Moving The Green Investment Bank (Gib) Into Private Ownership Failure To Complete The Successful Sale Of Gib Or Being Subject To Judicial Review. The industrial strategy is a Departmental priority. The current status of the risk is improving but will be closely monitored. An independent inquiry into the conduct of the 2012 procurement process has been launched. Initial findings are expected Autumn 2017. The Department continues to engage fully with the asset sale process. ## Looking Ahead Delivering An Ambitious Industrial Strategy We aim to ensure that we deliver the best results for the UK and promote UK interests through the process of EU exit and through our wider international engagement. We aim to improve living standards and economic growth by increasing productivity and making sure that growth is spread across the whole country. To do this, we will: To do this, we will: • secure the best possible access for • continue our development of a modern industrial strategy, including by responding to our green paper; • engage with businesses and consumers • put investment in our science and research • establish new partnerships with leading nonbase at the heart of our industrial strategy, including the creation of UK Research and Innovation in 2018 and investment of £4.7 billion in R&D funding, for the period 2017-18 to 2020-21; and • provide support to businesses across a range • promote UK research and innovation of sectors to ensure the UK economy can grow and is best placed to benefit from the challenges of globalisation • provide £2 billion of funding through the ## Maximising Investment Opportunities And Bolstering Uk Interests businesses to trade with and operate in the European market; to ensure that their views are represented in EU exit negotiations; EU scientific nations to maximise opportunities in global innovation; internationally to drive investment and export opportunities; and International Climate Fund between 2016 and 2021, to help developing countries tackle climate change and to promote clean growth. ## Promoting Competitive Markets And Responsible Business Practices We aim to secure better outcomes for consumers and strengthen our corporate governance framework. To do this, we will: • respond to the Matthew Taylor review, which is considering how best to protect and enhance worker rights, preserve the flexibility of the UK labour market, and foster innovative business models; • implement the new National Minimum and National Living Wage rates; • bring forward proposals to ensure critical national infrastructure is protected to safeguard national security • engage with businesses and academics across Government to encourage businesses to raise standards of corporate governance. ## Ensuring The Uk Has A Reliable, Low–Cost And Clean Energy System We will continue to ensure that the UK has a competitive and well-functioning energy system that can deliver affordable energy and clean growth. To do this we will: • ensure that we maintain adequate capacity to secure fuel, gas and electricity supplies through management of the capacity market and operational risks to energy supply; • advance our long-term plan for investment in new nuclear; • set out proposals to ensure that the retail energy market works for all; • draw up a roadmap for bringing down business energy costs; • support the UK Climate Change Act, including through the publication of a Clean Growth Plan; and • deliver safe, cost-effective and environmentally sensitive decommissioning of offshore oil and gas infrastructure in the North Sea, while making sure that the UK benefits from the job opportunities this will create. We will continue to transform the department to ensure we are high-performing and impactful and therefore able to deliver these ambitions and an economy that works for everyone. 13 July 2017 ## Accountability Report Directors' Report Financial Review The table shown overleaf summarises the position for the 2016-17 budget against outturn. The figures here correspond to the Statement of Parliamentary Supply, on page 98. ## Total Departmental Managed Expenditure In delivering our vision of an economy that works for everyone, the Total Managed Expenditure (see Box 1,) for 2016-17 was £31.3 billion, against which the Department incurred costs of £16.3 billion. The difference of £15.0 billion resulted mainly from an underspend against Annually Managed Expenditure (AME) budget versus outturn. ## Comparison Of Budget To Outturn Annually Managed Expenditure Box 1, adjacent, explains expenditure classified as Annually Managed Expenditure (AME) as demand led and therefore volatile. The process for setting AME budgets takes into consideration prudent forecasts so as manage the budget position against a volatile outturn. Overleaf, the table 'Comparison between 2016-17 Budget and Outturn' shows the budget versus outturn for AME resource and AME Capital. Resource AME Over half the Departments' expected resource AME costs relate to Contracts for Difference (CfD), more information on CfDs see Box 5 page 39. CfDs are signed by the Department to encourage low carbon electricity generation. Of the £13.8 billion underspend on resource AME, £11.3 billion was due to higher than expected wholesale electricity price projections, which translates into lower CfD costs for the Department. The remaining £2.5 billion was due to lower expenditure by the Nuclear Decommissioning Authority as a result of discount rates to decommissioning costs that span 50 to 100 years. ## Capital Ame The underspend on capital AME is due to lower than expected demand for Post Office Limited working capital funding as part of government shareholding. ## Box 1: Hm Treasury Budgeting Framework The total amount that the department spends is referred to as its Total Managed Expenditure (TME). HM Treasury classifies budgets as either Annually Managed Expenditure (AME) or Departmental Expenditure Limit (DEL) spend. AME budgets are volatile or demand-led in a way that the Department cannot control. HM Treasury do not set firm budgets but the Department monitors AME forecasts closely. Cost behaviours of DEL budgets are understood and controllable. At Spending Reviews, which occur every 3 to 5 years, HM Treasury sets firm DEL budget limits for each type of DEL budget. DEL budgets are split into Capital (CDEL) and Resource (RDEL). The CDEL budget is further split into: • 'Financial Transactions' for loans given or shares purchased • 'General Capital' for spending on all other assets or investments The RDEL budget is split into: • 'Programme' budgets for direct frontline service provision • 'Administration' budgets for the running costs of the department such as backoffice staff, rent and IT. ## Departmental Expenditure Limit The total Departmental Expenditure Limit budget estimate was £2.0 billion. As shown in the table below, the department spent less than budget by £365 million. This was due to underspends on innovation, enterprise and business, and market frameworks. ## Capital Del The 'voted' Capital estimate was £11.3 billion was £13.6 billion against which our outturn was £12.8 billion, contributing savings of £0.8 billion to the Total Managed Expenditure. Like AME, Departmental Expenditure Limit is split across Resource and Capital estimates and outturn categories of spend. ## Resource Del and outturn was £10.8 billion. The Capital DEL outturn was £440 million lower than budget due to underspend on government shareholdings. The Department's final expenditure (Outturn) For Resource the estimated 'voted' spend was £3.4 billion, adjusted by a 'non-voted' reduction to £2.3 billion. Outturn against the adjusted compared to its Supplementary Estimate (Budget) is set out in the table below. ## Comparison Between 2016-17 Budget And Outturn \| \| \| Budget \| Outturn \| Variance \| \|---------------\|--------\|----------\|-----------\|------------\| \| Control total \| £m \| £m \| £m \| % \| \| Resource DEL \| 2,337 \| 1,972 \| 365 \| 15.6 \| \| Capital DEL \| 11,274 \| 10,835 \| 440 \| 3.9 \| \| Resource AME \| 17,412 \| 3,523 \| 13,889 \| 79.8 \| \| Capital AME \| 311 \| (15) \| 325 \| 104.5 \| \| Total \| 31,334 \| 16,315 \| 15,019 \| 47.9 \| ## Comparison Of Spend To Last Year Resource DEL As shown in the table below, the decrease in Resource DEL expenditure between 2015-16 and 2016-17 was £6.3 billion. This was largely driven by a £5.9 billion reclassification of science and research spend from resource to capital. Resource AME During 2015-16 there was a significant change in discount rates (from positive to negative, described in Box 3). This resulted in a significant movement in the non-cash liability for the Nuclear Decommissioning Authority. The comparable movement in 2016-17 was £2.7 billion against £89.8 billion in 2015-16. The remaining amount mainly consists of changes in the movement in the fair value of Low Carbon Contract Company Contracts for Difference for the supply of electricity. Capital AME In 2015-16 the Capital AME consisted of £1.4 billion in 'non-voted' income relating to the disposal of Royal Mail, which was not repeated during 2016-17. The £15 million income related to government shareholdings. Capital DEL The Department's capital expenditure is made up of a number of ring-fenced areas. As highlighted below, the significant movement within capital DEL was a significant level of spend shifting between resource and capital. The capital increase was £6.0 billion, of which £5.4 billion related to science and research reclassified research and development spend. Other spend increases related to £0.6 billion of financial transactions in the Green Investment Bank and £87 million in the British Business Bank; an increase of £143 million for the Nuclear Decommissioning Authority; and £700 million additional spending on innovation. ## Comparison Between Outturn In 2016-17 And 2015-16 \| \| \| 2016-17 \| 2015-16 \| Change \| \|---------------\|--------\|-----------\|-----------\|-----------------------------\| \| Control Total \| £m \| £m \| £m \| % \| \| Resource DEL \| 1,972 \| 8,318 \| (6,346) \| (76) \| \| Capital DEL \| 10,835 \| 4,882 \| 5,953 \| 122 \| \| Resource AME \| 3,523 \| 101,945 \| (98,422) \| (97) \| \| Capital AME \| (15) \| (1,613) \| 1,598 \| (99) \| \| Total \| 16,315 \| 113,532 \| (97,217) \| (86) \| ## Key Areas Of Net Expenditure For Last 3 Financial Years \| Key net costs incurred \| £m \| £m \| £m \| \|-------------------------------\|--------\|---------\|--------\| \| NDA \| 5,082 \| 92,066 \| 7,910 \| \| Science and Research \| 6,374 \| 6,248 \| 6,246 \| \| Contracts for Difference \| (273) \| 10,122 \| 2,485 \| \| Innovate UK \| 801 \| 735 \| 604 \| \| Coal Authority \| 34 \| 1,936 \| 5 \| \| Government Electricity Rebate \| 1 \| 309 \| 308 \| \| Green Investment Bank \| 845 \| 308 \| 178 \| \| Renewable Heat Incentive \| 545 \| 372 \| 161 \| \| International Climate Finance \| 333 \| 319 \| 195 \| \| Post Office \| 220 \| 280 \| 330 \| \| Other \| 2,353 \| 837 \| 445 \| \| Total \| 16,315 \| 113,532 \| 18,867 \| ## Financial Position Overall, total assets less total liabilities was £(172.0)bn, compared to £(170.1)bn in 2015-16 and £(66.5)bn in 2014-15. The significant increase from 2014-15 to 2015- 16 was driven by the changes to the valuation of the provisions, particularly the nuclear decommissioning provision. This was due to the change in the long-term discount rate in 2015-16; more detail is provided in Box 3. The value of the provisions has remained relatively stable on an undiscounted basis. \| 2016-17 \| 2015-16 \| 2014-15 \| \|-----------\|-----------\|-----------\| ## Box 2: Machinery Of Government Transfers To complete the MoG changes that created the Department, we agreed the transfer of assets, liabilities and budgets with the Department for Education, the Ministry of Justice and the newly–created Department for International Trade. Cabinet Office guidance states that after a Machinery of Government (MoG) announcement to transfer policy responsibility from one department to another, sufficient resources should be allocated to support the transfer of functions, based on existing policies and any collectively–agreed changes to these policies. Budgets totalling £21.95 billion were transferred via Supply and Appropriation Acts in 2017 to reflect the final MoG agreements. ## Box 3: Impact Of Changes On Discount Rate The worth of the Department's future receivable cash inflows are calculated at present value (PV) in accordance with accounting standards. This PV reflects the time value of money. The accounts use a number of different rates depending on the nature of the transaction and the regulation applicable. Some of our priorities carry obligations that are very long term and will involve expenditure over decades to come. The eventual costs of these long-term projects are uncertain but we are required to present a single number in the annual accounts. This single number is based on our best estimate of costs, technology and other relevant factors, adjusted to reflect the changing value of money over time. ## Discount Rates Used \| Category \| Rationale \| 2016-17 \| 2015-16 \| \|----------------------------------------------\|-------------\|-----------\|-----------\| \| Nuclear decommissioning provisions \| \| \| \| \| Medium 6-10 years \| -1.95% \| -1.00% \| \| \| Short term < 5 years \| \| \| \| \| Set by HM Treasury Public \| \| \| \| \| Expenditure System (PES) \| \| \| \| \| Secretariat 2 Dec 2016 \| \| \| \| \| Long term > 10 years \| -0.80% \| -0.80% \| \| \| CfD financial instruments \| \| \| \| \| Real rate (as contracts are in real terms) \| As above \| +0.70% \| +0.70% \| \| Coal Pensions \| \| \| \| \| Real rate + 3% RPI (as contractual figures \| \| \| \| \| are in nominal values) \| \| \| \| \| As above: financial instruments \| \| \| \| \| discount rate (non-indexed) \| +3.70% \| +3.70% \| \| \| Repayable Launch Investments \| \| \| \| \| Higher of the implicit rate of return or the \| \| \| \| \| financial instrument's rate \| \| \| \| \| Risk-free rate for Govt investment \| \| \| \| \| appraisal set by the Green Book \| \| \| \| \| adjusted for inflation \| \| \| \| Typically, in the past, the time value of money has usually been positive which means money could be invested in the present for a return in the future that would exceed the rate of inflation - this is known as a positive 'real' return. Government bonds are seen as a low risk form of investments. Usually, therefore, government bonds bring a lower rate of return than other investments. As bonds pay a fixed cash amount when they mature, the higher the price paid for the bonds now, the lower the rate of return is considered to be. When negative discount rates are applied to the Department's long-term obligations, this has the effect of significantly increasing the reported value of the liabilities, even when the cash the Department expects to pay has not changed. But not all rates are negative. For investment appraisal Government continues to use positive rates, to ensure that projects are correctly appraised and generate future benefits. Our accounts use positive discount rates to determine the PV of future income generated from assets and investments. When positive rates have been used to discount future cash receipts, then the present value of them is lower than the cash the department will receive. The following tables sets out the specific material balances in our accounts that have been discounted. The impact of the discounting can be assessed by comparing the discounted value with the undiscounted value. Following the global financial crisis, demand for lower–risk investments increased, particularly government bonds. As a result, the price of government bonds rose. This has resulted in government bonds providing a negative 'real' return. The long-term discount rate has been negative since 2015. \| \| -2.70% \| -1.55% \| \|-------------\|-------------\|----------\| \| +3.50% \| +3.50% \| \| \| + RPI 2.55% \| + RPI 2.20% \| \| ## Impact On Provisions Both the NDA and the Coal Authority have long-term provisions relating to the expected \| 2016-17 \| 2016-17 \| \|----------------\|--------------\| \| Discounted \| Undiscounted \| \| Category \| liability \| \| £m \| £m \| \| NDA nuclear \| \| \| provision \| 163,505 \| \| Coal Authority \| \| \| provision \| 2,817 \| Impact on financial instruments The fair value of the Contracts for Difference (CfDs) obligation disclosed in the accounts is adjusted using the 0.7% real term discount rate. \| \| 2016-17 \| 2016-17 \| \|---------------\|--------------\|-----------\| \| Discounted \| Undiscounted \| \| \| Category \| liability \| liability \| \| £m \| \| \| \| £m \| £m \| £m \| \| Contracts for \| \| \| \| Difference \| \| \| \| liability \| 31,413 \| 33,388 \| Impact on assets Assets have been discounted at positive rates. For financial instruments we are required to use the prescribed HM Treasury discount rate of 0.7% real and 3.7% nominal, or the rate of \| \| 2016-17 \| 2016-17 \| \|---------------\|--------------\|--------\| \| Discounted \| Undiscounted \| \| \| Category \| assets \| assets \| \| £m \| \| \| \| £m \| £m \| £m \| \| Repayable \| \| \| \| launch \| \| \| \| investments \| 1,205 \| 1,836 \| \| Coal pensions \| 331 \| 377 \| future cost of managing the energy legacy. The negative discount rates have increased the present value of future cash flows significantly. \| \| 2016-17 \| 2015-16 \| 2015-16 \| 2015-16 \| \|-----------\|------------\|--------------\|---\|-----------\| \| Impact of \| Discounted \| Undiscounted \| \| Impact of \| \| liability \| liability \| discounting \| \| \| Each year, the fair value of the CfDs is reassessed to reflect changes in the expected cash payments that will be made over the life of the contracts, and then the updated expected cash payments are discounted. \| \| 2016-17 \| 2015-16 \| 2015-16 \| 2015-16 \| \|-----------\|------------\|--------------\|---\|-----------\| \| Impact of \| Discounted \| Undiscounted \| \| Impact of \| \| liability \| liability \| discounting \| \| \| return implicit in the contract if higher. For the repayable launch investments we assessed the implicit rate to be 3.5% plus RPI, 2016-17: RPI was 2.55% (2015-16: RPI was 2.2%) giving an implicit rate of 6.05% (2015–16: 5.7%). \| \| 2016-17 \| 2015-16 \| 2015-16 \| 2015-16 \| \|-----------\|------------\|--------------\|---\|-----------\| \| Impact of \| Discounted \| Undiscounted \| \| Impact of \| \| assets \| assets \| discounting \| \| \| ## Box 4: Nuclear Decommissioning Authority Provision The NDA is responsible for 17 nuclear licensed sites across the country, with a range of facilities including former nuclear power stations, research facilities and nuclear fuel fabrication and reprocessing facilities. Some of these sites date from the earliest days of nuclear power. Unlike modern nuclear facilities, decommissioning of these sites was not built into plans or designs. This figure is based on dealing with an assumed inventory of materials with varied radiological characteristics, and using the extant strategy for retrieval and disposal of the resulting materials over several decades. Each of these elements is uncertain in its own right - the cost of developing the necessary technology and plants to deal with these activities is also uncertain. The quality of the forecast becomes less certain the longer the projection. Decommissioning of sites will take many decades. In part, this is because plans often include periods of 'care and maintenance', where sites are made safe and put into an interim state, allowing residual amounts of radioactive material to decay over time. By doing this, the final stages of decommissioning will be easier and safer to complete. The NDA's best estimate of the future costs of the estate over the next 100+ years on an undiscounted basis is £119.0 billion. NDA has reviewed the methodologies used in the calculation, taking into account HM Treasury Green Book guidance and the need to remove optimism bias. Projects like these could typically have a range of estimates from -50% to +300%. In light of uncertainties in the estimate, NDA considers it prudent to present a credible range of outcomes. The range presented for the current year is for undiscounted costs of £97 billion to £222 billion. ## Box 5: Contracts For Difference (Cfds) CfDs are designed to incentivise investment in a mix of low carbon electricity generation technologies which will help the UK meet its renewable and decarbonisation targets. CfDs do this by agreeing with a generator a strike price for electricity supplied, thereby providing certainty needed for private investment, while protecting consumers from having to continue to pay higher support costs when electricity prices are high. The support payments paid (or repaid) in future will be calculated from the difference between the strike price and the market reference price prevailing at the time. Low Carbon Contracts Company (LCCC) Difference payments under the CfDs are funded through a levy paid by licensed energy suppliers. The LCCC is the company established by Government to collect this levy, manage the CfDs and pay or receive the contracted difference payments. Currently the LCCC is managing all 40 recognised CfD contracts and the Hinkley Point C CfD, which has not been recognised, following the novation of the last biomass contract from the core Department in December 2016. Accounting for fair value (FV) In order to comply with the relevant accounting standards, the Department is required to estimate the 'fair value' of future CfD payments. Although difference payments under CfDs can be positive (an asset) or negative (a liability), accounting standards only allow for the liability element to be recognised. This figure is calculated using a model that forecasts the rate of generation, expected demand for electricity and electricity prices over the term of the contract. The figures in the financial statements represent management's best current estimate within a range of scenarios and will be subject to change over time. Movements in fair value of CfDs recognised in the Accounts 2016-17 2015-16 £ bn £ bn 1 April 30.6 21.6 Changes in FV on existing contracts -0.8 10.7 Terminations where CfDs are cancelled – -1.7 CfD reinstated 1.7 – Payments made for generation -0.1 – 31 March 31.4 30.6 In accordance with accounting standards the initial fair value of any contract is deferred. On 1 April 2016 the total deferred fair value of CfDs disclosed in the accounts was £18 billion. The CFD contract for Hinkley Point was signed in September 2016, but it has not been recognised in the accounts. The fair value at 31 March 2017 was £28.8 billion. The Department recognises all subsequent movements of fair value on CfD contract recognised in the accounts through the Statement of Comprehensive Net Expenditure (SoCNE) and recognises a liability on the Statement of Financial Position (SoFP). Effect on the SoFP 2016-17 2015-16 £ bn £ bn 1 April 12.6 2.5 Changes in FV on existing recognised contracts -0.8 10.7 Terminations where CfDs are cancelled – -0.6 Reinstatement of CfDs 0.6 – Payments made for generation -0.1 – 31 March 12.3 12.6 Further details on the CfDs can be found in note 9 on page 150. ## Box 6: Hinkley Point C • Given the expected generating capacity, • The 35–year duration has presented Hinkley Point C (HPC) will provide low carbon electricity to 6 million homes, twice as many as the whole of London, for around 60 years. It will provide a vital boost for the national and local economy, creating 25,000 jobs, with at least 5,000 people from Somerset expected to work directly on the project, providing a £40 million boost to the local economy every year. The Funded Decommissioning Programme will make sure that the taxpayer does not pick up the cost of decommissioning the plant in the future. The Department's CfD means that no costs are passed onto the consumer during the build period of the power station. CfD contracts are explained in box 5 on page 39. The CfD for HPC has been signed with NNB Generation Company, a subsidiary of EDF. It is much longer than contracts for other types of power generation, such as offshore wind, which are typically for 15 years. Some features of the contract are as follows: • It will expire at the earlier of 35 years after the start date of the second reactor or when the total CfD payments made have reached the Generation Cap (910 TWh). • The strike price, the amount guaranteed Future forecast wholesale electricity prices Forecast wholesale electricity prices are derived from the Dynamic Dispatch Model (DDM) which has been developed by the Department to facilitate and inform policy decisions by modelling investor behaviour in response to fuel and carbon prices and policy environment. The DDM forecasted wholesale electricity prices do not go beyond 2050. The Department has therefore assumed flat wholesale prices for the 10 years between 2050 and 2060. to the generator through the CfD, has been negotiated at £92.5/MWh15 but this shall be reduced by £3/MWh if there is agreement to commission Sizewell C on or before the HPC start date. The strike price may also be adjusted upwards if the operating expenditure costs are more than assumed and downwards if they are less. This provides a way of mitigating long-term cost risks for both parties. • There is a construction gain share for HPC, Forecasts of future wholesale electricity prices over such a long time period are inherently uncertain as they will be affected by a variety of factors including electricity demand, fossil fuel prices, generation mix, carbon prices and technology. The Department considers that the inherent uncertainties of forecasting future wholesale electricity prices beyond 2040, and up to 2060 mean that the HPC CFD does not meet condition (b) of paragraph 4.38 of the Conceptual Framework, and therefore, this contract has not been recognised in the primary statements. such that if the construction costs of HPC come in under budget, the strike price will be adjusted downwards so that the gain (or saving) is shared with the Department. and the 35–year contract duration the HPC CfD is extremely large, the fair value in Sept 2016 was £26.8 billion (in 2016 prices), which increased by £2 billion to 31 March 2017, as a result of subsequent movements in forecasts of future wholesale electricity prices. significant challenges to value, and there are a lot of uncertainties, particularly longterm future forecast wholesale electricity prices. Given the uncertainties, the CfD has not been recognised in the accounts, more detail is provided in the Derivative Financial Instrument Note. Sensitivity analysis The following table shows the impact on the fair value (in 2016 prices) of the HPC CfD, classified under level 3 in accordance with IFRS13, by using reasonably possible alternative assumptions: Change in fair value of HPC if: Electricity prices decrease by 10% – 4,477,796 Electricity prices increase by 10% 4,477,796 – At generation cap – 259,850 10% less load factor 2,882,384 – Estimated commissioning date moves backwards by one year 481,230 – Sizewell C strike price adjustment for HPC 2,387,085 – The fair value is highly dependent upon the actual capacity generated once the plant is built and the electricity prices which will prevail at the time of generation. The favourable and unfavourable changes show how the \| Favourable changes \| Unfavourable changes \| \|------\|------\| \| £000 \| £000 \| impact of changes in capacity and prevailing electricity prices will affect the fair value of CfDs due to the change in the level of cash flows. ## Levy Control Framework (Lcf) Budget Many of our energy policies, including: Contracts for Difference, the Renewables Obligation (RO) and the small-scale Feed-in Tariff scheme, are funded by electricity suppliers who recover their costs via consumer bills. The LCF was introduced by HM Treasury and the then Department of Energy and Climate Change in 2011 to set caps on consumer-funded expenditure on energy policies and control the costs to consumers. It covers several policies classed as levies. The RO is being replaced by the competitive 'Contracts for Difference' support scheme. The CfD controls the rate of deployment and uses competition to set prices, improving value for money for bill payers. The Government closed the RO early to solar photovoltaic (PV) and onshore wind. For all other technologies, the scheme closed on 31 March 2017. There are a number of extensions which allow accreditation in certain circumstances up to January 2019 in Great Britain and March 2019 in Northern Ireland. We have also removed guaranteed rates of support for certain solar PV, biomass co-firing and biomass conversions stations. Actual figures (from 2011-12 to 2015-16) show that LCF spend has not hit the budget cap in any of the years. However, projections to 2020- 21 forecast that the LCF cap will be exceeded in each of the remaining years, although the figures are within the 20% 'headroom' agreed by HM Treasury to allow for cost fluctuations (such as wholesale price changes) which are outside the Department's control. We have taken action on the Feed-in Tariff scheme to set lower tariffs. Our measures seek to maintain a viable solar industry which, in the medium term, can continue to reduce its costs and move towards subsidy–free deployment, and to provide other technology sectors with tapered support over coming years. Keeping the scheme open and introducing deployment caps, based on a £100 million budget, is still expected to facilitate 1,600MW of new capacity and 240,000 new installations by 2020-21. In the Spring Budget 2017, the Government announced that the LCF (as a budgetary framework) will not be renewed post 2020. ## Official Development Assistance (Oda) Under agreed statistical reporting methodology, ODA expenditure is reported on a calendar year and cash basis. The Department provided £687 million of ODA in 2016. In 2016 we have delivered £311 million of climate and energy related ODA. We have also invested £303 million in international climate finance including: • £152 million through large-scale multilateral funds such as the Green Climate Fund; • £60 million in the Transformative Carbon Asset Facility that is using results–based finance to support developing countries to implement carbon pricing measures; • £42 million in the Renewable Energy Performance Platform, a private–sector focussed programme targeting renewables in Africa; and • £17 million through technical assistance programmes aimed at building the capacity of developing countries. In 2016 we delivered £377 million in research and innovation related ODA expenditure, including £92 million from the Newton Fund and £71.8 million from the Global Challenges Research Fund (GCRF). The latter became operational as of April 2016. Our ODA-funded research and innovation covered a wide range of social, economic and environmental challenges facing developing countries, with an aim of reducing poverty by generating and putting into use knowledge and technology to address development challenges - from: supporting work to sequence the genetic make-up of the Zika virus and its rapid diagnostics to supporting the engineering profession in sub-Saharan Africa. This expenditure also contributes towards the continued strengths of the UK's research and innovation system, and supports our wider scientific, trade and diplomatic objectives as a globally engaged nation. Further information on the Department's ODA expenditure in 2016 may be found in the publication 'Provisional UK Official Development Assistance as a Proportion of Gross National Income'. 16 ## Charging Policy The core Department provides only a limited number of services for which it charges fees. Any such fees are set to comply with the cost allocation and charging requirements set out in HM Treasury and Office of Public Sector Information guidance. The Insolvency Service sets its fees to recover costs. It has a range of fees covering three areas: case administration, where fees reflect the average costs of administering bankruptcy cases and compulsory company liquidation cases and also the average cost of completing debt relief orders; insolvency practitioner regulation, where fees include the cost of authorising and monitoring insolvency practitioners and registering individual voluntary arrangements; and estate accounting, where fees reflect the cost of financial transactions on insolvency cases using the Insolvency Services Account. Details of charging policies relating to Partner Organisations may be found in their published accounts. ## 4. Lord Prior Of Brampton Parliamentary Under Secretary Of State Departmental Board And Leadership Team 1. Greg Clark Secretary Of State For Business, Energy And Industrial Strategy And Chair Of The Departmental Board Lord Prior of Brampton was appointed Parliamentary Under Secretary of State at the Department for Business, Energy and Industrial Strategy on 21 December 2016. Previously he served at the Department of Health as Minister for NHS Productivity from May 2015. He is a Conservative member of the House of Lords. Lord Prior has a wealth of experience including roles in health, finance, manufacturing and engineering. 5. Baroness Neville-Rolfe Minister of State for Energy and Intellectual Property The Rt Hon Greg Clark was appointed Secretary of State for Business, Energy and Industrial Strategy on 14 July 2016. Prior to this Greg served as Secretary of State for Communities and Local Government from May 2015. He was elected Conservative MP for Royal Tunbridge Wells in 2005. Before entering politics, Greg worked for the Boston Consulting Group, one of the world's top business strategy firms. He was posted to the USA, Mexico, South America and Iceland, as well as working for clients in the UK. He was also Head of Commercial Policy at the BBC. ## 2. Nick Hurd Minister Of State For Climate Change And Industry Baroness Neville-Rolfe was appointed Minister of State at the Department for Business, Energy and Industrial Strategy on 17 July 2016. She joined the House of Lords as a Conservative peer in October 2013 and served as Parliamentary Under Secretary of State at the Department for Business, Innovation and Skills, and Minister for Intellectual Property from July 2014 until July 2016. She has been an executive director on the Board of Tesco PLC from 2006-13 and has served on several other high-profile boards. She moved from BEIS to become Commercial Secretary to the Treasury in December 2016. 6. Archie Norman Lead Non-Executive Director and Deputy Chair of the Departmental Board Nick Hurd was appointed Minister of State at the Department for Business, Energy and Industrial Strategy on 16 July 2016. Prior to this Nick served as a Minister in the Department for International Development from November 2015, where his portfolio included climate and environment, and leadership of the Energy Africa campaign. He was elected Conservative MP for Ruislip, Northwood and Pinner in May 2010. He has spent 18 years in business, including 5 years representing a British bank in Brazil. 3. Margot James Parliamentary Under Secretary of State, Minister for Small Business, Consumers and Corporate Responsibility Archie Norman is one of Britain's leading businessmen with a long track record of business change and value creation. He has led transformations of major British businesses in the UK and abroad, served on the boards of several others, and built strong management teams who are now in leading positions in several major British companies. Archie is the first and only FTSE100 Chairman to be elected a Member of Parliament. ## 7. Professor Dame Ann Dowling Dbe Non-Executive Director And Chair Of The Nominations And Governance Committee Ann Dowling DBE is a Professor of Mechanical Engineering at the University of Cambridge and chair of the University Gas Turbine Partnership Margot James was appointed as Parliamentary Under Secretary of State at the Department for Business, Energy and Industrial Strategy on 17 July 2016. Prior to this Margot served as Assistant Government Whip from May 2015. She was elected Conservative MP for Stourbridge in May 2010. Margot worked in sales and marketing for her father's business, MJI, based in Birmingham. In 1986 she co-founded Shire Health Group, a public relations and medical education business. with Rolls-Royce. Ann is President of the Royal Academy of Engineering and a Fellow of the Royal Society. She has held visiting posts at MIT (Jerome C Hunsaker Visiting Professor, 1999) and at Caltech (Moore Distinguished Scholar 2001). Her research is in fluid mechanics, noise, vibration and combustion and is aimed primarily at aeronautical applications. Ann was also a Non-Executive Director for BIS from February 2014. 8. Charles Randell CBE Non-Executive Director and Chair of the Audit and Risk Assurance Committee Charles Randell has been an independent director of the Bank of England's Prudential Regulation Authority since it assumed responsibility for supervising UK banks, insurance companies and large investment firms in April 2013. Prior to that he was a senior partner in the law firm Slaughter and May, where he specialised in corporate finance law, with much of his work involving the energy and public sectors. Charles was also a Non-Executive Director for DECC from October 2014. ## 9. Stephen Carter Non-Executive Director Stephen Carter has a unique combination of skills and insights gained through a career equally divided between the public and private sector. Now the CEO of Informa, a FTSE100 company, he brings previous business experience at Alcatel Lucent, NTL (now Virgin Media) and JWT UK & Ireland. His public sector experience includes being the founding CEO of Ofcom, and time as the Minister for Communications, Technology and Broadcasting, when he produced the Digital Britain Blueprint. ## 10. Carolyn Mccall Non-Executive Director Carolyn is CEO of EasyJet and has extensive experience in business with a wealth of understanding of the transportation and media industries. Prior to EasyJet she was Chief Executive of the Guardian Media Group. She has been a great champion of diversity, most recently demonstrated through EasyJet's commitment to increase the number of female pilots it trains and employs. ## 11. Kathryn Parsons Non-Executive Director Kathryn Parsons is the co-founder and CEO of DeCoded. She brings with her valuable expertise from the digital enterprise community sitting on the London Mayor's Business Advisory Board and the Government's Cyber Security Board. She also chairs the Digital Skills and Innovation Fund. She has helped over 500 organisations - from FTSE100 companies to Government departments and start-ups - to think and act differently in the digital world. ## 12. Stuart Quickenden Non-Executive Director Stuart Quickenden has had a 20–year career at Boston Consulting Group, a leading global management consultancy, culminating in becoming Managing Partner. He is a leading expert on organisational change, advising large organisations to help drive better performance at lower cost. ## 13. Rachel Campbell Non-Executive Member - Nominations And Governance Committee Rachel Campbell is the Global Head of People, Performance and Culture for KPMG International. She is responsible for the firm's global people strategy and communications. Previously she was Head of People and a board member for both KPMG and Europe LLP firms. Rachel is a chartered accountant and has operated as an audit partner for the firm, working predominantly with global fast-moving consumer goods clients. She is a Fellow of the Chartered Institute of Personnel and Development. Rachel previously served as Non-Executive Director for DECC from September 2014. ## 14. Claire Davies Non-Executive Member - Audit And Risk Assurance Committee Claire Davies is an experienced solicitor, company secretary and compliance professional with more than 30 years' experience in the retail banking and financial services sectors acquired from senior roles with Legal and General Group, Ernst & Young, Lloyds Banking Group, the Co-Operative Group, and Barclays. With a strong interest in governance, she is a regular speaker and contributor of articles to industry conferences and publications. ## 18. Lucy Shannon Non-Executive Member - Audit And Risk Assurance Committee 15. Nigel Johnson Non-Executive Member - Audit and Risk Assurance Committee Lucy Shannon is a creative IT professional with experience in cyber security, IT outsourcing, pursuit management, service delivery leadership, and business process automation. As a senior account director with MWR InfoSecurity she has helped many organisations to address cyber security and protect their networks and services. She has also co-founded the Women's Network at Xerox with the aims of inspiring and developing women, connecting externally with clients and internally to support diversity. Nigel Johnson is a chartered accountant with an extensive range of audit and advisory experience gained over 30 years working for a large professional services firm, supporting diverse clients across the corporate, not-for-profit and public sectors. Corporate clients included major UK- and US-listed groups such as Tate & Lyle, Trafalgar House Kimberly-Clark, and Hitachi. He has also worked with charities including Scope and Great Ormond St. Hospital. ## 19. Alex Chisholm Permanent Secretary 16. Bryan Ingleby Non-Executive Member - Audit and Risk Assurance Committee Alex Chisholm became Permanent Secretary for the Department for Business, Energy and Industrial Strategy in September 2016. He acted as Joint Permanent Secretary for the Department initially, alongside Sir Martin Donnelly, having recently been appointed as the Permanent Secretary for DECC. Prior to this Alex was the Chief Executive for the Competition and Markets Authority. Bryan Ingleby is a highly experienced chartered accountant. Following a career as an external auditor in the public sector, Bryan now has a portfolio of non-executive and independent roles in several sectors including the NHS, Education, Housing, and local government. Bryan brings experience in sound financial management, risk management, and strong corporate governance. ## 20. Sam Beckett Director General, Economics And Markets 17. Myriam Madden Non-Executive Member - Audit and Risk Assurance Committee Sam has been Director General, Economics and Markets since December 2016. Prior to this she was Director General for Economics and Markets in BIS. She has over 25 years' experience in BIS, the Cabinet Office and HM Treasury, in roles spanning micro- and macro-economics, strategy, policy and corporate services delivery. ## 21. Gareth Davies Director General, Business And Science Myriam Madden is a leader in the field of accountancy, having served as President of the Chartered Institute of Management Accountants and as Chair of the Joint Venture Board of the Association of International Certified Professional Accountants, both global accounting bodies. She is an experienced Executive Director specialising in business transformation, operational re-structuring and finance, in the UK, US and Europe. Myriam also served as a Non- Executive Director on the Board of the American Institute of Certified Public Accountants. Gareth Davies has been Director General, Business and Science since December 2016. Prior to this he was a Director General in BIS. Over the last decade Gareth has worked in Downing Street as the Prime Minister's lead adviser on welfare reform, been Head of the Prime Minister's Strategy Unit and was an Executive Board member of both the Cabinet Office and the Department for Innovation Universities and Skills. ## 22. Clive Maxwell Director General, Energy Transformation Clive Maxwell has been Director General, Energy Transformation since December 2016. Prior to this he was Director General, Energy Efficiency and Heat at DECC. Clive was Chief Executive of the Office of Fair Trading from July 2012, after being on its board as an Executive Director and previously working as Senior Director, Services Sector. Prior to joining the OFT, Clive worked in a wide range of roles for HM Treasury from 1992 to 2009. ## 23. Jeremy Pocklington Director General, Energy And Security Jeremy Pocklington has been Director General, Energy and Security since December 2016. Prior to this he was Director General of Markets and Infrastructure at DECC. Jeremy spent many years at HM Treasury, culminating in his role as Director of the Enterprise and Growth Unit. From 2009 to 2012 he also served as Director of the Economic and Domestic Secretariat at the Cabinet Office. ## 24. Angie Ridgwell Director General, Corporate Services Angie Ridgwell has been Director General, Corporate Services since December 2016. Prior to this she was Director General for Finance and Corporate Services at DECC. Before joining DECC she was Strategic Director for Corporate Services and Strategic Director of Organisational Design for Bristol City Council. She has extensive experience working with a range of local authorities, government agencies and in the private sector. 25. Jaee Samant Director General, Strategy, Growth, People and Legal Jaee Samant has been Director General, Strategy, Growth, People and Legal since December 2016. Prior to this she was Director General for Skills, Deregulation and Local Growth at BIS. Jaee has been a civil servant for almost 25 years and has worked at the Department of Employment, the Department for Education and Employment and the Cabinet Office before joining the Home Office in 2004. She has also worked on secondment to the Big Lottery Fund and the BBC. ## 26. Katrina Williams Director General, International And Growth Katrina Williams has been Director General, International and Growth since December 2016. Prior to this she was Director General for International, Science and Resilience at DECC. Before joining DECC, Katrina was Director General for Strategy, Evidence and Customers in Defra, advising ministers on the department's strategic focus, overseeing all of its international and EU work and how it gets the evidence it needs to support its work. From 2008 to 2012 she was Director General for Food and Farming in Defra. ## 27. Professor Tim Dafforn Chief Entrepreneurial Adviser Professor Tim Dafforn is Chief Entrepreneurial Adviser. Prior to this appointment he was Chief Scientific Adviser at BIS. Tim has great expertise across biotechnology and life sciences, accumulated over a career that includes authoring more than 100 publications and a lifetime research grant capture of £10 million. ## 28. Professor John Loughhead Obe Freng Ftse Chief Scientific Adviser Professor Loughhead is Chief Scientific Adviser. Prior to this he was Chief Scientific Adviser at DECC. Before joining DECC, John was Executive Director at the UK Energy Research Centre (UKERC). John's professional career has been predominantly in industrial research and development for the electronics and electrical power industries. He has extensive international experience in both industry and academia. ## Performance Finance And Risk Committee Key To Committee Membership Projects and Investment Committee Departmental Board People and Operations Committee Nominations and Governance Committee Strategic Policy Review Committee Audit and Risk Assurance Committee Transition Programme Board Executive Committee ## Statement Of Accounting Officer'S Responsibilities Under the Government Resources and Accounts Act 2000 (the GRAA), HM Treasury has directed the Department for Business, Energy and Industrial Strategy to prepare, for each financial year, consolidated resource accounts detailing the resources acquired, held or disposed of, and the use of resources during the year by the Department (inclusive of its executive agencies) and its sponsored non-departmental and other arm's-length public bodies. These other bodies are designated by order made under the GRAA by Statutory Instrument 2016 no 1243 (together known as the 'Departmental group', as consisting of the department and sponsored bodies listed at note 28 to the accounts). The accounts are prepared on an accruals basis and must give a true and fair view of the state of affairs of the Department and the Departmental group and of the net resource outturn, application of resources, changes in taxpayers' equity and cash flows of the Departmental group for the financial year. In preparing the accounts, the Accounting Officer of the Department is required to comply with the Government Financial Reporting Manual and in particular to: • observe the Accounts Direction issued by HM Treasury, including the relevant accounting and disclosure requirements, and apply suitable accounting policies on a consistent basis; • ensure that the Department has in place appropriate and reliable systems and procedures to carry out the consolidation process; • make judgements and estimates on a reasonable basis, including those judgements involved in consolidating the accounting information provided by non-departmental and other arm's-length public bodies; • state whether applicable accounting standards as set out in the Government Financial Reporting Manual have been followed, and disclose and explain any material departures in the accounts; and • prepare the accounts on a going–concern basis. HM Treasury has appointed the Permanent Head of the Department as Accounting Officer of the Department. The Accounting Officer of the Department has also appointed the Chief Executives or equivalents of its sponsored non-departmental and other arm's– length public bodies as Accounting Officers of those bodies. The Accounting Officer of the Department is responsible for ensuring that appropriate systems and controls are in place to ensure that any grants that the Department makes to its sponsored bodies are applied for the purposes intended and that expenditure and the other income and expenditure of the sponsored bodies are properly accounted and in order, for the purposes of consolidation within the resource accounts. Under their terms of appointment, the Accounting Officers of the sponsored bodies are accountable for the use, including the regularity and propriety, of the grants received and the other income and expenditure of the sponsored bodies. The responsibilities of an Accounting Officer are set out in Managing Public Money published by HM Treasury. These include responsibility for the propriety and regularity of the certain public finances for which the Accounting Officer is answerable, for keeping proper records, and for safeguarding the assets of the department or non-Departmental or other arm's–length public body for which the Accounting Officer is responsible. ## Accounting Officer'S Confirmation I have taken all the steps that I ought to have taken to make myself aware of any relevant audit information and to establish that the Department's auditors are aware of that information. I have received appropriate assurances from the former accounting officers who served this department and its predecessors, Sir Martin Donnelly and Stephen Lovegrove. As far as I am aware, there is no relevant audit information of which the Department's auditors are unaware. The annual report and accounts as a whole is fair, balanced and understandable. I take personal responsibility for the annual report and accounts and the judgements required for determining that it is fair, balanced and understandable. Alex Chisholm Principal Accounting Officer and Permanent Secretary ## Governance Statement Introduction Establishing the right governance for the newly formed Department has been a crucial part of creating the best environment to deliver an economy that works for everyone. strategy and ensuring the UK gets the best deal from Brexit. The Non-Executive Board members have provided a valuable link between the Department and the business community. As part of this they have participated in a range of sector–specific stakeholder engagement events, themed around the 10 pillars of the industrial strategy. This Governance Statement sets out the governance, risk management and internal control arrangements for the Department, in accordance with HM Treasury guidance. It applies to the financial year 1 April 2016 to 31 March 2017 and up to the date of approval of the Annual Report and Accounts. It integrates information about the Department's nondepartmental public bodies (NDPBs) included in the consolidated group accounts. The Department has also undergone an intense period of change over the past year that should not be underestimated. The Departmental Board has overseen the delivery of the Transition Programme to bring the new Department together. It has also played a key role in shaping transformation plans - providing steers on the scope, approach and ambition for the programme prior to Executive Committee sign off. The Board will continue to review progress on transformation, and to deploy the knowledge and expertise of the non-executive team to support delivery. Evidence is provided throughout the statement on how governance has been aligned with Departmental vision and objectives. The statement seeks to show what has been achieved in the Department and to set out the activity that was previously undertaken in BIS and DECC that has since become the responsibility of BEIS. The Board meetings are chaired and led by the Secretary of State and benefit from full representation from Ministerial and official members. I am pleased with the start our nonexecutive team has made and I am confident that we will have a great deal to contribute to the work of the Department in the year ahead. ## Report Of The Lead Non-Executive Director When I joined the Department in October we set out, with the support of the Secretary of State and Permanent Secretary, to recruit a new strong Board with highly credible representatives reflecting the new Department's mission and aspirations. As a result, we now have a very strong team, including top executives from the UK's leading companies and professions, science and the entrepreneurial sector. My thanks go to those outgoing Non-Executive Board members from the legacy Departments who helped to ensure a smooth transition. Critically, we were able to retain the services of Ann Dowling and Charles Randell to be part of our new non-executive team. The Departmental Board was quick to begin work, providing challenge and support for two of our biggest priorities: introducing an industrial ## Governance Structures The formation of BEIS in July 2016 provided an opportunity to create a governance structure that both drew on the best practice of the legacy departments and introduced innovations to enable the Department to deliver its vision of an economy that works for all. At a structural level, the top tier of governance has been established within the Department. During the course of the transition programme, there was an approach of dual-running from July to October, between legacy arrangements with blended participation to support the move to our new structure. ## Our Top-Tier Governance Structure This has ensured that key decisions have received the appropriate scrutiny and approval, while initial feedback has highlighted that there is more to do in 2017-18 to communicate these arrangements and to support different parts of the Department to engage with this tier of governance effectively. The Department is focused on corporate responsibility and governance, and aims to be at the forefront for raising standards, diversity and inclusion in the way that we designed and implemented our governance structures. We will evaluate their success over the course of 2017-18 and will report on how we have improved and refined our approach in the next Annual Report. ## Departmental Board The Departmental Board is now fully established, following the appointment of 7 non-executive Board members by February 2017. The Board is chaired by the Secretary of State, supported by our lead non-executive Board member Archie Norman, and includes ministers, non-executive Board members and the executive team. It provides collective strategic leadership and challenge, with responsibilities for performance, risk, and delivery, including appropriate oversight of non-departmental public bodies (NDPBs). The Board is focused on the Departmental vision as reflected in the areas it has addressed since its first meeting in December 2016. The Board held three meetings in 2016-17, and there were meetings of the legacy departments' boards prior to the Machinery of Government changes. The Board has agreed to hold 6 meetings a year in future. At each meeting, the Board receives a report from the Permanent Secretary and divides its time between: reviewing progress and risks to our strategic objectives; assuring governance; and supporting the Department to get the right capability and systems in place to deliver high performance. In its first three meetings this has included consideration of the headline issues facing the Department such as the industrial strategy, the UK's exit from the EU, the Department's transition programme and the development of the Single Departmental Plan. ## Board Activities \| Discussion \| \|--------------------------------------------------\| \| Departmental vision \| \| and structure \| \| The Board endorsed the vision for the Department \| \| and emphasised the importance of an effective \| \| industrial strategy to deliver this vision. \| \| EU exit opportunities \| \| and challenges \| \| The Board challenged the Department on its \| \| readiness and assumptions. They specifically \| \| sought further views on the impact of currency \| \| depreciation on the UK. \| \| EU exit approach \| \| and priorities \| \| The Board stressed the need for the Department \| \| to have a lead role in both listening and \| \| communicating clearly to business to assure \| \| and maintain confidence. \| \| Industrial Strategy \| \| Green Paper \| ## Strategy The Board challenged the language of the strategy and recommended stakeholder engagement to improve its potential and impact Critical infrastructure review and mergers Green Paper The Board provided views on how to strengthen the Green Paper and to ensure it had the right scope and legal scrutiny. Entrepreneurship The Board considered proposals for a review of entrepreneurship and offered a set of challenges to strengthen the approach, ensuring this becomes a core part of the Department's offer to business. Security of gas supply The Board agreed with the assessment of gas storage capacity in the UK and challenged the Department on whether enough was being done to maximise shale gas opportunities. The vision has been communicated to all Department staff and is core to strategic planning and Departmental transition. The Board sought a further discussion on the approach and priorities for EU exit work. The approach to EU exit is now a standing item for the Board to challenge and support. The Green Paper was launched and the non-executive Board members took an active role in the engagement sessions. The Green Paper is undergoing further development. Further work will be done on this for 2017-18. No additional progress was discussed at the March Board meeting. \| Discussion \| \|--------------------------------------------------------\| \| Setting Board terms \| \| of reference \| \| The Board approved the terms of reference and \| \| agreed to work to ensure that the impact of their \| \| decisions was assessed over time. \| \| Single Departmental \| \| Plan (SDP) \| \| The Board was informed of the approach required \| \| to develop an SDP and agreed that Archie Norman \| \| would have a lead role for the Board. \| \| Governance and risk \| \| Departmental \| \| risk appetite and \| \| management \| \| The Board agreed to take an iterative approach to \| \| setting risk appetite and challenged the Department \| \| to consider the cumulative impact of risk and how \| \| to mitigate it. \| \| Future shape, size \| \| and operating model \| \| for the Department \| \| The Board made a commitment to ensure the \| \| Department becomes one of the best places \| \| in Government to work, as part of a need to \| \| strengthen performance and talent management. \| \| Performance \| \| enhancement \| \| Operations \| \| The Board agreed with the need to strengthen \| \| the offer to staff to attract and retain talent, while \| \| being clear on the need to further improve overall \| \| leadership and management capability. \| \| Transformation \| \| Programme \| \| The Board recognised that a bold and ambitious \| \| approach is needed to make the Department an \| \| attractive place to work, providing a challenging mix \| \| of work and the opportunity to make a difference. \| All Board members are required to declare any personal or business interests which may influence their judgement in discharging their obligations, or which may be perceived to do so by a reasonable member of the public. These interests include, without limitation, personal direct and indirect pecuniary interests and any such interests of close family members or of people living in the same household as the Board member. The Department collects this information twice a year from executive and non-executive Board members and on the appointment of new members. Where a Board member has a specific conflict of interest, additional mitigations are put in place. Typically this means not taking part in related discussions at the Board or other meetings. Three conflicts of interest were raised this year and were managed in line with the relevant procedures. Due to the relative new state of the Board and its members, there has not been a formal evaluation of Board performance in 2016-17. The Board is committed to assessing and improving performance and will implement a full internal review for 2017-18, with a view to having an independent review in 2020. The Board is working to its terms of reference and is preparing for a full evaluation of performance in 2017-18. The SDP was developed with support from Archie Norman, but publication has been delayed by purdah rules. The Departmental risk framework is in development with the support of the Audit and Risk Assurance Committee. This was taken forward in the subsequent Board discussion on staff performance enhancement. Discussions are being taken forward to support this ambition. The programme is now being established to transform the Department over the next three years. The Board is supported by three main committees: • the Audit and Risk Assurance Committee; • the Nominations and Governance Committee; and • the Executive Committee. "An effective Board is a crucial aspect of good corporate governance. That is why I made it a priority for my Department to both recruit a highly talented and respected set of non-executives and to ensure that the Board meets frequently throughout the year to provide the best possible strategic leadership and challenge. Having set a clear vision for the Department and considered some of the most pressing priorities, including the industrial strategy and the UK's exit from the EU, I am confident we have the right team and governance in place to deliver." Greg Clark Secretary of State BIS and DECC. A summary of the number of meetings held in each of the legacy departments are set out in the subsequent table. ## Board And Committee Attendance The table below sets out attendance for the key Where members were unable to attend meetings in person, they have been able to share their views in advance to the chairperson. governance forums within the Department. Prior to this, similar arrangements were in place for ## Board And Committee Attendance For The Period 14 July 2016 To 31 March 2017 Board or committee member Dates served Total meetings during period 3 2 17 Greg Clark 3/3 Nick Hurd 2/3 Margot James Appointed January 2/2 Baroness Neville-Rolfe Left December 1/1 Lord Prior Appointed December 2/2 Archie Norman 3/3 Professor Dame Ann Dowling 2/3 Charles Randell 3/3 2/2 Stephen Carter Appointed March 1/1 Carolyn McCall Appointed March 1/1 Kathryn Parsons Appointed March 1/1 Stuart Quickenden Appointed March 1/1 Rachel Campbell Claire Davies 0/2 Nigel Johnson 2/2 Bryan Ingleby Appointed March 1/1 Myriam Madden Appointed March 1/1 Lucy Shannon 2/2 Alex Chisholm 3/3 15/17 Sam Beckett 17/17 Gareth Davies 14/17 Clive Maxwell 15/17 Jeremy Pocklington 14/17 Angie Ridgwell 3/3 15/17 Jaee Samant Appointed January 2/2 15/17 Katrina Williams 15/17 Professor Tim Dafforn 8/17 Professor John Loughhead 14/17 The Nominations and Governance Committee did not meet in 2016-17. The first meeting of the committee was in May 2017. Audit and Risk Departmental Assurance Executive Board Committee Committee ## Board And Committee Activity For The Period 1 April 2016 To 14 July 2016 This table shows the number of meetings held in the legacy departments prior to the Machinery of Government change. \| Governance Forum \| Number held in BIS \| Number held in DECC \| \|--------------------------------------\|----------------------\|-----------------------\| \| Departmental Board \| 1 \| 1 \| \| Audit and Risk Assurance Committee \| 3 \| 3 \| \| Nominations and Governance Committee \| 1 \| 1 \| \| Executive Committee \| 10 \| 9 \| ## Non-Executives Who Left During 2016-17 During the first half of 2016-17 several nonexecutives ended their work with the Department as they reached the end of their term or as a result of the Machinery of Government change. \| Name and role \| Role ended \| \|----------------------------------------------------------------------------------\|----------------\| \| Martin Stewart Lead Non-Executive Board Member for DECC \| May 2016 \| \| Caroline Mawhood Non-Executive Member of ARAC for DECC \| June 2016 \| \| Wendy Purcell Non-Executive Board Member for BIS \| July 2016 \| \| Jayne Scott Non-Executive Member of ARAC for DECC \| September 2016 \| \| Allan Cook Lead Non-Executive Board Member for BIS \| November 2016 \| \| Grenville Hodge Non-Executive Member of ARAC for BIS \| September 2016 \| \| Jonathan Vickers Non-Executive Member of Investment Committee for DECC \| November 2016 \| \| Dale Murray Non-Executive Board Member for BIS \| December 2016 \| \| Stephen Bligh Non-Executive Board Member for BIS and Chair of the Audit and Risk \| \| \| Assurance Committee for BIS \| December 2016 \| \| Tom Kelly Non-Executive Board Member for DECC \| December 2016 \| \| Juergen Maier Non-Executive Board Member for BIS \| December 2016 \| \| Rachel Campbell Non-Executive Board Member for DECC \| December 2016 \| • the adequacy of management response to ## Audit And Risk Assurance Committee "Since July 2016, I have been impressed by • proposals, where appropriate, for tendering • anti-fraud policies, whistleblowing processes, Charles Randell was confirmed as the BEIS Audit and Risk Assurance Committee chair the constructive efforts made by colleagues from BIS and DECC to draw together their respective Audit and Risk Assurance Committee (ARAC) arrangements. As Chair, I am grateful to Stephen Bligh, the former BIS ARAC Chair, for his support and I am pleased that we have been able to build a team of non-executive members that draws in both former colleagues and new people who can provide the challenge needed to ensure BEIS has a clear grip on its management of risk and finance." in November 2016 and chaired the new Department's first formal Audit and Risk Assurance Committee on 21 November 2016. Charles Randell CBE Committee Chair ## Role Of The Committee The purpose of the Audit and Risk Assurance Lucy Shannon, Claire Davies and Nigel Johnson were confirmed as Non-Executive Members in March 2017, continuing their role from the previous BIS Audit and Risk Assurance Committee. Bryan Ingleby and Myriam Madden were recruited as Non-Executive Members in March 2017 to ensure the right balance of skills. Committee is to support the Departmental Board and Accounting Officer in their responsibility to ensure that the Department is a financially sound and efficient organisation which makes effective use of its resources in pursuit of its strategic objectives. Specifically, the Audit and Risk Focus since July 2016 Since the MoG changes in July, the focus for the Audit and Risk Assurance Committee has been on: Assurance Committee reviews the effectiveness • shaping the approach for the Annual Report of the risk–management framework established by management to identify, assess and manage risk, thereby playing an important role in supporting our reputation for excellent financial and risk management. • continuous review and improvement of The Audit and Risk Assurance Committee advises the Board and Accounting Officer on: • the effective operation of the overall control, • assuring the Transition Programme, bringing • examining and challenging the new risk and governance arrangements, including ensuring adequate assurance is available to the Accounting Officer for the annual Governance Statement; • the accounting policies, the accounts, and the • ensuring the committee is fit for purpose, with annual report of the organisation, including the process for review of the accounts prior to submission for audit, levels of error identified, and management's letter of representation to the external auditors; • the formation of comprehensive risk • the planned activity and results of both internal and external audit (including the National Audit Office's (NAO) audit of the Resource Accounts) and their implications for the Department; issues identified by audit activity, including calling Directors to account as necessary, and advising on how to make effective improvements as a result; for either internal or external audit services or for purchase of non-audit services from contractors who provide audit services; and and arrangements for special investigations. and Accounts to ensure the effects of the Machinery of Government change are appropriately reflected; the internal control framework and financial management; together DECC and BIS to form BEIS; governance arrangements and control environment in the Department, and assessing the levels of control and assurance during the period prior to embedding these new governance arrangements and controls; the right balance of skills and capabilities; and management processes, and a single risk register. ## Nominations And Governance Committee "I firmly believe that the success of any organisation is based on valuing its people and having an effective strategy for their personal and career development. As Chair, I am making it a priority for the committee to scrutinise the Department's plans for senior talent management and succession planning. I and the committee will support and challenge the Department as it seeks to become one of the best employers in Whitehall." ## Professor Dame Ann Dowling Committee Chair Role Of The Committee The purpose of the Nominations and Governance Committee is to support the Departmental Board by challenging and assuring our strategies and plans for senior talent management, and to implement corporate governance policy. The role of the committee covers the following five central elements: • scrutinising systems for identifying and developing leadership and high potential; • providing assurance that Board-level appointments are based on merit, taking into account the benefits of diversity; • reviewing plans for the orderly succession of appointments to the Board and Director General roles, in order to maintain an appropriate balance of skills and experience; • assessing incentives and rewards for executive Board members and Directors General, and advising on the extent to which these arrangements are effective at improving performance; and • assuring plans and implementation of corporate governance policy to ensure the Department is a leader in this field. In most Government departments this committee is likely to meet once a year in May to align with performance management systems. Meetings did take place in May within the legacy departments and no meetings have taken place within this accounting year, since the creation of BEIS. The new Department's Nominations and Governance Committee has been fully appointed and met in May 2017 for the first time. Rachel Campbell has been made a Non-Executive Member of the Committee following her involvement as Chair of the DECC Nominations and Governance Committee. ## Executive Committee Focus Since July 2016 • Key areas of focus for the BEIS Executive "The new BEIS Executive Committee met for the first time on 6 September 2016, rapidly bringing together the senior leadership team from the two legacy Departments. It has met on 16 occasions since. The committee has operated with real pace and purpose, ensuring that delegated governance arrangements were put in place and that there has been clear senior direction for the delivery of our strategic objectives, management of risks and the transformation of our Department." • The Executive Committee has also delegated Alex Chisholm Committee Chair ## Role Of Committee The Executive Committee (ExCo) brings together the senior leadership team to support the Permanent Secretary in leading the Department, and as Accounting Officer. ExCo sets out the Department's vision, oversees the delivery of strategy with particular emphasis on corporate delivery and cross-cutting issues, as well as overseeing the monthly performance report review (with advice from Performance, Finance and Risk Committee), regular risk review, and discussion of ad hoc issues. The committee is responsible for: • ensuring Ministers are advised on how the portfolio of policies and programmes contribute to the Department's strategic objectives, prioritisation of this portfolio given scarce resources, and resource allocation including thorough annual business planning; • ensuring individual policies and programmes are implemented effectively, through oversight of delivery, management of risks and issues, and use of resources; and • operational management of the Department including implementation of internal change and Civil Service reform, people management, and provision of corporate services. Committee following the Machinery of Government changes have been the Department's Transition and Transformation programme, Business Planning, the Efficiency Review, Single Departmental Plan, Diversity and Inclusion Strategy, the People Survey, and Business Continuity Planning. There has been attendance from senior officials in other Government departments for discussions on performance and risk, UK Devolution, and diversity and inclusion. Areas of focus on policy have included industrial strategy and EU Exit. key responsibilities to 4 standing committees and a fixed-term Transition Programme Board. These arrangements were established in 2016- 17 and have all made a significant positive impact to the delivery of the Department's vision and objectives. ## People And Operations Committee "The People and Operations Committee was established as a delegated committee of ExCo in October 2016 and is crucial to building the right culture, capability, systems and processes for the Department to succeed. The Committee has worked closely with the Transformation Programme and has been proud to pioneer our shadow committee approach to getting wider views into our governance activity from a range of people across the Department." Angie Ridgwell and Jaee Samant, Committee Co-Chairs ## Role Of The Committee The committee builds on the approach of DECC's Operations and People Committee and BIS's Operations Committee, People Committee and Digital and Data Committee. It has responsibilities for people: • ensuring Departmental staff capability is aligned with the Department's business needs and priorities; • ensuring diversity and inclusion is central to the Department's people agenda, including recruitment, reward, management, and our workforce strategy and culture; • overseeing pay remit and performance management; • overseeing shared service needs; and • overseeing health and safety management. And it has responsibilities for operations: • ensuring the smooth running of operations and that the Department complies with operations and people strategies set by the Cabinet Office; • overseeing the management of the Department's buildings and estates and other physical assets; • ensuring the provision of effective IT services for the Department; • overseeing digital and physical security management, including ensuring that provisions are in place to manage major planned or unexpected events, such as protest marches, severe flooding or terrorist attacks; • overseeing the development and implementation of knowledge management, transparency and digital strategies; and • escalating areas of concern to the Executive Committee where appropriate. Focus areas since July 2016 Since the Machinery of Government changes, the focus for the People and Operations Committee has been on: • agreeing on policy and pay harmonisation, contractual terms and conditions for employment and other people and pay issues; • considering a shared service single operating platform for the Department; • reviewing the workforce strategy for the Department; • reviewing the health and safety policy; and • overseeing and approving both the leadership and management, and learning and talent offer in the Department. • monitoring risks to the delivery of the ## Performance, Finance And Risk Committee Sam Beckett and Angie Ridgwell - Committee Co-Chairs • monitoring performance against the "Since forming in October, the Performance, • ensuring that effective financial management Finance and Risk Committee has played a critical role in understanding the challenges faced by the Department and ensuring that bringing together two major portfolios of activity did not lead to a lack of transparency or decision-making when they were needed most." • overseeing development of the Department's Sam Beckett and Angie Ridgwell Committee Co-Chairs ## Role Of The Committee • escalating areas of concern to the Executive The Performance, Finance and Risk Committee has responsibility for providing high-level oversight of business planning, budgets and financial management, performance reporting and risk monitoring. Specific responsibilities are: Focus areas since July 2016 Since the Machinery of Government changes, the focus for the Performance Finance and Risk Committee has been on: • overseeing and approving the strategic • Ensuring the provision of clear and aligned planning, preparation, presentation and negotiation of key fiscal events; • overseeing and approving the development of the Departmental business plan; • reviewing and agreeing the Performance • ensuring that the Department deploys a • overseeing the financial management of consistent process for aligning objectives and resources, and identifies instances where new priorities may conflict with resources; • approving the allocation of funding to ensure • reviewing and agreeing the Departmental the Department remains within its agreed budget; • reviewing and considering any business cases • approving frameworks for the monitoring of performance, finance and risk and setting recommendations on the extent to which variations can be tolerated or need to be escalated to the Executive Committee; Department's objectives, plans and budgets, and ensuring that appropriate mitigating strategies are in place to address these; Departmental business plan and ensuring that action is taken to address performance issues, where variations are outside agreed tolerances; processes and controls are in place; annual report and accounts and other published data on finances, performance or risk, in line with input from the Audit and Risk Assurance Committee; and Committee as appropriate. data from the two legacy departments to drive management decisions and effective challenge of data, assumptions and conclusions; and Risk Report; the Department and allocating resources as appropriate; Risk Framework and Risk Register; and that fall outside the Projects and Investment Committee remit. ## Projects And Investment Committee Gareth Davies and Jeremy Pocklington - Committee Co-Chairs "Since creating the Projects and Investment Committee in October 2016 we have built upon the approach of the DECC Investment Committee, and the BIS Investment Gateway, which reviewed business cases ahead of fiscal events. The new Committee makes robust investment decisions on projects and programmes above £20 million, ensuring that planned investments align with the Department's strategic objectives, are deliverable and supported by a good quality business case." ## Gareth Davies And Jeremy Pocklington Committee Co-Chairs Role Of The Committee The Projects and Investment Committee was set up following the Machinery of Government changes, and builds on the work of the former DECC Investment Committee. The £20 million threshold was agreed by the Committee in November 2016, following guidance from HM Treasury and an extensive review of projects and their value across the Department. The Committee has responsibility for: • deciding whether planned investments with a whole-life cost of £20 million or above, or that are risky or contentious: • align with the Department's strategic priorities; • are supported by a sound, good–quality business case that clearly articulates purpose, approach, outputs and outcomes, costs, benefits and risks; • are deliverable, with clear goals and credible delivery plans and assessments, and a performance monitoring provision; • are affordable and offer value for money; • ensuring that lessons learned are being identified by each project and used effectively to drive improvements across the Department and where appropriate, across Government; • ensuring that the Departmental Board and Executive Committee are informed of decisions made to approve, reject or seek Board views on proposed investments; • providing advice to the Accounting Officer on whether all relevant issues in business cases have been identified, assessed and managed in accordance with the HM Treasury guidance on managing public money; • ensuring that the Accounting Officer informs the Secretary of State, and, where necessary, obtains ministerial direction whenever a business case does not provide sufficient justification; and • ensuring that the Departmental assurance framework, assurance plans and outcomes of assurance reviews are robust and effective. Focus areas since July 2016 Since the Machinery of Government changes, the focus for the Projects and Investment Committee has been: • agreeing an appropriate threshold for the Committee; • considering the pipeline of projects coming to the Committee, and the handling of business cases resulting from fiscal events; and • reviewing stand-alone digital transformation, and science and research business cases, to make investment decisions. ## Strategic Policy Review Committee Role Of The Committee The Strategic Policy Review Committee has responsibility for: Clive Maxwell and Katrina Williams - Committee Co-Chairs • considering strategic policy issues that could "Strategic Policy Review Committee was • considering cross-cutting policy issues in • considering how the work of the Department • reviewing the Department's strategy and set up following the formation of the Department last summer. The Committee did not have a predecessor in either of the former departments. The Strategic Policy Review Committee considers the strategic approach that the Department takes to broad, cross-cutting issues, which have significance for a range of policy teams at the Department. This approach is intended to allow for gaps, tensions and opportunities to be identified. The Committee is still relatively new and is establishing itself and its ways of working to identify how it can add value for policy makers at the Department." The committee sits outside of standard Clive Maxwell Committee Co-Chair governance arrangements for Government departments. ## Focus Areas Since July 2016 The focus of the Strategic Policy Review Committee has been: • agreeing its terms of reference as a newly • agreeing a plan of work for the committee • considering the Department's approach benefit from wider perspectives across the Department, with a consistent focus on adding value to policy making; which multiple parts of the Department have an interest, with a particular focus on drawing together linked or shared policy areas that were previously split between DECC and BIS, to ensure strategic coherence; fits into the wider aims of Government and identifying any gaps and tensions; and assessing potential gaps and tensions, as well as strategic risk and prioritisation issues. formed committee; to deliver; and to a range of cross-cutting areas, such as devolution, social justice, ownership of infrastructure and horizon scanning. ## Transition Programme Board Angie Ridgwell and Jaee Samant - Board Co-Chairs "The Transition Programme Board has been a really important element of the programme's success. It brought together a range of stakeholders from within and outside of the Department, including the programme director and SROs, policy directors and partner organisation CEOs, to successfully deliver a complex programme to tight deadlines. The Board also provided oversight of communications and engagement with staff during a difficult period of change, which led to significant increases in positive staff feedback on Transition and the new Department." Angie Ridgwell and Jaee Samant Board Co-Chairs ## Role Of The Committee The Transition Programme Board is responsible for: • making sure the core commitments, objectives and benefits of the Transition Programme are met; • ensuring that the Transition Programme aligns with the long-term vision for how the Department operates; • approving work–stream plans and signing off any changes to significant delivery milestones • oversight of transition costs including approving any work–stream business cases for additional spend outside delegated budgets; • resolving risks and issues escalated by the work–stream leads; and • ensuring that dependencies are effectively managed. ## Focus Areas Since July 2016 The Board was set up in October, following a mobilisation phase of activity that ran from July focusing on delivering a smooth transition across a range of areas, including vision and strategy, people and organisational structure, finance, technology and estates, communications and engagement, including: • Departmental vision and objectives; • a unified IT system for all colleagues; • an agreed Departmental budget; • siting all London-based staff in one building; • integrated communication to increase staff understanding and engagement; • planning and scoping the Transformation Programme to create a high-performing department. The Board's functions rolled into the Transformation Programme Board from June 2017, to oversee the next stage in our journey. • leadership of major projects from initiation, • an understanding of the key challenges faced ## Compliance With The Corporate Governance Code • the ability to contribute and inspire confidence The Department has complied with the Cabinet • sound judgement with a high level of integrity. Office's Corporate Governance in Central Government Departments: Code of good practice 2015 with the following exception. The Nominations and Governance Committee The Board in its current form exceeds the 33% has not been established and able to meet during this reporting period. The respective Nominations and Governance Committees for BIS and DECC each met once in May 2016. target for women on boards, set by Lord Davies, with 6 out of the 14 standing members being women (43%). The Board also has one member from a Black, Asian and minority ethnic (BAME) background, in line with the target set for the private sector in the Sir John Parker review. All new Board members have received an ## Board Appointments And Diversity The creation of BEIS led to a complete review induction to the Department, including briefing on the Board itself, the role of Board members, propriety matters, the work of the Department, and more specific information to support their understanding of issues brought before them. ## Project Management of the legacy non-executive Board members (NEBMs) from BIS and DECC, to support the creation of a new and effective Departmental Board. Archie Norman was appointed to the position of Lead Non-Executive Board Member and two of the legacy NEBMs were invited to continue in their roles at BEIS and take a lead on the Audit and Risk Assurance Committee and the Nominations and Governance Committee. This provided a strong degree of continuity and Prior to the MoG change in July 2016, legacy departments had undergone audits or reviews of their programme and project management practices in 2015 and had taken action to address the areas raised. leadership to ensure that the Board was able to begin its work formally from December 2016. The appointment of four additional NEBMs was completed by February 2017 following an open recruitment process, and added significant strength and expertise to the Department. In the absence of having an operational Nominations and Governance Committee at the time of this recruitment, the process was undertaken with support from the Cabinet Office Public Appointments team. The Department sought a diverse mix of NEBMs, who could offer the following skills and experience: • proven leadership in large and complex In establishing the new Department's project management framework we have sought to ensure that the best of both legacy departments is maintained in our transition and proposed endstate processes. To help validate this intention, a joint review of our portfolio management proposals was carried out in February 2017 by the Infrastructure and Projects Authority (IPA) and the Government Internal Audit Agency. The review identified that improvements should be introduced to enhance the effectiveness of the framework of governance, risk management and control while recognising the strengths of the legacy Department's processes and engagement with IPA. organisations in the private (FTSE 250), public or voluntary sectors; • risk, performance and financial management expertise; through development and to delivery; by the public sector; with a wide range of internal and external partners; and We have strengthened our oversight of and support for our projects by: • refreshing our portfolio management function; • combining the best elements of the legacy departments; • establishing a new Projects and Investment Committee with delegated authority from the Executive Committee; and • revising criteria on project suitability for the Departmental portfolio. All projects with a lifetime cost in excess of £20 million or those carrying substantial risk are assessed at the three key business case stages, and lessons learned are assessed, shared and utilised to strengthen future delivery. ## Approach To Risk Management The legacy departments that existed before 14 July had established risk management policies and frameworks supporting their respective Departmental Risk Registers (DRR), which comprised their top risks and were aligned to their Single Departmental Plans (SDP). BEIS faced immediate challenges to ensure that significant gaps in controls did not arise during the transition to create a new Department. This required adaptive and responsive risk management and an authoritative approach to direct the Department strategically through a period of significant change. Bringing together the former departmental risk management processes called for a detailed analysis of approach, governance, control and assurance, as opposed to simply seeking to merge known risks. We needed to understand the criteria by which the legacy departments had rated risks and which types of impact had been given management priority. We also needed to analyse the processes in place to facilitate the management and escalation of risks to ensure the right level of management oversight was applied, especially important during transition to ensure there was never a gap in our risk management. The process that has now been adopted makes best use of the existing approaches from the legacy departments and is illustrated on the next page. This approach is subject to an annual review to ensure continuing improvement and will evolve with the Department to ensure it is effective. The new DRR includes risks identified and escalated by the business or included directly by the Executive Team or one of its committees. Mitigation measures are identified and all risks in the DRR have mitigation measures in place to reduce them to a target level by an agreed date. The Department has created a new integrated performance and risk report and has drafted a new risk management framework, drawing on the best parts of the process from each legacy department. Key changes to the risks, including any new or escalated threats, are reviewed each month by the Performance, Finance and Risk (PFR) Committee. The risk management framework will be implemented as a priority in 2017-18. The PFR Committee updates the Executive Committee each month on any significant changes to the Departmental risks as part of a broader report also covering Departmental performance, financial management and human resources. The Department's approach is to make a distinction between strategic risks and operational or delivery risks. The PFR and the Departmental Board drive the identification of high-level strategic risks that are directly aligned to Departmental objectives as formulated through the SDP. Underneath the strategic risks sit operational and delivery risks relating to the Department's objectives, which take the top risks from group or directorate risk registers. These risks are escalated to the PFR Committee when it appears that they are outside tolerance and threaten the delivery of the objectives in the SDP. This structure allows for movement of risks between levels so that the level of decision-making reflects the impact on the our objectives. The Departmental Board has overseen the development of this framework, supported by the Audit and Risk Assurance Committee. The Board will agree the levels of Departmental risk appetite in 2017-18 to strengthen our risk management further. The DRR is supported by underlying risk registers maintained at programme, project and business levels. Key risks are reported each month using a standard highlight report template. The Department requires each major programme to define its overall risk appetite and all individual risks are required to have target reduction levels to reflect the level of exposure that can be tolerated. The effectiveness of the Department's risk approaches to risk management. A report on BIS from September 2016 rated risk management as moderate, highlighting progress made since previous reviews while recognising the need for greater consistency of practice and strategic alignment; And a report on DECC from March 2017 rated DECC's risk management as moderate, and recommended greater emphasis on the importance of day-to-day risk management for BEIS officers, improved guidance on managing risks associated with other Government departments, and a more formalised approach to risk–management training. These recommendations will be embedded into our new approach to enhance the adequacy and effectiveness of the new Department's risk management framework. Our principal risks are described in the Performance Report. management arrangements continues to be reviewed by the Audit and Risk Assurance Committee. This year, a number of reviews were carried out on our predecessor department's ## Partner Organisation Governance The Machinery of Government (MoG) changes in July 2016 that brought DECC and BIS together substantially changed the partner organisation (PO) landscape, creating a diverse network of organisations for the new Department. The way in which DECC and BIS managed the oversight of their organisations differed, presenting both opportunities and challenges for the new Department. Given the range and scope of BEIS' POs, good, effective relationships with them is a top priority for the Department. To reflect this, we worked closely with the Cabinet Office developing their partnerships between departments and arm'slength bodies code of good practice, published in February 2017. A 2016 National Audit Office review of departments' oversight of arm's-length bodies was broadly positive about the former BIS sponsorship approach. Elements of good practice identified in this report, and the Code of Practice, have been retained in the Department. For example: • governance sponsors, who are either within the Department or within UK Government Investments (UKGI), oversee partner organisations' performance and approach to risk management; • organisational remits are set out in a Framework Document or similar agreements; • the recruitment of Chairs, CEOs and key ministerial appointments is led through a central appointments team; and • risks and assurance relating to the performance of organisations change to are reviewed regularly as part of the Departmental risk management process. The Department also established networks to bring together experts across our policy areas, UKGI and POs to identify ways to develop and embed best practice into our governance and sponsorship activities. Our sponsorship approach was reviewed by internal audit in the latter half of the year. An overall rating of 'moderate' was achieved and the report highlighted that improvements would be gained from: • developing the relationship model to reinforce the lines of accountability so that there is clear authority to take action when required; and • ensuring framework documents, memoranda of understanding and similar documents are up-to-date, accurate and reviewed regularly. In parallel, networking events with PO chairs and CEOs identified how we can best support POs to deliver their objectives. These events informed targeted work–streams aligned to the Code of Practice to identify gaps, inconsistencies, and where improvements can be made. In 2017- 18 a programme of work will implement the recommendations from these work streams and the Internal Audit review. Working closely with the Cabinet Office, a programme of tailored reviews for those POs classified as arm's-length bodies has been developed for 2017-18 onwards. The reviews will assess the status, form and function of these organisations, with an emphasis on exploring potential efficiencies and the effectiveness of corporate governance. ## 2016-2017 Reform Programme Counter Fraud And Error The Department and our POs are sharing best Before the MoG changes, BIS was undergoing PO landscape reform as part of a wider transformation programme, BIS2020. Although this programme paused following the MoG change, completed actions included: • closure of the UK Commission for Employment and Skills (UKCES), with some functions continuing via alternative routes; • divestment of Wave Hub Ltd to Cornwall County Council; • reclassification of the Industrial Development Advisory Board and Council for Science and Technology as Expert Committees; and • preparations for the sale of UK Green Investment Bank (GIB) for completion early in the next financial year. practice on counter fraud. Our counter fraud strategy relies on ever-closer working across teams and organisations and the BEIS Group Counter Fraud Network leverages our collective capacity, expertise and data to manage the risks specific to internal and external fraud and error. The network meets regularly to share knowledge, discuss current and emerging trends and develop best practice. We worked closely with the Cabinet Office to develop counter– fraud standards being implemented from April 2017 and assessed the extent to which the Department and our POs comply with these emerging standards. This assessment identified our fraud policy and response plans as existing strengths. In the coming year we will develop ways to monitor our performance in relation to these standards. ## Partner Organisation Assurance The Department's senior management and We successfully prevented a number of fraud losses during the year, most of which were cyber-enabled. We are helping the police with enquiries for a number of on-going fraud investigations and supporting the wider fight against economic crime. We also work to protect genuine users of our services from fraudsters impersonating our BEIS organisations. governance structures have an up-to-date view on POs' risks and performance through close working between the Portfolio Office and the Partnerships Team. All POs provide regular assurance assessments that are reviewed internally, with relevant issues escalated through the Performance and Risk Challenge Panel, the Performance, Finance and Risk Committee and the Audit and Risk Assurance Committee. These include assessment of the capabilities of the organisation and associated risks and opportunities. Common risks raised by partners during the year included: • the outcome of the EU referendum; • potential changes to EU funding streams; and • recruitment and retention of skilled staff. The Public Appointments process continued to feature as an area of risk in the earlier part of the financial year. An internal review identified improvements to existing systems and processes, resulting in a lowering of risk across the department. ## Review Of The Effectiveness Of Governance, Risk Management And Internal Control An annual review of the effectiveness of the system of governance, risk management and internal control has been informed by officials, Internal Audit and comments made by the NAO. The Audit and Risk Assurance Committee also provided further assurance. The governance controls in place within the legacy departments of BIS and DECC were moderate overall and actions were being taken in line with prior audit reports and recommendations set out by the NAO and Public Accounts Committee (PAC). The Internal Audit process has identified several gaps in policies and internal controls as well as instances of non-compliance that will require leadership action to rectify. This has led to BEIS having a limited level of control over the reporting period. The Machinery of Government (MoG) change has also had an impact on the overall quality of governance over the reporting period, leading to some short-term challenges linked to risks and governance. Bringing together two former departments inevitably resulted in some initial duplication of administrative policies that underpin the core internal control environment for BEIS. In practical terms this has meant that some policies and associated controls of the legacy departments have been continued in parallel, but separately, depending upon the relevant circumstances. This was necessary to ensure the new Department could continue to operate through transition. During the course of the Transition Programme some of these policies were reviewed to create new, unified administrative policies for BEIS. However, as at the end of 2016-17 there remained more work to do. The leadership of the Department has been alert to the risks created by the MoG change and has taken ownership of the situation. This has mitigated the potential impact of the change, reduced the Department's degree of exposure and set in motion actions that have led to immediate improvements, such as those brought about by the Transformation Programme and also in response to its findings. The leadership of the Department is clear on the longer-term challenge of ensuring the right polices are in place across the Department and that they are effectively communicated and acted upon to build a culture of compliance that strengthens the Department. In addition, over the course of the year, the NAO have conducted a number of value for money reports and there have been several subsequent PAC hearings. The Department has implemented appropriate actions against all recommendations that it could reasonably be expected to during 2016-17. ## Transitional Governance Arrangements Group Statements On Governance, Risk Management And Internal Control On 14 July 2016, policy responsibilities immediately transferred to the ministers appointed by the Prime Minister. Vocational and higher education (VE and HE) transferred to the Secretary of State for Education; trade policies transferred to the Secretary of State for International Trade; and the remaining policy responsibilities of BIS and the policy responsibilities of DECC were transferred to the Secretary of State for Business, Energy and Industrial Strategy. Directors General provide a statement on the effectiveness of the system in-year and at the year-end for their group, and an action plan for improvements. The Head of Internal Audit and the Chair of the Audit and Risk Assurance Committee review each statement with the relevant Director General and discuss the key findings with the Permanent Secretary. These discussions have highlighted: • consistently clear and strong levels of staff In a MoG change, Accounting Officer responsibilities formally transfer once Parliament grants spending authority via a Supply and Appropriation Act. communication and engagement to ensure that leadership messages are getting through; • positive action in response to people survey results and clear efforts to improve upon those for 2017-18; • varying levels of governance control and From 14 July, our Department was led by the previous Permanent Secretaries for BIS and DECC, Sir Martin Donnelly and Alex Chisholm. Initially, the organisation continued to operate under two separate systems as plans to create a single structure were developed. effective stakeholder management; • the impact of the Machinery of Government Sir Martin Donnelly also remained formally accountable for the parts of BIS which transferred to other government departments, with BIS systems and staff providing assurance for the Secretaries of State for Education and for International Trade. (MoG) and group structure change, resulting in challenges around governance and controls, particularly for the management of finance, risk and HR, where legacy systems and the time taken to bring services together had an impact. Accounting Officer responsibilities were Looking to the future there is recognition of: shared along former departmental lines until • the challenge to ensure that the skills and Alex Chisholm was confirmed as Permanent Secretary on 5 September. The high-level governance structure for BEIS capability required to deliver can be met within existing headcount controls and can be properly supported by recruitment systems; • the need to improve risk management in was confirmed on 20 October. The organisational structure was rolled out from November with all teams in the core Department merged by year end. line with the new framework and to ensure a greater focus on risk aggregation and identification of shared dependencies; and • the importance of engaging staff on values, Accounting Officer responsibilities were aligned with policy responsibilities at the Supplementary Estimate on 9 February. vision and group objectives, while consistently and effectively applying performance management systems. Work has started in 2016-17 to address these concerns and will continue into 2017-18. ## Accounting Officer Responsibilities Over The Transitional Period Other Governance Activity Local Government The Department has provided grants to local authorities totalling £49.4 million during the year under Section 31 of the Local Government Act 2003. ## Shared Service Assurance We utilised two shared service centres during 2016-17: • UK Shared Business Services (UK SBS), one of our partner organisations, provides services to the legacy-BIS parts of the department. The core Department receives quarterly assurance reports from UK SBS on the design and effectiveness of their internal control framework. Overall, while noting a need to invest further in ICT systems, UK SBS has reported that the HR, Payroll and Finance are operating effectively. Further narrative is available in the Governance Statement for UK SBS, which is published separately as part of its Annual Report & Accounts. • Shared Services Connect Ltd (SSCL), a joint venture between Sopra Steria (a private sector company) and the Cabinet Office, provides services to former-DECC parts of the department. The core Department has received assurance from the Cabinet Office over the processes and controls operated by SSCL, including the results of the annual ISAE3402 report. This report confirmed that the vast majority of key controls are operating as designed, but was qualified because of exceptions found in the operation of a number ## Cyber Security of controls. Having reviewed these exceptions, we are satisfied that none are likely to be fundamental to our financial statements or governance statement. ## Single Departmental Plan During the year, the core Department maintained the Cyber Essentials accreditation for the ITECC platform, which is a confirmation that the basic measures to protect against a cyber-security incident are in place. Internally, the Department will monitor its progress against its objectives through the newly established Single Departmental Plan. This is a document establishing an internal accounting framework, based on policy milestones and indicators, to enable on-going monitoring of policy delivery. ## Ministerial Directions The technical defences against cyber attacks, whether delivered by email or by web traffic, have stood up well, and there have been no serious breaches recorded. The new Common Technology Platform (Cirrus), which is in development, aspires to achieve the same basic standards and adheres to National Security Council best practice. Denial of service attacks and attacks via malicious software are risks to the Department, mitigated by our security team and our commercial partners' continuous review of risks and mitigations. A business continuity exercise involving Board members also looked at the impact of a cyber-security incident to ensure that we are prepared to respond and recover should such an incident occur. No significant cyber security breaches were reported in 2016-17. A ministerial direction is where the Accounting Officer has formally notified a minister of objections to the minister's proposed course of action on regularity, propriety, value for money or feasibility grounds, and the minister overrules that advice. If a direction is given, the Accounting Officer will no longer be challenged by the Public Accounts Committee on why they took forward the policy. However, they might still need to explain the course of action and the minister's reasoning. No ministerial directions were issued in 2016-17. ## Information Security Quality Assurance Modelling There was one data protection incident at BIS between 1 April and 14 July 2016 that needed to be reported to the Information Commissioner's Office (ICO). It involved sensitive personal data, as defined in the Data Protection Act, in its HR department. The breach was contained internally. The ICO decided that regulatory action was not appropriate in this case but recommended specific action for BIS. There were no incidents at DECC during the same period. BEIS has not had any data protection incidents. The two former Departments had quality assurance guidance and processes for the development, use and governance of analytical models. Quality assurance of models in each department was appropriate and consistent with the Departments' quality assurance guidance, and also with the Aqua Book (a good practice guide for quality assurance across government). Following the inception of BEIS, a single modelling assurance policy was developed, harmonising the approach for the BEIS. The policy will be implemented during 2017–18. The Department has developed a new portal for information security to help staff protect official information. Each business area has a security champion who works with the security unit to build awareness among staff and provide support specifically focused on their particular information security needs. ## Internal Audit Review In his Annual Report and Opinion, the Group Chief Internal Auditor (GCIA) has provided a 'Limited' opinion on the framework of governance, risk management and control within the Department for 2016-17. This represents a lower level of assurance than the 'Moderate' rating received by both predecessor departments for 2015-16. The GCIA identified a number of areas of weakness across the Department, reflecting a limited number of areas of poor control design and operation, and weak operational frameworks. Specific areas of concern centred around contract management, health and safety, management of IT equipment and mobile phones, contingent labour, data handling and cyber security. The GCIA did note, however, that the Department has not seen a wholesale failure of internal control, and he was encouraged by the strong responses of senior management to implement corrective action, such that we are expected to make incremental improvements in consistency, formality and control in 2017-18. ## Accounting Officer'S Conclusion I have considered the evidence provided regarding the production of the annual Governance Statement and the independent advice and assurance provided by the Audit and Risk Assurance Committee. I conclude that while the evidence in respect of the governance controls in place within the legacy Departments of BIS and DECC during 2015-16 were moderate overall, the evidence gathered during 2016-17 shows that BEIS has had a limited level of control. The formation of BEIS naturally created some short-term challenges to risk management, governance and internal controls. However evidence from internal audit shows that BEIS inherited some historical gaps in policies and internal controls, alongside instances of noncompliance. It is clear that the Department has both recognised the scale of the challenges faced and already made significant progress in addressing them and setting plans for future action in terms of both systems and culture change. During the course of 2017-18, our Department will: • develop the risk–management framework that identifies our key risks, including consideration of risk tolerance, to ensure it is driving effective mitigation and escalation; • improve the control environment to provide a suite of unified and defined priority internal policies, with a timetable for aligning all polices; and • implement a new methodology to effectively engage and work with our Partner Organisations. Delivering against these in 2017-18 will improve our level of control and further enhance our ability to achieve our business objectives. In late June, we received the NAO value for money report on our deal for Hinkley Point C. We believe the deal represents value for money and will deliver a number of benefits including 25,000 new jobs and apprenticeships, and the advancement of skills for the UK Nuclear supply chain. We will reflect carefully on the NAO's advice on funding models for future projects. We are already delivering a number of the NAO's recommendations including ensuring stringent governance arrangements for the life of the project, and ensuring the Low Carbon Contracts Company (LCCC) has the information and skills it needs to manage the contract. Alex Chisholm Principal Accounting Officer and Permanent Secretary 13 July 2017 ## Sustainability Report Sustainable Development Goals The government is committed to mainstreaming sustainable development, in the way we make policy, run our buildings and purchase goods and services, to maximise the positive impacts on the economy, society and the environment. The 17 Global Goals for Sustainable Development17 will shape the world's approach to growth and sustainable development until 2030. The Goals were agreed by 193 member states of the United Nations (UN) in September 2015 and apply to every country. The underlying aims of the Goals are embedded in our vision and objectives: \| Our Objective \| \|----------------------------------------------\| \| Promote sustained, inclusive and sustainable \| \| economic growth, full and productive \| \| employment and decent work for all \| Build resilient infrastructure, promote inclusive and sustainable industrialization and foster innovation Make cities and human settlements inclusive, safe, resilient and sustainable End poverty in all its forms f f promoting fairness in the labour Promote peaceful and inclusive societies for sustainable development, provide access to justice for all and build effective, accountable and inclusive institutions at all levels Ensure access to affordable, reliable, sustainable and modern energy for all Ensure sustainable consumption and production patterns Take urgent action to combat climate change and its impacts Progress against our objectives is set out in the performance report on pages 16-25. f f driving growth across the country f f investing in science, research and innovation f f cultivating world-leading sectors f f supporting businesses to start and grow f f investing in science, research and innovation f f supporting businesses to start and grow market and improving working conditions f f reforming corporate governance f f delivering affordable energy for households and businesses f f taking action on climate change and decarbonisation f f ensuring that our energy system is reliable and secure f f taking action on climate change and decarbonisation ## Policy Development Climate Change Adaptation We have robust business continuity plans in place to manage occurrences of extreme weather events. Sustainable operational policies include considering Climate Change Adaptation in decision making. Contributions are made to the cross-government National Adaption Plan published every five years. The plan sets out how the risks of future extreme weather events will be managed in relation to communities, the built environment, businesses and local government. ## Rural Proofing We ensure that the social, environmental and financial impacts our policies have on communities and businesses are fully considered before they are implemented. Rural proofing is built into our impact assessments. Our flagship policy, the industrial strategy, has a consideration of the importance of place at its heart. It will deal with the particular challenges and barriers faced by rural residents, including a shortage of work premises, slow internet connections and a lack of knowledge transfer between business communities spread thinly over wide areas. ## Performance Against Our Greening Government Commitments Scope The reporting boundary includes the former Department for Business, Innovation and Skills (BIS), the former Department of Energy and Climate Change (DECC), and those of their armslength bodies they report on under the Greening Government Commitments (GGCs). For 2016-17 we have continued to report separately under the Greening Government Commitments. From 2017-18 we will be reporting as one combined department with a revised carbon target to reflect our new estates. The GGC report contains a narrower subset of arms'–length bodies from the rest of the report which corresponds more closely to the financial reporting boundary. ## Progress The former Department of Energy and Climate Change has improved on its 2015-16 performance in three GGC target areas: GHG emissions, domestic flights, and waste; and is on track to meet its 2020 target in all areas except improving recycling rates and water consumption. Target (by 2019/20 compared to 2009/10 baseline) Former DECC Reduce greenhouse gas (GHG) emissions by 32% 41% Reduce domestic flights by 30% 46% Reduce the amount of waste generated by 25% 28% Reduce landfill to less than 10% 11% Recycling >72% 56% Reduce paper use by 50% 62% Reduce total estate water consumption 32% The former Department for Business, Innovation and Skills is significantly ahead of target in all areas, both those with specified reduction targets and those requiring an unspecified reduction. Target (by 2019/20 compared to 2009/10 baseline) Former BIS Reduce greenhouse gas (GHG) emissions by 40% 51% Reduce domestic flights by 30% 33% Continue to reduce the amount of waste generated 72% Reduce landfill to less than 10% 9% Continue to increase proportion of waste recycled 79% Reduce paper use by 50% 78% Reduce total estate water consumption 55% ## Greenhouse Gas Emissions \| Gross emissions scope 1 (direct) \| 53,574 \| 16,809 \| 14,141 \| \|-----------------------------------------\|----------\|----------\|----------\| \| Non-financial \| \| \| \| \| indicators \| \| \| \| \| (tonnes CO2e) \| \| \| \| \| Gross emissions scope 2 & 3 \| \| \| \| \| (indirect) \| 138,506 \| 139,723 \| 117,764 \| \| Total emissions - scope 1, 2 & 3 \| 192,070 \| 156,532 \| 131,904 \| \| Electricity: non-renewable \| 240,220 \| 260,010 \| 253,281 \| \| Electricity: renewable \| 8,773 \| 8,215 \| 4,954 \| \| Related Energy \| \| \| \| \| Consumption \| \| \| \| \| (MWh) \| \| \| \| \| Gas \| 94,099 \| 86,715 \| 71,430 \| \| District heating \| 220 \| 235 \| 255 \| \| Other heat \| 900 \| 500 \| 949 \| \| Total energy consumption \| 344,212 \| 355,630 \| 330,868 \| \| Expenditure on energy \| 25,093 \| 25,830 \| 26,457 \| \| Financial Indicators \| \| \| \| \| (£000s) \| \| \| \| \| CRC licence expenditure \| 2,516 \| 2,379 \| 3,340 \| \| Expenditure on official business travel \| 12,175 \| 11,974 \| 8,940 \| \| Total expenditure on energy \| \| \| \| \| and business travel \| 39,784 \| 40,183 \| 36,557 \| consumption - the main contributor to the emissions - shows a real reduction of 7%. A project is underway within 1 Victoria Street to convert office lighting to LED that will deliver a 50% lighting consumption reduction. The Department continues to demonstrate a year-on-year reduction in greenhouse gas emissions. Whilst the conversion factors applicable to Scope 2 emissions have a significant contribution to its performance, both positively and negatively, the underlying energy ## Travel Number of domestic flights 7,208 5,644 5,445 The Department has reduced the number of domestic flights by 3.5% since last year and by 24% over the last two years. ## Water Non-financial indicators (m3) Water consumption 364,570 456,234 377,005 Financial indicators (£'000) Water supply & sewage costs 1,149 1,001 998 Measures have been taken to cut water use through: fitting timers to, and improving the maintenance of, its hot and cold water dispensers; fixing leaky taps; and installing flow restrictors where appropriate. \| 2014-15 \| 2015-16 \| 2016-17 \| \|-----------\|-----------\|-----------\| \| 2014-15 \| 2015-16 \| 2016-17 \| \| 2014-15 \| 2015-16 \| 2016-17 \| Waste Total waste 3,833 3,445 3,148 Landfill 669 487 418 Non-financial indicators (tonnes) Non-hazardous waste Reused/recycled 2,312 2,297 2,035 Composted/ biodigestion 131 144 157 Total ICT waste Reused 2 0 0 Recycled 2 7 68 Incinerated/energy from waste 424 479 470 Reams of paper procured 189,426 134,844 34,540 Financial indicators (£'000) Total disposal cost 1,334 1,214 1,083 The Department is working closely with its facilities management provider to actively manage all aspects of the Department's waste, including provision of recycling facilities, data analysis and improving staff awareness, in order to achieve the GGC waste reduction, recycling and landfill diversion targets by 2020. ## Sustainable Procurement We are mandated to use Crown Commercial Service frameworks where a suitable framework exists for the procurement of goods and services. The procurement service keeps its policies under regular review and also works with its partners on a case-by-case basis to ensure sustainability goals are achieved. ## Small And Medium Enterprise Engagement We have introduced measures and removed barriers to improve SME engagement. The overall proportion of spend with SMEs for 2016-17 was 26%, an increase from both predecessor Departments (16% - 20% in 2015-16.) We are committed to meeting the cross-Government target of 33% by 2020. \| 2014-15 \| 2015-16 \| 2016-17 \| \|-----------\|-----------\|-----------\| ## Prompt Payment Our policy is to comply with the Institute of Credit Management's Prompt Payment Code, of which the Department we are an approved signatory. Whilst our standard terms and conditions for the supply of goods or services specify payment within 30 days of receipt of a valid invoice, we aim to pay all valid invoices within five working days of receipt. In 2016-17, 99.4% (2015-16: 99.6%) of undisputed invoices were paid within the 30 day target and 96.3% (2015-16: 97.8%) of undisputed invoices were paid within 5 working days. The proportion of the aggregate amount owed to trade creditors at the year-end compared with the aggregate amount invoiced by suppliers during the financial year in terms of days equalled less than 1 day. ## Staff Report Staff Numbers The average number of full-time equivalent persons employed during the year is shown in the table below. Average staff numbers are subject to audit. 2016-17 Permanent employed staff Others Ministers Core 2,998 150 9 5 3,162 3,635 Agency 1,510 79 - - 1,589 1,816 Non Departmental Public Bodies (NDPBs') 13,197 1,279 - - 14,476 14,713 Total 17,705 1,508 9 5 19,227 20,164 Of which: Core Department and Agencies 4,508 229 9 5 4,751 5,451 NDPBs and other designated bodies 13,197 1,279 - - 14,476 14,713 Total 17,705 1,508 9 5 19,227 20,164 ## Staff Attitudes In response, our Executive Committee agreed to focus on three main areas for improvement: • organisational objectives and purpose; • leading and managing change; and • pay and benefits. The new Department's first People Survey was undertaken in October 2016, just 3 months after the announcement of the Machinery of Government (MoG) changes. The response rate was 86%, well above the Civil Service average of 65%. It showed our staff's initial reaction to the sudden, unexpected changes which created the department. The survey returned an engagement index of 54%, a drop on the previous year's results for BIS and DECC, which were 56% and 59% respectively. The drop in engagement was driven by lower scores on the themes 'organisational objectives and purpose' and 'leadership and managing change'. The survey also showed that dissatisfaction with pay and benefits had persisted from both predecessor departments. Since the People Survey was taken, the Transition Programme has delivered changes which directly address these issues. Staff engagement was a key focus of the Transition Programme, in recognition of the importance of ensuring involving colleagues and making them feel invested in the creation of the Department. There were over 40 workshops across London and regional offices, providing staff with the opportunity to share their views and shape the development of plans. In November, our Departmental vision and top-level objectives were announced by the Secretary of State. The indicator for 'inclusion and fair treatment' was at 79%, the high–performance benchmark for the Civil Service, and for 'learning and development', 56%, above the benchmark. Monthly 'pulse surveys' were used to track levels of engagement through the Transition Programme. There was an increase across all measures between the baseline survey in October 2016 and the end of March 2017 - for example, staff feeling positive about the 2015-16 restated Special Advisers Total Total future of the Department increased by 75%, and understanding how their work contributed to Department objectives increased by 56%. Surveys of the staff that moved to 1 Victoria Street indicated that over 90% of felt their relocation was well organised and effected. ## Pulse Survey Results In addition to organisational level activity, individual team leaders have been working closely with their teams to identify local actions to support improvement in staff attitudes. ## Building Capability We are committed to building a skilled, talented, diverse workforce so that we have the right people, with the right skills, available at the right time in the right place. Fundamental to this has been building leadership and management capability. For leadership and managing change, our People Survey score was 41%, 2% below the Civil Service and 11% lower than high performers. As a new Department with some new challenges, we are building leadership and management programmes aligned to our vision and diversity and inclusion strategy, and the Civil Service vision and leadership statement. We are developing managers at all levels with an ambition to nurture a coaching culture in the Department. We are giving managers the tools and knowledge to get the best from their people through personal development planning, support for professional development, and career and talent discussions. In-house workshops covering capable and resilient leadership, and setting expectations, run alongside programmes for new managers and aspiring managers. Our workforce strategy sets out future skills and capabilities to match our ambitions and deliverables such as the industrial strategy and EU exit work, along with developing overarching skills for policy, delivery and corporate teams, and senior leaders. Throughout our transition, we have been assessing our capability and talent priorities to support the development of professional skills, including career pathways, structured development programmes, secondments and qualifications. Eleven senior policy leads have been undertaking the Executive Master of Public Policy and we are regular participants in the flagship Institute and Projects Authority programmes (MPLA, PLP and OMP). We have also developed our own programme (Policy to Delivery) to address the needs of people whose role brings them into contact with projects; over 250 people attended the bespoke commercial skills programme in 2016-17, and delivery through the in-house Finance Academy, EU Skills Academy and the revised BEIS Seminar programme continued throughout the year. ## Diversity And Inclusion (D&I) Our assessment of the skills and resourcing needed to meet the demands of leaving the EU includes negotiation, analysis, policy expertise in a European context, and sector expertise. Work has begun on an internal programme to build policy capability. Using the framework of standards agreed across the Civil Service's Policy Profession, its priorities include working internationally, with the EU and around EU exit. Inclusion is a priority for the Department and creating a diverse workforce is an important part of making this a reality. We have launched our first D&I strategy, encompassing both internally and externally focused work. Our aim is to become a role model for business and the rest of the Civil Service. We are in a positive position, but there is still work to do. Our areas of focus moving into 2017-18 are: • representation of: • performance management outcomes for • 'inclusive by design' equality analysis in The Department participates in the Civil Service High Potential Talent Schemes, including the High Potential Development Scheme (HPDS), Senior Leaders and Future Leaders Schemes (SLS and FLS). There was a significant increase in the number of staff from the Department who were selected for the 2016 Senior and Future Leaders Schemes (11 and 49 staff respectively). The overall diversity outcomes were also positive for the Department in terms of gender (FLS and SLS), BME and Disability (FLS). Three of our Senior Civil Service (SCS) were also selected for the HPDS. In the period since the creation of the Department we have also been working to develop a comprehensive talent offer for staff at all grades. This will include expanding the existing internal talent programmes that were in place in the legacy departments. ## Recruitment Practices We have set targets for representation, unconscious bias training, and diversity data return rates. This is supported by our action plan which sets 10 key measureable activities over the coming three years. The Department has 12 diversity networks, and nearly 60 network chairs and champions supporting our D&I work. The D&I strategy is monitored quarterly by the Executive Committee, and is sponsored by 2 Director Generals and the Permanent Secretary. The priority of the strategy is to ensure that D&I is embedded within the core of Departmental objectives, and delivered in a way which benefits staff as well as the public. Recruitment into the Civil Service, including our Department at all levels, is regulated by the Civil Service Commission. We continue to abide by the principles of the external recruitment freeze announced in May 2010. Within that context, the Department's Executive Committee agrees limits for each Group, and their respective Directors General are responsible for headcount control. All directorates in the Department have been asked to take ownership of the D&I agenda and have consequently pledged actions to improve D&I outcomes. We recognise that, as well as making progress in some areas, movement remains slow in others, so there is still more to do. To meet the significant challenges of the Department's delivery, including EU exit and industrial strategy, we review the deployment of our people and our recruitment and resourcing strategies to ensure priority activities are properly resourced. To support this and in line with the Civil Service more widely, on 1 April 2017 we adopted the new Civil Service Recruitment Framework to enable effective business delivery and build capability in key areas. • women in the SCS at SCS2 and above; • Black, Asian and minority ethnic staff at Grade 7 and above; and • people with disabilities across all grades; people declaring a disability and older workers; and all our key decision-making processes. In recent months we have: • launched our D&I strategy, which was developed in consultation with our staff; • achieved a high success rate across diversity groups for SLS and FLS; • launched our diversity networks; • developed a Partnership Agreement with our diversity networks; • continued to encourage our people to complete their diversity data; • established a Mental Health and Wellbeing Group for the whole Department; and • recruited more mental health first–aiders to our Mental Health First Aid Service, which provides support to staff seeking help due to a mental health concern. The Department is committed to ensuring equality of opportunity for all disabled employees. As we make clear in our job application process, candidates with a disability who apply for a post in the Department (under the Guaranteed Interview Scheme) automatically go forward to the interview stage, provided they satisfy the minimum criteria. The Department is Disability Confident level 2, and is aiming to be level 3 by late 2017. All staff are encouraged to take additional training on disability awareness. The Department undertakes the Summer Diversity Internship Programme every year to encourage a greater diversity of staff. We also promote external vacancies in a range of diversity media. Our staff are expected to undertake unconscious bias training to increase overall awareness and support within the Department. We will monitor and publish our workforce diversity and equality data annually, which will be available on our external website. The Department is a proud member of the following schemes: A detailed breakdown of our people is as follows: ## Health, Safety And Wellbeing Communicating With Our Employees We have a strong record in providing a safe and supportive work environment, and had no accidents to report in accordance with the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 2013. There were no enforcement actions against the Department. Health, safety and wellbeing is monitored quarterly by the Health and Safety Committee. We have taken great steps to make sure communication is two–way and staff have the opportunity to help shape the projects that affect them and the future of the Department. We adopt a range of communication channels to engage staff and to share information, from face-to-face interaction to town–hall style meetings, stand–ups, huddles, and floor walks. Our digital channels include internet, intranet and webchats. We also have regular formal and informal meetings with a newly formed Departmental Trade Union Side, creating a positive employee relations environment. A key area of communication and consultation during 2016-17 was about the Transition Programme, including: • the launch of the Secretary of State's vision for the new Department; • the launch of our D&I strategy; An audit report carried out for former BIS by Government Internal Audit Agency was finalised in February 2017. The audit received an overall 'unsatisfactory' assurance, predominantly as former BIS was assessed as having insufficient policies and practices. A programme of building risk assessments, revised policies and supporting processes was agreed with the Health and Safety Committee and prioritised for completion, as well as a change in management accountabilities. Remedial actions were completed within two months. This culminated in a report which held up the BEIS's response as an example of excellent practice. • the relocation of teams from 2 buildings into one; • moving all staff onto a common IT platform, The Department considers the wellbeing of staff to be paramount and works within the framework of the Civil Service Health and Wellbeing Strategy. The focus is mental health, musculoskeletal health and a healthy lifestyle. resulting in a single email address and new phone system; • development of an interim intranet; ## Managing Attendance • a new organisational structure, supported by the Department workforce strategy; and • new terms and conditions for new entrants. The focus for 2017-18 will include: • the launch of a single set of HR policies; • a new pay and reward strategy; • developing a set of Departmental values; The Department is committed to supporting the physical and mental health of its people and fostering employee wellbeing is a key element of our focus. Occupational health and an employee assistance provider are in place to offer additional support to our people. The Department has a low sickness absence rate with the average number of working days lost due to sickness reported as 2 days per year. • consulting on a new performance The focus for 2017-18 will include: management approach for implementation on 1 April 2018; and • aligning the attendance management policies • a new development programme for our managers. • investing more into our wellbeing strategy • ensuring our leaders and managers are of the former departments; to provide greater longer-term resilience, innovation and productivity for our people; and equipped to support the focus on wellbeing. ## Whistleblowing The Department has a well-publicised whistleblowing policy and procedure in place which provides clear guidance for employees on the importance of raising concerns and how to do so. Launched by our Permanent Secretary and fully supported by our Executive Committee, the whistleblowing policy was the first internal policy we implemented for our people. The Department monitors all concerns raised and the action taken to address and resolve issues. In 2017-18, as well as continuing to report on whistleblowing activity every six months to the Cabinet Office, we will provide an Annual Report to the Department's Audit and Risk Assurance Committee for review. ## 18 Staff Costs Permanently employed staff £m Wages and salaries 713 68 781 795 Social security costs 70 – 70 64 Other pension costs 145 – 145 153 Sub total 928 68 996 1,012 Less recoveries in respect of outward secondments (4) – (4) (3) Total net costs 924 68 992 1,009 Of which: Core Department and Agencies 255 27 282 315 NDPBs and other designated bodies 669 41 710 694 Total net costs 924 68 992 1,009 During the year, £13,459,098 of staff costs were capitalised (2015-16: £9,686,662) and 233 employees (2015-16: 209 employees) in the Departmental Group were engaged on capital projects during the reporting period. Staff severance costs for current and prior year are included in wages and salaries. Further detail on exit packages is included on page 85. Included within the total net costs of other staff shown above are Ministers' total net costs of £340,369 (2015-16: £406,079) and Special Advisors' total net cost of £354,978 (2015-16: £465,816). ## Health Service The Department uses independent, confidential occupational health services. Individuals are asked for their consent to a referral to the Department's medical advisers for an assessment of their fitness for work or to help the Department consider reasonable adjustments to support them in the workplace in accordance with our duty under the Equality Act 2010. To help ensure that staff have the best opportunity to continue their employment, the Department also provides dedicated information and a counselling support service through our employee assistance programmes. \| \| 2016-17 \| 2015-16 restated \| \|--------\|-----------\|--------------------\| \| Others \| Total \| Total \| \| £m \| £m \| £m \| ## Principal Civil Service Pension Scheme (Pcsps) The Principal Civil Service Pension Scheme (PCSPS) and the Civil Servant and Other Pension Scheme (CSOPS) - known as "Alpha" - are unfunded multi-employer defined benefit schemes in which the Department is unable to identify its share of the underlying assets and liabilities. The scheme actuary valued the PCSPS as at 31 March 2012. You can find details in the resource accounts of the Cabinet Office. Civil Superannuation (www.civilservicepensionscheme.org.uk/). 2015) were payable to the PCSPS to cover the cost of the future provision of lump sum benefits on death in service and ill–health retirement of these employees. For 2016-17, employer contributions of £48,603,369 were payable to the PCSPS (2015- 16: restated: £55,013,173) at one of four rates in the range 20.0% to 24.5% (2015-16: 20.0% to 24.5%) of pensionable pay, based on salary bands. Contributions due to the partnership pension providers at 31 March 2017 were £11,440 (2015-16: restated: £13,248). Contributions prepaid at that date were Nil (2015-16: £93,254) The Scheme's Actuary reviews employer contributions usually every four years following a full Scheme valuation. The contribution rates are set to meet the cost of the benefits accruing during 2016-17 to be paid when the member retires and not the benefits paid during this period to existing pensioners. In 2016-17, 16 persons (2015-16: restated: 9 persons) across the Departmental Group retired early on ill-health grounds; the total additional accrued pension liabilities in the year amounted to £229,994 (2015-16: £83,098). ## Other Pension Schemes Employees can opt to open a partnership pension account - a stakeholder pension with an employer contribution. Employers' contributions of £896,929 (2015-16: restated: £1,059,144) were paid to one or more of the panel of three appointed stakeholder pension providers. Employer contributions are age-related and range from 8% to 14.75%. Employers also match employee contributions up to 3% of pensionable earnings. In addition, employer contributions of £6,638 (2015-16: £8,853), 0.5% (2015-16: 0.8% up to 30 September and 0.5% from 1 October Employer contributions to other pension schemes in the year amounted to £94,723,424 (2015-16: restated: £86,833,840). Employer contributions include employers' contributions, current service costs and where appropriate past–service costs of funded pension schemes. Further details can be found in the accounts of the Department's NDPBs and other designated bodies. A list of these bodies is provided in note 28. ## Nuclear Site Licence Companies Nuclear site licence staff costs are disclosed separately as they are included in the amounts shown for utilisation in the nuclear decommissioning provision in note 19 rather than being reported as staff costs in the Statement of comprehensive net expenditure. Permanently employed staff Others Total Total Number of staff (full-time equivalent) 14,963 1,559 16,522 16,993 Wages and salaries (£m) 782 101 883 908 Social Security Costs (£m) 90 – 90 78 Other Pension costs (£m) 130 – 130 135 Less recoveries in respect of outward secondments (£m) – – – – Total (£m) 1,002 101 1,103 1,121 2016-17 2015-16 ## Reporting Of Civil Service And Other Compensation Schemes - Exit Packages Number of compulsory redundancies 2015-16 Exit package cost band 2016-17 restated 2016-17 Less than £10,000 23 12 102 58 125 70 £10,000 - £25,000 23 15 105 211 128 226 £25,000 - £50,000 8 10 83 265 91 275 £50,000 - £100,000 3 5 112 301 115 306 £100,000 - £150,000 - - 6 8 6 8 £150,000 - £200,000 - - 5 - 5 - More than £200,000 - - 10 - 10 - Total number of exit packages 57 42 423 843 480 885 Of which: Core Department and Agencies - 9 91 541 91 550 NDPBs and other designated bodies 57 33 332 302 389 335 Total number of exit packages 57 42 423 843 480 885 Total cost (£) 1,040,737 1,055,788 17,273,787 37,190,539 18,314,524 38,246,327 Of which: Core Department and Agencies - 271,458 5,152,252 27,731,701 5,152,252 28,003,159 NDPBs and other designated bodies 1,040,737 784,330 12,121,535 9,458,838 13,162,272 10,243,168 Total 1,040,737 1,055,788 17,273,787 37,190,539 18,314,524 38,246,327 Exit packages disclosure is subject to audit. Redundancy and other departure costs have been paid in accordance with the provisions of the Civil Service Compensation Scheme, a statutory scheme made under the Superannuation Act 1972. Exit costs are accounted for in full in the year that the departure is agreed and are based on the expected cost in relation to that financial year. Where the department has agreed early retirements, the additional costs are met by the department and not by the Civil Service pension scheme. Ill-health retirement costs are met by the pension scheme and are not included in the table. \| Number of other \| Total number of exit \| \|--------------------\|-------------------------\| \| departures agreed \| packages by cost band \| \| 2015-16 \| 2015-16 \| \| restated \| 2016-17 \| ## Remuneration Report Remuneration Policy Performance And Reward The remuneration arrangements for Senior Civil Servants are set by the Prime Minister following independent advice from the Senior Salaries Review Body. The Review Body also advises the Prime Minister on the pay and pensions of Members of Parliament and their allowances; on Peers' allowances; and on the pay, pensions and allowances of Ministers and others whose pay is determined by the Ministerial and Other Salaries Act 1975. The Senior Civil Service (SCS) pay system consists of relative performance assessments. The highest performing individuals were awarded a non-consolidated performance reward for their performance against objectives in 2015-16 which was paid in 2016-17. These awards varied in amount within an overall cost envelope set by the Senior Salaries Review Body and approved by the Government. Consolidated base pay awards are limited to a 1% increase to the Department's SCS pay bill. No base pay increases were paid to those assessed to be the lowest 10% of performers. In reaching its recommendations, the Review Body is to have regard for the following considerations: • the need to recruit, retain and motivate suitably able and qualified people to exercise their different responsibilities; Further information about the performance and reward arrangement for Senior Civil Servants can be found at www.gov.uk/government/collections/ senior-civil-service-performance-managementand-reward. • regional/local variations in labour markets and their effects on the recruitment and retention of staff; • Government policies for improving the The following table shows the number of SCS staff in the Core Department by pay range as at 31 March 2017. Bonuses are not included and salary ranges represent full-time equivalent rates. These pay ranges cover those staff employed on open-ended and fixed–term contracts. public services, including the requirement on departments to meet the output targets for the delivery of departmental services; • the funds available to departments as set out in the Government's departmental expenditure limits; and • the Government's inflation target. The Review Body takes account of the evidence it receives about wider economic considerations and the affordability of its recommendations. Further information about the work of the Review Body can be found at www.ome.uk.com. No of SCS staff within range as at Pay Range £55,000 - £59,999 – 1 £60,000 - £64,999 3 18 £65,000 - £69,999 73 60 £70,000 - £74,999 36 39 £75,000 - £79,999 22 21 £80,000 - £84,999 5 3 £85,000 - £89,999 22 26 £90,000 - £94,999 6 8 £95,000 - £99,999 4 7 £100,000 - £104,999 7 6 £105,000 - £109,999 1 1 £110,000 - £114,999 5 2 £115,000 - £119,999 2 3 £120,000 - £124,999 4 3 £125,000 - £129,999 3 2 £130,000 - £134,999 2 4 £135,000 - £139,999 - 2 £140,000 - £144,999 5 5 £145,000 - £149,999 2 - £160,000 - £164,999 - 1 £175,000 - £179,999 - 1 £180,000 - £184,999 2 – Total 204 213 The remuneration of the senior civil servants who are not members of the Departmental or Executive Boards is based on a combination of the performance ratings determined by \| Alex Chisholm \| BEIS Permanent Secretary \| \|----------------------------------------------------------------------------------\|---------------------------------------------------------------------------------------------\| \| Sir Martin Donnelly \| Former BIS Permanent Secretary (to 5 September 2016) \| \| Steven Lovegrove \| Former Acting DECC Permanent Secretary (to 24 April 2016) \| \| Sam Beckett \| Director General, Economics and Markets \| \| Gareth Davies \| Director General, Business and Science \| \| Clive Maxwell \| Director General, Energy Transformation \| \| Jeremy Pocklington \| \| \| Director General, Energy and Security and Former Acting DECC Permanent Secretary \| \| \| (25 April 2016 - 03 July 2016) \| \| \| Angie Ridgwell \| Director General, Corporate Services \| \| Prof John Loughhead \| Chief Scientific Advisor \| \| Katrina Williams \| Director General, International and Growth (to 31 March 2017) \| \| Susannah Storey \| Former Director Strategy (to 13 November 2016) \| \| Jo Shanmugalingam \| Former Director Strategy (to 13 November 2016) \| \| Stephen Speed \| Former Acting Director General, Markets and Infrastructure (to 3 July 2016) \| \| Howard Orme \| Former Director General, Finance, Commercial and Digital Transformation (to 9 October 2016) \| \| Philippa Lloyd \| Former Director General, People, Strategy and Higher Education (to 28 July 2016) \| \| Rachel Sandby - Thomas \| Former BIS Solicitor and Director General, Skills, Deregulation and Local Growth \| \| (to 4 April 2016) \| \| No of SCS staff within range as at 31 March 2017 31 March 2016 restated Permanent Secretary and Directors General and the award amounts determined by the Executive Committee. The Members of Executive Committee for 2016-17 were: ## Service Contracts Further information about the work of the Civil Service Commissioners can be found at civilservicecommission.independent.gov.uk The Constitutional Reform and Governance Act 2010 requires Civil Service appointments to be made on merit on the basis of fair and open competition. The Recruitment Principles published by the Civil Service Commission specify the circumstances when appointments may be made otherwise. Salary and Pension entitlements for Ministers of the Core Department The remuneration of Ministers is determined in accordance with the provisions of the Ministerial and Other Salaries Act 1975 (as amended by the Ministerial and Other Salaries Order 1996) and the Ministerial and Other Pensions and Salaries Act 1991. The salary and pension entitlements of the Ministers of the Department for Business, Energy and Industrial Strategy for the year ending 31 March 2017 were as follows: Unless otherwise stated below, the officials covered by this report hold appointments which are open-ended. Early termination, other than for misconduct, would result in the individual receiving compensation as set out in the Civil Service Compensation Scheme. ## Single Total Figure Of Remuneration1 Salary (£) Ministers 2016-17 2015-16 2016-17 2015-16 2016-17 2015-16 Secretary of State Rt Hon Greg Clark MP (from 14 July 2016) 45,0033 – 13,000 – 58,000 – Rt Hon Sajid Javid MP (until 13 July 2016)4 22,502 59,884 4,000 26,000 27,000 86,000 Rt Hon Amber Rudd (until 16 July 2016)5 22,502 62,410 4,000 18,000 27,000 80,000 Ministers of State Jo Johnson MP6 31,680 28,136 8,000 12,000 40,000 40,000 Baroness Neville-Rolfe DBE CMG (until 08 January 2017)7 65,975 72,470 – – 66,000 72,000 Nick Hurd (from 15 July 2016) 22,3128 – 6,000 – 28,000 – Rt Hon Anna Soubry (until 14 July 2016) 17,0329 28,136 2,000 12,000 19,000 40,000 Nick Boles MP (until 14 July 2015) 17,28810 31,680 2,000 7,000 19,000 39,000 Lord Mark Price (until 15 July 2016)11 – – – – – – Andrea Leadsom (until 16 July 2016)12 10,560 26,900 2,000 8,000 13,000 35,000 Ed Vaizey MP (until 15 July 2016)13 – – – – – – Parliamentary Under-Secretaries of State Margot James (from 16 July 2016) 14,91714 – 4,000 – 19,000 – Jesse Norman (from 16 July 2016) 14,91715 – 4,000 – 19,000 – Lord Prior of Brampton (from 09 January 2017) 11,45216 – 4,000 – 15,000 – George Freeman MP (until 15 July 2016) 12,21017 22,375 1,000 7,000 13,000 29,000 Lord Bourne of Aberystwyth (until 14 July 2016)18 – – – – – – Note: None of the ministers of the Department received any benefits-in-kind during the year. Ministers who transfer from another department continue being paid at the appropriate rate of pay with effect from the first day of the month following the date of appointment. Former ministers who transfer to other departments are paid at their current rate of pay up to the end of the month. Any increase in ministers' salary on transfer from the date of appointment is paid by their new department. Continued overleaf… \| Pension benefits \| Total \| \|-------------\|-------------\| \| (to nearest \| (to nearest \| \| £1,000) \| \| \| 2 \| \| \| £1,000) \| \| 1 This is audited information 2 The value of pension benefits accrued during the year is calculated as (the real increase in pension multiplied by 20) less (the contributions made by the individual). The real increase excludes increases due to inflation or any increase or decrease due to a transfer of pension rights 3 The full year equivalent is £67,505. 1 April - 31 July salary was paid by Department of Communities and Local Government 4 The full year equivalent is £67,505. 1 August - 31 March salary was paid by Department of Communities and Local Government 5 The full year equivalent is £67,505. Formerly was Secretary of State at the Department of Energy and Climate Change. 1 August - 31 March salary was paid by the Home Office 6 Joint Minister with the Department for Education from 14 July 2016 7 Salary Includes Lord's Office-Holders Allowance. From 14 July 2016, was promoted to Minister of State from Parliamentary Under Secretary of State. 1 Feb - 31 March salary was paid by HM Treasury 8 The full year equivalent £31,680. Formerly was Parliamentary Under Secretary of State for the Department for International Development 9 The full year equivalent is £31,680. £7,920 was paid as contractual severance pay 10 The full year equivalent is £31,680. £7,920 was paid as contractual severance pay 11 Formerly was a joint minister with the Department for Business, Innovation and Skills (BIS) and the Foregin and Commonwealth Office (FCO) between 4 April - 15 July 2016. He was renumerated £32,501 by the FCO. 12 The full year equivalent is £31,680. Formerly was Minister of State at Department of Energy and Climate Change 1 August - 31 March 2017 Salary was paid by Department for Environment, Food and Rural Affairs 13 Salary and pension benefits details can be found in the 2016-17 Department of Culture, Media and Sport's Annual Report and Accounts 14 The full year equivalent £22,375. Formerly was Assistant Government Whip 15 The full year equivalent £22,375. 16 The full year equivalent £68,710. 1 April - 31 January 2017 Salary was paid by the Department for Health 17 The full year equivalent £22,375. £5,594 was paid as contractual severance pay 18 Ministerial Salary is reported under a Lord in waiting as his former Parliamentary Under Secretary of State role was unpaid Minister11 Secretary of State Rt Hon Greg Clark MP (from 14 July 2016) 5-10 0-2.5 93 80 5 Rt Hon Sajid Javid MP (until 13 July 2016) 0-5 0-2.5 55 51 1 Rt Hon Amber Rudd (until 16 July 2016) 0-5 0-2.5 30 26 2 Ministers of State Jo Johnson MP 0-5 0-2.5 33 26 3 Baroness Neville-Rolfe DBE CMG (until 08 January 2017)2 – – – – – Nick Hurd (from 15 July 2016) 0-5 0-2.5 55 49 3 Rt Hon Anna Soubry (until 14 July 2016) 0-5 0-2.5 43 41 1 Nick Boles MP (until 14 July 2015) 0-5 0-2.5 8 6 1 Lord Mark Price (until 15 July 2016)3 – – – – – Andrea Leadsom (until 16 July 2016) 0-5 0-2.5 16 14 1 Ed Vaizey MP (until 15 July 2016)4 – – – – – Parliamentary Under-Secretaries of State Margot James (from 16 July 2016) 0-5 0-2.5 5 – 3 Jesse Norman (from 16 July 2016) 0-5 0-2.5 8 4 2 Lord Prior of Brampton (from 09 January 2017) 0-5 0-2.5 40 34 3 George Freeman MP (until 15 July 2016) 0-5 0-2.5 12 11 – Lord Bourne of Aberystwyth (until 14 July 2016) – – – – – Note: None of the Ministers of the Department received any benefits-in-kind during the year. 1 This is audited information 2 Not a Member of the Parliamentary Contribution Pension Fund 3 Formerly a joint minister with the Department for Business, Innovation and Skills (BIS) and the Foreign and Commonwealth Office (FCO) between 4 April- 15 July 2016 4 Salary and pension benefits details can be found in the Department of Culture, Media and Sport's 2016-17 Annual Report and Accounts Salary and Pension entitlements for the senior managers of the Department The salary and pension entitlements of the most senior managers of the Department for Business, Energy and Industrial Strategy are set out in the following table. As well as the current members of the BEIS Departmental or Executive Boards, this table also includes the former members who either left the Department during the year or ceased to be a member. None of the officials of the Department received any benefits-in-kind during the year. \| Accrued \| Real \| \|------------\|----------\| \| pension \| Increase \| \| at age \| in \| \| 65 at 31 \| pension \| \| March \| at age \| \| 2017 \| 65 \| \| £000 \| £000 \| ## Single Total Figure Of Remuneration1 Salary (£'000) Officials 2016-17 2015-16 2016-17 2015-16 2016-17 120-125 Alex Chisholm from 04 July 2016) (180-185 full year equivalent) – – – 51,000 – 170-175 – 70-75 (165- Sir Martin Donnelly (until 05 September 2016)3 170 full year equivalent) 160-165 – – 15,000 51,000 85-90 215-220 10-15 (165-170 full Stephen Lovegrove (until 24 April 2016)4 year equivalent) 165-170 – – 9,000 77,000 20-25 245-250 Sam Beckett 125-130 115-120 0-5 – 90,000 81,000 220-225 200-205 Gareth Davies 125-130 125-130 10-15 0-5 80,000 122,000 215-220 245-250 Clive Maxwell 145-150 140-145 – – 56,000 65,000 200-205 205-210 Jeremy Pocklington 115-120 110-115 – 10-15 79,000 154,000 195-200 275-280 Angie Ridgwell 140-145 140-145 10-15 – – 56,000 155-160 195-200 95-100 (105-110 Jaee Samant (from 04 April 2016) full year equivalent) – 10-15 – 98,000 - 205-210 – John Loughhead 130-135 125-130 – – 52,000 50,000 180-185 175-180 Katrina Williams (until 31 March 2017) 120-125 120-125 – 10-15 28,000 39,0005 150-155 160-165 45-50 (115- Susannah Storey (until 13 November 2016)6 120 full year equivalent) 70-75 5-10 5-10 17,000 27,000 70-75 100-105 35-40 (85-90 full Jo Shanmugalingam (until 13 November 2016)7 year equivalent) 55-60 5-10 5-10 15,000 27,000 60-65 90-95 Stephen Speed (until 3 July 2016)8 – – – – – – – – 90-95 (160- Howard Orme (until 09 October 2016)9 165 full year equivalent) 160-165 10-15 15-20 20,000 48,000 120-125 220-225 115-120 Philippa Lloyd (until 28 July 2016)10 35-40 (125- (120-125 130 full year full year equivalent) equivalent) 10-15 15-20 23,000 77,000 70-75 205-210 0-5 (130-135 full Rachel Sandby-Thomas (until 04 April 2016) year equivalent) 130-135 – 10-15 – 31,000 0-5 175-180 85-90 Catherine Raines (until 14 Jul 2016)11 40-45 (150- (150-155 155 full year full year equivalent) equivalent) – – 21,000 40,000 60-65 125-130 1 This is audited information 2 The value of pension benefits accrued during the year is calculated as (the real increase in pension multiplied by 20) plus (the real increase in any lump sum) less (the contributions made by the individual). The real increases exclude increases due to inflation or any increase or decreases due to a transfer of pension rights. 3 6 September - 31 March salary and pension benefits details can be found in the Department for International Trade 2016-17 Annual Report and Accounts \| Bonus \| Pension \| Total \| \|----------\|-----------------\|-------------\| \| payments \| benefits (to \| (to nearest \| \| (£'000) \| nearest £1,000) \| \| \| 2 \| \| \| \| £'000) \| \| \| \| 2015-16 \| 2015-16 \| \| \| restated \| 2016-17 \| restated \| ## Footnotes Continued 4 25 April - 31 March salary and pension benefits details can be found in the Ministry of Defence 2016-17 Annual Report and Accounts 5 Revised due to retrospective change to salary history 6 14 November - 31 March salary and pension benefits can be found in the Department for Exiting the European Union. The role was part time 7 14 November - 31 March salary and pension benefits can be found in the Department for Exiting the European Union. The role was part time 8 Acting Director General for Markets & Infrastructure from 25 April - 3 July 2016 and role was unpaid 9 10 October - 31 March salary and pension benefits details can be found in the Department for Education 2016-17 Annual Report and Accounts 10 29 July - 31 March salary and pension benefits details can be found in the Department for Education 2016-17 Annual Report and Accounts. The role was part time 11 15 July - 31 March Salary and pension benefits details can be found in the Department for International Trade 2016-17 Annual Report and Accounts ## Pension Benefits1 Accrued pension at age 60 as at 31 in pension and March 2017 and related lump sum at pension Officials sum £'000 £'000 £'000 £'000 £'000 Alex Chisholm (from 04 July 2016) 15-20 2.5-5 193 155 23 – 70-75 plus lump 0-2.5 plus lump Sir Martin Donnelly until 05 September 2016)2 sum of 220-225 Stephen Lovegrove (until 24 April 2016)3 25-30 0-2.5 424 418 5 – Sam Beckett 40-45 plus lump 2.5-5 plus lump sum of 110-115 Gareth Davies 35-40 2.5-5 472 410 37 – Clive Maxwell 45-50 plus lump 2.5-5 plus lump sum of 120-125 Jeremy Pocklington 35-40 plus lump sum of 20-25 Angie Ridgwell4 – – – 95 – – 30-35 plus lump 2.5-5.0 plus lump Jaee Samant (from 04 April 2016) sum of 85-90 John Loughhead 5-10 2.5-5 119 71 40 – 50-55 plus lump Katrina Williams (until 31 March 2017) sum of 150-155 lump sum 2.5-5 1,031 9635 23 – Susannah Storey (until 13 November 2016)6 15-20 0-2.5 183 174 6 – 15-20 plus lump Jo Shanmugalingam (until 13 November 2016)7 sum of 40-45 lump sum 0-2.5 199 186 4 – Stephen Speed (until 3 July 2016) – – – – – – Howard Orme (until 09 September 2016)8 25-30 0-2.5 492 464 18 – 40-45 plus lump 0-2.5 plus lump Philippa Lloyd (until 28 July 2016)9 sum of 45-50 45-50 plus lump Rachel Sandby-Thomas (until 04 April 2016) sum of 45-50 Catherine Raines (until 14 Jul 2016)10 15-20 0-2.5 213 199 11 – Note: Where senior managers left during the course of the year, their CETV closing balance will be as at their leaving date. 1 This is audited information 2 Pension details can be found in the Department for International Trade's 2016-17 Annual Report and Accounts 3 Pension details can be found in the Ministry of Defence 2016-17 Annual Report and Accounts 4 Chose not to be covered by the Civil Service Pension arrangements for the reporting year 5 Revised due to retrospective change to salary history 6 Pension details can be found in the Department for Exiting the European Union 7 Pension details can be found in the Department for Exiting the European Union 8 Pension details can be found in the Department for Education 2016-17 Annual Report and Accounts 9 Pension details can be found in the Department for Education 2016-17 Annual Report and Accounts 10 Pension details can be found in the Department for International Trade 2016-17 Annual Report and Accounts \| \| Real increase \| Employer \| \|---------------\|------------------\|--------------\| \| CETV \| CETV \| contribution \| \| related lump \| at 31 \| at 31 \| \| March \| March \| increase \| \| age \| 2017 \| 2016 \| \| Nearest \| \| \| \| £'000 \| \| \| \| sum of 2.5-5 \| 1,682 \| 1,610 \| \| sum of 5-7.5 \| 756 \| 669 \| \| sum of 0 \| 721 \| 665 \| \| 2.5-5 plus \| \| \| \| lump sum of \| \| \| \| 0-2.5 \| 486 \| 424 \| \| sum of 7.5-10 \| 564 \| 475 \| \| 0-2.5 plus \| \| \| \| 0-2.5 plus \| \| \| \| sum of 0-2.5 \| 782 \| 757 \| \| 0-2.5 plus \| \| \| \| lump sum of 0 \| 816 \| 816 \| ## Ministerial Pensions Notes:1 • The information relates only to the core Pension benefits for Ministers are provided by the Parliamentary Contributory Pension Fund (PCPF). The scheme is made under statute and the rules are set out in the Ministers' etc. Pension Scheme 2015.2 Department. Similar information relating to the Chief Executives and most senior managers of the executive agencies and other bodies of the BEIS family is given in the separate accounts of those bodies. • 'Salary' includes gross salary; overtime; Those Ministers who are Members of Parliament may also accrue an MP's pension under the PCPF (details of which are not included in this report). A new MP's pension scheme was introduced from May 2015, although members who were aged 55 or older on 1 April 2013 have transitional protection to remain in the previous final salary pension scheme. Benefits for Ministers are payable from State Pension age under the 2015 scheme. Pensions are re-valued annually in line with Pensions Increase legislation both before and after retirement. The contribution rate from May 2015 is 11.1% and the accrual rate is 1.775% of pensionable earnings. The figure shown for pension value includes the total pension payable to the member under both the pre- and post-2015 Ministerial pension schemes. reserved rights to London weighting or London allowances; recruitment and retention allowances; private office allowances and any other allowance to the extent that it is subject to UK taxation. This report is based on accrued payments made by the Department and thus recorded in these accounts. In respect of Ministers in the House of Commons, departments bear only the cost of the additional Ministerial remuneration; the salary for their services as an MP (£67,060 from 1 April 2014, £74,000 from 8 May 2015) and various allowances to which they are entitled are borne centrally. However, the arrangement for Ministers in the House of Lords is different in that they do not receive a salary but rather an additional remuneration, which cannot be quantified separately from their Ministerial salaries. This total remuneration, as well as the allowances to which they are entitled, is paid by the Department and is therefore shown in full in the figures above. • Bonuses are based on performance levels attained and are made as part of the appraisal process. Bonuses relate to the performance in the year in which they become payable to the individual. The bonuses reported in 2016- 17 relate to performance in 2015-16 and the comparative bonuses reported for 2015-16 relate to the performance in 2014-15. • None of the most senior managers of the core Department received any benefits-in-kind during the year. The Cash Equivalent Transfer Value (CETV) for Ministerial pensions This is the actuarially assessed capitalised value of the pension scheme benefits accrued by a member at a particular point in time. The benefits valued are the member's accrued benefits and any contingent spouse's pension payable from the scheme. A CETV is a payment made by a pension scheme or arrangement to secure pension benefits in another pension scheme or arrangement when the member leaves a scheme and chooses to transfer the pension benefits they have accrued in their former scheme. The pension figures shown relate to the benefits that the individual has accrued as a consequence of their total Ministerial service, not just their current appointment as a Minister. CETVs are calculated in accordance with The Occupational Pension Schemes (Transfer Values) (Amendment) Regulations 2008 and do not take account of any actual or potential reduction to benefits resulting from Lifetime Allowance Tax which may be due when pension benefits are taken. The real increase in the value of the CETV This is the element of the increase in accrued pension funded by the Exchequer. It excludes increases due to inflation and contributions paid by the Minister. It is worked out using common market valuation factors for the start and end of the period. ## Civil Service Pensions Pension benefits are provided through the Civil Service pension arrangements. From 1 April 2015 a new pension scheme for civil servants was introduced - the Civil Servants and Others Pension Scheme or alpha, which provides benefits on a career average basis with a normal pension age equal to the member's State Pension Age (or 65 if higher). From that date all newly appointed civil servants and the majority of those already in service joined alpha. Prior to that date, civil servants participated in the Principal Civil Service Pension Scheme (PCSPS). The PCSPS has 4 sections: 3 providing benefits on a final salary basis (classic, premium or classic plus) with a normal pension age of 60; and one providing benefits on a whole career basis (nuvos) with a normal pension age of 65. These statutory arrangements are unfunded with the cost of benefits met by monies voted by Parliament each year. Pensions payable under classic, premium, classic plus, nuvos and alpha are increased annually in line with Pensions Increase legislation. Existing members of the PCSPS who were within 10 years of their normal pension age on 1 April 2012 remained in the PCSPS after 1 April 2015. Those who were between 10 years and 13 years and 5 months from their normal pension age on 1 April 2012 will switch into alpha sometime between 1 June 2015 and 1 February 2022. All members who switch to alpha have their PCSPS benefits 'banked', with those with earlier benefits in one of the final salary sections of the PCSPS having those benefits based on their final salary when they leave alpha. (The pension figures quoted for officials show pension earned in PCSPS or alpha - as appropriate. Where the official has benefits in both the PCSPS and alpha the figure quoted is the combined value of their benefits in the two schemes.) Members joining from October 2002 may opt for either the appropriate defined benefit arrangement or a 'money purchase' stakeholder pension with an employer contribution (partnership pension account). Employee contributions are salary-related and range between 3% and 8.05% of pensionable earnings for members of classic (and members of alpha who were members of classic immediately before joining alpha) and between 4.6% and 8.05% for members of premium, classic plus, nuvos and all other members of alpha. Benefits in classic accrue at the rate of 1/80th of final pensionable earnings for each year of service. In addition, a lump sum equivalent to three years initial pension is payable on retirement. For premium, benefits accrue at the rate of 1/60th of final pensionable earnings for each year of service. Unlike classic, there is no automatic lump sum. Classic plus is essentially a hybrid with benefits for service before 1 October 2002 calculated broadly as per classic and benefits for service from October 2002 worked out as in premium. In nuvos a member builds up a pension based on his pensionable earnings during their period of scheme membership. At the end of the scheme year (31 March) the member's earned pension account is credited with 2.3% of their pensionable earnings in that scheme year and the accrued pension is uprated in line with Pensions Increase legislation. Benefits in alpha build up in a similar way to nuvos, except that the accrual rate is 2.32%. In all cases members may opt to give up (commute) pension for a lump sum up to the limits set by the Finance Act 2004. The partnership pension account is a stakeholder pension arrangement. The employer makes a basic contribution of between 3% and 12.5% up to 30 September 2015 and 8% and 14.75% from 1 October 2015 (depending on the age of the member) into a stakeholder pension product chosen by the employee from a panel of providers. The employee does not have to contribute, but where they do make contributions, the employer will match these up to a limit of 3% of pensionable salary (in addition to the employer's basic contribution). Employers also contribute a further 0.8% of pensionable salary up to 30 September 2015 and 0.5% of pensionable salary from 1 October 2015 to cover the cost of centrally-provided risk benefit cover (death in service and ill–health retirement). Pension Schemes (Transfer Values) (Amendment) Regulations 2008 and do not take account of any actual or potential reduction to benefits resulting from Lifetime Allowance Tax which may be due when pension benefits are taken. Real increase in CETV This reflects the increase in CETV that is funded by the employer. It does not include the increase in accrued pension due to inflation, contributions paid by the employee (including the value of any benefits transferred from another pension scheme or arrangement) and uses common market valuation factors for the start and end of the period. The accrued pension quoted is the pension the member is entitled to receive when they reach pension age, or immediately on ceasing to be an active member of the scheme if they are already at or over pension age. Pension age is 60 for members of classic, premium and classic plus, 65 for members of nuvos, and the higher of 65 or State Pension Age for members of alpha. (The pension figures quoted for officials show pension earned in PCSPS or alpha - as appropriate. Where the official has benefits in both the PCSPS and alpha the figure quoted is the combined value of their benefits in the two schemes, but note that part of that pension may be payable from different ages.) Compensation for loss of office No senior managers have received compensation for loss of office. ## Fair Pay Disclosure Further details about the Civil Service pension arrangements can be found at the website www.civilservicepensionscheme.org.uk The pay multiples disclosure is subject to audit. Reporting bodies are required to disclose the relationship between the remuneration of the highest-paid director in their organisation and the median remuneration of the organisation's workforce. The banded remuneration of the highest paid director, including any bonuses, in the Department for Business, Energy and Industrial Strategy in the financial year 2016-17 was £180,000 to £185,000 (2015-16: restated: £175,000 to £180,000). This was 4.92 times (2015-16: restated 4.73) the median remuneration of the workforce, which was £37,092 (2015-16 restated: £37,502). Cash Equivalent Transfer Values for Civil Service pensions A Cash Equivalent Transfer Value (CETV) is the actuarially assessed capitalised value of the pension scheme benefits accrued by a member at a particular point in time. The benefits valued are the member's accrued benefits and any contingent spouse's pension payable from the scheme. A CETV is a payment made by a pension scheme or arrangement to secure pension benefits in another pension scheme or arrangement when the member leaves a scheme and chooses to transfer the benefits accrued in their former scheme. The pension figures shown relate to the benefits that the individual has accrued as a consequence of their total membership of the pension scheme, not just their service in a senior capacity to which disclosure applies. In 2016-17: 2 (2015-16: restated: 3) received remuneration in excess of the highest paid director. Remuneration ranged from £11,670 to £185,111 (2015-16 restated: £13,091 to £280,000). Total remuneration includes salary, nonconsolidated performance-related pay and benefits-in-kind. It does not include severance payments, employer pension contributions and the cash equivalent transfer value of pensions. The figures include the value of any pension benefit in another scheme or arrangement which the member has transferred to the Civil Service pension arrangements. They also include any additional pension benefit accrued to the member as a result of their buying additional pension benefits at their own cost. CETVs are worked out in accordance with The Occupational ## Fees Entitlements For Non-Executive Board Members1 Below are the fees entitlements to the Non-Executive Board members for their role on the BEIS Departmental Board. The entitlements for the year to each person were in the following ranges: \| Non-executive member \| Fees for 2016-17 \| Fees for 2015-16 restated \| \|----------------------------------------------\|---------------------------------\|---------------------------------\| \| 2 \| \| \| \| Archie Norman (from 03 October 2016) \| 10-15 (20 full year equivalent) \| - \| \| Professor Dame Ann Dowling \| 20-25 (20 full year equivalent) \| 15-20 (15 full year equivalent) \| \| Carolyn McCall (from 01 February 2017) \| 0-5 (15 full year equivalent) \| - \| \| Charles Randell \| 15-20 (20 full year equivalent) \| \| \| 3 \| \| \| \| 20-25 (20 full year equivalent) \| \| \| \| Kathryn Parsons (from 01 February 2017) \| 0-5 (15 full year equivalent) \| - \| \| Stephen Carter (from 01 February 2017) \| 0-5 (15 full year equivalent) \| - \| \| Stuart Quickenden (from 01 February 2017) \| - (15 full year equivalent) \| \| \| 4 \| \| \| \| - \| \| \| \| Martin Stewart (until 31 July 2016) \| 5-10 (20 full year equivalent) \| 20-25 (20 full year equivalent) \| \| Allan Cook (until 14 November 2016) \| 15-20 (20 full year equivalent) \| 20-25 (20 full year equivalent) \| \| Professor Wendy Purcell (until 23 July 2016) \| 0-5 (15 full year equivalent) \| 15-20 (15 full year equivalent) \| \| Stephen Bligh (until 12 December 2016) \| 15-20 (20 full year equivalent) \| 15-20 (20 full year equivalent) \| \| Dale Murray CBE (until 12 December 2016) \| 10-15 (15 full year equivalent) \| 15-20 (15 full year equivalent) \| \| Juergen Maier (until 12 December 2016) \| 10-15 (15 full year equivalent) \| 15-20 (15 full year equivalent) \| \| Tom Kelly (until 12 December 2016) \| 10-15 (15 full year equivalent) \| 15-20 (15 full year equivalent) \| \| Rachel Campbell (until 12 December 2016) \| 10-15 (24 full year equivalent) \| \| \| 5 \| \| \| \| 20-25 (24 full year equivalent) \| \| \| 1 This is audited information 2 2015-16 fees restated to recognise remuneration on an accrual basis 3 Waived fee entitlement with effect from 1 March 2017 4 Waived off February and March 2017 fees entitlement 5 Waived off October - December 2016 fees entitlement Off-payroll Tax Assurance The Government's review of the tax arrangements of public sector appointees highlighted the possibility for artificial arrangements to enable tax avoidance. BEIS continues to take a robust approach and its tax assurance policy has been promulgated and implemented across the BEIS family. Tax assurance evidence is sought and scrutinised to ensure it is sufficient from all off-payroll appointees. Assurance of compliance with this tax policy has also been sought from our Partner Organisations. Monitoring has shown we are broadly compliant across BEIS and action has been taken to address any slight deviations from this policy. £000 £000 A summary of the BEIS tax assurance data can be found at https://www.gov.uk/government/publication s?departments[]=department-for-businessenergy-and-industrial-strategy&publication_ type=transparency-data ## Parliamentary Accountability And Audit Report Statement Of Parliamentary Supply (Sops) In addition to the primary statements prepared under International Financial Reporting Standards (IFRS), the Government Financial Reporting Manual (FReM) requires the Department to prepare a Statement of Parliamentary Supply (SoPS) and supporting notes to show resource against outturn against the Supply Estimate presented to Parliament in respect of each budgetary control limit. The SoPS and related notes are subject to audit. ## Summary Of Resource And Capital Outturn In 2016-17 \| Estimate \| Outturn \| Voted \| \|--------------------------------\|------------\|-------------\| \| SoPS \| Non- \| \| \| Note \| Voted \| Voted \| \| £'000 \| £'000 \| £'000 \| \| Departmental Expenditure Limit \| \| \| \| - Resource \| \| \| \| 1.1 \| 3,385,099 \| (1,048,000) \| \| - Capital \| 1.2 \| 11,274,147 \| \| Annually Managed Expenditure \| \| \| \| - Resource \| 1.1 \| 17,137,296 \| \| - Capital \| 1.2 \| 310,790 \| \| Total \| \| \| \| Budget \| 32,107,332 \| (773,000) \| \| Non-Budget \| \| \| \| - Resource \| 1.1 \| - \| \| Total \| 32,107,332 \| (773,000) \| \| Total \| \| \| \| Resource \| 1.1 \| 20,522,395 \| \| Total \| \| \| \| Capital \| 1.2 \| 11,584,937 \| \| Total \| 32,107,332 \| (773,000) \| \| 2016-17 \| 2015-16 \| \| \| Outturn \| \| \| \| outturn \| restated \| \| \| compared \| \| \| \| with \| \| \| \| Estimate: \| \| \| \| Non- \| saving/ \| \| \| Voted \| Total \| Total \| ## Net Cash Requirement 2016-17 \| \| Note \| Estimate \| Outturn \| \|----------------------\|--------\|------------\|------------\| \| £'000 \| £'000 \| £'000 \| £'000 \| \| Net cash requirement \| 3 \| 16,154,642 \| 13,504,477 \| ## Administration Costs 2016-17 \| Total Administration costs \| 425,553 \| 392,033 \| 521,450 \| \|------------------------------\|-------------\|-----------\|-----------\| Figures in the areas highlighted green are voted totals subject to Parliamentary control. In addition, although not a separate voted limit, any breach of the administration budget will also result in an excess vote. Prior year outturn is restated to reflect the changes as result of the Machinery of Government changes in 2016-17. Further information on these restatements is in note 27 to the financial accounts. Explanations of the significant variances between Estimate and outturn are given in the DG's Financial Review on pages 33. The Notes on pages 100-107 form part of these accounts. \| 2016-17 \| 2015-16 restated \| \|-------------------\|--------------------\| \| Net total outturn \| \| \| compared \| \| \| with Estimate: \| \| \| saving/(excess) \| Outturn \| \| 2016-17 \| 2015-16 restated \| \| Estimate \| Outturn \| \| £'000 \| £'000 \| 2015-16 restated for with 2016-17 Net total adjusted Estimate, virements Total compared with Net total Estimate compared Outturn Estimate Outturn Administration Programme £'000 £'000 £'000 £'000 £'000 £'000 £'000 £'000 £'000 £'000 £'000 Gross Income Net Gross Income Net Total Net Total Spending in Departmental Expenditure Limit by section ## Notes To The Statement Of Parliamentary Supply Sops 1. Net Outturn SoPS 1.1. Analysis of net resource outturn by section A Science and Research - – – 18,609 (1,239) 17,370 17,370 31,467 14,097 1,239 2,196,528 B Innovation, Enterprise and Business - – – 461,152 (20,703) 440,449 440,449 529,524 89,075 89,075 498,589 C Market Frameworks 5,126 – 5,126 151,224 (87,329) 63,895 69,021 122,542 53,521 53,521 91,389 D Capability 331,276 (42,730) 288,546 24,797 (7,454) 17,343 305,889 455,073 149,184 109,183 351,467 E Government as Shareholder - – – 145,409 – 145,409 145,409 137,710 (7,699) – 176,092 F Science and Research (ALB) net 935 – 935 256,422 – 256,422 257,357 242,356 (15,001) – 3,037,774 G Innovation, Enterprise and Business (ALB) net 51 – 51 5,438 – 5,438 5,489 5,500 11 11 637,000 H Market Frameworks (ALB) net 7,362 – 7,362 38,061 – 38,061 45,423 53,994 8,571 8,571 47,667 I Capability (ALB) Net 39,818 – 39,818 - – – 39,818 9,800 (30,018) – 40,248 J Government as Shareholder (ALB) net 162 – 162 (44,348) – (44,348) (44,186) 260 44,446 36,747 (26,245) K Security and Resilience: ensure the UK has a secure and resilient energy system - – – 11,707 (5,884) 5,823 5,823 10,474 4,651 4,651 11,560 L Keeping bills low: keep energy bills as low as possible for households and businesses – - – 37,519 (1,154) 36,365 36,365 41,519 5,154 5,154 342,329 Voted 2015-16 restated for with 2016-17 Net total adjusted Estimate, virements Total compared with Net total Estimate compared Outturn Estimate Outturn Administration Programme £'000 £'000 £'000 £'000 £'000 £'000 £'000 £'000 £'000 £'000 £'000 Gross Income Net Gross Income Net Total Net Total M Decarbonisation: secure ambitious international action on climate change and reduce carbon emissions cost- effectively at home - - – 57,668 (4,781) 52,887 52,887 72,830 19,943 18,534 114,579 N Energy legacy: manage the UK's energy legacy safely and responsibly - – – 282,376 (2,396) 279,980 279,980 287,540 7,560 1,071 306,343 Q NDA and SLC expenditure 38,195 – 38,195 1,249,250 – 1,249,250 1,287,445 1,336,000 48,555 48,555 1,414,542 V Electricity Settlements Company (net) - – – 1,707 – 1,707 1,707 298 (1,409) – 674 Total Voted 446,612 (54,579) 392,033 2,738,097 (131,028) 2,607,069 2,999,102 3,385,099 385,997 385,997 9,292,407 Non-Voted W Nuclear Decommissioning Authority Income (CFER) - – - – (1,026,768) (1,026,768) (1,026,768) (1,048,000) (21,232) (21,232) (974,558) Total Non-Voted - – – - (1,026,768) (1,026,768) (1,026,768) (1,048,000) (21,232) (21,232) (974,558) Total spending in Departmental Expenditure Limit 446,612 (54,579) 392,033 2,738,097 (1,157,796) 1,580,301 1,972,334 2,337,099 364,765 364,765 8,317,849 Annually Managed Expenditure by section Voted X Science and Research - – – 41,888 – 41,888 41,888 (14,194) (56,082) – 49,872 O Oil and Gas Authority 8,048 (11,849) (3,801) 15,112 (88) 15,024 11,223 11,169 (54) 44 23,388 P Oil and Gas Authority (net) 6,603 – 6,603 4,653 – 4,653 11,256 11,313 57 6,423 – R Coal Authority (net) 4,096 – 4,096 22,221 – 22,221 26,317 21,400 (4,917) – 22,096 S Civil Nuclear Police Authority (net) 1,405 – 1,405 256 - 256 1,661 187 (1,474) 1,474 1,493 T Committee on Climate Change (net) 3,535 – 3,535 - – – 3,535 3,561 26 26 3,752 U Low Carbon Contracts Company (net) - – – (1,136) – (1,136) (1,136) 582 1,718 1,718 1,142 Z Market Frameworks - – – 134,029 – 134,029 134,029 198,000 63,971 63,632 101,517 AA Capability - – – (6,024) 11 (6,013) (6,013) 25,687 31,700 24,631 (21,807) AB Government as Shareholder - – - – (4,652) (4,652) (4,652) (8,756) (4,104) – (2,338) AC Science and Research (ALB) net - – – 90,936 – 90,936 90,936 59,680 (31,256) – 90,315 AD Innovation, Enterprise and Business (ALB) net - – – (10,378) – (10,378) (10,378) 18,897 29,275 – 7,722 AE Market Frameworks (ALB) net - – – (58) – (58) (58) (397) (339) – (168) AF Capability (ALB) net - – – (400) – (400) (400) 1 401 401 2 AG Government as Shareholder (ALB) net - – – (26,653) – (26,653) (26,653) (12,696) 13,957 9,853 (47,351) AH Keeping bills low: keep energy bills as low as possible for households and businesses - – - – (3,204) (3,204) (3,204) (2,079) 1,125 2,530 (309,667) AI Decarbonisation: secure ambitious international action on climate change and reduce carbon emissions cost-effectively at home - – – (1,335,361) – (1,335,361) (1,335,361) 119,467 1,454,828 1,135,406 840,940 AJ Energy legacy: manage the UK's energy legacy safely and responsibly - – – (245,888) (12,727) (258,615) (258,615) (200,887) 57,728 56,995 (308,924) Y Innovation, Enterprise and Business - – – 249,667 (42,944) 206,723 206,723 (60,300) (267,023) – (68,032) AR Low Carbon Contracts Company (net) - – – 1,065,558 – 1,065,558 1,065,558 10,948,000 9,882,442 9,882,442 9,281,975 Total Voted - – – 3,355,220 (63,516) 3,291,704 3,291,704 17,137,296 13,845,592 13,845,592 101,691,038 Non-Voted AS Market Frameworks - – – 231,511 – 231,511 231,511 275,000 43,489 43,489 254,256 Total Non Voted - – – 231,511 – 231,511 231,511 275,000 43,489 43,489 254,256 Total spending in Annually Managed Expenditure - – – 3,586,731 (63,516) 3,523,215 3,523,215 17,412,296 13,889,081 13,889,081 101,945,294 Total DEL and AME Resource 446,612 (54,579) 392,033 6,324,828 (1,221,312) 5,103,516 5,495,549 19,749,395 14,253,846 14,253,846 110,263,143 AN Nuclear Decommissioning Authority - – – 2,850,516 – 2,850,516 2,850,516 5,340,000 2,489,484 2,489,484 89,797,932 AO Coal Authority (net) - – – 2,061 – 2,061 2,061 94,684 92,623 92,623 1,907,290 AP Civil Nuclear Police Authority (net) - – – (142) – (142) (142) (122) 20 20 (826) AQ Committee on Climate Change (net) - – – (63) – (63) (63) (62) 1 1 – AK Renewable Heat Incentive - – – 545,426 – 545,426 545,426 633,000 87,574 87,574 372,420 AL Oil and Gas Authority - – - – - – – (313) (313) – 166 AM Oil and Gas Authority (net) - – – 106 – 106 106 (314) (420) - – Explanations of the significant variances between the Outturn and Estimate are included in the Directors' financial review on page 33. ## Sops 1.2 Analysis Of Net Capital Outturn By Section \| \| \| \| Gross \| Income \| Net \| Net \| \|-------------------------------\|----------------------------\|-----------\|-----------\|-----------\|----------\|---------\| \| £'000 \| £'000 \| £'000 \| £'000 \| £'000 \| £'000 \| £'000 \| \| Spending in Departmental \| \| \| \| \| \| \| \| Expenditure Limit by \| \| \| \| \| \| \| \| section \| \| \| \| \| \| \| \| Voted \| \| \| \| \| \| \| \| A Science and Research \| 2,757,049 \| (10,053) \| 2,746,996 \| 2,838,927 \| 91,931 \| 9,126 \| \| B \| Innovation, Enterprise and \| \| \| \| \| \| \| Business \| 451,123 \| (254,500) \| 196,623 \| 350,635 \| 154,012 \| 154,012 \| \| C Market Frameworks \| 986 \| - \| 986 \| 5,000 \| 4,014 \| 3,599 \| \| D Capability \| 10,191 \| (10) \| 10,181 \| 68,708 \| 58,527 \| 54,602 \| \| E Government as \| \| \| \| \| \| \| \| Shareholder \| \| \| \| \| \| \| \| 79,551 \| (5,136) \| 74,415 \| 82,874 \| 8,459 \| 8,459 \| 108,914 \| \| F \| Science and Research \| \| \| \| \| \| \| (ALB) net \| 3,453,704 \| - \| 3,453,704 \| 3,370,899 \| (82,805) \| - \| \| G \| Innovation, Enterprise and \| \| \| \| \| \| \| Business (ALB) net \| 803,985 \| - \| 803,985 \| 834,859 \| 30,874 \| 30,874 \| \| H \| Market Frameworks (ALB) \| \| \| \| \| \| \| net \| 1,246 \| - \| 1,246 \| 831 \| (415) \| - \| \| I Capability (ALB) Net \| 480 \| - \| 480 \| 307 \| (173) \| - \| \| J \| Government as \| \| \| \| \| \| \| Shareholder (ALB) net \| 1,172,445 \| - \| 1,172,445 \| 1,331,896 \| 159,451 \| 159,451 \| \| K \| Security and Resilience: \| \| \| \| \| \| \| ensure the UK has a \| \| \| \| \| \| \| \| secure and resilient energy \| \| \| \| \| \| \| \| system \| (548) \| - \| (548) \| 1,437 \| 1,985 \| 1,985 \| \| L \| Keeping bills low: keep \| \| \| \| \| \| \| energy bills as low as \| \| \| \| \| \| \| \| possible for households \| \| \| \| \| \| \| \| and businesses \| 43,440 \| (1,239) \| 42,201 \| 43,609 \| 1,408 \| 1,408 \| \| M \| Decarbonisation: secure \| \| \| \| \| \| \| ambitious international \| \| \| \| \| \| \| \| action on climate change \| \| \| \| \| \| \| \| and reduce carbon \| \| \| \| \| \| \| \| emissions cost-effectively \| \| \| \| \| \| \| \| at home \| 343,233 \| (137) \| 343,096 \| 357,941 \| 14,845 \| 12,540 \| \| N \| Energy legacy: manage the \| \| \| \| \| \| \| UK's energy legacy safely \| \| \| \| \| \| \| \| and responsibly \| 6,295 \| - \| 6,295 \| 6,300 \| 5 \| 5 \| \| O Oil and Gas Authority \| 1,052 \| 400 \| 1,452 \| 186 \| (1,266) \| - \| \| P Oil and Gas Authority (net) \| 1,163 \| - \| 1,163 \| 332 \| (831) \| - \| \| \| 2016-17 \| 2015-16 \| \|-----------\|-----------\|-----------\| \| Outturn \| Estimate \| Outturn \| \| Net total \| \| \| \| compared \| \| \| \| with \| \| \| \| Net total \| Estimate, \| \| \| compared \| adjusted \| \| \| with \| for \| \| \| Estimate \| virements \| Net \| \| \| Outturn \| Estimate \| Outturn \| \|---------------------------\|----------------------------\|----------------------\|------------\| \| Gross \| Income \| Net \| Net \| \| £'000 \| £'000 \| £'000 \| £'000 \| \| Q NDA and SLC expenditure \| 1,970,695 \| - \| 1,970,695 \| \| R Coal Authority (net) \| 5,960 \| - \| 5,960 \| \| S \| Civil Nuclear Police \| \| \| \| Authority (net) \| 1,655 \| - \| 1,655 \| \| T \| Committee on Climate \| \| \| \| Change (net) \| 9 \| - \| 9 \| \| U \| Low Carbon Contracts \| \| \| \| Company (net) \| 592 \| - \| 592 \| \| V \| Electricity Settlements \| \| \| \| Company (net) \| 1,005 \| - \| 1,005 \| \| Total Voted \| 11,105,311 \| (270,675) 10,834,636 \| 11,274,147 \| \| Non–Voted \| \| \| \| \| W \| Nuclear Decommissioning \| \| \| \| Authority Income (CFER) \| - \| - \| - \| \| Total Non–Voted \| - \| - \| - \| \| Total spending in \| \| \| \| \| Departmental \| \| \| \| \| Expenditure Limit \| 11,105,311 \| (270,675) 10,834,636 \| 11,274,147 \| \| Annually Managed \| \| \| \| \| Expenditure by section \| \| \| \| \| Voted \| \| \| \| \| X Science and Research \| 834 \| - \| 834 \| \| Y \| Innovation, Enterprise and \| \| \| \| Business \| - \| (4,819) \| (4,819) \| \| Z Market Frameworks \| - \| - \| - \| \| AA Capability \| - \| - \| - \| \| AB \| Government as \| \| \| \| Shareholder \| 7,661,000 \| (7,527,000) \| 134,000 \| \| AC \| Science and Research \| \| \| \| (ALB) net \| (61,276) \| - \| (61,276) \| \| AD \| Innovation, Enterprise \| \| \| \| and Business (ALB) net \| 84,961 \| - \| 84,961 \| \| AE \| Market Frameworks (ALB) \| \| \| \| net \| - \| - \| - \| \| AF \| Capability (ALB) net \| - \| - \| \| 2016-17 \| 2015-16 \| \| \| \| Net total \| \| \| \| \| compared \| \| \| \| \| with \| \| \| \| \| Net total \| Estimate, \| \| \| \| compared \| adjusted \| \| \| \| with \| for \| \| \| \| Estimate \| virements \| Net \| \| \| \| \| \| Gross \| Income \| Net \| Net \| \|-----------------------------\|----------------------------------------------\|----------\|-----------\|-----------\|---------------------\|---------------\| \| £'000 \| £'000 \| £'000 \| £'000 \| £'000 \| £'000 \| £'000 \| \| AG \| Government as \| \| \| \| \| \| \| Shareholder (ALB) net \| (129,934) \| - \| (129,934) \| (242,318) \| (112,384) \| - \| \| AH \| Keeping bills low: keep \| \| \| \| \| \| \| energy bills as low as \| \| \| \| \| \| \| \| possible for households \| \| \| \| \| \| \| \| and businesses \| \| \| \| \| \| \| \| - \| - \| - \| - \| - \| - \| - \| \| AI \| Decarbonisation: secure \| \| \| \| \| \| \| ambitious international \| \| \| \| \| \| \| \| action on climate change \| \| \| \| \| \| \| \| and reduce carbon \| \| \| \| \| \| \| \| emissions cost–effectively \| \| \| \| \| \| \| \| at home \| - \| - \| - \| - \| - \| - \| \| AJ \| Energy legacy: manage \| \| \| \| \| \| \| the UK's energy legacy \| \| \| \| \| \| \| \| safely and responsibly \| 12,727 \| (51,000) \| (38,273) \| (38,273) \| - \| - \| \| AK Renewable Heat Incentive \| - \| - \| - \| - \| - \| - \| \| AL \| Oil and Gas Authority \| - \| - \| - \| - \| - \| \| AM \| Oil and Gas Authority (net) \| - \| - \| - \| - \| - \| \| AN \| Nuclear \| \| \| \| \| \| \| Decommissioning \| \| \| \| \| \| \| \| Authority \| - \| - \| - \| - \| - \| - \| \| AO \| Coal Authority (net) \| - \| - \| - \| - \| - \| \| AP \| Civil Nuclear Police \| \| \| \| \| \| \| Authority (net) \| - \| - \| - \| - \| - \| - \| \| AQ \| Committee on Climate \| \| \| \| \| \| \| Change (net) \| - \| - \| - \| - \| - \| - \| \| AR \| Low Carbon Contracts \| \| \| \| \| \| \| Company (net) \| - \| - \| - \| - \| - \| - \| \| Total Voted \| 7,568,312 (7,582,819) \| (14,507) \| 310,790 \| 325,297 \| 325,297 \| (177,979) \| \| Non–Voted \| \| \| \| \| \| \| \| AS Market Frameworks \| - \| - \| - \| - \| - \| - \| \| Government as Shareholder \| \| \| \| \| \| \| \| (ALB) net \| \| \| \| \| \| \| \| (1,434,995) \| \| \| \| \| \| \| \| Total Non–Voted \| - \| - \| - \| - \| - \| - (1,434,995) \| \| Total spending in Annually \| \| \| \| \| \| \| \| Managed Expenditure \| 7,568,312 (7,582,819) \| (14,507) \| 310,790 \| 325,297 \| 325,297 (1,612,974) \| \| \| Total DEL and \| \| \| \| \| \| \| \| AME Capital \| 18,673,623 (7,853,494) 10,820,129 11,584,937 \| 764,808 \| 764,808 \| 3,269,405 \| \| \| Explanations of the significant variances between the Outturn and Estimate are included in the Directors' financial review on page 33. \| \| 2016-17 \| 2015-16 \| \|-----------\|-----------\|-----------\| \| Outturn \| Estimate \| Outturn \| \| Net total \| \| \| \| compared \| \| \| \| with \| \| \| \| Net total \| Estimate, \| \| \| compared \| adjusted \| \| \| with \| for \| \| \| Estimate \| virements \| Net \| ## Sops 2: Reconciliation Of Net Resource Outturn To Net Operating Expenditure Total resource outturn in Statement of Parliamentary Supply Add: NDA remedial decommissioning costs which are capital in budgets but taken through the SoCNE 1,970,695 1,780,384 Capital Grants 1,737,259 1,925,742 Share of profit/loss of joint ventures and associates 242 30,774 Other non-budget 28,090 1,812 Share of minority interest 4,604 3,991 Research and Development costs 6,190,998 0 Less: Postal Services Holding net profit on disposal of Royal Mail 0 (1,434,995) Investments realised 0 (29,384) Non-budgetary income (28,468) 0 Ordnance Survey dividend in specie 0 (135,752) Non-budget, non-voted items in respect of BIS (Postal Services Act 2011) Company Limited and B Company Limited (88,164) (103,093) Expected return on pension scheme assets (42,266) (38,060) Gains/(losses) on defined benefit scheme (14,260) 7,648 NDA income scored in SOPS only 61,348 69,593 Capital Income in SOCNE (73,115) (208,459) Amortisation of financial guarantees (7,768) (14,496) Research and Development income (342,822) 0 Other: Impact of intra–group transactions (65,773) (1,077) Other differences 16,424 (10,539) Net Expenditure for the period in Consolidated Statement of Comprehensive Net Expenditure The prior year comparatives present the Net Operating Expenditure as reported at 31 March 2017. This is restated following a Machinery of Government change. 2015-16 2016-17 restated Note Outturn Outturn £'000 £'000 SoPS 1.1 5,495,549 110,263,143 14,842,573 112,107,232 ## Sops 3: Reconciliation Of Net Resource Outturn To Net Cash Requirement \| Resource Outturn \| 19,749,395 \| 5,495,549 \| 14,253,846 \| \|-------------------------------------------------------\|------------------\|--------------\|--------------\| \| Capital Outturn \| 11,584,937 \| 10,820,129 \| 764,808 \| \| Accruals to cash adjustments: \| \| \| \| \| Adjustments to remove non-cash items: \| \| \| \| \| Depreciation/Amortisation \| (30,424) \| (27,392) \| (3,032) \| \| New provisions and adjustments to previous provisions \| (31,332) \| (77,542) \| 46,210 \| \| Movement in fair value - Contracts for Difference \| (119,000) \| 1,337,205 \| (1,456,205) \| \| Other non-cash items \| 50,174 \| (279,927) \| 330,101 \| \| Adjustments for NDPBs: \| \| \| \| \| Remove voted resource and capital \| (25,474,241) \| (12,912,859) \| (12,561,382) \| \| Add cash grant-in-aid \| 8,345,364 \| 7,441,033 \| 904,331 \| \| Add share purchase \| - \| 716,483 \| (716,483) \| \| Adjustments to reflect movements in working balances: \| \| \| \| \| Increase/(decrease) in receivables \| 1,000,000 \| (156,468) \| 1,156,468 \| \| (Increase)/decrease in payables \| - \| 40,356 \| (40,356) \| \| Use of provisions \| 306,769 \| 301,685 \| 5,084 \| \| Financial guarantees called in \| - \| 10,967 \| (10,967) \| \| \| 15,381,642 \| 12,709,219 \| 2,672,423 \| \| Removal of non-voted budget items: \| \| \| \| \| \| Other adjustment \| 773,000 \| 795,257 \| \| Net cash requirement \| 16,154,642 \| 13,504,476 \| 2,650,166 \| ## Sops 4: Income Payable To The Consolidated Fund In addition to income retained, the following income was payable to the Consolidated Fund. Cash receipts are shown in italics. \| Operating income of the NDA within the Ambit \| 756,394 \| \|----------------------------------------------------\|-----------\| \| 762,000 \| \| \| 935,267 \| \| \| 934,000 \| \| \| Operating income outside the Ambit of the Estimate \| 242,526 \| \| 242,851 \| \| \| 1,979,730 \| \| \| 1,979,527 \| \| \| Total income payable to the Consolidated Fund \| \| \| 998,920 \| \| \| 1,004,851 \| \| \| 2,914,997 \| \| \| 2,913,527 \| \| 2016-17 Net total outturn compared with Estimate: Estimate Outturn saving/(excess) £'000 £'000 £'000 31,334,332 16,315,678 15,018,654 2016-17 2015-16 restated Outturn Outturn Income Receipts Income Receipts £'000 £'000 £'000 £'000 ## 1 Regularity Of Expenditure Losses And Special Payments The disclosures in this note are in accordance with Managing Public Money, the official guidance on handling public funds. ## Losses Statement Core and Agencies Total number of losses 7,460 7,827 8,138 8,299 RPS receivable impairment 249 249 261 261 Other losses 39 40 283 284 Total value of losses (£m) 288 289 544 545 ## Details Of Cases Over £300,000 Constructive Losses Core Department Cash Losses Core Department The core Department holds onerous leases for properties on the Department's estate, for which we have provided £113 million. The payments made during the course of 2016-17 in respect of these leases amounted to £18.8 million (2015-16: £16.1 million). £18.9 million was written off in 2016-17 in respect of Hatfield Colliery Partnership Limited. A loan was provided by BEIS in order to preserve the viability of a managed closure plan, but was unable to be fully repaid as the company went into liquidation. ## Store Losses Departmental Group Claims Abandoned Core Department A loss of £900,000 was incurred by the Nuclear Decommissioning Authority from the write off of stores items on nuclear licensed sites. Redundancy Payment Service (RPS) receivable impairment: most of the redundancy payments made from the National Insurance Fund (NIF) are in respect of employees of insolvent companies. Repayment of debt is recovered from the sale of the assets of the insolvent company. A small part of the debt is preferential but most ranks with ordinary creditors. Therefore most of the debt is irrecoverable. HMRC record the impairment of the RPS receivable in NIF accounts. The RPS receivable impairment for 2016-17 is £249 million (2015-16: £261 million). \| 2016-17 \| 2015-16 restated \| \|--------------\|--------------------\| \| Departmental \| Departmental \| \| Group \| \| \| Core and \| \| \| Agencies \| Group \| ## Special Payments Special Payments Include Extra–Contractual, \| Total number of special payments \| 29 \| 53 \| 32 \| 38 \| \|--------------------------------------\|------\|------\|------\|------\| \| Total value of special payments (£m) \| 1 \| 99 \| - \| 1 \| ## Details Of Cases Over £300,000 Extra–Contractual Payments Core Department The Department funded a settlement for one of its Partner Organisations with SSCL of £500,000 in 2016-17. This settlement ended the preexisting contract with SSCL. ## Compensation Payments Departmental Group The Nuclear Decommissioning Authority made special payments in 2016-17 of a) £583,540 in settlement of a tribunal case and b) £85,000,000 to Energy Solutions and £12,345,885 to Bechtel in settlement of legal action relating to procurement of a new parent body organisation for the Magnox nuclear licensed sites. Increase/ 1 April (Decrease) 2016 in year £m £m £m £m £m £m GIB has provided indemnities relating to costs of decommissioning and restoring sites once they are no longer in use. 103 (70) - - 33 - Other 1 - - (1) - - BEIS has indemnified Cornwall Council for European Regional Development Fund (ERDF)–related liability, arising from the transfer of Wave Hub. - 18 - - 18 18 Total 104 (52) - (1) 51 18 ex–gratia, compensation and special severance payments. \| \| 2016-17 \| 2015-16 restated \| \|--------------\|--------------\|--------------------\| \| Departmental \| Departmental \| Core and \| \| Agencies \| Group \| \| \| Core and \| \| \| \| Agencies \| Group \| \| ## 1 Remote Contingent Liabilities Quantifiable The Departmental Group has entered into the following quantifiable contingent liabilities by offering guarantees, indemnities or letters of comfort. None of these is a contingent liability within the meaning of IAS 37 since the likelihood of a transfer of economic benefit in settlement is too remote. They therefore fall to be disclosed under the requirements of the 'Government Financial Reporting Manual' and 'Managing Public Money'. Measurement is carried out following the requirements of IAS 39, given that the reporting requirements of 'Managing Public Money', and these liabilities, fall outside the scope of IAS 37. 'Managing Public Money' requires that the full potential costs of such contracts be reported to Parliament. Amount reported to Liabilities Obligations crystallised expired in 31 March Parliament by Departmental in year year 2017 Minute ## Unquantifiable Other Core Department • On 29 March 2017, the UK Government BEIS has also incurred the following unquantifiable contingent liabilities. None of these are a contingent liability within the meaning of IAS 37 since the possibility of a transfer of economic benefit in settlement is too remote. ## Statutory Guarantees Core Department • In the event of BAE Systems plc (BAES) being wound up, other than for the purpose of reconstruction or amalgamation, the Government is contingently liable to discharge any outstanding liability of BAES which vested in them on 01 January 1981 under section 9, British Aerospace Act 1980. ## Statutory Indemnities Core Department • Indemnities given to UK Atomic Energy • Incidents/accidents Insurance claims for Authority by the Secretary of State to cover indemnities given to carriers against certain claims for damage caused by nuclear matter in the course of carriage. • Indemnities given to bankers of the Insolvency • A contingent liability in respect of risk Service against certain liabilities arising in respect of non-transferable "account payee" cheques due to insolvent estates and paid into the Insolvency Service's account. • The Police Information Technology • European Patent Office (EPO): the UK, as Organisation (Home Office) provides the Criminal Enforcement Team (formerly part of BEIS) with access to data from the Police National Computer (PNC). The Insolvency Service (and BEIS) has indemnified the police against any liabilities which they may incur as a result of providing that access. • World Intellectual Property Organisation: • Indemnity given to National Grid's liabilities with regards to the interconnector linking the UK and France. • Indemnities have been given to the Directors submitted its notification to leave the EU and Euratom in accordance with Article 50 of the Treaty on the European Union and the corresponding provision of the Euratom Treaty. This started a two-year negotiation process. Any subsequent changes in legislation, regulation and funding arrangements are subject to the outcome of the negotiations. As a result, an unquantifiable remote contingent liability is disclosed. In accordance with accounting standards, no contingent assets can be recognised. During this two–year period, which includes the full duration of the next accounting period, the UK remains a full member of the EU and Euratom with all the rights and obligations arising from membership. There are no significant impacts on the financial statements in the short term from making the formal notification. exposure to ionising radiation pursued outside the existing UK Atomic Energy Authority insurance scheme. associated with the core Department assuming responsibility for uplifts in pension contributions for the UK Atomic Energy Authority's non-active pension scheme members. one of the contracting states, has a potential liability under Article 40 of the European Patent Convention of 1973. the UK, as a contracting state to the Patent Co-operation Treaty of 1970, has a potential liability under Article 57 of the Treaty. appointed by the Department to wholly owned subsidiaries. These indemnities are against personal liability following any legal action against the relevant company. • An indemnity has been provided to Pöyry PLC relating to the use of their yield curve data for the sale of GIB. The data was an important component of a bidder's due diligence, risk assessment and ultimately the price they were willing to pay. BEIS has indemnified Pöyry PLC for any liability that occurs as a result of using their information in the sale process that may be brought by bidders in relation to the transaction. • An indemnity has been provided to the Official Receiver relating to their actions as administrator of SSI Redcar with respect to the administration of the site. • The Department has a contingent liability relating to ongoing legal cases. The cost is dependent on the outcome of cases which currently cannot be reliably estimated. • In the event Financial Reporting Council's legal costs fund fall below £1 million in any year, BEIS will make a grant payment to cover legal costs subsequently incurred in that year. • Nuclear Liabilities Fund - Indemnities have been given to the Trustees of the Fund appointed by the Secretary of State. These indemnities are for personal liability due to potential legal action against the Fund. • Nuclear Liabilities Fund - Indemnities have been given to the British Energy (now EDF Energy) appointed Trustees of the Fund. These indemnities are for personal liability due to potential legal action against the Fund. These indemnities can only be invoked following a failed recourse to an indemnity from EDF Energy. • Indemnities have been given to the Directors appointed to the Low Carbon Contracts Company Ltd (formerly CFD Counterparty Company Limited) and to Electricity Settlements Company Ltd. The indemnities are against personal liability following any legal action against the companies. The indemnities make clear that they are the last resort for the companies after all other means have been exhausted i.e. Company and Directors insurance (cover limit of £100m); and the recovery of costs through the levy. This reduces the Department's potential exposure. • Indemnity provided to Low Carbon Contracts Company Ltd and Electricity Settlements Company Ltd in respect of their Officers. The indemnities make clear that they are the last resort for the companies after all other means have been exhausted i.e. Company and Directors insurance (cover limit of £100m); and the recovery of costs through the levy. • Statutory liability in the event of a nuclear accident in the UK for third-party claims in excess of the operator's liability. • Liability for non-compliance with the Cogeneration Directive (2004/8/EC): in the event contractors for the Department incorrectly certify combined heat and power plants. • Liability for costs of retrieving and disposing of sealed radioactive sources in the event that a company keeping such sources becomes insolvent under the High Activity Sealed Sources (HASS) Directive: Council Directive 2003/122/EURATOM. • Under section 9 of The Radioactive Contaminated Land (Modification of Enactments) (England) (Amendment) Regulations 2007 SI 2007/3245 the Secretary of State is deemed to be the appropriate person to bear responsibility for remediation of land contaminated by a nuclear occurrence. • An indemnity for loss or damage caused to other parties to the Energy Research Partnership consortium agreement. • Under the EU Emissions Trading Scheme, Member States are required to appoint a Single Auction Monitor to oversee the auctioning of allowances in Phase III. The Joint Procurement Agreement for the Single Auction Monitor (JPA) provides for Member States to indemnify the Commission should the Commission be required to compensate a third party or another Member State for damages which arise in connection with the JPA. The contingent liability shall remain in place until such time as the JPA no longer exists in its current form. The JPA will remain in place for as long as the obligation to jointly appoint an auction monitor remains under the EU Auctioning Regulation. This period is not specified. • The Department has indemnified Elexon • The Department is responsible under the Ltd against third-party claims relating to the design and/or implementation of Contracts for Difference (CfD) and Capacity Markets (CM) settlement systems which are not covered by insurance and/or guarantees by their subcontractors. • Organisation for Economic Co-operation ## Departmental Group • STFC collaborates with a number of and Development (OECD) and International Energy Agency (IEA): an indemnity for any loss to the IEA arising from use of its data in the Department's Global Climate Change 2050 Pathways Calculator, limited to maximum of £100,000. • Nuclear Liabilities Fund - A constructive These liabilities are unquantifiable due to the nature of the liability and the uncertainties surrounding them. ## Other Remote Contingent Liabilities Indemnities Core Department • The Secretary of State Investor Agreement obligation was created in 2002 when the Government undertook to underwrite the Nuclear Liabilities Fund in respect of uncontracted and decommissioning liabilities of British Energy (now EDF Energy Nuclear Generation Limited (EDFE)) to the extent that the assets of the Fund fall short. The undiscounted estimated liabilities of £19.9 billion (2015-16 £19.7 billion) have a present value of £32.8 billion (2015-16 £33 billion) using the prescribed discount rate from HM Treasury of negative 0.8% (2015-16 negative 0.8%). The value of the Fund is £9.4 billion (2015-16 £9.2 billion) and is likely to increase in the future from investment returns. It is hard to quantify the extent to which the net position of the Fund might represent a contingent liability or asset given the high level of uncertainty relating to estimation of cash outflows and investment returns over a future period exceeding 100 years. In view of changes to actual and expected interest rates and expected rates of inflation experienced during the course of the year, the Trustees are currently reviewing the Fund's asset allocation to help ensure sufficient funding to meet expected liabilities. On this basis, the Department believes it would not be appropriate to consider this as either a contingent liability or asset United Nations Convention on the Law of the Sea (UNCLOS) 1982, OSPAR decision 98/3, the Energy Act 2004 and the Petroleum act 1998 for decommissioning most oil, gas and renewable energy installations in the event that operators are unable to fulfil their decommissioning commitments. The potential cost of these liabilities will vary by site and cannot be reliably forecast. international partners in the funding, management and operation of technical facilities which it does not own. For each of these facilities STFC may be obliged to contribute to decommissioning costs arising from a decision to discontinue operations. The most significant of these potential liabilities is in respect of CERN and the European Southern Observatory (ESO). (SOSIA) provides protections in certain scenarios where the Hinkley Point C Nuclear plant is shut shown for reasons that are political, or due to certain changes in insurance arrangements or certain changes in law. Payments under the SOSIA would be expected in the first instance to be made using funds from the Supplier Obligation but in certain circumstances they could also come direct from the Secretary of State relying on spending powers granted under the relevant Appropriation Act or, if payments were to be made over a period longer than 2 years, seeking a new spending power at the time. The payments could be up to around £22bn excluding non-decommissioning operational costs that may be incurred after any shutdown. However, the liability to make payments under the SOSIA is almost entirely within the control of HM Government. ## Departmental Albs • The NDA has non-quantifiable contingent liabilities arising from indemnities given as part of the contracts for the management of the nuclear site license companies. These indemnities are in respect of the uninsurable residual risk that courts in a country which is not party to the Paris and Brussels Conventions on third–party liability in the field of nuclear energy may accept jurisdiction to determine liability in the event of a nuclear incident. Indemnities are in place in respect of Magnox, LLWR and Dounreay as set out in the relevant Parent Body Agreements. In addition, indemnities are provided to the previous PBO's of Magnox and Sellafield covering the periods of their ownership. These are not treated as contingent liabilities within the meaning of IAS 37 since the possibility of a transfer of economic benefit in settlement is considered too remote. ## Other Potential Or Expected Liabilities The Department has entered into the following quantifiable arrangements, none of which are a contingent liability requiring disclosure under IAS 37. The following information has been provided in the interests of transparency. • Hinkley Point C Funded Decommissioning Programme (FDP) and Waste Transfer Contracts (WTCs) The contract with NNB Generation Company Limited (NNB) to build Hinkley Point C (HPC) nuclear power plant includes a Contract for Difference between NNB and the Low Carbon Contracts Company, an FDP and associated FDP documents including WTCs between NNB and the core Department. The FDP and related documents including WTCs require NNB to make prudent provision for their waste and decommissioning liabilities. To meet their liabilities, the operator must set up a fund with an independent governance framework and will pay into it so that it is on track to fund the liabilities that arise from decommissioning and waste management. The fund will report annually to the Secretary of State and a full review will be conducted every 5 years to ensure that the fund is on track to meet all its liabilities. If it is off track, the operator will be required to take corrective action. These liabilities are strictly the operator's responsibility and the probability of taxpayers picking up these liabilities is remote. Alongside the FDP, the Government has entered into 2 WTCs. These set out terms on which the Government will take title to and liability for the spent fuel and intermediate level waste (ILW) from the site after decommissioning in order to dispose of the waste safely. The WTCs have generally been prepared in line with the Government's published waste transfer pricing methodology. 1 Although the WTCs provide a default price based on today's best estimate, they allow the waste transfer price to be set after a specified later date. The final price agreed is subject to a cap, but the likelihood of the future costs exceeding the agreed cap is considered remote. ## • Capacity Agreements These are statutory arrangements between National Grid, as system operator, and capacity providers. They require the capacity provider to be able to provide a given level of capacity in relevant delivery years when called upon to do so by National Grid. To date three auctions have been held for capacity to be delivered in 2018-19, 2019-20 and 2020- 21. These awarded 49.26 GW of capacity agreements at a cost of £1.790 billion, 45.37 GW capacity agreements at a cost of £1.089 billion, and 52.43 GW of capacity agreements at a cost of £2.024 billion respectively. The payments to capacity providers will be funded by a levy on licensed electricity suppliers. \| As at 31 March 2017 \| As at 31 March 2016 \| \|--------------------------\|-----------------------\| \| Due \| \| \| Due \| within \| \| over 5 \| within \| \| 1 year \| \| \| 2 to 5 \| \| \| years \| \| \| £m \| £m \| \| Capacity Market - ESC \| - \| \| Income from levy - ESC \| - \| \| Total Departmental Group \| - \| and Permanent Secretary 13 July 2017 The Department has responsibility for administering the settlement process. This role is carried out by the Electricity Settlements Company (ESC), a company set up and owned by the Department. The obligation for the ESC to make capacity payments only arises when the respective levy is received from licensed suppliers and the generator provides the agreed level of capacity. The potential income and payments arising from these arrangements are set out in the following table. Due Due Due within Due over 5 years Total within 1 year 2 to 5 years years Total ## The Certificate And Report Of The Comptroller And Auditor General To The House Of Commons I certify that I have audited the financial statements of the Department for Business, Energy and Industrial Strategy and of its Departmental Group for the year ended 31 March 2017 under the Government Resources and Accounts Act 2000. The Department consists of the core Department and its agencies. The Departmental Group consists of the Department and the bodies designated for inclusion under the Government Resources and Accounts Act 2000 (Estimates and Accounts) Order 2016. The financial statements comprise: the Department's and Departmental Group's Statements of Comprehensive Net Expenditure, Financial Position, Cash Flows, Changes in Taxpayers' Equity; and the related notes. I have also audited the Statement of Parliamentary Supply and the related notes. These financial statements have been prepared under the accounting policies set out within them. I have also audited the information in the Remuneration Report, Staff Report and Parliamentary Accountability disclosures within the Accountability Report that is described in those reports as having been audited. ## Respective Responsibilities Of The Accounting Officer And Auditor As explained more fully in the Statement of Accounting Officer's Responsibilities, the Accounting Officer is responsible for the preparation of the financial statements and for being satisfied that they give a true and fair view. My responsibility is to audit, certify and report on the financial statements in accordance with the Government Resources and Accounts Act 2000. I conducted my audit in accordance with International Standards on Auditing (UK and Ireland). Those standards require me and my staff to comply with the Auditing Practices Board's Ethical Standards for Auditors. ## Scope Of The Audit Of The Financial Statements An audit involves obtaining evidence about the amounts and disclosures in the financial statements sufficient to give reasonable assurance that the financial statements are free from material misstatement, whether caused by fraud or error. This includes an assessment of: whether the accounting policies are appropriate to the Department's and the Departmental Group's circumstances and have been consistently applied and adequately disclosed; the reasonableness of significant accounting estimates made by the Accounting Officer; and the overall presentation of the financial statements. In addition I read all the financial and non-financial information in the Annual Report to identify material inconsistencies with the audited financial statements and to identify any information that is apparently materially incorrect based on, or materially inconsistent with, the knowledge acquired by me in the course of performing the audit. If I become aware of any apparent material misstatements or inconsistencies I consider the implications for my certificate. I am required to obtain evidence sufficient to give reasonable assurance that the Statement of Parliamentary Supply properly presents the outturn against voted Parliamentary control totals and that those totals have not been exceeded. The voted Parliamentary control totals are Departmental Expenditure Limits (Resource and Capital), Annually Managed Expenditure (Resource and Capital), Non-Budget (Resource) and Net Cash Requirement. I am also required to obtain evidence sufficient to give reasonable assurance that the expenditure and income recorded in the financial statements have been applied to the purposes intended by Parliament and the financial transactions recorded in the financial statements conform to the authorities which govern them. ## Opinion On Regularity In my opinion, in all material respects: ## Emphasis Of Matter - Provisions For Nuclear Decommissioning And Contracts For Difference (Cfds) Derivative • the Statement of Parliamentary Supply properly presents the outturn against voted Parliamentary control totals for the year ended 31 March 2017 and shows that those totals have not been exceeded; and • the expenditure and income recorded in the financial statements have been applied to the purposes intended by Parliament and the financial transactions recorded in the financial statements conform to the authorities which govern them. ## Opinion On Financial Statements Without qualifying my opinion, I draw attention to the disclosures made in Notes 1.29 and 19.1 to the financial statements concerning the uncertainties inherent in the provisions relating to the costs of dealing with nuclear decommissioning liability. As set out in these notes, given the complexity and the very long timescales involved, a considerable degree of uncertainty remains over the value of the liabilities. Significant changes to the liabilities could occur as a result of subsequent information and events which are different from the current assumptions adopted. In my opinion: • the financial statements give a true and fair view of the state of the Department's and the Departmental Group's affairs as at 31 March 2017 and of the Department's net expenditure and Departmental Group's net expenditure for the year then ended; and • the financial statements have been properly prepared in accordance with the Government Resources and Accounts Act 2000 and HM Treasury directions issued thereunder. I also draw attention to the disclosures made in Notes 1.29 and 9 to the financial statements concerning the measurement of liabilities relating to CfDs. As this note describes, the fair value of these liabilities is highly sensitive to assumptions regarding future prices and volumes, particularly in view of the long timescales involved. As disclosed in note 9, the Department has concluded that the uncertainty over the valuation of the CfD for Hinkley Point C is such that the liability does not meet the recognition criteria set out in the Conceptual Framework for Financial Reporting. ## Opinion On Other Matters In my opinion: • the part of the Remuneration Report, Staff • the information given in the Performance Report and Parliamentary Accountability disclosures to be audited has been properly prepared in accordance with HM Treasury directions made under the Government Resources and Accounts Act 2000; and Report and Accountability Report for the financial year for which the financial statements are prepared is consistent with the financial statements. ## Matters On Which I Report By Exception I have nothing to report in respect of the following matters which I report to you if, in my opinion: • adequate accounting records have not been kept or returns adequate for my audit have not been received from branches not visited by my staff; or • the financial statements and the part of the Remuneration Report, Staff Report and Parliamentary Accountability disclosures to be audited are not in agreement with the accounting records and returns; or • I have not received all of the information and explanations I require for my audit; or • the Governance Statement does not reflect compliance with HM Treasury's guidance. ## Report I have no observations to make on these financial statements. Sir Amyas C E Morse Comptroller and Auditor General 17th July 2017 National Audit Office 157-197 Buckingham Palace Road Victoria London SW1W 9SP ## Financial Statements Primary Statements Consolidated Statement Of Comprehensive Net Expenditure For The Year Ended 31 March 2017 Note Income from sale of goods and services 6.1 (286) (1,782) (624) (2,118) Total operating income (286) (1,782) (624) (2,118) Staff costs 3 282 992 315 1,009 Purchase of goods and services 4.1 1,629 2,694 1,572 2,483 Depreciation and impairment charges 4.2 445 861 376 621 Provision expense 4.3 72 6,679 210 93,093 Grants 4.4 11,415 7,281 11,307 7,371 Other operating expenditure (19) (127) 2 (59) Profit on disposal of shareholding in Royal Mail plc 10.1 - - - (1,435) Total operating expenditure 13,824 18,380 13,782 103,083 Net operating expenditure 13,538 16,598 13,158 100,965 Finance income 6.2 (168) (252) (364) (363) Finance expense 5 (29) (1,305) (23) 1,404 Contracts for difference derivatives 9 (1,337) (181) 839 10,122 Net expenditure for the year from continuing operations 12,004 14,860 13,610 112,128 Net expenditure for the year from discontinuing operations 15 - (18) - (21) Net expenditure for the year 12,004 14,842 13,610 112,107 Other Comprehensive Income and Expenditure Net (gain)/loss on: Items that will not be reclassified to net operating expenditure: - revaluation of property, plant and equipment (1) (145) 2 (146) - revaluation of intangible assets - 1 - (21) Items that may be reclassified subsequently to net operating costs: - revaluation of investments (241) (91) 306 1,797 - actuarial (gains)/losses - 144 - (111) - other movements in fair value (21) (56) (86) (126) Total other comprehensive net income and expenditure from continuing operations (263) (147) 222 1,393 \| \| 31 March 2017 \| 31 March 2016 restated \| \|------------\|-----------------\|--------------------------\| \| Core \| \| Core \| \| Department \| Department \| \| \| and \| \| Departmental \| \| Agencies \| Group \| Agencies \| \| £m \| £m \| £m \| Department Note Agencies Total other comprehensive net income and expenditure from discontinuing operations - 7 - 1 Total other comprehensive net income and expenditure (263) (140) 222 1,394 Comprehensive net expenditure for the year 11,741 14,702 13,832 113,501 All operations are continuing apart from those included in note 15. Comparative figures for 2015-16 have been re-stated to reflect the merger of the Department for Business, Innovation and Skills and the Department of Energy and Climate Change to form the Department for Business, Energy and Industrial Strategy (BEIS). There have also been a number of Machinery of Government changes relating to former DECC and former BIS which had an impact on the prior year comparatives. Further analysis of staff costs can be found in the Staff report in the Accountability Report on page 83. The Notes on pages 128 to 219 form part of these Accounts. \| \| 31 March 2017 \| 31 March 2016 restated \| \|------------\|-----------------\|--------------------------\| \| Core \| \| Core \| \| Department \| \| \| \| and \| \| Departmental \| \| Group \| Agencies \| Group \| \| £m \| £m \| £m \| ## Consolidated Statement Of Financial Position As At 31 March 2017 \| 31 March 2017 \| 31 March 2016 restated \| 1 April 2015 restated \| \|-----------------------\|--------------------------\|-------------------------\| \| Core \| \| \| \| Department \| \| \| \| and \| \| Departmental \| \| Note \| Agencies \| Group \| \| £m \| £m \| £m \| \| Non–current \| \| \| \| assets: \| \| \| \| Property, plant and \| \| \| \| equipment \| 7 \| 264 \| \| Investment \| \| \| \| properties \| 31 \| 151 \| \| Intangible assets \| 8 \| 6 \| \| Investment and \| \| \| \| loans in public \| \| \| \| bodies \| 10 \| 2,171 \| \| Other financial \| \| \| \| assets \| 11 \| 1,484 \| \| Recoverable \| \| \| \| contract costs \| 12 \| - \| \| Derivative financial \| \| \| \| instruments \| 64 \| 70 \| \| Investment in \| \| \| \| joint ventures and \| \| \| \| associates \| 13 \| - \| \| Trade and other \| \| \| \| receivables \| 14 \| 305 \| \| Total non– \| \| \| \| current assets \| 4,325 \| 12,656 \| \| Current assets: \| \| \| \| Inventories \| - \| 33 \| \| Non–current \| \| \| \| assets held for sale \| 15 \| 1,517 \| \| Trade and other \| \| \| \| receivables \| 14 \| 438 \| \| Investments and \| \| \| \| loans in public \| \| \| \| bodies \| 16 \| 682 \| \| Other financial \| \| \| \| assets \| 11 \| 1 \| \| Derivative financial \| \| \| \| instruments \| 31 \| 42 \| \| Cash and cash \| \| \| \| equivalents \| 17 \| 1,192 \| \| Total current \| \| \| \| assets \| 3,861 \| 6,484 \| \| Total assets \| 8,186 \| 19,140 \| \| Current \| \| \| \| liabilities: \| \| \| \| Trade payables \| \| \| \| and other liabilities \| 18 \| (2,248) \| \| Core \| Core \| \|------------\|------------\| \| Department \| Department \| \| and \| \| \| Agencies \| Group \| \| 31 March 2017 \| 31 March 2016 restated \| 1 April 2015 restated \| \|-----------------------\|--------------------------\|-------------------------\| \| Core \| \| \| \| Department \| Department \| \| \| and \| \| Departmental \| \| Note \| Agencies \| Group \| \| £m \| £m \| £m \| \| Provisions \| 19 \| (289) \| \| Financial \| \| \| \| guarantees \| (18) \| (18) \| \| Non-current \| liabilities \| \| \| held for sale \| - \| (1,000) \| \| Total current \| \| \| \| liabilities \| (2,555) \| (9,490) \| \| Non–current \| \| \| \| assets plus/ \| \| \| \| less net current \| \| \| \| assets/ liabilities \| 5,631 \| 9,650 \| \| Non–current \| \| \| \| liabilities: \| \| \| \| Trade payables \| \| \| \| and other liabilities \| 18 \| (1,023) \| \| Provisions \| 19 \| (2,297) \| \| Financial \| \| \| \| guarantees \| (43) \| (43) \| \| Derivative financial \| \| \| \| instruments \| 9 \| - \| \| Retirement benefit \| \| \| \| obligations \| 20 \| - \| \| \| \| \| \| (842) \| - \| (277) \| \| Total non– \| \| \| \| current liabilities \| (3,363) \| (181,650) \| \| Total assets less \| \| \| \| liabilities \| 2,268 \| (172,000) \| \| Taxpayers' \| \| \| \| equity and other \| \| \| \| reserves: \| \| \| \| General fund \| 1,364 \| (175,252) \| \| Revaluation \| \| \| \| reserve \| 904 \| 2,813 \| \| Non-current \| \| \| \| assets held for sale \| \| \| \| revaluation reserve \| - \| \| \| Charitable funds \| - \| 319 \| \| Non–controlling \| \| \| \| interests \| - \| 105 \| \| Total equity \| 2,268 \| (172,000) \| Core Department and Agencies comprise the core Department and the UK Space Agency, National Measurement and Regulation Office, Insolvency Service and the Oil and Gas Authority (until 30th September 2016). The notes on pages 128 to 219 form part of these accounts. Alex Chisholm Principal Accounting Officer and Permanent Secretary 13 July 2017 \| Core \| Core \| \|------------\|----------\| \| Department \| \| \| and \| \| \| Group \| Agencies \| ## Consolidated Statement Of Cash Flows For The Year Ended 31 March 2017 Note Cash flows from operating activities Net operating cost (12,004) (14,860) (13,610) (112,128) Net operating cost from discontinuing operations - 18 - 21 Adjustment for non–cash expenditure (941) 6,048 1,293 103,911 (Increase)/decrease in inventories - 14 - (5) Less movements in inventories relating to items not passing through the Consolidated Statement of Comprehensive Net Expenditure - (1) - - (Increase)/decrease in trade and other receivables 14 162 35 541 823 Less movements in receivables relating to items not passing through the Consolidated Statement of Comprehensive Net Expenditure (5) (66) (6) (6) Increase/(decrease) in trade payables and other liabilities 18 645 318 (510) (47) Less movements in payables relating to items not passing through the Consolidated Statement of Comprehensive Net Expenditure (394) 334 943 1,344 Use of provisions 19 (301) (3,157) (663) (3,533) Payments to retirement benefit obligations – (155) – (153) Financial guarantees called in (11) (11) (11) (11) Expenditure funded by the National Insurance Fund (RPS) 4.1 232 232 254 254 Net cash outflow from operating activities (12,617) (11,251) (11,769) (9,530) Cash flows from investing activities Purchase of property, plant and equipment (25) (342) (16) (763) Purchase of investment property - - (15) (15) Purchase of intangible assets (3) (32) (3) (23) Proceeds of disposal of property, plant and equipment 3 25 (1) 2 Proceeds of disposal of investment property - - 10 41 Proceeds of disposal of intangible assets 1 1 - 1 Proceeds of disposal of assets held for sale - 23 - 2 Loan redeemed from Post Office Limited 16 7,527 7,530 7,288 7,289 Loans made to Post Office Limited 16 (7,661) (7,661) (7,511) (7,511) Repayments of other current loans and investments 3 3 2 2 Repayments of other non current loans and investments 10 - - 6 - Repayments of other loans and investments 47 452 82 2,795 Other investments and loans made (171) (1,264) (237) (2,736) Launch investment receipts 144 144 112 112 Venture capital fund redemptions 14 12 - 17 Venture capital fund investments (13) (79) (22) (66) \| \| 2016–17 \| 2015–16 restated \| \|------------\|------------\|--------------------\| \| Core \| \| Core \| \| Department \| Department \| \| \| and \| \| Departmental \| \| Agencies \| Group \| Agencies \| \| £m \| £m \| £m \| Department Note Agencies Dividends from Joint ventures and associates - 5 - 5 Disposal of Joint venture and associates - 47 - 16 Investment in Joint ventures and associates 13 - (186) - (200) Investment in shares (753) (37) (462) (229) Net cash outflow from investing activities (887) (1,359) (767) (1,261) Cash flows from financing activities From Consolidated Fund (supply) - current year 14,750 14,750 11,427 11,427 From Consolidated Fund (supply) - prior year 153 153 140 140 To Consolidated Fund (supply) - prior year (909) (909) – – From the National Insurance Fund 232 232 254 254 Payments to the National Insurance Fund (232) (232) (254) (254) Capital element of payments in respect of finance leases and on-balance sheet PFI contracts - (1) - - Capital contributions from non-controlling interests - 8 - - Issue of share capital - - - 1 Other adjustments relating to financing activities – 1 - - Net Financing 13,994 14,002 11,567 11,568 Less movements in cash and cash-equivalents relating to non-current assets held for sale – (69) – – Net increase/(decrease) in cash and cash equivalents in the period before adjustment for receipts and payments to the Consolidated Fund 490 1,323 (969) 777 Receipts due to the Consolidated Fund which are outside the scope of the Department's activities 1,005 77 2,915 979 Payments of amounts due to the Consolidated Fund (1,078) (1,078) (2,864) (2,864) Net increase/(decrease) in cash and cash equivalents in the period after adjustment for receipts and payments to the Consolidated Fund 417 322 (918) (1,108) Restated cash and cash equivalents opening balance 775 1,495 1,693 2,603 Cash and cash equivalents at the end of the period 17 1,192 1,817 775 1,495 The notes on pages 128 to 219 form part of these accounts. \| \| 2016–17 \| 2015–16 restated \| \|------------\|-----------\|--------------------\| \| Core \| \| Core \| \| Department \| \| \| \| and \| \| Departmental \| \| Group \| Agencies \| Group \| \| £m \| £m \| £m \| ## Statement Of Changes In Taxpayers' Equity (Core Department And Agencies) For The Year Ended 31 March 2017 \| General \| \| Revaluation \| Taxpayers' \| Total \| \|-----------------------------------------\|----------\|----------------\|---------------\|----------\| \| Note \| Fund \| Reserve \| equity \| Reserves \| \| £m \| £m \| £m \| £m \| \| \| Balance at 1 April 2015 restated \| 449 \| 893 \| 1,342 \| 1,342 \| \| Net parliamentary funding - drawn down \| 11,427 \| - \| 11,427 \| 11,427 \| \| Net parliamentary funding - deemed \| 1,594 \| - \| 1,594 \| 1,594 \| \| National Insurance Fund - RPS \| 4.1 \| 254 \| - \| 254 \| \| Supply (payable)/receivable adjustment \| 18 \| (488) \| - \| (488) \| \| Decrease in RPS receivables \| 14 \| (6) \| - \| (6) \| \| Net expenditure for the year \| (13,610) \| - \| (13,610) \| (13,610) \| \| Non–Cash Adjustments: \| \| \| \| \| \| Auditors' remuneration \| 4.1 \| 1 \| - \| 1 \| \| Movements in Reserves: \| \| \| \| \| \| Other comprehensive net (expenditure) \| \| \| \| \| \| /income for the year \| - \| (222) \| (222) \| (222) \| \| Transfers between reserves \| 23 \| (23) \| - \| - \| \| Other movements \| 3 \| (1) \| 2 \| 2 \| \| Balance at 31 March 2016 restated \| (353) \| 647 \| 294 \| 294 \| \| Net parliamentary funding - drawn down \| 14,750 \| - \| 14,750 \| 14,750 \| \| Net parliamentary funding - deemed \| (269) \| - \| (269) \| (269) \| \| National Insurance Fund - RPS \| 4.1 \| 232 \| - \| 232 \| \| Supply (payable)/receivable adjustment \| 18 \| (977) \| - \| (977) \| \| Income payable to the Consolidated Fund \| (11) \| - \| (11) \| (11) \| \| Decrease in RPS receivables \| 14 \| (5) \| - \| (5) \| \| Net expenditure for the year \| (12,004) \| - \| (12,004) \| (12,004) \| \| Non–Cash Adjustments: \| \| \| \| \| \| Auditors' remuneration \| 4.1 \| 1 \| - \| 1 \| \| Movements in Reserves: \| \| \| \| \| \| Other comprehensive net (expenditure) \| \| \| \| \| \| /income for the year \| - \| 263 \| 263 \| 263 \| \| Transfers between reserves \| 2 \| (2) \| - \| - \| \| Other movements \| (2) \| (4) \| (6) \| (6) \| \| Balance at 31 March 2017 \| 1,364 \| 904 \| 2,268 \| 2,268 \| Total Reserve Noninterests controlling Funds - Charitable Unrestricted equity Taxpayers' for Sale Reserve Revaluation Assets Held Non-current Reserve Revaluation £m £m £m £m £m £m £m Fund General Note Balance at 1 April 2015 restated (71,154) 4,310 - (66,844) 297 90 (66,457) Net parliamentary funding - drawn down 11,427 - – 11,427 - – 11,427 Net parliamentary funding - deemed 1,594 - – 1,594 - – 1,594 National Insurance Fund - RPS 4.1 254 - – 254 - – 254 Supply (payable)/receivable adjustment 18 (488) - – (488) - – (488) Income payable to the Consolidated Fund (935) - – (935) - – (935) Decrease in RPS receivables 14 (6) - – (6) - – (6) Net expenditure for the year (112,107) - – (112,107) - – (112,107) Amounts paid from distributable reserves (1,969) - – (1,969) - – (1,969) Non-Cash Adjustments: ## Consolidated Statement Of Changes In Taxpayers' Equity (Departmental Group) For The Year Ended 31 March 2017 Auditors' remuneration 4.1 1 - – 1 - – 1 Movements in Reserves: Other comprehensive net (expenditure)/income 111 (1,505) - (1,394) - – (1,394) Transfers between reserves 106 (120) - (14) 14 - – Minority interest - – - – - (5) (5) Issue of share capital 1 - – 1 - – 1 Other movements 9 – - 9 - – 9 Balance at 31 March 2016 restated (173,156) 2,685 - (170,471) 311 85 (170,075) Net parliamentary funding - drawn down 14,750 - – 14,750 - – 14,750 Net parliamentary funding - deemed (269) - – (269) - – (269) National Insurance Fund - RPS 4.1 232 - – 232 - – 232 Supply (payable)/receivable adjustment 18 (977) - – (977) - – (977) Income payable to the Consolidated Fund (782) - – (782) - – (782) Decrease in RPS receivables 14 (5) - – (5) - – (5) Total Reserve Noninterests controlling Funds - Charitable Unrestricted equity Taxpayers' for Sale Reserve Revaluation Assets Held Non-current Reserve Revaluation Fund General Note Net expenditure for the year (14,842) - – (14,842) - – (14,842) Amounts paid from distributable reserves (194) - – (194) - – (194) Non-Cash Adjustments: Auditors' remuneration 4.1 1 - – 1 - – 1 Movements in Reserves: Other comprehensive net (expenditure)/income for the year (144) 284 - 140 - – 140 Transfers between reserves 127 (150) 15 (8) 8 - – Minority interest - – - – - 20 20 Other movements 7 (6) - 1 - – 1 Balance at 31 March 2017 (175,252) 2,813 15 (172,424) 319 105 (172,000) The notes on pages 128 to 219 form part of these accounts. ## Notes To The Accounts 1 Accounting Policies, Judgements And Estimates 1.3 Presentational currency The financial statements are presented in pounds sterling, the functional currency of the Group. Transactions denominated in a foreign currency are translated into sterling at the rate of exchange on the date of each transaction. In preparing the financial statements, monetary assets and liabilities denominated in foreign currencies are translated at the rates prevailing at the reporting date. All translation differences of monetary assets and liabilities are included in Net expenditure for the year. Values are rounded to the nearest million pounds (£m) unless the FReM requires a lower threshold. 1.1 Basis of accounting These financial statements have been prepared in accordance with International Financial Reporting Standards (IFRS) as adapted and interpreted by the HM Treasury 2016-17 Financial Reporting Manual (FReM) and as set out in the Accounts Direction to the Department pursuant to section 5(2) of the Government Resources and Accounts Act 2000 except as described at 1.2 below. Where the FReM permits a choice of accounting policy, the policy selected is that judged to be most appropriate to the particular circumstances of the Department and its consolidated entities (the Group) for the purpose of giving a true and fair view. The policies adopted by the Group are described below; they have been applied consistently to items considered material to the accounts. The consolidated Statement of Financial Position shows significant net liabilities, primarily relating to Contracts for Difference derivatives and provisions for nuclear decommissioning which will be settled over many years. Liabilities in excess of those to be funded by the Group will be met by future funding voted by Parliament annually in Supply and Appropriation Acts. There is no reason to believe the resources to settle these liabilities will not be forthcoming. It has accordingly been considered appropriate to adopt a going concern basis for the preparation of these financial statements. 1.4 Basis of consolidation The Group accounts consolidate the balances of the Core Department and designated bodies ('partner organisations' (POs)) listed in note 28, which fall within the departmental boundary as defined in the FReM and make up the 'Departmental Group', excluding transactions and balances between them. Where the Office for National Statistics (ONS) designates a body retrospectively such that the body should have been designated for consolidation in a prior period, the accounts are voluntarily restated to reflect the position from the effective date of classification. The consolidated bodies prepare accounts in accordance with either the FReM or the Companies Act 2006 (for limited companies). For those bodies that do not prepare accounts in accordance with the FReM, adjustments are made at consolidation if necessary where differences would have a significant effect on the accounts. The Department and its POs are all domiciled in the UK. 1.2 Accounting convention These accounts have been prepared under the historical cost convention modified to measure property, plant and equipment (except specific waste management assets), intangibles, investment properties and financial instruments at fair value to the extent required or permitted under IFRS as set out in these policies. The Department has agreed with HM Treasury that specific nuclear waste management assets should be measured at historical cost less any impairment losses where there is no reliable and cost effective valuation methodology; this is a departure from the FReM requirement to report property, plant and equipment at fair value. Public Dividend Capital and shares in bodies held by the core Department are carried at historical cost less any impairment in accordance with the FReM. 1.5 Machinery of Government changes Core Department The Department for Business, Energy and Industrial Strategy (the core Department) was created on 14 July 2016 comprising all of the former Department of Energy and Climate Change (DECC) and the business, industrial strategy, science and innovation responsibilities of the former Department for Business, Innovation and Skills (BIS). Responsibility for higher and further education and apprenticeships was moved to the Department for Education; and responsibility for overseas trade to the Department for International Trade. The creation of BEIS is accounted for as a transfer by merger. This means that the Group accounts reflect the combined entity's results as if DECC and the remaining elements of BIS had always been combined. The results and cash flows in these accounts relate to activities undertaken by the new Department from 1 April 2016 to 31 March 2017, adjusted to achieve uniformity of accounting policies. In accordance with the transfer by merger principles, prior year balances have been restated to aid comparability with 2016-17. The historic carrying values of assets and liabilities have not been adjusted to fair value except where required as a result of aligning the accounting policies of the two former departments. There has also been a number of Machinery of Government changes relating to DECC and BIS, see note 27 for details of all the Machinery of Government changes and the impact of these on the prior year comparatives. 1.6 Changes in accounting policies Accounting policies are unchanged compared to those in the 2015-16 accounts of the former Core departments and Groups other than a) to set the capitalisation threshold for the new Core Department to £3,000 for non-current tangible and intangible assets (it had been £2,000 in the former DECC), b) to change the valuation basis for nonconsolidated subsidiaries of the DECC and NDA and c) to process receipts from the Nuclear Decommissioning Authority and Coal Authority for onward payment to the Consolidated Fund as agent rather than recognising as income in the core Department (this last change impacts the core Department only and has no effect on the Group). The changes have been applied retrospectively. The changed treatment of the receipts aligns with treatment of similar receipts in the former BIS and provides better information relating to Other income in the Core Department's Statement of Comprehensive Net Expenditure since the receipts are paid over to the Consolidated Fund rather than being retained. It has resulted in a reduction in Other income reported by the Core Department of £745 million for 2016- 17 and £936 million for 2015-16. Because the receipts are not retained but are paid over to the Consolidated Fund, the change has not affected Taxpayers' equity in the Statement of Financial Position. The Group accounts are unaffected as they are intra- Group payments and receipts. ## 1.7 New Accounting Standards Adopted In The Year And Frem Changes No New Accounting Standards Were Incorporated Into The Frem In 2016-17. 1.8 Applicable accounting standards issued but not yet adopted and FReM changes for 17-18 The standards below will be applied when adopted by the FReM. IFRS 9 and IFRS 15 are expected to be adopted by the FReM for 2018-19; the date of adoption for IFRS 16 is still to be determined by HM Treasury. • IFRS 9 Financial Instruments replaces IAS 39 Financial Instruments: Recognition and Measurement, simplifying the classification and measurement of financial assets as well as amending when and how impairments are calculated and reported, moving from an incurred loss to an expected loss model. This will result in impairments being recognised earlier than under IAS 39. Changes in classification and measurement means that, changes in the fair value of hybrid debt instruments will be recognised in Net expenditure for the year rather than Other comprehensive income and expenditure. • IFRS 15 Revenue from Contracts with Customers replaces both IAS 18 Revenue and IAS 11 Construction Contracts, unifying the concepts in these two standards into a single model to recognise revenue once performance obligations under a contract are satisfied. • IFRS 16 Leases replaces IAS 17 Leases, ## 1.10 Operating Income From Contracts removing the distinction between operating leases (off-statement of financial position financing) and finance leases (on-statement of financial position financing). IFRS 16 requires the recognition of all leases with terms over 12 months to be recognised as finance leases. This will result in the recognition of a right-to-use asset, measured at the present value of future lease payments, and a matching liability in the Statement of Financial Position. The interpretation of these standards into the FReM is currently being determined by HM Treasury. Consultation drafts issued by HM Treasury imply that the adoption of IFRS 9 will have a material impact on the Group due to the changes in impairment calculations and the recognition of gains and losses on hybrid debt instruments. IFRS 15 is not anticipated to have a material impact on the Group. IFRS 16 could have a material effect on the Statement of Financial Position as the Group occupies administrative properties under operating leases but a more limited effect on recognition of expenditure. No material changes have been proposed to the FReM for 2017-18. 1.11 European Funding Grants 1.12 Staff costs 1.9 Operating income Operating income relates directly to the operating activities of the Group and is measured at the fair value of consideration received or receivable net of trade discounts, value added tax and other taxes. Operating income is recognised when the Group has performed its contractual obligations, the income can be measured reliably and it is probable that the economic benefits will flow to the Group. The Group is required to identify receipts which it collects on behalf of the Consolidated Fund; these are not recognised as income but instead are disclosed in a separate Trust Statement published alongside these accounts and in note 4 in the Statement of Parliamentary Supply in the Accountability Report. The Low Carbon Contracts Company Ltd and Electricity Supply Company Ltd are permitted to retain levies collected under statute and classified as taxes in the national accounts. This income is recognised by the companies in the same period as the related expenditure; it is only recognised in the Group accounts when an event has occurred that creates an obligation on a counterparty to pay the levy, the amount can be reliably measured and it is probable that the economic benefits will flow to the Group. Where the outcome of a contract can be estimated reliably, income and costs are recognised by reference to the stage of completion of contract activity at the reporting date, i.e. the proportion of total contract costs represented by costs incurred to date except where this would not be representative of the stage of completion. Where the outcome of a contract cannot be estimated reliably, contract revenue is recognised to the extent of contract costs incurred where it is probable they will be recoverable. When it is probable that total contract costs will exceed total contract revenue, the expected loss is recognised as an expense immediately. A non-current financial asset for recoverable contract costs is recognised where costs incurred plus recognised profits less recognised losses exceed amounts invoiced to date. Where amounts invoiced to date exceed costs incurred plus recognised profits less recognised losses the balance is reported as payments received on account. European Funding Grants are recognised as income when there is reasonable assurance that there are no conditions attached, or that any such conditions have been complied with and it is certain the grant will be received. Staff costs are recognised as expenses when the Group becomes obligated to pay them, including the cost of any untaken leave entitlement. ## 1.13 Grants Payable Grants payable are recognised when the grant recipient has performed the activity that creates an entitlement to the grant under the terms of the scheme and include estimates for claims not yet received. Grant contributions to international organisations in the form of promissory notes are recognised as expenses when they become payable on demand with the Department exercising no further control over disbursement. ## 1.14 Taxation The Core Department and its executive agencies are exempt from corporation tax by way of Crown exemption. Some consolidated bodies are subject to corporation tax on taxable profits. Current tax assets and liabilities are measured at the amount expected to be recovered from or paid to HM Revenue and Customs, based on tax rates and laws that are enacted or substantively enacted by the reporting date. Value Added Tax (VAT) is accounted for in the Accounts, in that the amounts are shown net of VAT except for irrecoverable VAT, which is aggregated with the cost of purchased items. Deferred taxation Deferred tax is recognised on temporary differences arising between the tax bases of assets and liabilities and their carrying amounts for financial reporting purposes. Deferred tax assets are recognised for all tax-deductible temporary differences, carry forward of unused tax credits and unused tax losses to the extent that it is probable that taxable profit will be available in future years against which they can be utilised. ## 1.15 Property, Plant And Equipment (Ppe) Assets are capitalised as PPE if they are intended for use on a continuing basis and their original carrying value, on an individual or asset pool basis, exceeds the relevant capitalisation threshold which ranges from £1,000 to £10,000 across the Group. Exceptions are: a) assets held by the Nuclear Decommissioning Authority on designated nuclear sites are only recognised where the economic element of their value at the reporting date exceeds £100,000 and the proportion of asset value relating to commercial activity exceeds 10%; and b) operational mine water schemes and subsidence pumping stations are held by the Coal Authority at nil value because they are used to address pollution caused by past mining activities where the economic benefits have already been received. To the extent that it has been recognised as a provision under IAS 37, the estimated cost of decommissioning facilities is recognised as part of the carrying value of the asset at initial recognition and depreciated over its useful life. Valuation of PPE PPE is carried at fair value except for nuclear waste management assets held at historical cost (note 1.2) and assets under construction which are held at cost. In accordance with the FReM, assets that have short useful lives or are of low value are carried at depreciated historical cost less impairment as a proxy for fair value. Non-specialist land and buildings are measured at current value in existing use using professional valuations. Specialist land and buildings are measured at depreciated replacement cost which represents the present value of the asset's remaining service potential. Revaluation of PPE Any accumulated depreciation at the date of revaluation is eliminated and the resulting net value restated to equal the revalued amount. Any revaluation increase arising is credited to the revaluation reserve except to the extent that it reverses a revaluation decrease for the same asset previously recognised as an expense in which case the increase is credited to Net expenditure for the year to the extent of the decrease previously charged. A decrease in carrying amount arising on revaluation is charged as an expense to the extent that it exceeds the balance, if any, held in the revaluation reserve relating to a previous revaluation of that asset. On de-recognition, any revaluation surplus remaining in the revaluation reserve attributable to the asset is transferred directly to the General Fund. Depreciation of PPE Apart from freehold and long leasehold land which are not depreciated, PPE assets are depreciated to estimated residual values on a straight line basis over the following estimated useful lives: \| Freehold buildings \| 10 - 60 years \| \|----------------------------------------------\|-----------------------------------------------------\| \| Leasehold land and buildings \| 10 - 60 years or remaining life of lease \| \| Agricultural buildings \| Up to 60 years \| \| Dwellings \| Up to 60 years \| \| Leasehold improvements \| \| \| or outstanding term of lease \| \| \| Computer equipment \| 2 - 10 years \| \| Plant and machinery \| 3 - 50 years or remaining life of lease \| \| Office machinery (included in plant and \| \| \| machinery), furniture, fixtures and fittings \| 2 - 11 years or remaining life of lease \| \| Transport equipment \| 2 - 14 years \| \| Ships (included in transport equipment) \| Minimum of 20 years \| \| Aircraft (included in transport equipment) \| Minimum of 15 years \| \| Assets under construction \| Not depreciated until available for use as intended \| by management Residual values and useful lives are reviewed and adjusted if appropriate at each reporting date. ## 1.16 Investment Property The Group holds a number of properties which have been classified as investment properties and are measured using the fair value model specified in IAS 40. Gains and losses arising from changes in fair value are recognised in Net expenditure for the year. ## 1.17 Intangible Non-Current Assets 1.18 Impairment Of Ppe And Intangible Intangible non-current assets are capitalised if they are intended for use on a continuing basis and their original carrying value, on an individual or asset pool basis, exceeds the relevant capitalisation threshold which ranges from £1,000 to £10,000 across the Group. There are no active markets for any of the Group's intangible non-current assets which are valued at the lower of depreciated replacement cost and value in use using a valuation technique (for example for income-generating assets); where there is no value in use, depreciated replacement cost is used. Assets of low value or with short useful lives are carried at cost less accumulated amortisation and impairment losses as a proxy for fair value. They are amortised on a straight-line basis over the following periods: \| Software licences \| 3 - 10 years \| \|-----------------------\|----------------\| \| Internally developed \| \| \| software \| Up to 10 years \| \| Website development \| \| \| costs \| 2 - 5 years \| \| Patents, licenses and \| \| \| royalties \| 7 - 15 years \| non-current assets The Group reviews carrying amounts at each reporting date. If an indicator for impairment occurs then the recoverable amount of the asset (the higher of fair value less costs to sell and value in use) is estimated and an impairment loss recognised to the extent that it is lower than the carrying amount. Losses arising from a clear consumption of economic benefit are charged to Net expenditure for the year. Losses that do not result from a loss of economic value or service potential are taken to the revaluation reserve to the extent that a revaluation reserve exists for the impaired asset; otherwise to Net expenditure for the year. ## 1.19 Assets Held For Sale Assets are classified as held for sale if their carrying amount will be recovered through a sale transaction rather than through continuing use. This condition is regarded as met only when the sale is highly probable, the asset is available for immediate sale in its present condition and the asset is actively marketed for sale. Management must be committed to the sale which should be expected to qualify for recognition as a completed sale within one year from the date of classification. Assets held for sale are measured at the lower of a) carrying amount and b) fair value less costs to sell. ## 1.20 Cash And Cash Equivalents Cash and cash equivalents comprise cash in hand and other short-term highly liquid investments which are readily convertible to known amounts of cash are subject to insignificant risk of changes in value and have an original maturity of three months or less. Any bank overdraft amounts are included within Trade payables and other liabilities ## 1.21 Leases Leases are classified as finance leases when the risks and rewards of ownership are transferred substantially to the lessee; all other leases are classified as operating leases. ## Finance Leases Group As Lessor Amounts due from lessees under finance leases are recognised as receivables at the amount of the Group's net investment in the lease. Finance lease income is allocated to accounting periods so as to reflect a constant periodic rate of return on the Group's net investment outstanding in respect of the leases. Group as lessee Assets subject to finance leases and the associated liabilities for future payments (if any) are recognised in the SoFP. ## Operating Leases Group As Lessor Assets subject to operating leases are recognised in the SoFP with rental income plus initial direct costs incurred in arranging the lease, including incentives to the lessee to enter into the lease, recognised on a straight-line basis over the lease term. Group as lessee Rentals payable under operating leases, including benefits received and receivable as incentives to enter into the leases, are expensed on a straight-line basis over the term of the lease. ## 1.22 Subsidiaries, Associates And Joint ventures Subsidiaries and public sector joint ventures are consolidated where designated within the Departmental Group boundary (note 28); those outside the Departmental boundary are measured in accordance with IAS 39. Equity investments in associates or joint ventures outside the public sector are initially recorded at cost and subsequently adjusted to reflect the Group's share of net profit or loss of the associate or joint venture. ## 1.23 Financial Instruments Financial assets and liabilities are measured initially at fair value plus transaction costs unless carried at fair value through profit or loss in which case transaction costs are charged to Net expenditure for the year. Fair value is determined by reference to quoted prices where an active market exists for the instrument; otherwise it is determined using generally accepted valuation techniques including discounted estimated cash flows. Financial assets Financial assets are derecognised when the rights to receive future cash flows have expired or are transferred and the risks and rewards of ownership have been substantially transferred. Categories of financial asset Financial assets are categorised as one of the following: • Loans and receivables: are non-derivative financial assets with fixed or determinable payments that are not quoted in an active market. They are initially recognised at fair value and thereafter at amortised cost using the effective interest method less any impairment. The effective interest rate method is a method of calculating the amortised cost of a financial asset and of allocating interest income over the relevant period. • Held to maturity: are non-derivative financial assets with fixed or determinable payments and fixed maturity where there is the positive intention and ability to hold to maturity. After initial recognition at fair value, they are measured at amortised cost. • At fair value through profit or loss (FVTPL): are financial assets held for trading or designated as being held at FVTPL at initial recognition. Transaction costs and any subsequent movements in the valuation of the asset are recognised in Net expenditure for the year. • Available for sale: are non-derivative financial assets designated as such or not classified in any of the other three categories. After initial recognition, these assets are subsequently carried at fair value. Gains and losses in fair value are recognised directly in equity except for impairment losses which are recognised in Net expenditure for the year. On de-recognition, the cumulative gain or loss previously recognised in equity is recognised in Net expenditure for the year. ## Impairment Of Financial Assets Financial assets other than those at FVTPL are assessed for impairment at each reporting date and impaired where there is evidence that future cash flows have been reduced by one or more events that occurred after initial recognition. The carrying amount is reduced directly except for trade receivables where it is reduced through the use of an allowance account. Impairment losses are recognised in Net expenditure for the year. If, in a subsequent period, the amount of the impairment loss decreases as a result of an event after the impairment was recognised, the previously recognised impairment loss is reversed through Net expenditure for the year to the extent that the carrying amount of the asset does not exceed what it would have been had the impairment not been recognised. Financial liabilities Financial liabilities are derecognised when the obligation is discharged, cancelled or expires. The Group's financial liabilities excluding derivatives are initially recognised at fair value including directly attributable transaction costs, and subsequently at amortised cost using the effective interest rate method. Derivative financial instruments Derivatives are initially recognised at fair value and subsequently at fair value, gains/ losses in fair value are recognised in Net expenditure for the year unless hedge accounting is applied. The Group has two classes of derivative financial instrument, foreign exchange contracts to which hedge accounting is applied and contracts for difference to which hedge accounting is not applied. ## Forward Foreign Exchange Contracts Forward contracts are held as cash flow hedges to reduce exposure to foreign currency risk. The effective portions of changes in their fair values are recognised in equity. Gains and losses relating to ineffective portions are recognised immediately in Net expenditure for the year. Amounts accumulated in equity are recycled to Net expenditure for the year in the same period as the hedged item. Contracts for difference (CfDs) CfDs are held to incentivise investment in low carbon electricity generation by agreeing strike prices with electricity generators which are counterparties to the contracts. The counterparty pays or is paid the difference between the strike price and the reference price (a measure of the average market price of electricity) at the time of electricity supply. CfDs are measured at FVTPL, initially at their transaction price (£nil) with subsequent changes in fair value (as measured by a valuation model) recognised in Net expenditure for the year, along with amortisation over the contracts settlement period of the difference between the transaction price and the valuation model estimate of fair value at initial recognition, which is usually different from the transaction price. Where the valuation model estimate of fair value at initial recognition is different from the transaction price, the difference is deferred and amortised to Net expenditure for the year over the contract settlement period (note 9). ## 1.24 Financial Guarantees Financial guarantees are initially recognised at fair value on the date the guarantee was given and subsequently remeasured at the higher of a) the amount determined in accordance with IAS 37 Provisions, Contingent Liabilities and Contingent Assets and b) the amount initially recognised less when appropriate, cumulative amortisation in accordance with IAS 18 Revenue. ## 1.25 Pensions The accounting for each of the Departmental Group's pension plans is dependent its nature. Funded defined-benefit pension schemes The Group has 8 funded defined-benefit pension schemes, the Medical Research Council Pension Scheme (MRCPS), 2 schemes through the NDA and 5 others through the nuclear site licence companies. The net liabilities recognised in the Statement of Financial Position for funded defined benefit schemes are calculated by independent actuaries by deducting the fair value of scheme assets (at bid prices) from the present value of defined benefit obligations (estimated using the projected unit credit method, less any amounts receivable from third parties). Where the scheme is in surplus, the asset recognised in these statements is limited to the present value of benefits available from future refunds from the plan, reductions in future contributions to the plan or on settlement of the plan and takes into account the adverse effect of any minimum funding requirements. Actuarial gains and losses are recognised as Other Comprehensive Income and Expenditure except for site licence companies where they are included in provision expense relating to the Nuclear Decommissioning Provision. \| Short-term (between 0 and 5 years) \| (2.70%) \| (1.55%) \| \|--------------------------------------\|-----------\|-----------\| \| Medium-term (between 5 and 10 years) \| (1.95%) \| (1.00%) \| \| Long-term (over 10 years) \| (0.8%) \| (0.8%) \| Unfunded defined benefit pension schemes The Group contributes towards a number of unfunded defined benefit pension schemes of which employees are members: these include the Principal Civil Service Pension Scheme, the Civil Servant and Other Pension Scheme, the Combined Pension Scheme of the UK Atomic Energy Authority. The participating employers in these schemes are unable to identify their share of the underlying net liability; as such these schemes are accounted for as defined contribution pension schemes, with employers contributions charged to the SoCNE in the period to which they relate. Defined contribution pension schemes Contributions are charged to the SoCNE when they become payable. The Group has no further liabilities in respect of benefits to be paid to members. More information about the Group's pension schemes can be found in the accounts of the consolidated entities, including in note 3 for the Core Department, and of the pension schemes themselves. ## 1.26 Provisions A provision is recognised when it is probable that an outflow of economic benefits will be required to settle a present obligation (legal or constructive) that can be reliably measured and which results from a past event. Where the time value of money is material the provision is measured at present value using discount rates prescribed by HM Treasury and based upon the real yield of UK index-linked gilts: 2016-17 2015-16 Nuclear decommissioning provisions Where expenditure in settlement of a provision is expected to be recovered from a third party, the recoverable amount is treated as a separate asset (note 12 Recoverable contract costs). Provision charges in the SoCNE are shown net of changes in these recoverable amounts. ## 1.27 Contingent Assets And Liabilities Where an outflow of economic benefits from a past event is possible but not probable, the Department discloses a contingent liability. In addition to contingent liabilities disclosed in these financial statements in accordance with IAS 37 Provisions, Contingent Liabilities and Contingent Assets, certain statutory and non-statutory contingent liabilities where the likelihood of a transfer of economic benefit is remote are disclosed in the Accountability Report for Parliamentary reporting and accountability purposes. Where an inflow of economic benefits from a past event is probable, the Group discloses a contingent asset. Estimates of the financial effects are disclosed where practicable; where the time value of money is material, contingent liabilities and assets in are stated at discounted amounts and the amount reported to Parliament separately noted. Remote contingent liabilities reported in the Accountability Report are stated at the amounts reported to Parliament. ## 1.28 Third Party Assets The Group holds, as custodian or trustee, certain cash balances belonging to third parties. These balances are not recognised in the financial statements since neither the Group nor Government more generally has a direct beneficial interest in them. ## 1.29 Judgements, Estimates And assumptions Preparation of financial statements requires management to make judgements, estimates and assumptions based on experience and expected events that affect the reported amounts of assets and liabilities, income and expenditure. Key accounting judgements applied in these statements are described below. Estimates In accordance with IAS 8 Accounting Policies, Changes in Accounting Estimates and Errors, revisions to accounting estimates are recognised prospectively. Revisions of the estimates and assumptions below could cause material adjustment to the carrying amounts of assets and liabilities within the next financial year. Income recognition (note 6.1) The percentage of completion method used to measure income on contracts (note 1.10) requires the Group to estimate the work performed to date as a proportion of the total work to be performed. Useful lives of non-current assets There is uncertainty in relation to estimated useful lives of non-current assets; these are reviewed as at the reporting date and updated if expectations differ from previous estimates due to physical wear and tear, technical or commercial obsolescence or legal or other limits on their use. Impairment of assets (note 4.2, 7, 8, 10 and 11) Impairment is measured by comparing the carrying value of the asset or cash generating unit with management's estimate of its recoverable amount. Fair value of Repayable Launch Investments (note 11) The econometric model used to estimate future cash flows from Repayable Launch Investments includes a number of assumptions including on future economic growth. Fair value of private equity investments (note 11) A range of valuation techniques are used for private equity investments, including discounted cash flows and net asset values. Redundancy Payments Service receivable (note 14) There is uncertainty in the estimate of the amount to be realised by the Insolvency Service from sale of assets of insolvent employers. CfD contracts (note 9) The significant uncertainties affecting measurement of FIDeR and CfD contracts, which facilitate investment in low-carbon electricity generation, are described in note 9. Fair value of financial guarantees Fluctuations in the fair value of financial guarantees measured using modelling techniques. Provisions (note 19) Provision discount rates set by HM Treasury are updated annually and have a material effect on liabilities. There are other significant uncertainties in relation to measurement of the liabilities reported in note 19, in particular in relation to future decommissioning costs to be incurred by the UK Atomic Energy Authority, Nuclear Decommissioning Authority and Coal Authority, which are described in the note. ## 1.30 Prior Period Adjustments In accordance with the FReM, where a prior period adjustment is identified as a result of an error, the Departmental Group will correct all material prior period errors retrospectively in the first set of financial statements authorised for issued after their discovery by: • restating the comparative amounts for the prior periods presented in which the error occurred; • if the error occurred before the earliest prior period presented, restating the opening balances of assets, liabilities and equity for the earliest prior period presented. However, if it is impracticable to determine the period-specific effects of an error on comparative information for one or more prior periods presented, the Departmental Group will restate the opening balances of assets, liabilities and equity for the earliest period for which retrospective restatement is practicable. The prior period adjustments and their impact on the comparative amounts for the prior periods represented in which the error occurred are detailed in Note 27. ## 2 Reporting By Operating Segment In accordance with the relevant reporting requirements, including IFRS 8, the Statement of Parliamentary Supply and supporting notes reflect net resource and capital outturn in line with the control totals voted by Parliament. The figures within SoPS 1.1 provide the income and expenditure totals associated with key business activities within the Group and therefore reflect the management information reporting to Board during the period. ## 3 Staff Costs Staff costs comprise: Permanently employed Wages and salaries 713 68 781 795 Social security costs 70 – 70 64 Other pension costs 145 – 145 153 Sub total 928 68 996 1,012 Less recoveries in respect of outward secondments (4) – (4) (3) Total net costs 924 68 992 1,009 Of which: Core Department and Agencies 255 27 282 315 NDPBs and other designated bodies 669 41 710 694 Total net costs 924 68 992 1,009 For further information on staff costs and numbers, please see the Staff Report and the Remuneration Report which includes staff costs for nuclear site license companies which are not included in the table above. 2015-16 2016-17 restated staff Others Total Total £m £m £m £m ## 4 Operating Expenditure 4.1 Purchase Of Goods And Services \| Rentals under operating leases \| 35 \| 50 \| 39 \| 54 \| \|-------------------------------------------------------\|-------\|-------\|-------\|-------\| \| Accommodation and office equipment costs \| 49 \| 202 \| 55 \| 189 \| \| Legal, professional and consultancy costs \| 115 \| 198 \| 180 \| 245 \| \| Finance, HR, IT and support costs \| 77 \| 81 \| 62 \| 74 \| \| Training and other staff costs \| 8 \| 27 \| 11 \| 29 \| \| Travel and subsistence costs \| 10 \| 49 \| 9 \| 45 \| \| Advertising and publicity \| 1 \| 8 \| 5 \| 11 \| \| Programme management and administration of grants \| \| \| \| \| \| and awards \| 18 \| 339 \| 68 \| 240 \| \| Professional and international subscriptions \| 332 \| 578 \| 276 \| 453 \| \| Enforcement costs of employment related policies \| 17 \| 17 \| 12 \| 12 \| \| Donations \| - \| 19 \| - \| 16 \| \| Funding Paternity, Adoption and Shared Parental Leave \| \| \| \| \| \| policy \| 133 \| 133 \| 103 \| 103 \| \| Purchase of geographical and scientific equipment \| 79 \| 99 \| 81 \| 89 \| \| Purchase of weather information and weather related \| \| \| \| \| \| services \| 97 \| 97 \| 95 \| 95 \| \| Redundancy payments service \| 232 \| 232 \| 254 \| 254 \| \| Sponsorship costs \| 1 \| 1 \| 1 \| 1 \| \| Payment of taxes and levies \| - \| 14 \| 3 \| 1 \| \| Subsidy to Post Office Limited \| 140 \| 140 \| 180 \| 180 \| \| Innovation subsidies \| 5 \| 5 \| 3 \| 3 \| \| Energy intensive industries subsidies \| 265 \| 265 \| 129 \| 129 \| \| Other purchase of goods and services cost \| 15 \| 140 \| 6 \| 260 \| \| Total \| 1,629 \| 2,694 \| 1,572 \| 2,483 \| Audit fees Audit fees are included under the heading 'Legal, professional and consultancy costs'. Core Department During the year the core Department did not purchase any non-audit services from its auditor, the National Audit Office. The non-cash auditors' remuneration of £705,750 (2015-16: £995,200) comprises £650,000 (2015-16: £941,000) for the cost of the audit of the Departmental Group, £20,000 (2015-16: £20,000) for the trust statement, and £35,750 (2015-16: £34,200) for the audit of the UK Atomic Energy Authority Pension Scheme Accounts. \| \| 2016-17 \| 2015-16 restated \| \|------------\|------------\|--------------------\| \| Core \| \| Core \| \| Department \| Department \| \| \| and \| \| Departmental \| \| Agencies \| Group \| Agencies \| \| £m \| £m \| £m \| Agencies During the year the Agencies did not purchase any non-audit services from their auditor, the National Audit Office. Details of the non-cash auditors' remuneration of £159,000 (2015-16: £189,500) can be found in the accounts of the individual agencies. NDPBs and other designated bodies The cash remuneration of £2,403,219 (2015-16 restated: £2,391,462) relates to the statutory audit of NDPBs and other designated bodies. Of this amount, £1,980,352 (2015-16 restated: £2,012,660) was payable to the NAO and £422,867 (2015-16 restated: £378,802) was payable to auditors other than the NAO. was £2,829 (2015-16: £3,343). An average amount of £1,253 was paid during 2016-17 for RP2 (2015-16: £1,350). There is associated income arising from 2 sources: In 2016-17, £nil was payable to the NAO (2015- 16 restated: £nil) and £182,093 was payable to auditors other than the NAO (2015-16 restated: £210,429) for non-audit services. Further details can be obtained from the accounts of the NDPBs and other designated bodies. • Solvent Recovery - where monies are • Insolvent Recovery - the core Department Redundancy Payments Service The core Department is responsible for the approval and processing of claims under the Redundancy Payment Service (RPS), which is financed from the National Insurance Fund. Redundancy payments are made from the National Insurance Fund to employees whose employers have failed to make payments due or who were insolvent. The RPS is administered by the Insolvency Service who have a service level agreement with HM Revenue and Customs. Claims processed fall into 2 categories: RP1 (which covers redundancy pay, holiday pay and arrears of pay) and RP2 (pay in lieu of notice). The average payment for RP1 during 2016-17 Expenditure in respect of RPS in 2016-17 totalled £269 million (2016-17: £285 million) against income of £37 million (2015-16: £31 million). The net amount totalled £232 million (2015-16: £254 million). ## 4.2 Depreciation And Impairment Charges Department Agencies Amortisation of recoverable contract costs - 203 - 243 Depreciation 23 260 23 250 Amortisation 5 33 4 51 Impairment of property, plant and equipment – 76 1 36 Impairment of intangible assets – 1 – 2 Impairment of investments1 417 288 348 39 Total 445 861 376 621 1. The 2016-17 investment impairment figure for core Department and Agencies includes £138 million (2015-16: £285 million) impairment of Postal Services Holding Company Limited (PSH). This impairment is eliminated on consolidation and is treated as a downward revaluation movement in the Departmental Group, for which details are disclosed in Note 10.1 recovered over a period of up to 3 years from companies, by setting up a standing order, that are continuing to trade but would not be able to do so if they had to meet the full costs of redundancy payments at that time; and becomes a creditor receiving a dividend if there are sufficient funds on the winding up of the company. \| \| 2016-17 \| 2015-16 restated \| \|------------\|-----------\|--------------------\| \| Core \| \| Core \| \| Department \| \| \| \| and \| \| Departmental \| \| Group \| Agencies \| Group \| \| £m \| £m \| £m \| ## 4.3 Provision Expense \| Increase/(decrease) in bad debt provision \| (6) \| (5) \| - \| - \| \|--------------------------------------------------------\|-------\|-------\|------\|--------\| \| Increase/(decrease) in provisions \| 81 \| 6,687 \| 222 \| 93,105 \| \| Increase/(decrease) in financial guarantee liabilities \| (3) \| (3) \| (12) \| (12) \| \| Total \| 72 \| 6,679 \| 210 \| 93,093 \| Included in the increase/(decrease) in provisions of £6,687 million above (2015-16: £93,105 million) are the amounts provided in year of £2,304 million (2015-16: £3,247 million), provisions not required written back credit of £940 million (2015- 16: £318 million), and discount to present value of £4,964 million (2015-16: £89,474 million) in note ## 4.4 Grants \| Research and development \| 100 \| 148 \| 103 \| 183 \| \|---------------------------------------------------\|--------\|-------\|--------\|-------\| \| Grant in aid \| 7,441 \| - \| 7,404 \| - \| \| Post Office Network Reform \| 80 \| 80 \| 100 \| 100 \| \| Market frameworks \| 58 \| 58 \| 61 \| 61 \| \| Science and research \| 2,346 \| 4,861 \| 2,311 \| 4,930 \| \| International Climate Fund - Official Development \| \| \| \| \| \| Assistance \| 332 \| 332 \| 306 \| 306 \| \| Global Threat Reduction Programme \| 11 \| 11 \| 12 \| 12 \| \| Renewable Heat Incentive \| 545 \| 545 \| 372 \| 372 \| \| Innovation programme \| 497 \| 1,244 \| 499 \| 1,171 \| \| Energy Markets and Consumers \| 7 \| 7 \| 5 \| 5 \| \| Heat Infrastructure Team \| 13 \| 13 \| - \| - \| \| Other grants \| (15) \| (18) \| 134 \| 231 \| \| Total \| 11,415 \| 7,281 \| 11,307 \| 7,371 \| The 2015-16 Departmental group other grants figure of £231 million includes £94 million relating to the gift of shares to Royal Mail plc employees (2% of issued Royal Mail plc shares) as part of the disposal of the Government's shareholding in Royal Mail plc. See Note 10.1 for further details. \| \| 2016-17 \| 2015-16 restated \| \|------------\|------------\|--------------------\| \| Core \| \| Core \| \| Department \| Department \| \| \| and \| \| Departmental \| \| Agencies \| Group \| Agencies \| \| £m \| £m \| £m \| 19.1. Also included in the £6,687 million above are amounts provided in year of £252 million (2015-16: £244 million), provisions not required written back credit of £150 million (2015-16: credit of £117 million) and discount to present value of £35 million (2015-16: £2,105 million) in note 19.2. \| \| 2016-17 \| 2015-16 restated \| \|------------\|------------\|--------------------\| \| Core \| \| Core \| \| Department \| Department \| \| \| and \| \| Departmental \| \| Agencies \| Group \| Agencies \| \| £m \| £m \| £m \| ## 5 Finance Expense Department Agencies Change in fair value - Financial Assets (3) (4) (11) (4) Net loss/(gain) on foreign exchange 1 (3) - (6) Expected return on funded pension scheme assets - (42) - (38) Interest on pension liabilities - 38 - 37 Unrealised foreign exchange rate gains/losses 1 3 - - Interest payable - 3 - 3 Unwinding of discount on provisions/assets/liabilities (28) (1,300) (12) 1,412 Total (29) (1,305) (23) 1,404 The impact of HM Treasury-prescribed discount rates for provisions in 2014-15 was to decrease undiscounted liabilities for the Departmental Group, the unwinding of which in 2015-16 gave rise to a positive expense for Unwinding of discount on provisions. This was reversed when the long-term rate became negative in 2015-16, application of which had the effect of increasing liabilities, hence the negative expense on unwinding in 2016-17. \| \| 2016-17 \| 2015-16 restated \| \|------------\|-----------\|--------------------\| \| Core \| \| Core \| \| Department \| \| \| \| and \| \| Departmental \| \| Group \| Agencies \| Group \| \| £m \| £m \| £m \| ## 6 Income 6.1 Operating Income Note Income from sales of goods and services: Income from other Government departments: Department of Health funding for The Francis Crick Institute 9 9 141 141 European Union funding 3 17 – 19 Fees, charges and recharges to/from external customers and central Government organisations 134 222 135 245 Levy income 20 154 16 22 Sales of goods and services 2 1,045 187 1,300 Current grants and capital grants 49 143 66 185 Venture capital and Repayable launch investment income 26 28 22 26 Miscellaneous income 43 164 57 180 Total operating income 286 1,782 624 2,118 ## 6.2 Finance Income Note Effective interest: Repayable launch investments 11.1 44 44 57 57 Other 17 16 (29) (29) Dividend and interest income 107 192 336 335 Finance income 168 252 364 363 In 2016-17 the core Department recognised dividend income of £98 million (2015-16: £332 million). This includes a £86 million dividend from Enrichment Holdings Limited (EHL) (2015- 16: £172 million). The 2016-17 EHL dividend represents the 2016 year-end dividend from URENCO. The 2015-16 EHL dividend was higher, as it represented the 2014 and 2015 year-end dividends from URENCO. The EHL dividend is eliminated upon consolidation. In 2016-17 the Departmental Group received dividend income of £124 million (2015-16: £283 million) included within the total dividend and \| \| 2016–17 \| 2015–16 restated \| \|------------\|------------------\|--------------------\| \| Core \| \| Core \| \| Department \| Department \| \| \| and \| \| Departmental \| \| Agencies \| Group \| Agencies \| \| £m \| £m \| £m \| \| 2016–17 \| 2015–16 restated \| \| \| Core \| \| Core \| \| Department \| Department \| \| \| and \| \| Departmental \| \| Agencies \| Group \| Agencies \| \| £m \| £m \| £m \| interest income shown above of £192 million (2015-16: £335 million). The departmental group recognised the 2015-16 year-end dividend from URENCO of £86 million (2015-16: £90 million). Recognised in both the core Department and the Departmental Group in 2015-16 was a one-off 'notional' super dividend of £135 million from Ordnance Survey Trading Fund (OSTF) as a result of OSTF transferring its trade and assets into a Government owned limited company, Ordnance Survey Limited (OSL), for which further details are disclosed in note 10.1. under Assets Construction Total Transport Equipment Fittings Furniture, Fixtures and Plant and Machinery Technology Information Leasehold Improvements Freehold Buildings Dwellings £m £m £m £m £m £m £m £m £m £m Departmental Group 2016-17 Land Cost or valuation Balance at 1 April 2016 (restated) 417 4,051 36 75 229 6,598 22 323 416 12,167 Additions - – - – 7 36 2 5 293 343 Disposals (3) (49) - – (33) (196) (5) (5) (3) (294) Impairments (10) (9) - – (9) (23) (1) (7) (22) (81) Transfers in/(out) of boundary - – - – 1 - 1 - – 2 Reclassifications (31) 51 (5) (3) 14 (432) - 4 (223) (625) Revaluations 1 66 8 - 1 74 1 6 1 158 At 31 March 2017 374 4,110 39 72 210 6,057 20 326 462 11,670 Depreciation ## 7 Property, Plant And Equipment Departmental Group 2016-17 Balance at 1 April 2016 (restated) (6) (2,761) - (32) (147) (5,125) (16) (164) - (8,251) Charged in year - (54) (1) (7) (37) (171) (2) (19) - (291) Disposals 1 31 - – 27 181 4 4 - 248 Impairments 6 - – - – (2) 1 - – 5 Reclassifications - – - 2 1 51 - - – 54 Revaluations (1) (32) 1 - 7 15 - (3) - (13) At 31 March 2017 - (2,816) - (37) (149) (5,051) (13) (182) - (8,248) Carrying amount at 31 March 2017 374 1,294 39 35 61 1,006 7 144 462 3,422 Carrying amount at 31 March 2016 411 1,290 36 43 82 1,473 6 159 416 3,916 Asset financing: Owned 362 1,294 39 35 58 1,006 7 135 462 3,398 Finance leased 12 - – - – - – 9 - 21 under Assets Construction Total Transport Equipment Fittings Furniture, Fixtures and Plant and Machinery Technology Information Leasehold Improvements Freehold Buildings Dwellings £m £m £m £m £m £m £m £m £m £m Departmental Group 2016-17 Land On balance sheet (SoFP) PFI and other service concession arrangements - – - – 3 - – - – 3 Carrying amount at 31 March 2017 374 1,294 39 35 61 1,006 7 144 462 3,422 Of the total: Core Department and Agencies 18 102 - 32 7 73 2 - 30 264 NDPBs and other designated bodies 356 1,192 39 3 54 933 5 144 432 3,158 Carrying amount at 31 March 2017 374 1,294 39 35 61 1,006 7 144 462 3,422 under Assets Construction Total Transport Equipment Fittings Furniture, Fixtures and Plant and Machinery Technology Information Leasehold Improvements Freehold Buildings Dwellings £m £m £m £m £m £m £m £m £m £m Departmental Group 2015- 16 (restated) Land Cost or valuation Balance at 1 April 2015 394 4,061 36 50 223 6,237 24 311 444 11,780 Additions - 13 - 1 6 545 2 3 194 764 Disposals (1) (82) - – (10) (291) (4) - – (388) Impairments - (62) (1) (1) - (6) - - (7) (77) Transfers in/(out) of boundary - – - – - 1 - - (1) - Reclassifications (39) 89 (5) 25 9 103 - 7 (231) (42) Revaluations 63 32 6 - 1 9 - 2 17 130 At 31 March 2016 417 4,051 36 75 229 6,598 22 323 416 12,167 Depreciation Balance at 1 April 2015 (6) (2,843) - (24) (116) (5,234) (18) (147) - (8,388) Charged in year - (53) - (8) (40) (138) (1) (16) - (256) under Assets Construction Total Transport Equipment Fittings Furniture, Fixtures and Plant and Machinery Technology Information Leasehold Improvements Freehold Buildings Dwellings £m £m £m £m £m £m £m £m £m £m Departmental Group 2015- 16 (restated) Land Disposals - 82 - – 10 263 3 - – 358 Impairments - 45 - – - (4) - - – 41 Transfers (in)/out of the boundary - – - – - (8) - - – (8) Reclassifications - (15) - – - 1 - - – (14) Revaluations - 23 - – (1) (5) - (1) - 16 At 31 March 2016 (6) (2,761) - (32) (147) (5,125) (16) (164) - (8,251) Carrying amount at 31 March 2016 411 1,290 36 43 82 1,473 6 159 416 3,916 Carrying amount at 1 April 2015 388 1,218 36 26 107 1,003 6 164 444 3,392 Asset financing: Owned 398 1,290 36 43 79 1,473 6 147 416 3,888 Finance leased 13 - – - – - – 12 - 25 On balance sheet (SoFP) PFI and other service concession arrangements - – - – 3 - – - – 3 Carrying amount at 31 March 2016 411 1,290 36 43 82 1,473 6 159 416 3,916 Of the total: Core Department and Agencies 18 103 - 38 12 72 2 - 19 264 NDPBs and other designated bodies 393 1,187 36 5 70 1,401 4 159 397 3,652 Carrying amount at 31 March 2016 411 1,290 36 43 82 1,473 6 159 416 3,916 Property, plant, and equipment (PPE) held by the Departmental Group The professional valuations of land and buildings undertaken within the Departmental Group were prepared in accordance with the Royal Institute of Chartered Surveyors (RICS) Valuation Standards (6th Edition), the 'Red Book'. Unless otherwise stated, land and buildings are professionally revalued every 5 years and where appropriate in the intervening period, relevant indices are used. The most significant land and buildings at 31 March 2017 were held by MRC, BBSRC, STFC and NERC. Revaluations for these entities were conducted by Powis Hughes Limited for MRC, GVA Grimley Limited for BBSRC and STFC, and NERC were jointly revalued by GVA Grimley Limited and Powis Hughes Limited. In accordance with the FReM the majority of Leasehold improvements, Information Technology, Furniture, Fixtures and Fittings and Plant and Machinery are held at depreciated historic cost as a proxy for fair value as the assets have short useful lives or low values. Land, Freehold Buildings, Dwellings, Transport Equipment and the remainder of Plant and Machinery are held at fair value based on professional valuations. Within the Departmental Group, a variety of valuation techniques are used depending upon whether the PPE asset is a specialised asset or a non-specialised asset. Where the PPE asset is a specialised asset, then a depreciated replacement cost valuation is used for example by scientific institutes. Where the PPE asset is a non-specialised asset, then an existinguse valuation is used, for example for land and office buildings. Depreciated replacement cost (DRC) valuations are based on a number of unobservable inputs; these would be classified as level 3 in accordance with IFRS 13. Existing-use value (EUV) valuations are based on a number of market corroborated but unobservable inputs e.g. land valuations are based on similar prices per hectare adjusted for the specific location of the land, whilst other EUV valuations use specific unobservable inputs, e.g. rental yields. The EUV valuations inputs are classified as level 2 and level 3 in accordance with IFRS 13. The Departmental Group does not hold any material individual PPE assets. Therefore there are no individually material level 3 assumptions included in the overall Departmental Group fair value of PPE. For there to be a material movement in the fair value of PPE, this would require a significant increase in a number of level 3 valuation assumptions across the Departmental Group. This is unlikely, given that the fair value movement in PPE in 2016-17 was £145 million (2015-16: £146 million). Further information can be found in the financial statements of the individual bodies' accounts. ## 8 Intangible Assets \| Assets under \| Information \| Departmental Group \| \|---------------------\|----------------\|-----------------------\| \| 2016-17 \| Construction \| Technology \| \| Software \| \| \| \| Licences \| Websites \| Patents \| \| £m \| £m \| £m \| \| Cost or Valuation \| \| \| \| Balance at 1 April \| \| \| \| 2016 (restated) \| 17 \| 128 \| \| Additions \| 4 \| 14 \| \| Disposals \| (1) \| - \| \| Impairments \| - \| (2) \| \| Reclassifications \| (12) \| (6) \| \| Transfers in/(out) \| (1) \| 2 \| \| Revaluations \| - \| - \| \| At 31 March 2017 \| 7 \| 136 \| \| Amortisation \| \| \| \| Balance at 1 April \| \| \| \| 2016 (restated) \| - \| (92) \| \| Charged in year \| - \| (18) \| \| Disposals \| - \| - \| \| Impairments \| - \| 1 \| \| Reclassifications \| - \| 3 \| \| At 31 March 2017 \| - \| (106) \| \| Carrying amount \| \| \| \| at 31 March 2017 \| 7 \| 30 \| \| Carrying amount \| \| \| \| at 31 March 2016 \| 17 \| 36 \| \| Asset financing: \| \| \| \| Owned \| 7 \| 30 \| \| Carrying amount \| \| \| \| at 31 March 2017 \| 7 \| 30 \| \| Of the total: \| \| \| \| Core Department and \| \| \| \| Agencies \| 4 \| 1 \| \| NDPBs and other \| \| \| \| designated bodies \| 3 \| 29 \| \| Carrying amount \| \| \| \| at 31 March 2017 \| 7 \| 30 \| \| Assets under \| Information \| Departmental Group \| \|---------------------\|----------------\|-----------------------\| \| 2015-16 (restated) \| Construction \| Technology \| \| £m \| £m \| £m \| \| Cost or Valuation \| \| \| \| At 1 April 2015 \| 8 \| 109 \| \| Additions \| 16 \| 6 \| \| Disposals \| (1) \| (3) \| \| Impairments \| (1) \| (1) \| \| Reclassifications \| (3) \| 8 \| \| Transfers in/(out) \| (2) \| 9 \| \| Revaluations \| - \| - \| \| At 31 March 2016 \| 17 \| 128 \| \| Amortisation \| \| \| \| At 1 April 2015 \| - \| (77) \| \| Charged in year \| - \| (17) \| \| Disposals \| - \| 2 \| \| At 31 March 2016 \| - \| (92) \| \| Carrying amount \| \| \| \| at 31 March 2016 \| 17 \| 36 \| \| Carrying amount \| \| \| \| at 1 April 2015 \| 8 \| 32 \| \| Asset financing: \| \| \| \| Owned \| 17 \| 36 \| \| Carrying amount \| \| \| \| at 31 March 2016 \| 17 \| 36 \| \| Carrying amount \| \| \| \| at 1 April 2015 \| 8 \| 32 \| \| Of the total: \| \| \| \| Core Department and \| \| \| \| Agencies \| 3 \| 5 \| \| NDPBs and other \| \| \| \| designated bodies \| 14 \| 31 \| \| Carrying amount \| \| \| \| at 31 March 2016 \| 17 \| 36 \| All software licenses are acquired separately. All Information Technology (IT) assets are internally generated. IT assets are initially classified as assets under construction and are not amortised until they are commissioned, at which time they are re-classified as IT. The Departmental Group holds its intangible assets at valuation. In accordance with the FReM, the Departmental Group adopts cost less amortisation as a proxy for fair value as the intangible assets have short lives. The exception to this are patents which are held at fair value based on a valuation model. The model uses a variety of assumptions to estimate the value of future income streams from the patents to determine their fair value; these Software Licences Websites Patents Total include an estimate for future royalty income derived from the consensus forecast data from industry specialists, which are adjusted for expected future USD/GBP exchange rates, the territories in which the patents are applicable and potential threats to future income (such as competitor products and regulatory approval). In accordance with IFRS 13, these assumptions would be classed as level 3 assumptions. The carrying amount of the patents at year end is £40 million (2015-16: £48 million) and there would need to be a substantial increase in expected royalty income to result in a material increase in the fair value of the patents. ## 9 Derivative Financial Instruments signed CfDs that span 15 and 35 years. With the assumption of even cash flows in each year, those in later years are more sensitive to the differing discount rates, being 0.7% for financial reporting and 3.5% for economic appraisal purposes. The most significant items included within Derivatives on the Consolidated Statement of Financial Position are Contracts for Difference (CfDs). ## Contracts For Difference (Cfds) The deferred difference between the fair value of the liability on day one and the transaction price is amortised over the contract life of the CfDs, which commences from the earlier of i) the actual start date of generation or ii) the end of the Target Commissioning Window (TCW) identified in the CfD, as this is the point at which the contractual liability will start to unwind (i.e. it is the point at which the potential payment period under the CfD commences). Contracts for Difference are a mechanism used to support investment in UK low carbon generation projects. CfDs have been established as a contract between the 'Generator' and the Low Carbon Contracts Company (LCCC), a company wholly owned by the Government and consolidated within the Department's Accounts. The significance of these two dates is that they are the part of the contractual provisions which determine when the right to potential CfD payments starts. The contract payment period is typically for 15 years, but specific exceptions exist: • for contracts relating to biomass conversion • the contract for HPC) which will expire at CfDs, other than the CfD relating to Hinkley Point C (HPC), nuclear generating plant, have been classified as derivatives in accordance with International Accounting Standard 39 and recognised at their 'fair value' by deferring the difference between fair value and transaction price. Any subsequent gain or loss in fair value is recognised in the Statement of Comprehensive Net Expenditure. The HPC CfD has not been recognised in these accounts and its accounting treatment is described under heading 'Hinkley Point C' of this note. CfDs may be signed many years in advance of actual generation. The main benefit to generators is the fact that they can derive economic benefit from these contracts across the payment period life of the contract and the added certainty which the CfD contract provides helps them to finance the project. The fair value of any derivative recognised in these accounts is assessed by reference to IFRS13 (Fair Value) which provides three options for assessment. The different options are hierarchical and classed as Level 1, 2, or 3, where Level 1 is based on market prices, Level 2 is based on observable data other than market prices and Level 3 is used where Level 1 or 2 data is unavailable and can include use of an entity's own data, models and assumptions. The fair value of the Department's CfDs recognised in these accounts has been calculated using the income approach based on Level 3 inputs, which reflects the present value (PV) of future cash flows that are expected to occur over the contract term of the CfD. The discount rate which has been used to determine the PV for financial reporting is the financial instrument real rate of 0.7% set by HM Treasury Public Expenditure System (PES) Secretariat on 2 Dec 2016. Typically, if generators start generating within their TCW (which is specified in the contract) then the generation period starts from the date of generation and subject to all conditions being met, the generator can extract benefit for the full term of the contract. If generators miss the end of their TCW (and it is not extended under the terms of the contract) then the payment life period commences at the end of their TCW even if the generator is not in a position to generate. If the generator does not achieve the required minimum generation capacity by the contractual 'Longstop Date', the LCCC has a right to terminate the CfD. By contrast, for investment decisions and project appraisal the Department is required to use the social discount rate of 3.5% published in HM Treasury's Green Book. The Department has which have an expiration date in 2027; and the earlier of 35 years after the start date of the second reactor or when the total CfD payments made have reached the Generation Cap (i.e. 910,000,000 MWh). There is an obligation placed on licensed electricity suppliers to fund the CfD liabilities as they crystallise. The future levy amounts which will be received from the licensed suppliers will be accounted for within the LCCC and will be triggered by the generation and supply of low carbon electricity. As at 31 March 2016 the LCCC was counterparty to 38 contracts. Of those, 14 contracts were related to 8 CfD projects under the government's "Final Investment Decisions enabling Renewables" programme (FIDeR). Subsequently, 2 additional CfDs were entered into or transferred to the LCCC during the financial year. • The Drax FIDeR contract was transferred to the LCCC from the Core Department in December 2016. The Drax biomass project has a capacity of 637MW of low carbon generation.In addition, in March 2017, a previously terminated CfD contract was reinstated following the results of a tribunal decision. • The Hinkley Point C contract was signed on 29 September 2016. Details of the contract, CfD liability as at 1 April 2015 recognised on the Consolidated Statement of Financial Position 498 1,987 2,485 CfD liability transferred during the year (896) 896 - Re-measurement of the CfD liability 1,735 8,965 10,700 CfD liability released during the year – (578) (578) CfD liability as at 31 March 2016 recognised on the Consolidated Statement of Financial Position 1,337 11,270 12,607 CfD liability transferred during the year (1,111) 1,111 – CfD reinstated during the year – 575 575 Re-measurement of the CfD liability (226) (571) (797) Payments to the CfD generators – (92) (92) Deferred difference recognised during the year – 41 41 CfD liability as at 31 March 2017 recognised on the Consolidated Statement of Financial Position - 12,334 12,334 which has not been recognised in these accounts, are further explained in the section entitled "Hinkley Point C" in this note. At 31 March 2017 the LCCC was counterparty to 40 contracts recognised in the accounts. The transaction price for CfDs differs from the fair value at initial recognition (measured using a valuation model) because the transaction price on day one was zero as the generators were awarded the CfD contracts at nil consideration through a competitive process. However the future anticipated cash flows do have a fair value determined using projections of wholesale electricity prices from the Dynamic Dispatch Model with significant unobservable inputs and based on IFRS 13 Level 3 valuation technique. The Departments financial instruments are therefore recognised at the transaction price and any difference between the transaction price and fair value at initial recognition measured using a valuation model is deferred and disclosed in the accounts. The following table shows the movement of the CfD liability on the SoFP: \| Core Department \| LCCC CfDs exc. \| Departmental \| \|--------------------\|-------------------\|-----------------\| \| and Agencies \| HPC \| Group Total \| \| £m \| £m \| £m \| ## Movement In Deferred Measurement Differences The Following Table Shows The Movement In Deferred Day One Loss. Core Department and Agencies Deferred measurement differences as at 1 April 2015 2,315 16,808 19,123 Measurement differences deferred on contracts transferred from BEIS (816) 816 - Measurement differences recognised in respect of terminated CfDs (1,088) (1,088) Deferred measurement differences as at 31 March 2016 1,499 16,536 18,035 Measurement differences deferred relating to a reinstated CfD – 1,085 1,085 Measurement differences deferred on contract transferred from BEIS (1,499) 1,499 - Measurement differences deferred during the year – - – Deferred measurement differences recognised during the year – (41) (41) Deferred measurement differences as at 31 March 2017 – 19,079 19,079 (DDM) owned by BEIS. Should no low carbon electricity be supplied in accordance with the contractual terms, then the LCCC is not under any obligation to make these payments. Fair value of CfDs (financial liabilities at fair value through profit and loss) The following table shows the impact on the fair value of the CfDs which have been recognised in these accounts, classified under Level 3 by using the assumptions described below: Fair value measurement of CfDs The fair value of CfDs (which excludes the HPC CfD which has not been recognised in these accounts) represents the LCCC's best estimate of the payments which the LCCC will be committed to make, if and when the generators supply low carbon electricity in accordance with their contractual terms. They are based upon the estimates of future fossil fuel prices estimated, using the central projections of fossil fuel prices and rising carbon prices to forecast the potential liabilities using the Dynamic Dispatch Model \| Core Department and Agencies \| - \| - \| 2,836 \| 2,836 \| \|--------------------------------\|--------------\|---------\|---------\|---------\| \| LCCC \| - \| - \| 27,806 \| 27,806 \| \| As at 31 March 2016 \| - \| - \| 30,642 \| 30,642 \| \| LCCC \| - \| - \| 771 \| 771 \| \| As at 31 March 2017 \| - \| - \| 31,413 \| 31,413 \| \| LCCC CfDs \| Departmental \| \| \| \| \| exc. HPC \| Group Total \| \| \| \| \| £m \| £m \| £m \| \| \| \| Level 1 \| Level 2 \| Level 3 \| Total \| \| \| £m \| £m \| £m \| £m \| \| Reconciliation of CfDs The following table shows the impact of changes to the fair value of CfDs which have been recognised in these accounts, classified under Level 3: \| As at 1 April 2015 \| 2,813 \| 18,795 \| 21,608 \| \|--------------------------------------\|---------\|----------\|----------\| \| Transferred during the year \| (1,712) \| 1,712 \| \| \| - \| \| \| \| \| Change in fair value during the year \| 1,735 \| 8,965 \| 10,700 \| \| CfD terminated during the year \| - \| (1,666) \| (1,666) \| \| As at 31 March 2016 \| 2,836 \| 27,806 \| 30,642 \| \| Additions during the year \| - \| - \| - \| \| CfD reinstated during the year \| - \| 1,660 \| 1,660 \| \| Transferred during the year \| (2,610) \| 2,610 \| - \| \| Change in fair value during the year \| (226) \| (571) \| (797) \| \| Payments to the CfD generators \| - \| (92) \| (92) \| \| Deferred measurement differences \| \| \| \| \| as at 31 March 2017 \| - \| 31,413 \| 31,413 \| The fair value of the CfDs has been estimated using a discounted cash flow model. This method involved the projection ofa series of cash flows and application of a discount rate to establish the present valueof the expenses associated with the liability. The valuation requires management to make certain assumptions about the model inputs, including cash flows, the discount rate, credit risk and volatility. Key Assumptions (excluding HPC CfD) Management's estimate of each CfD fair value takes into account many factors and inputs within ranges that consider the most likely outcome across the life of the CfD. Annual cash flow is estimated as reference price less strike price multiplied by estimated generation delivered. The series of cash flows is then discounted using the HM Treasury discount rate of 0.7% (2015-16: 0.7%). The following six assumptions are key to the CfD valuation: ## 1. Transmission Loss Multiplier (Tlm) TLM reflects the fact that electricity is lost as it passes through the transmission system from generators to suppliers. If the TLM is incorrect, this will have implications for the volume of electricity subject to CfD payments. Any change in TLM will be corrected through adjustments in strike prices although the change in TLM is expected to be immaterial. \| Core Department \| LCCC CfDs exc. \| Departmental \| \|--------------------\|-------------------\|-----------------\| \| - \| \| \| \| and Agencies \| HPC \| Group Total \| \| £m \| £m \| £m \| ## 2. Start Date Generators nominate a Target Commissioning Date (TCD) in their binding application form for a CfD, and this date is specified in their CfD following contract award. However, the generator is free to commission at any time within their Target Commissioning Window (TCW), a period of one year from the start of the TCW for most technologies, with no penalty, or after the end of the TCW and up to their 'Longstop Date' (one to two years after the end of the TCW depending on technology) with a penalty in the form of reduction of contract length for each day they are late in commissioning after the end of the TCW. The contract can be terminated if the generator has not commissioned 95% (or 85% for offshore wind) of their revised installed capacity estimate by the end of the Longstop Date. Any change to the start date will change the timing of future cash flows and impact on the discounted fair value. ## 3. Strike Price The strike price is an agreed price which determines the payments made to the generator under the contract with reference to its low carbon output and the market reference price. The relevant strike price is specified in each CfD and is not intended to change for the duration of the project, other than through indexation to CPI and certain network charges, or in the event of certain qualifying changes in law. ## 4. Future Forecast Wholesale Electricity Prices Forecast wholesale electricity prices are derived from the Dynamic Dispatch Model (DDM) which has been developed by BEIS to facilitate/inform policy decisions by modelling investor behaviour in response to fuel and carbon prices and policy environment. The DDM estimates the wholesale price by: • using the Short Run Marginal Cost (SRMC) for each plant, adjusted to take into account startup and shut-down costs; • half hourly demand for electricity taking be increased after contract signature, but can be reduced by the generator by no more than 25% with no penalty between contract signature and the completion of the first contractual milestone by its contractual deadline (i.e. the Milestone Requirement which must be completed 12 months after contract award). Thereafter the installed capacity figure can only be reduced by the generator for a permitted contractual construction event (which is a narrowly defined concept) or by the difference by which the relevant project has an installed capacity of 95% (or 85% in the case of offshore wind) of its current contractual installed capacity figure and 100%. The actual output of the generator will depend on the load factor. into account wind and solar profiles and generation, interconnector flows, pumped storage, auto-generation; and ## 6. Load Factor • projecting the future generation mix, taking into account announced government policy and illustrative assumptions on future policy. Load Factor is defined as the actual power output of a project as a proportion of its rated installed capacity. It is a percentage figure which is used to transform installed capacity into actual power output (generation). Load factor assumptions are based on reference factors for given technology types; however, actual power outputs are sensitive to technological and environmental factors which may impact actual cash flows. Economic, climate, policy, generation and demand assumptions are external inputs to the model including demand load curves for both a range of sample days for each season, including business and non-business days, and high and low demand days. Inherent limitations exist within forecasting wholesale electricity prices across the long term (>20 years). ## 5. Installed Capacity The figure for the maximum installed capacity was provided by the generator in its application for a CfD and specified in its CfD contract following allocation. The installed capacity cannot Sensitivity analysis (excluding HPC CfD) The following table shows the impact on the fair value of CfDs excluding HPC (in 2016 prices), classified under Level 3 in accordance with IFRS 13, by using reasonably possible alternative assumptions: ## Change In Fair Value Of Cfds Recognised In The Accounts If: \| Electricity prices decrease by 10% \| - \| 1,858 \| \|--------------------------------------------------\|-------\|---------\| \| Electricity prices increase by 10% \| 1,858 \| - \| \| 10% more load factor \| - \| 3,141 \| \| 10% less load factor \| 3,141 \| - \| \| Estimated Commissioning Date moves back one year \| 553 \| - \| \| Generation starts at earliest possible date \| - \| 359 \| concerning the uncertainty around valuation of these CfD contracts. ## Significant Unobservable Inputs The following table discloses the valuation techniques and significant unobservable inputs for CfDs recognised at fair value and classified as Level 3 along with the range of values used for these significant unobservable inputs. The fair value is highly dependent upon the actual capacity generated once the plant is built and the electricity prices which will prevail at the time of generation. The favourable and unfavourable changes show how the impact of changes in capacity and prevailing electricity prices will affect the fair value of CfDs due to the change in the level of cash flows. The Group auditors continue to include an emphasis of matter paragraph in their audit certificate \| Favourable changes \| Unfavourable changes \| \|----------------------\|------------------------\| \| £m \| £m \| \| Fair value \| Valuation \| \|---------\|--------------\| \| of CfDs \| technique \| \| £m \| (min - max) \| \| 2016 \| 30,642 \| \| 2017 \| 31,413 \| ## Hinkley Point C The Department entered into the HPC Contract on 29 September 2016. This project has a maximum cumulative capacity of 910,000,000 MWh. The HPC contract will expire at the earlier of 35 years after the start date of the second reactor or when the total CfD payments made have reached the Generation Cap (i.e. 910,000,000 MWh). The valuation of the HPC CfD requires that an assumption be made of wholesale electricity prices in each year out to 2060. The Department uses a dynamic despatch model to develop scenarios-based estimates of future wholesale electricity prices. This model currently extends only as far as 2050 and the Department has therefore assumed flat wholesale prices for the ten years 2050-2060. Moreover there is an inherent limitation in accurate estimation beyond 2040 because there is a paucity of independent third-party information beyond this point from which to validate the Department's assumptions. The unavoidable uncertainty over possible scenarios so far into the future extend to a variety of factors including electricity demand, fossil fuel prices, generation mix, carbon prices and technology. Under International Financial Reporting Standards (IFRS) the Conceptual Framework sets out the concepts which underlie the preparation and presentation of financial statements. The Conceptual Framework deals with, amongst other things, the definition, recognition and measurement of the elements from which financial statements are constructed. Paragraph 4.38 of the Conceptual Framework states that an element should be recognised in the accounts if: a) it is probable that any future economic benefit associated with the item will flow to or from the entity; and b) the item has a cost or value that can be measured with reliability [defined as: using information that is complete, neutral and free from error]. In comparison to other CfDs the Department considers the CfD for HPC to have materially different characteristics from the other CfDs which currently exist. The European Pressurised \| Significant \| \| Range \| \|---------------------\|---------\|-------\| \| unobservable inputs \| Min-Max \| Units \| Reactor is a much more complex asset than the wind turbines or bio-mass generators associated with our other CfDs. It has very high levels of safety, reinforcement and containment incorporated into the design, which make it more expensive and complex to build and result in a significant lead time before generation commences (planned for 2025). Until these challenges are overcome and the asset is built, no payments will be made by the UK Government under the CfD. This unavoidably long lead time before generation commences is relevant to condition (a) of paragraph 4.38 of the Conceptual Framework. The HPC CfD contract duration is also more than double (35 years) the length of other CfDs (15 years) so far entered into by the Department. This makes it considerably more challenging to provide a single point fair value estimate, as required for accounting purposes, as that requires estimation of future wholesale electricity prices in every year out to 2060. This means that there are considerable but unavoidable uncertainties in creating a fair value estimate for the HPC CfD because of the unusually long time period involved. Uncertainty increases with time and so the choice of discount rate plays a significant part in determining how much uncertainty is weighted into a present value calculation; a higher discount rate places less weight on increasingly more uncertain later years of a present value calculation. For example, in conducting the economic appraisal for the HPC project the Department used the social discount rate of 3.5% per year, as required by the HM Treasury Green Book. However for valuing financial instruments like CfDs the Department is obliged to use the financial instrument discount rate of 0.7%, as required by the HM Treasury Financial Reporting Manual. Therefore, compared to an economic appraisal, a present value estimate for a financial instrument includes progressively more weight from the less certain later years of the appraisal period. For comparison, using the social discount rate of 3.5% would lead to a valuation of £15.6bn compared to £28.8bn using HM Treasury Financial Reporting Manual discount rate of 0.7%. of Comprehensive Net Expenditure and the Statement of Financial Position as they arise. The Department has nonetheless set out below its best estimation of the fair value of the contract, and its sensitivity to assumptions underlying the valuation, in the interests of transparency. This follows a 'Level 3' methodology under IFRS 13, which allows for use of the entity's own models and assumptions. Fair value measurement of HPC The Department has set out below its best estimation of the fair value of the contract, and the assumptions which have been considered in its valuation. This follows a Level 3 methodology under IFRS 13 (Fair Value), which allows for use of the entity's own models and assumptions. This disclosure is consistent with IAS 39 (Financial Instruments) where the initial recognition of a financial instrument like the HPC CfD requires a deferred liability disclosure rather than a transaction of the initial fair value estimate through the primary statements. The following table provides an analysis of the fair value of HPC, grouped into Levels 1 to 3 within the fair value hierarchy based on the degree to which the fair value is observable: This is particularly relevant to the HPC CfD fair value because external forecasts for wholesale electricity prices are not currently readily available beyond 2040. It has not been possible for the Department to satisfactorily verify whether a single point fair value estimate for the HPC CfD is complete, neutral and free from error. (Verifiability is one of the qualitative characteristics of useful financial information for financial statements as set out in the Conceptual Framework.) The Department has therefore concluded that for the time being the HPC CfD fails to meet the recognition criterion (b) as outlined above. Therefore, the HPC CfD has not been recognised as a transaction in these primary statements. It is expected that when the HPC CfD meets the recognition criteria (a) and (b) of paragraph 4.38 of the Conceptual Framework the HPC CfD will be recognised at the prevailing fair value at that point in time. The fair value at the date of recognition will be determined in accordance with IFRS 13 and the difference between the fair value and the transaction price of zero will be deferred and amortised in the same way as the other CfDs described above. Changes in fair value after the date of recognition will be recognised in subsequent reporting periods and accounted for in the Statement \| Level 1 \| Level 2 \| Level 3 \| Total \| \|---------------------\|-----------\|-----------\|---------\| \| £m \| £m \| £m \| £m \| \| As at 31 March 2016 \| - \| - \| - \| \| As at 31 March 2017 \| - \| - \| 28,824 \| Information on other factors which impact on the fair value of HPC CfD is set out below: end of the Longstop Date. The TCW for reactor one is 1 May 2025 to 30 April 2029. The TCW for reactor two is 1 November 2025 to 31 October 2029. Any change to the start date will change the timing of future cash flows and impact on the discounted fair value. Start date The Target Commissioning Date (TCD: current expected start date) for reactor one and reactor two of the Hinkley Point C project are 1 May 2025 and 1 November 2025 respectively. ## Equity Gain Share For Hinkley Point C • The equity gain share mechanism consists of In each case, as and when the Internal Rate of Return (IRR) thresholds are reached: The generator is free to commission at any time within their Target Commissioning Window (TCW), a period of one year from the start of the TCW for most technologies, with no penalty, or after the end of the TCW and up to their 'Longstop Date' (one to two years after the end of the TCW depending on technology) with a penalty in the form of reduction of contract length for each day they are late in commissioning after the end of the TCW. The contract can be terminated if the generator has not commissioned 95% (or 85% for offshore wind) of their revised installed capacity estimate by the two separate components: (i) a mechanism to capture gains above specified levels where the Hinkley Point C project outperforms relative to the original base case assumptions; and (ii) a mechanism to capture gains above specified levels arising from the sale of equity and economic interests (direct or indirect) in the Hinkley Point C project. • If the relevant IRR is more than 11.4%, the LCCC will receive 30% of any gain above this level. • If the relevant IRR is more than 13.5%, the LCCC will receive 60% of any gain above this level. The equity gain share mechanism forms part of the Secretary of State Investor Agreement and does not therefore impact the fair value of Hinkley Point C. Installed Capacity Hinkley Point C which does not have an installed capacity cap, is only entitled to CfD payment support up to a Generation Cap of 910,000,000 MWh. Strike price The strike price is an agreed price which determines the payments made to the generator under the contract with reference to its low carbon output and the market reference price. The relevant strike price is specified at £92.50 in real 2012 terms and is not intended to change for the 35 year contract duration, other than through indexation to CPI and certain network charges, or in the event of certain qualifying changes in law. In addition to the factors mentioned above, Hinkley Point C's strike price change is also subject to the following three additional factors: 1. Construction gain share for Hinkley Point C If the construction costs of Hinkley Point C come in under budget, the strike price will be adjusted downwards so that the gain (or saving) is shared with the LCCC. The gain share is 50/50 for the first billion pounds, with savings in excess of this figure being shared 75% to the LCCC and 25% to the generator, NNB Generation Company (HPC) Limited (NNBG). If the outturn cost of construction is less than assumed then by reducing the strike price the amounts paid out to NNBG under the CfD will reduce and hence the benefit of the lower construction costs is shared between NNBG and ultimately consumers. There is, however, no similar upward adjustment if the construction cost of Hinkley Point C is over budget. ## 2. Opex Reopener For Hinkley Point C The strike price may be adjusted upwards if the operational expenditure costs are more than assumed and downwards if they are less. There are two operational expenditure reopener dates, at 15 years and 25 years after the first reactor start date. The rationale behind the reopener is that the strike price is based on long-term assumptions on operational expenditure costs. The reopener provides a way of mitigating longterm cost risks for both parties. 3. Sizewell C strike price adjustment for Hinkley Point C If the Sizewell C condition is not satisfied on or before the reactor one start date, there shall be no strike price adjustment. However, if the Sizewell C condition is satisfied after the reactor one start date, then the applicable strike price shall be reduced with effect from the date of satisfaction of the Sizewell C condition by £3/MWh. Sensitivity analysis Using a Level 3 technique to assess the value of the Hinkley Point C CfD is permissible when there is no observable input against which to assess the valuation. The Department has used internally generated models and assumptions consistent with an emissions pathway towards the Government's decarbonisation commitments to generate the wholesale electricity price scenarios used in the valuation of the HPC CfD. There is unavoidable uncertainty inherent in all such modelling and as such the results should be interpreted as a range of plausible scenarios rather than a single point value. However, IFRS13 requires that a single amount be declared for fair value and so to satisfy this condition the Department has adopted its central scenario when valuing the HPC CfD. To provide transparency for the reader, it is important to highlight the uncertainty inherent in material values over a long period of time such is the nature of this CfD. The predicted price series from the Dynamic Dispatch Model between 2025 and 2050 (flat-lined from 2050 to 2060) has a higher degree of certainty in the early years (2025-2040) and a lower degree of certainty in later years (2040-2060). The Department has illustrated some empirical impact of changes in assumptions on the fair value of the HPC CfD (in 2016 prices). These are shown in the table below: ## Change In Fair Value Of Hpc If: \| Electricity prices decrease by 10% \| - \| 4,478 \| \|--------------------------------------------------\|----------------------\|---------\| \| Electricity prices increase by 10% \| 4,478 \| - \| \| At generation cap \| - \| 260 \| \| 10% less load factor \| 2,882 \| - \| \| Estimated Commissioning Date moves back one year \| 481 \| - \| \| Sizewell C Strike price adjustment for HPC \| 2,387 \| - \| \| Favourable changes \| Unfavourable changes \| \| \| £m \| £m \| \| ## 10 Investments And Loans In Other Public Sector Bodies \| \| Public \| Other \| \|------------------------\|-----------\|-------------\| \| Ordinary \| Dividend \| loans and \| \| shares \| Capital \| investments \| \| £m \| £m \| £m \| \| Balance at \| \| \| \| 1 April 2015 \| \| \| \| restated \| 2,469 \| 115 \| \| Additions \| 462 \| - \| \| 610 \| \| \| \| (332) \| - \| \| \| 278 \| \| \| \| Redemptions \| - \| (34) \| \| (40) \| \| \| \| 6 \| - \| \| \| (34) \| \| \| \| Impairments \| (326) \| - \| \| (325) \| \| \| \| 315 \| - \| \| \| (10) \| \| \| \| Revaluations \| 12 \| - \| \| 12 \| \| \| \| - \| (255) \| \| \| (243) \| \| \| \| Unwinding \| \| \| \| of discount \| - \| - \| \| 2 \| \| \| \| - \| - \| \| \| 2 \| \| \| \| Loans repayable \| \| \| \| within 12 months \| \| \| \| transferred to \| \| \| \| current assets \| - \| - \| \| (27) \| \| \| \| - \| - \| \| \| (27) \| \| \| \| Balance at \| \| \| \| 31 March 2016 \| \| \| \| restated \| 2,617 \| 81 \| \| Additions \| 753 \| - \| \| 921 \| \| \| \| (822) \| - \| \| \| 99 \| \| \| \| Redemptions \| - \| - \| \| - \| \| \| \| - \| - \| \| \| - \| \| \| \| Impairments \| (148) \| - \| \| (148) \| \| \| \| 148 \| - \| \| \| - \| \| \| \| Revaluations \| 18 \| - \| \| 18 \| \| \| \| - \| (115) \| \| \| (97) \| \| \| \| Reclassification \| (1,517) \| - \| \| (1,522) \| \| \| \| 1,517 \| - \| \| \| (5) \| \| \| \| Unwinding of \| \| \| \| discount \| - \| - \| \| 3 \| \| \| \| - \| - \| \| \| 3 \| \| \| \| Loans repayable \| \| \| \| within 12 months \| \| \| \| transferred to current \| \| \| \| assets \| - \| - \| \| (9) \| \| \| \| - \| - \| \| \| (9) \| \| \| \| Balance at \| \| \| \| 31 March 2017 \| 1,723 \| 81 \| Elimination of shares Core and other Department investments and and loans NDPBs Agencies held in Ordinary Departmenta Total NDPBs Shares Group Total ## 10.1 Ordinary Shares In Other Public Sector Bodies Department Agencies Balance at 1 April 2,617 1,146 2,469 1,171 Additions 753 37 462 229 Impairments (148) - (326) (11) Revaluations 18 (97) 12 (243) Reclassification (1,517) - - - Balance at reporting date 1,723 1,086 2,617 1,146 Comprising Ordinary Shares held within the Departmental boundary - held at cost 1,059 – 2,007 – Ordinary Shares held outside the Departmental boundary - held at fair value 664 1,086 610 1,146 Balance at reporting date 1,723 1,086 2,617 1,146 ## British Business Bank Plc (Bbb) Ordinary Shares in other public sector bodies held within the Departmental boundary In accordance with the FReM, ordinary shares held within the Departmental boundary are carried at historical cost less any provision for impairment. They are eliminated on consolidation. ## Green Investment Bank (Gib) The core Department holds 1,071,407,935 ordinary shares (31 March 2016: 837,525,846), each with a nominal value of £1. BEIS made £234 million (31 March 2016: £173 million) capital injections in BBB during the year in exchange for share capital, to allow BBB to make investments that could not be financed with free capital. The core Department's holding had a cost less provision for impairment of £1,046 million at 31 March 2017 (31 March 2016: £815 million). The principal objective of the company is to address long-standing, structural gaps in the supply of finance and bring together in one place Government finance support for small and midsized businesses. The core Department holds 1,517,450,000 shares of £1 each (31 March 2016: 1,034,850,000) in GIB. BEIS made £483 million (31 March 2016: £60 million) capital injections into GIB during the year in exchange for share capital. The Core Department's holding had a cost of £1,517 million at 31 March 2017 (31 March 2016: £1,035 million). ## Uk Shared Business Services Limited (Uksbs) The principal objective of the company is to accelerate private sector investment in the clean energy sector. The core Department holds 62,016,358 nonvoting shares and one voting share in UKSBS, held at cost less provision for impairment of £6 million at 31 March 2017 (31 March 2016: £12 million). On the 20 March 2017, the core Department had committed to the sale of GIB. The core Department's shareholding in GIB met the classification criteria of a non-current asset held for sale in accordance with IFRS 5. The shareholding was reviewed for impairment (of which no impairment was identified) prior to being reclassified as a non-current asset held for sale. See Note 15 for further details. The company is a specialist business services organisation that provides finance, procurement, grants, information systems and HR and payroll services to the public sector. Its main objective is to improve the economy, efficiency and effectiveness of corporate services to BEIS bodies. \| \| 31 March 2017 \| 31 March 2016 \| \|------------\|-----------------\|------------------\| \| Core \| \| Core \| \| Department \| \| \| \| and \| \| Departmental \| \| Group \| Agencies \| Group \| \| £m \| £m \| £m \| ## Postal Services Holding Company Limited (Psh) The Secretary of State for BEIS owns 50,005 ordinary shares in PSH which is 100% of the issued share capital at a historic cost of £430 million at 31 March 2017 (31 March 2016: £430 million). The Secretary of State for BEIS also owns one special share in PSH, relating to certain areas for which Special Shareholder's consent is required. The core Department's holding had a cost less provision for impairment of £7 million at 31 March 2017 (31 March 2016: £145 million), reflecting the reduction in the value of investments held by PSH. The impairment is reversed in the Departmental Group and recognised as a fair value movement in Post Office Limited (POL). The principal objective of the company is to hold and manage its shares in POL. ## Low Carbon Contracts Company Ltd (Lccc) The core Department holds one ordinary share in LCCC with a nominal value of £1. The principal objective of the company is to be the counterparty to and manage Contracts for Difference (CFD's) throughout their lifetime. ## Electricity Settlements Company Ltd (Esc) The core Department holds one ordinary share in ESC with a nominal value of £1. The principal objective of the company is to oversee settlement of the Capacity Market agreements. ## Enrichment Holdings Limited (Ehl) The core Department holds two shares of £1 each in EHL with a nominal value of £2. EHL has been set up as a holding company, along with a subsidiary company, Enrichment Investments Limited (EIL), solely to hold the Government's one-third share in Urenco Limited, an entity operating in the civil uranium enrichment sector. ## Bis (Postal Services Act 2011) Company Limited The core Department holds one ordinary share in BIS (Postal Services Act 2011) Company Limited with a nominal value of £1. The principal objective of the company is to dispose of the assets transferred to it from the Royal Mail Pension Plan (RMPP). ## Wave Hub Limited The core Department held one ordinary share in Wave Hub Limited with a nominal value of £1. The principal objective of the company is to provide test platforms for companies performing research and development in wave energy technologies on the Cornwall Coast. On 31 March 2017 Wave Hub was transferred to Cornwall Council. ## South Tees Site Company Limited (Stsc) The core Department holds one ordinary share in STSC with a nominal value of £1. The principal objective of the company is to secure and manage the South Tees Site. Ordinary Shares held outside of the Departmental boundary Shares held outside of the Departmental boundary are carried at fair value in accordance with IAS 39. ## Post Office Limited (Pol) And Royal Mail Plc The core Department holds 100% of the shares in the Postal Services Holding Company Limited (PSH), the company which wholly owns Post Office Limited (POL) and up to the end of 2015- 16 held the department's investment in Royal Mail plc. PSH holds 50,003 ordinary shares in POL at a nominal value of £1 each which is 100% of the issued share capital. There is a special share in POL (nominal value of £1) which is held directly by the Secretary of State for BEIS. This shareholding is held at fair value, but as there is no active market for these shares the net asset value of POL is considered to be a reasonable approximation for fair value. The fair value as at 31 March 2017 was £nil (31 March 2016: £137 million). The principal objective of POL is to provide retail post office services through its national network of branches. During 2015-16 PSH's shareholding of 299,913,077 ordinary shares in Royal Mail plc was reduced to nil through a combination of sales (28% of issued Royal Mail plc shares) and gifts to employees (2% of issued Royal Mail plc shares). A total realised profit on disposal of £1,435 million was recognised in 2015-16, as shown in the Statement of Comprehensive Net Expenditure. £94 million was incurred in 2015-16 for the gift of shares to employees and is shown in Note 4.4 under other grants. ## British Nuclear Fuels Limited (Bnfl) each in NNL Holdings Limited (NNHL) with a nominal value of £1 each. NNLHL has been set up as a holding company, to hold all the shares in the National Nuclear Laboratory Limited. The core Department holds 50,000 ordinary shares in BNFL at a nominal value of £1 each. The Secretary of State for BEIS owns 49,999 ordinary shares and the Treasury Solicitor owns one ordinary share. The shareholding is held at fair value but because there is no active market for these shares the net asset value of NNLHL is considered to be a reasonable approximation of fair value. The fair value as at 31 March 2017 was £76 million (31 March 2016: £65 million). The core Department's shareholding is held at fair value, but because there is no active market for these shares the net asset value of BNFL is considered to be a reasonable approximation of fair value. The fair value as at 31 March 2017 was £324 million (31 March 2016: £322 million). ## Nuclear Liabilities Fund Ordnance Survey Limited (Osl) The core Department holds 34,000,002 ordinary shares in OSL at a nominal value of £1 each which is 100% of the issued share capital. BEIS acquired the ordinary shares in OSL for £170 million on 1 April 2015 as part of the Ordnance Survey Trading Fund transferring its trade and assets into OSL. The primary objective of the Nuclear Liabilities Fund Limited is to produce sufficient returns to cover the cost of decommissioning 8 existing nuclear power stations, all now owned by EDF Energy Nuclear Generation Limited (EDFE) and to cover certain of EDFE's uncontracted liabilities (principally the removal and storage of spent fuel). A remote contingent liability has been disclosed in relation to these costs in the Parliamentary Accountability and Audit Report. The shareholding is held at fair value, but as there is no active market for these shares the net asset value of OSL is considered to be a reasonable approximation for fair value. The fair value as at 31 March 2017 was £189 million (31 March 2016: £174 million). The principal objective of OSL is to produce mapping products and mapping data information. ## Npl Management Limited (Nplml) The Fund is owned by the Nuclear Trust, the members of which also constitute the Fund's Board. The Secretary of State has powers to set the Fund's investment policy and appoints three of the trustees. The other two trustees are appointed by EDFE. In addition to the ordinary shares jointly owned by the trustees, the Secretary of State and EDFE each own a special share in the Fund (note 10.4). The fair value of the Fund (i.e. assets less liabilities as recognised in the accounts) as at 31 March 2017 was £nil (31 March 2016: £nil). The core Department holds 57 ordinary shares in NPLML which is 100% of the issued share capital. ## Nda Subsidiaries The shareholding is held at fair value, but as there is no active market for these shares the net asset value of NPLML is considered to be a reasonable approximation for fair value. The fair value as at 31 March 2017 was £75 million (31 March 2016: £49 million). ## Nnl Holdings Limited (Nnlhl) The NDA controls the following subsidiaries, all of which are outside the Departmental Group boundary and not consolidated into these accounts. The holdings are valued at fair value. As there is no active market, the net assets of the entities are considered the most appropriate approximation of fair value of £422 million as at 31 March 2017 (31 March 2016: £399 million). The core Department holds two shares of £1 Name Country of incorporation Nature of business Direct Rail Services Limited UK Rail transport services within the UK NDA 100% International Nuclear Services France SAS (i) France Transportation of spent fuel NDA 100% International Nuclear Services Japan KK (i) Japan Transportation of spent fuel NDA 100% International Nuclear Services Limited UK Contract management and the transportation of spent fuel, reprocessing products and waste NDA 100% NDA Properties Limited UK Property management NDA 100% Pacific Nuclear Transport Limited (i) UK Transportation of spent fuel, reprocessing products and waste NDA 68.75% Rutherford Indemnity Limited Guernsey Nuclear insurance NDA 100% (i) Ownership through International Nuclear Services Limited. ## 10.2 Public Dividend Capital (Pdc) Companies House UKIPO £m £m £m £m £m Balance at 1 April 2015 16 6 34 59 115 Additions - - - - - Redemptions - - (34) - (34) Impairments - - - - - At 31 March 2016 16 6 - 59 81 Additions - - - - - Redemptions - - - - - Impairments - - - - - At 31 March 2017 16 6 - 59 81 PDC is held by the Core Department. In accordance with the FReM, PDC is carried at historical cost less any impairment. On 1 April 2015 the trade and assets of Ordnance Survey were transferred to the newly incorporated Limited Company, Ordnance Survey Limited (OSL). BEIS is the sole shareholder of OSL. Ordnance Survey was a trading fund owned by BEIS, but outside of the departmental boundary. BEIS's investment in the trading fund was recorded as PDC. The transfer of the trade and assets from Ordnance Survey to OSL resulted in the £34 million PDC investment BEIS had in the Trading Fund being repaid and £170 million of ordinary share capital for OSL being recognised, 100% of the issued ordinary share capital in OSL. The £170 million ordinary share capital issued was equal to the net assets of Ordnance Survey trading fund at the date of the transfer. Holding entity Proportion of ordinary shares held Ordnance Survey Met Office Total ## 10.2.1 Share Of Net Assets And Results For Public Dividend Capital Holdings Outside The Departmental Consolidation Boundary The Department Is Required To Disclose Its Share Of The Net Assets And The Results \| Net Assets/(Liabilities) at 31 March 2016 \| 75 \| 86 \| 250 \| \|-------------------------------------------------------------\|------\|------\|-------\| \| Turnover \| 66 \| 83 \| 227 \| \| Surplus/profit (deficit/loss) for the year before financing \| (2) \| 4 \| 9 \| \| Net Assets/(Liabilities) at 31 March 2017 \| 79 \| 85 \| 246 \| \| Turnover \| 66 \| 88 \| 227 \| \| Surplus/profit (deficit/loss) for the year before financing \| 4 \| 7 \| 5 \| For all bodies, information for 2016-17 was derived from their draft unaudited accounts. The information for 2015-16 was derived from their audited accounts. The accounts were prepared on an IFRS basis, in accordance with the requirements of the FReM. ## 10.3 Other Investments And Loans In Public Sector Bodies 31 March 2017 Core Department and Agencies £m £m £m £m Balance at 1 April 210 113 92 88 Additions 168 62 148 49 Repayments - - (6) - Impairments - - 1 1 Unwind of discount 3 3 2 2 Reclassification (5) (5) - - Loans repayable within 12 months transferred to current assets (9) (9) (27) (27) Balance at reporting date 367 164 210 113 ## Core Department Loans In Other Public Sector Bodies Loans in other public sector bodies are classified as 'loans and receivables' and measured at amortised cost in accordance with IAS 39. The total carrying amount of EELs and REELs with public sector bodies is £137 million at 31 March 2017 (31 March 2016: £92 million). The non-current element of the loans is £107 million at 31 March 2017 (31 March 2016: £68 million), and the current element of these loans is £30 million at 31 March 2017 (31 March 2016: £24 million), which is included in note 16. The balance comprises a number of loans to public sector bodies, the most significant loans making up the balance are detailed below These loans are to non-consolidated public sector entities and are not eliminated on consolidation. Fleetbank Funding Limited Loan (Enable Funding programme) The core Department's loan to Fleetbank Funding Limited is to provide funding to support the Enable Funding programme, managed Energy Efficiency Loans and Recyclable Energy Efficiency Loans (EELs and REELs) The core Department's energy efficiency loans scheme was set up under the Environmental Protection Act 1990 to help businesses and public sector organisations reduce their energy costs by providing interest free loans for the implementation of energy efficiency projects. for the year of other public sector bodies, which are outside of the departmental boundary. The following disclosures relate to the Department's trading funds. Companies House UKIPO Met Office £m £m £m 31 March 2016 Restated Departmental Core Department Departmental Group and Agencies Group by the British Business Bank and launched in November 2014, aimed at improving the provision of asset and lease finance to smaller UK businesses. Fleetbank Funding Limited was designated as a consolidated body in 2016-17, resulting in the loan being reclassified as a loan to a public sector entity from a loan to a private sector entity. This was adjusted in the opening balances as part of changes in the departmental boundary. The carrying amount of the Fleetbank Funding Limited loan is £130 million at 31 March 2017 (31 March 2016: £93 million), the increase is due to additions in year of £37 million (31 March 2016: £93 million). This loan is to a consolidated body and is eliminated on consolidation. Northern Powerhouse Investment Limited and Midlands Engine Investment Limited loans The core Department has loans with Northern Powerhouse Investment Fund and Midlands Engine Investment Fund. The funds are matched by funding from the European Investment Bank. The funds are set up to provide commercially-focused finance to help small and medium sized enterprises start up and grow. The carrying amount of the loan investments in these entities is £58 million at 31 March 2017 (31 March 2016: £nil). The loan investments were made during 2016-17. The loans are accounted for at cost under IAS 27 in the core Department. These loans are to consolidated bodies and are eliminated on consolidation. 10.4 Special Shares The Secretary of State holds one Special Share in each of the entities listed below. The list is a summary and does not claim to be a comprehensive record of the terms of each respective shareholding. Further details can be obtained from the annual report and financial statements of each body or their Articles of Association. The core Department does not recognise the special or 'golden' shares on its Statement of Financial Position. ## Significant Terms Of Shareholding Body in which Share is held and type and value of Share • Created in January 2001 (formerly called Royal Mail Holdings plc). • It may be redeemed at any time by the shareholder. Postal Services Holding Company Limited. £1 Special Rights Preference Share • The consent of the special shareholder is required for a number of decisions, including: - Appointments to the Board (the special shareholder can also make appointments to the Board) - Setting (and approving any material changes in) the remuneration packages of the Directors - Borrowing - Disposing of substantial assets of the business and shareholdings - Issuing or allotment of shares in the Post Office network company (Post Office Limited) - Voluntary winding-up of the company - Varying certain of the company's Articles of Association, including the rights of the special shareholder - Exercising of voting rights in Royal Mail plc ## Significant Terms Of Shareholding Body in which Share is held and type and value of Share • Created in April 2012. • Special Shareholder is entitled to attend and speak at any general meeting or any Post Office Limited ("POL") £1 Special Rights Redeemable Preference Share meeting of any other class of shareholders of POL, but the Special Share does not carry voting rights or any other rights at any such meeting. • It may be redeemed at any time by the Special Shareholder. POL cannot redeem the Special Share without prior consent of the Special Shareholder. • The consent of the special shareholder is required for a number of decisions, including: - Varying POL 's Articles of Association, including the rights of the special shareholder; - Appointment or removal from office of any Director of POL; - Approval of (including material variations) Directors' remuneration and terms of employment; - Adoption of (and any material variation in) POL 's strategic plan; - Substantial alterations in the nature of the business carried on by POL; - Sale of material assets in the absence of which POL would not be able to deliver its strategic plan; - Incurring of any borrowing exceeding pre-set limits as agreed with HM Treasury; - Issuing or allotment of shares or granting of share rights in the company; and - Voluntary winding-up of the company or member of the group. • Created in 1985 (but subsequently amended). BAE Systems plc £1 Special Rights Preference Share • No time limit. • Provides for a 15% limit on any individual foreign shareholding, or group of foreign shareholders acting in concert, in the company. • Requires a simple majority of the Board and the Chief Executive to be British. • Requires any Executive Chairman to be British and, if both the Chairman and Deputy Chairman are non-executives, requires at least one of them to be British. • Created in 1987 (but subsequently amended and transferred to Rolls-Royce Holdings plc). Rolls Royce Holdings plc £1 Special Rights Non- Voting Share • No time limit. • Provides for a 15% limit on any individual foreign shareholding, or group of foreign shareholders acting in concert, in the company. • Requires a simple majority of the Board to be British. • Allows either the Chairman or the Chief Executive to be either an EU or US citizen provided that the other is a British citizen. • Provides for a veto over the material disposal of assets of the group. • Provides for a veto for a proposed voluntary winding up. • British Energy Group plc Special Share created on 13 January 2005 and held jointly by the Secretary of State for Business, Energy and Industrial Strategy and the Secretary of State for Scotland. EDF Energy Nuclear Generation Group Limited (formerly British Energy Group plc) £1 Special Share • The consent of the Special Shareholder, which can only be refused on grounds of national security (except in relation to an amendment to the company's Articles of Association), is required in respect of: - various amendments to the company's Articles of Association; - any purchase of more than 15% of the company's shares; - the issue of shares carrying voting rights of 15% or more in the company; - variations to the voting rights attaching to the company's shares; and the giving of consent in respect of the issue of shares by the sale of shares in or amendments to the Articles of Association of various subsidiaries in certain cases. \| Significant terms of Shareholding \| Body in which Share is \| \|----------------------------------------------------------------------------------------\|-------------------------------------------------------------------------------\| \| held and type and value \| \| \| of Share \| \| \| - \| British Energy Holdings plc Special Share created on 13 January 2005 and held \| \| jointly by the Secretary of State for Business, Energy and Industrial Strategy and the \| \| \| Secretary of State for Scotland. \| \| \| British Energy Limited \| \| \| (formerly British Energy \| \| \| Holdings plc) £1 Special \| \| \| Share \| \| • The consent of the Special Shareholder, which can only be refused on grounds of national security (except in relation to an amendment to the company's Articles of Association), is required in respect of: - various amendments to the company's Articles of Association, and the giving of consent in respect of the issue of shares by the sale of shares in or amendments to the Articles of Association of various subsidiaries in certain case. • British Energy Generation Ltd Special Share created in 1996 is held solely by the Secretary of State for Business, Energy and Industrial Strategy. • The consent of the Special Shareholder, which can only be refused on grounds of EDF Energy Nuclear Generation Limited (formerly British Energy Generation Ltd) £1 Special Share national security (except in relation to an amendment to the company's Articles of Association), is required in respect of: - various amendments to the company's Articles of Association; - the disposal of any of the nuclear power stations owned by the company; and prior to the permanent closure of such a station, the disposal of any asset which is necessary for the station to generate electricity. • British Energy plc Special Share created in 1996 is held solely by the Secretary of State for Business, Energy and Industrial Strategy. British Energy Ltd (formerly British Energy plc) £1 Special Share • The consent of the Special Shareholder, which can only be refused on grounds of national security (except in relation to an amendment to the company's Articles of Association), is required in respect of: - various amendments to the company's Articles of Association; and - the giving of consent in respect of the issue of shares by, the sale of shares in or amendments to the Articles of Association of various subsidiaries in certain cases • The company has no significant assets or liabilities as a result of the restructuring scheme, which came into effect on 14 January 2005. Nuclear Liabilities Fund Ltd • Created in 1996. • The Secretary of State for Business, Energy and Industrial Strategy has a Special 'A' Share (there is also a 'B' Share held by British Energy). £1 Special Rights Redeemable Preference Share • The consent of the Special Shareholder is required for any of the following: - to change any of the provisions in the Memorandum of Association or Articles of Association; - to alter the share capital or the rights attached thereto; - the company to create or issue share options; - the 'B' Special Shareholder or any of the Ordinary shareholders to dispose or transfer any of their rights in their shares; - the company to pass a members voluntary winding-up resolution; - the company to recommend, declare or pay a dividend; - the company to create, issue or commit to give any loan capital; - the company to issue a debenture; or - the company to change its accounting reference date. 10.5 Membership Fund The Secretary of State for Business, Energy and Industrial Strategy has a share in the membership fund of Carbon Trust. The members' fund at 31 March 2017 was nil (31 March 2016: nil). ## 11 Other Financial Assets Department Note Agencies Balance at 1 April (restated) 1,639 4,473 1,944 5,921 Transfer - 7 (35) - Reclassifications 5 (1,267) (1) (1) Additions 17 1,281 116 688 Repayments (206) (508) (126) (2,142) Effective interest 45 45 58 58 Unwinding of discount – 2 – – Revaluations (7) (7) (297) (21) Impairments (8) (60) (20) (43) Impairment reversals - - - 13 Balance at reporting date 1,485 3,966 1,639 4,473 Comprising: Repayable Launch Investments 11.1 1,205 1,205 1,389 1,389 Other Financial assets 11.2 280 2,761 250 3,084 Balance at reporting date 1,485 3,966 1,639 4,473 ## Other Financial Assets Analysed Between Current And Non-Current Assets: Department Agencies Due within twelve months 1 1 2 2 Due after twelve months 1,484 3,965 1,637 4,471 Total 1,485 3,966 1,639 4,473 ## 11.1 Repayable Launch Investments Department Agencies Balance at 1 April 1,389 1,389 1,740 1,740 Repayments (144) (144) (112) (112) Effective interest 44 44 57 57 Revaluations (84) (84) (296) (296) Balance at period end date 1,205 1,205 1,389 1,389 Repayable launch investments are held by the core Department. \| \| 31 March 2017 \| 31 March 2016 restated \| \|---------------\|------------------------\|--------------------------\| \| Core \| \| Core \| \| Department \| \| \| \| and \| \| Departmental \| \| Group \| Agencies \| Group \| \| £m \| £m \| £m \| \| 31 March 2017 \| 31 March 2016 restated \| \| \| Core \| \| Core \| \| Department \| \| \| \| and \| \| Departmental \| \| Group \| Agencies \| Group \| \| £m \| £m \| £m \| \| 31 March 2017 \| 31 March 2016 restated \| \| \| Core \| \| Core \| \| Department \| \| \| \| and \| \| Departmental \| \| Group \| Agencies \| Group \| \| £m \| £m \| £m \| The core Department has determined that repayable launch investments are to be classified as 'available for sale financial assets' and measured at fair value, in accordance with IAS 39. The core Department, under the provisions of the 1982 Civil Aviation Act, provides repayable launch investment to companies to fund a proportion of the non-recurring eligible design and development capital costs on civil aerospace development products. Each product supported is covered by separate contractual terms and conditions. Under these contracts, periodic repayments become due when products are delivered or at other specific points. The portfolio of investments is valued twice annually and the valuations are based on forecast annual income arising under each contract. Measurement and carrying values Repayable launch investment contracts are initially recognised at fair value which is the transaction price. After initial recognition, the value is the discounted forecast value of future income streams, excluding accrued income which is included in receivables when products are delivered. The value of future income streams is predominantly driven by the core Department's view of the applicable programme's performance in the global market over the period of the contract's life. A number of activities inform this view and some are described below. The core Department uses a variety of sources to inform a forecast of deliveries for individual programmes. This can include using: an internal delivery forecast model and market share model, forecast delivery schedules and other data directly provided from the RLI recipient companies, publicly available aircraft delivery forecasts, specifically commissioned consultant programme forecasts as well as commentary and vies from industry experts. The approach taken is entirely dependent on the programme in question. Other valuation variables include inflation measures - or proxies (such as RPI, RPIX, gilt rates and GDP deflators). Some contracts entitle the core Department to a share of aircraft or engine spare part and support income, and the valuation of these contracts is based on analysis of past income streams and forecasts of future demand. The forecast income streams are adjusted by inflation of 2.55% and are discounted to present value using a constant discount rate of 3.5% representing the effective rate of return of the investment portfolio. The carrying value of launch investments is influenced by the interaction of key drivers such as deliveries and economic variables. The core Department uses Monte Carlo simulation to understand the effect of different scenarios for these drivers on the valuation of each contract. The core Department considers that the carrying value is a reasonable approximation of the fair value of launch investments. Where the valuation exceeds historical cost, increases in value are taken to the revaluation reserve and are released to the Consolidated Statement of Comprehensive Net Expenditure as investments are realised. Any permanent diminution in value is charged to the Consolidated Statement of Comprehensive Net Expenditure. Fluctuations in fair value are adjusted through the revaluation reserve. The balance on the Revaluation Reserve pertaining to launch investments was a £268 million credit at 31 March 2017 (31 March 2016: £116 million credit restated). The revaluation reserve was restated as a result of an over-release of income in prior years. This was not material in any one financial year, but resulted in a material diminution in the value of the revaluation reserve over time. Therefore, this adjustment has been treated as a prior year adjustment, with the 2014- 15 and 2015-16 reserve position restated. This is further explained in note 27. The carrying value of the investments derived from the discounted cash flow model at 31 March 2017 was £1,205 million (31 March 2016: £1,389 million). The historic cost excluding accrued income of the portfolio at 31 March 2017 was £600 million (31 March 2016: £706 million). Sensitivity analysis The core Department has developed a Monte Carlo-based approach which uses the software package @Risk to assess the impact of uncertainty on forecast income, overall contract values, and enhance the robustness of the valuation process. Uncertainties are addressed by constructing different scenarios for the key drivers and then assigning probabilities to these scenarios to implement a Monte Carlo simulation of the contracts on a contract-by-contract basis. The key variables include: programme development delays, changes to entry into service and out of service dates, production levels, market shares and economic variables used as inflation measures. The contracts are highly complex and generally distinct from each other in their terms and structure, yet there are cases of significant interdependencies between contracts and correlations between variables. Interest Rate Risk A number of the contracts use retail price indexes (such as RPI and RPIX) or other surrogates as a tool to inflate the value of income due to the core Department over time. As such there is a risk relating to the forecasting of these indexes and surrogates within the valuation, although we estimate that the risk is relatively low and the overall impact relatively minor. The model is iterated 10,000 times to produce distributions of income for each contract and thus the overall portfolio. Each iteration of the model produces an income forecast. These are collated and used to form an income distribution. It is from this distribution that the value of the portfolio is calculated. Foreign Exchange Risk The core Department has a small number of contracts which may deliver a US dollar denominated income in their later stages which would be translated into pounds sterling. We assess these income streams as relatively low value and low likelihood, thus exchange-rate risk exists but is minimal in the context of the overall portfolio. In order to give an assessment of potential volatility for the portfolio, we calculate the 5th and 95th percentiles from the income distribution - 90% of all the iterations outputted from the Monte Carlo simulation lie between these particular percentile points. The lower (5th) and upper (95th) points which define this interval were £1,179 million and £1,229 million respectively, at 31 March 2017 (2015-16: £1,353 million and £1,410 million). ## Risk Market Risk Credit Risk Company failure could result in the core Department's investment not being recovered in whole or in part. The core Department seeks to offset this low probability risk by analysing the financial health of any applicant at the time of application for launch investment and reviewing financial health as part of the programme monitoring activity. In addition, contracts aim to contain provisions which will (as a minimum) not disadvantage the core Department compared to other creditors in the event of a corporate failure. The core Department takes steps to monitor the payments that become due to companies under launch investment contracts to ensure they comply with the terms of the contracts. Finally, the contracts also require the company's auditors to confirm that all payments have been made correctly and to identify any errors made. Other Risk The Core Department's investments are exposed to wider risks such as economic downturns or market shocks from natural or non-natural events. These risks may adversely impact the value and timing of the income received by the core Department. The core Department seeks to manage this risk by actively monitoring such events when they arise to assess any potential impact. This constitutes the largest area of potential risk in the portfolio as the primary method of the calculation of income streams is based on the forecasts of aircraft or engine deliveries. The core Department uses internal analysis, company information and third party information to forecast deliveries and ultimately future income on each investment over the life of the investment period. Deliveries in the short term are driven by variables which include manufacturer production plans, market cycles, customer demand and availability of financing. Medium and longerterm deliveries will be affected by overall market growth and the market attractiveness of an aircraft programme. A negative shift in outlook may result in the core Department not being able to recover its investment in whole or in part, although once deliveries have commenced some level of income is usually due to the core Department. The core Department aims to minimise risk of under-recovery of investments by carrying out a full evaluation of each business case submitted for launch investment support, and by monitoring programmes for the substantive life of the contracts to allow it to assess exposure to risks (including project risk, market risk and technical risk). Other investments Total funds Investment Private equities (listed Equities securities) related holdings Property loans Private sector Term deposits £m £m £m £m £m £m £m £m £m bonds Gilts and Balance at 1 April 2015 restated 139 17 322 213 1,559 578 785 568 4,181 Reclassifications - – - – - – (1) - (1) Additions 45 - 246 - 1 23 313 60 688 Redemptions (135) (2) (41) (133) (1,466) (163) (78) (12) (2,030) Revaluations 7 - – 3 112 47 36 70 275 Effective interest - – 1 - – - - – 1 Impairments (1) - (19) - – - (19) (4) (43) Impairment reversals - – - – - – 13 - 13 Balance at 1 April 2016 restated 55 15 509 83 206 485 1,049 682 3,084 Transfers in/(out) - – 6 - – - - 1 7 Reclassifications - – (255) - – - (51) (961) (1,267) ## 11.2 Other Loans And Investments Additions - – 141 - 70 14 275 781 1,281 Redemptions (12) (1) (95) (23) (41) (118) (81) 7 (364) Revaluations 3 - (2) 5 31 62 108 (130) 77 Effective interest - – 1 - – - - – 1 Unwinding of discount - – 2 - – - - – 2 Impairments - – (1) - – - (55) (4) (60) Balance at 31 March 2017 46 14 306 65 266 443 1,245 376 2,761 Of the total: Core Department and Agencies - – 2 - – - 278 - 280 NDPBs and other designated bodies 46 14 304 65 266 443 967 376 2,481 Balance at 31 March 2017 46 14 306 65 266 443 1,245 376 2,761 ## Core Department Private Sector Loans: Ndpbs And Other Designated Bodies Gilts And Bonds Private Sector Loans are classified as 'loans and receivables' and measured at amortised cost in accordance with IAS 39. Nesta Trust held investments in gilts. The investments in gilts were classified as 'availablefor-sale financial assets' and were measured at fair value in accordance with IAS 39 based on market quotes. The value of Gilts held by the NDPBs and other designated bodies as at 31 March 2017 was £nil (31 March 2016: £11 million). The prior year included loans to the Green Deal Finance Company (GDFC). The carrying value is £nil at 31 March 2017 (31 March 2016: £23 million) as the loans were sold in the year. The movement in the value of gilts is primary a result of repayments of £12 million (31 March 2016: £135 million). Green Deal Finance Company Loans comprised a Stakeholder Loan and Senior Facility Loan. The stakeholder loan was fully impaired in 2014-15. In November 2014, the Department provided a facility of up to £34 million of additional funding to GDFC, in the form of a senior facility loan. This facility expired at the end of December 2015 after which no further drawdowns were possible. On 13 January 2017 the core Department sold GDFC and the full amount of £23 million was recovered on sale. BIS (Postal Services Act 2011) Company Limited and Nesta Trust hold investments in bonds. The investments in corporate bonds are classified as 'available-for-sale financial assets', and are measured at fair value in accordance with IAS 39 based on market quotes. The value of bonds held by the NDPBs and other designated bodies as at 31 March 2017 was £46 million (31 March 2016 restated: £43 million). ## Investment Funds Private sector loans GIB, BBB, STFC, Nesta Trust and Fleetbank Funding Limited have entered into loan agreements with parties within the private sector. The loans within the Departmental Group are carried at historic cost as a proxy for amortised cost because the NDPBs and other designated bodies have determined that there is no material difference between historical cost and amortised cost. As at 31 March 2017, £304 million of loans were held by NDPBs and other designated bodies (31 March 2016 restated: £480 million). Investment Funds are classified as 'available for sale financial assets' and measured at fair value in accordance with IAS 39. After initial recognition the carrying value is based upon the valuations prepared by the fund managers. They are taken from the most recent set of annual accounts for each of the funds and, where available, updated with interim fund manager valuations. These investments support private-sector-led venture capital to stimulate private investment into early stage small- and medium-sized enterprise (SME) businesses. During the reporting period BBB made loans of £70 million (31 March 2016: £65 million) to private companies through the BFP Small Business and Investment Programme schemes. The fair value of loans held by BBB as at 31 March 2017 was £170 million (31 March 2016: £104 million). The conditions attached to each loan vary depending on the details of the arrangement. Repayment schedules have been agreed and all loans are expected to be repaid at the end of the loan term. The UK Innovation Investment Fund (UKIIF) is the largest Investment Fund of the core Department. The Fund was announced in June 2009 to drive economic growth and create highly skilled jobs by enabling investment in growing small businesses, start-ups and spin-outs in key technology areas such as life sciences, clean technology and low carbon, digital technologies, and advanced manufacturing. The funds are managed by 2 private sector fund managers - Hermes GPE and the European Investment Fund. The UKIIF was valued at £130 million at 31 March 2017 (31 March 2016: £84 million). During 2016-17 Fleetbank Funding Limited made loans of £34 million (31 March 2016: £89 million) to private companies through the Enable Loan Programme scheme. The fair value of loans held by Fleetbank Funding Limited as at 31 March 2017 was £122 million (31 March 2016: £89 million). Fleetbank Funding Limited (an SPV set up to hold the Enable Loan Programme investments) was designated a central government entity in 2016-17. It is now consolidated as part of the Departmental Group, with the opening balances restated. Included in the £255 million reclassification balance is £260 million relating to GIB's private sector loans which on 20 March 2017, were reclassified as non-current assets held for sale. Prior to reclassification the fair value of loans held by GIB was £260 million (31 March 2016: £277 million). ## Property-Related Holdings BIS (Postal Services Act 2011) Company Limited and Nesta Trust have property-related holdings. At 31 March 2017 the value of the holdings was £65 million (31 March 2016: £83 million). During the period, BIS (Postal Services Act 2011) Company Limited disposed of £21 million of property related investments (31 March 2016: £130 million). The fair value of the investments held by BIS (Postal Services Act 2011) Company Limited as at 31 March 2017 was £65 million (31 March 2016: £81 million). These investments relate to holdings in a number of marketable real estate investment funds and are held as 'available for sale financial assets' in accordance with IAS 39. ## Equities (Listed Securities) At 31 March 2017 the Departmental Group held £266 million of listed equities (31 March 2016: £206 million). The investments are held by BIS (Postal Services Act 2011) Company Limited, and Nesta Trust. During 2015-16, PSH's investment in Royal Mail Plc was reduced to nil through a combination of sales (28% of issued Royal Mail Plc shares) and gifts to employees (2% of issued Royal Mail Plc shares). Further details are disclosed in Note 10.1. ## Private Equities BIS (Postal Services Act 2011) Company Limited, Nesta Trust, STFC and NERC have investments in private equity. These investments have been classified as 'available for sale' assets in accordance with IAS 39. The value invested at 31 March 2017 was £443 million (31 March 2016: £485 million). The fair value of the remaining investments in BIS (Postal Services Act 2011) Company Limited as at 31 March 2017 was £428 million (31 March 2016: £469 million). These investments primarily comprised investments in European and North American unquoted shares. The fair values are estimated based on a variety of valuation techniques, adopted by the investment managers that comply with the International Private Equity and Venture Capital (PEVC) Valuation Guidelines or the valuation guidelines produced by the British Venture Capital Association (BVCA). Valuation techniques used include the use of earnings multiples, discounted cash flows analysis, and net asset values. ## Investment Funds BBB, GIB, Nesta Trust and BIS (Postal Services Act 2011) Company Limited hold investment funds. The value invested at 31 March 2017 was £967 million (31 March 2016 restated: £827 million). In accordance with IAS 39, the investments of BBB, GIB and Nesta Trust are classified as 'available for sale' assets, those of BIS (Postal Services Act 2011) Company Limited are held at 'fair value through profit and loss'. BBB held investment funds valued at £956 million at 31 March 2017 (31 March 2016: £764 million). The most significant investment is in the Business Finance Partnership (BFP) for mediumsized businesses at 31 March 2017, this was valued at £584 million (31 March 2016: £500 million). The BFP aims to increase the supply of capital through non-bank lending channels and, in the longer term, to help to diversify the sources of finance available to businesses. BBB also has an investment fund in Enterprise Capital Funds which were valued at £155 million at 31 March 2017 (31 March 2016: £136 million). BBB provides invoice discount finance and peer-topeer lending through the Investment Programme funds which were valued at £122 million at 31 March 2017 (31 March 2016: £50 million). On 20 March 2017, GIB's investment fund balance of £53 million was reclassified as a non-current asset held for sale. Prior to reclassification the fair value of loans held by GIB was £53 million (31 March 2016: £52 million). ## Other Investments Other investments includes Enrichment Holdings Limited investment in URENCO. This is measured as an 'available for sale' financial asset in accordance with IAS 39. The fair value of this investment at 31 March 2017 was £350 million (31 March 2016: £508 million). The remaining other investments are held by GIB, Nesta Trust, Northern Powerhouse Investment Fund and the Medical Research Council, and are classified as 'available for sale' in accordance with IAS 39. The fair value of these other investments at 31 March 2017 was £26 million (31 March 2016: £19 million). The reason for the reduction in remaining other investments is due to GIB's other investments balance of £961 million being reclassified as a non-current asset held for sale on 20 March 2017. Prior to reclassification the fair value of other investments held by GIB was £961 million (31 March 2016: £155 million). The movement in GIB's other investments value was primarily due to additions of £777 million (31 March 2016: £61 million) of which £681 million is the purchase by GIB's Off-shore Wind Fund of Lincs Offshore Wind Farm in 2016-17. As the Lincs Offshore Wind Farm is not a designated body, it is not consolidated in the BEIS departmental group and in accordance with the FReM is recognised as an investment under IAS 39. ## 12 Recoverable Contract Costs The Group has commercial agreements in place under which some or all of the expenditure required to settle nuclear provisions will be Recoverable contract costs relating to nuclear provisions Gross recoverable contract costs 6,885 7,221 Less applicable payments received on account (3,445) (3,576) Less associated contract loss provisions (570) (846) Balance at reporting date 2,870 2,799 The above balances relate to the Nuclear Decommissioning Authority. The movements in gross recoverable contract costs during the year were: ## Gross Recoverable Contract Costs \| Gross recoverable contract costs at 1 April \| 7,221 \| 5,661 \| \|-----------------------------------------------\|---------\|---------\| \| Increase/(decrease) in year \| 175 \| 2,071 \| \| Unwinding of discount \| (42) \| 35 \| \| Release in year - continuing operations \| (266) \| (303) \| \| Amortisation of recoverable contract costs \| (203) \| (243) \| \| Gross recoverable contract costs at 31 March \| 6,885 \| 7,221 \| The gross balance of recoverable contract costs of £6,885 million comprises £2,011 million (31 March 2016: £2,213 million) of past costs which were incurred before the revenue recognition period of the related contracts and will be amortised in future years in line with revenue and £4,874 million (31 March 2016: £5,008 million) of probable future costs which form part of the nuclear decommissioning provision (note 19) and will be released as they are incurred. Further details are published in the NDA's accounts. recovered from third parties. Net recoverable costs at 31 March 2017 were £2.87 billion (31 March 2016: £2.799 billion). \| 31 March 2017 \| 31 March 2016 \| \|-----------------\|-----------------\| \| Departmental \| Departmental \| \| Group \| Group \| \| £m \| £m \| \| 31 March 2017 \| 31 March 2016 \| \| Departmental \| Departmental \| \| Group \| Group \| \| £m \| £m \| ## 13 Investments In Joint Ventures And Associates Department Agencies Balance at 1 April - 872 - 680 Reclassifications - (682) - - Additions - 186 - 200 Dividends - (5) - (5) Disposals - (47) - (16) Profit/(Loss) - 18 - (24) Revaluations - 5 - 37 Balance at reporting date - 347 - 872 These include the following: Scira Offshore Energy Limited (Sheringham Shoal Wind Farm) NDPBs and other designated bodies Green Investment Bank, MRC, STFC, UKAEA and BBB plc have joint ventures and/or associates. The most significant holdings are: In November 2014, the Green Investment Bank (GIB) purchased a 20% share in Sheringham Shoal, a wind-farm operator based off the coast of Norfolk, through its wholly owned subsidiary UK Green Investment Sheringham Shoal Limited. This investment was part of GIB's wider strategy to strengthen the UK offshore wind sector. Subsequently in March 2015 GIB sold their holding in UK Green Investment Sheringham Shoal Limited to the Offshore Wind Fund in which GIB have a holding. The investment in Sheringham Shoal is accounted for as an associate and its value at 31 March 2017 is £209 million (31 March 2016: £220 million). Rampion Offshore Wind Limited The Francis Crick Institute Limited The Francis Crick Institute was established in 2010 to deliver a world-class interdisciplinary biomedical research centre. MRC holds 42% (31 March 2016: 42%) of the ordinary shares in the Francis Crick Institute Limited. The remaining shares are held by Cancer Research UK, University College London, the Wellcome Trust, Kings College London and Imperial College of Science, Technology and Medicine. The Institute became fully operational in 2016-17 following the completion of the Crick building. Accordingly, the value of the BEIS investment at 31 March 2017 is £266 million (31 March 2016: £268 million), after revaluing to reflect BEIS's share of net assets. Green Investment Bank Green Investment Bank holds a number of joint ventures and associates, the most significant holdings are below. At 20 March 2017 the carrying value of joint ventures and associates held by GIB were reclassified as a non-current asset held for sale. The Green Investment Bank (GIB) holds a 25% (31 March 2016: 25%) share in Rampion Offshore Wind Limited through its wholly owned subsidiary UK Green Investment Rampion Limited. BEIS accounts for this investment as an associate under IFRS 11 (equity method), with a carrying value of £195 million at 31 March 2017 (31 March 2016: £75 million). This investment is part of GIB's wider strategy to strengthen the UK offshore wind sector. Construction of this project commenced in May 2015 and is progressing in line with expectations. The wind farm is expected to become fully operational during 2018. For further financial information on the investments shown above, please see the individual accounts of the entities. \| \| 31 March 2017 \| 31 March 2016 restated \| \|------------\|-----------------\|--------------------------\| \| Core \| \| Core \| \| Department \| \| \| \| and \| \| Departmental \| \| Group \| Agencies \| Group \| \| £m \| £m \| £m \| ## 14 Trade And Other Receivables Amounts falling due within one year: Trade receivables 93 535 215 544 Deposits and advances - - - 5 Other receivables: VAT and other taxation 18 131 35 129 Staff receivables 1 2 1 3 RPS receivables 135 135 140 140 Other 89 109 71 132 Prepayments and accrued income 102 388 87 344 Amounts falling due after more than one year: Trade receivables 4 60 16 60 Deposits and advances - 1 - - Other receivables 301 300 340 341 Prepayments and accrued income - 38 - 36 Total Receivables 743 1,699 905 1,734 The Redundancy Payment Scheme (RPS) receivable is shown net of an annual impairment. The impairment is calculated by the Insolvency Service using a model which is approved by HMRC. The model calculates the recoverable debt as £135 million as at 31 March 2017 (31 March 2016: £140 million). There is a risk that the estimation of 14% is over-optimistic and therefore would result in a downward revision in future years. Additionally the model has been created using only 11 years of available data with 14 years of data required for a full model to be effective. However, the model is designed to self-check against recovery rates and for data available there is only a small annual variation from the 14% target. This variation is not material and therefore does not render the model invalid. The model is also designed to be monitored and amended annually as required. Additionally, reporting is on a monthly basis to ensure early warning of any trends outside the parameters set in the model. Coal Pensions receivables included in Other receivables are held by the core Department, and represent the amounts due to the Government relating to its relationship with the British Coal \| \| 31 March 2017 \| 31 March 2016 restated \| \|------------\|-----------------\|--------------------------\| \| Core \| \| Core \| \| Department \| Department \| \| \| and \| \| Departmental \| \| Agencies \| Group \| Agencies \| \| £m \| £m \| £m \| \| 438 \| 1,300 \| 549 \| \| 305 \| 399 \| 356 \| Staff Superannuation Scheme (BCSSS) and the Mineworkers' Pension Scheme (MPS). After privatisation of the British Coal Corporation in 1994 the Government gave financial guarantees in relation to certain benefits payable to members and beneficiaries of the 2 schemes. The balance of Coal Pensions receivables at 31 March 2017 is £331 million (31 March 2016: £369 million). As part of those agreements the Government is entitled to a portion of any periodic valuation surpluses. Recommended cash flows to Government are generally determined by the Government Actuary following their triennial valuations. The most recent valuations were at 31 March 2015 for BCSSS and 30 September 2014 for MPS. More details can be found at https://www.bcsss-pension.org.uk/ and http://www.mps-pension.org.uk/. The Coal Pensions receivables have been classified as loans and receivables in accordance with IAS 39: Financial Instruments: Recognition and Measurement. They are valued at fair value which equates to the cash flows being discounted at a rate of 3.7%, which is the Treasury's real Financial Instrument discount rate of 0.7% plus appropriate indexation. ## 15 Non-Current Assets And Liabilities Held For Sale Department Agencies Balance of assets at 1 April - 19 - 2 Additions and reclassifications 1,517 2,605 - 19 Disposals - (23) - (2) Revaluations - 8 - - Carrying amount of assets at reporting date 1,517 2,609 - 19 Balance of liabilities at 1 April - - - - Additions and reclassifications - (1,000) - - Carrying amount of liabilities at reporting date - (1,000) - - Carrying amount at reporting date 1,517 1,609 - 19 ## Core Department Green Investment Bank On 3 March 2016, the Secretary of State formally launched a process for the sale of the shares in the Green Investment Bank ("GIB"). On 19 April 2017, the Secretary of State signed a deal to sell the shares to Macquarie Group Limited. The negotiations with Macquarie Group Limited were sufficiently advanced by 31 March 2017 for GIB to be classified as a non-current asset held for sale. The sale is expected to be completed during 2017. The most significant items held as 'Non-current assets classified as held for sale' in accordance with IFRS 5 comprise the core Department's shareholding in Green Investment Bank plc ("GIB"). Prior to reclassification as a non-current asset held for sale the shareholding was held at cost less impairment. In accordance with IFRS 5, the shareholding is held at the lower of the carrying value (cost less impairment) and fair value less cost to sell. The shareholding is held at the carrying value as at 31 March 2017 of £1.517 billion. This core Department shareholding is eliminated on consolidation. Of the total additions to assets held for sale of £2,605 million shown above, £2,565 million relates to the assets of GIB. Of the total additions to liabilities held for sale of £1,000 million shown above, £1,000 million relates to the liabilities of GIB. The results of GIB for the year are presented below: \| Income from sale of goods and services \| (145) \| (24) \| \|------------------------------------------\|---------------\|--------------\| \| Total operating income \| (145) \| (24) \| \| Staff costs \| 19 \| 17 \| \| Purchase of goods and services \| 59 \| 23 \| \| Depreciation and impairment charges \| 35 \| 11 \| \| Other operating expenditure \| (12) \| (33) \| \| Total operating expenditure \| 101 \| 18 \| \| Finance income \| (6) \| (30) \| \| Finance expense \| 32 \| 15 \| \| Net expenditure \| (18) \| (21) \| \| 31 March 2017 \| 31 March 2016 \| \| \| Core \| \| Core \| \| Department \| \| \| \| and \| \| Departmental \| \| Group \| Agencies \| Group \| \| £m \| £m \| £m \| \| 31 March 2017 \| 31 March 2016 \| \| \| £m \| £m \| \| The major classes of assets and liabilities of GIB as held for sale as at 31 March 2017 are, as follows: \| Note \| 31 March 2017 \| \|--------------------------------------------------------------\|-----------------\| \| £m \| \| \| Non-current assets: \| \| \| Property, plant and equipment \| 7 \| \| Intangible assets \| 5 \| \| Other financial assets \| 11 \| \| Investment in joint ventures and associates \| 13 \| \| Total non-current assets \| 2,425 \| \| Current assets: \| \| \| Inventories \| 1 \| \| Trade and other receivables \| 61 \| \| Other financial assets \| 9 \| \| Cash and cash equivalents \| 69 \| \| Total current assets \| 140 \| \| Total assets \| 2,565 \| \| Current liabilities: \| \| \| Trade payables and other liabilities \| 18 \| \| Total current liabilities \| (748) \| \| Non-current assets plus/less net current assets/ liabilities \| 1,817 \| \| Non-current liabilities: \| \| \| Trade payables and other liabilities \| 18 \| \| Provisions \| (50) \| \| Total non-current liabilities \| (252) \| \| Total assets less liabilities \| 1,565 \| \| Amounts included in accumulated OCI: \| \| \| Revaluation reserve \| 15 \| \| Reserve of disposal group classified as available for sale \| 15 \| The net cash flows incurred by GIB are as follows: \| 31 March 2017 \| 31 March 2016 \| \|-----------------------------------------------------------------------\|-----------------\| \| £m \| £m \| \| Cash flows: Net cash inflow from operating activities \| 354 \| \| Cash flows: Net cash outflow from investing activities \| (889) \| \| Cash flows: Net Financing \| 482 \| \| Cash flows: Net increase/(decrease) in cash equivalents in the period \| (53) \| ## 16 Investments And Loans In Public Sector Bodies: Current \| Balance at 1 April \| 541 \| 293 \| \|----------------------------------------------------------------------\|---------\|---------\| \| Additions \| 7,662 \| 7,511 \| \| Repayments \| (7,530) \| (7,290) \| \| Loans repayable within 12 months transferred from non-current assets \| 9 \| 27 \| \| Balance at reporting date \| 682 \| 541 \| The most significant item included above is a loan facility to Post Office Limited (POL). Since October 2003 the core Department has made available to POL a revolving loan facility of up to £950 million. This is to help the company fund its daily in-branch working capital requirements to deliver services through the network, such as social benefits payments and access to cash. The facility currently matures in March 2018. The outstanding balance at 31 March 2017 was £649 million (31 March 2016: £515 million) which is included in the £682 million above. ## 17 Cash And Cash Equivalents Department Agencies Balance as at 1 April 775 1,495 1,693 2,603 Net change in cash and cash equivalent balances 417 322 (918) (1,108) Balance as at period end date 1,192 1,817 775 1,495 The following balances at 31 March were held at: The Government Banking Service (GBS) 1,191 1,606 774 1,294 Commercial banks and cash in hand 1 211 1 201 Balance at period end date 1,192 1,817 775 1,495 31 March 2016 31 March 2017 restated £m £m 31 March 2017 31 March 2016 Core Core Department and Departmental and Departmental Group Agencies Group £m £m £m £m ## 18 Trade Payables And Other Liabilities Amounts falling due within one year: VAT, social security and other taxation 8 91 9 109 Trade payables - 310 - 212 Other payables 28 355 41 212 Accruals and deferred income 1,020 2,930 662 2,434 Amounts issued from the Consolidated Fund for supply but not spent at year end 977 977 488 488 Consolidated Fund Extra Receipts due to be paid to the Consolidated Fund: Received 215 227 288 305 Amounts falling due after more than one year: Trade Payables - 2 - 3 Other payables, accruals and deferred income 1,023 2,456 1,138 3,266 Finance leases - 2 - 3 Total payables 3,271 7,350 2,626 7,032 Included under accruals and deferred income are: a) promissory note liabilities with maturities of less than one year of £446 million (31 March 2016: £136 million) and with maturities greater than one year of £1,022 million (31 March 2016: £1,137 million) which represent amounts owed for various ODA (Official Development Assistance) projects to which the Department has contributed and b) sums received on account by the Nuclear Decommissioning Authority relating to income from long term contracts to be recognised within one year of £719 million (31 March 2016: £695 million) and after one year of £1,416 million (31 March 2016: £1,424 million); more details are available in the accounts of the Nuclear Decommissioning Authority. \| \| 31 March 2017 \| 31 March 2016 restated \| \|------------\|-----------------\|--------------------------\| \| Core \| \| Core \| \| Department \| Department \| \| \| and \| \| Departmental \| \| Agencies \| Group \| Agencies \| \| £m \| £m \| £m \| \| 2,248 \| 4,890 \| 1,488 \| \| 1,023 \| 2,460 \| 1,138 \| ## 19 Provisions For Liabilities And Charges Department Note Agencies Current liabilities: Not later than one year 289 3,582 315 3,496 Total current liabilities 289 3,582 315 3,496 Non-current liabilities: Later than one year and not later than five years 1,008 13,244 1,072 13,206 Later than five years 1,289 152,722 1,444 150,916 Total non-current liabilities 2,297 165,966 2,516 164,122 Total 2,586 169,548 2,831 167,618 Total provisions Nuclear 19.1 1,592 165,283 1,698 163,239 Other 19.2 994 4,265 1,133 4,379 Total 2,586 169,548 2,831 167,618 ## 19.1 Nuclear \| Department \| \| \|---------------------------\|------------------------\| \| UK Atomic \| \| \| British \| Energy Authority \| \| Energy \| Decommissioning \| \| £m \| £m \| \| Restated balance at 31 \| \| \| March 2015 \| 1,581 \| \| Unwinding of discount \| (14) \| \| 1,441 \| \| \| Discount to present value \| 61 \| \| 89,474 \| \| \| Provided in the year \| 4 \| \| 3,248 \| \| \| Provisions not required \| \| \| written back \| - \| \| (318) \| \| \| Provisions utilised \| \| \| in the year \| (217) \| \| (3,014) \| \| \| Restated balance at 31 \| \| \| March 2016 \| 1,415 \| \| Unwinding of discount \| (17) \| \| (1,309) \| \| \| Discount to present value \| 54 \| \| 4,964 \| \| \| Provided in the year \| 38 \| \| 2,303 \| \| \| Provisions not required \| \| \| written back \| - \| \| (940) \| \| \| Provisions utilised \| \| \| in the year \| (204) \| \| (2,974) \| \| \| Balance at \| \| \| 31 March 2017 \| 1,286 \| \| 31 March 2017 \| 31 March 2016 restated \| \| Core \| \| \| Department \| \| \| and \| \| \| Group \| Agencies \| \| £m \| £m \| \| Core \| \| \| and \| \| \| NDA \| Contract \| \| Total \| Decommissioning \| ## Estimated Forward Discounted Cash Flows As At 31 March 2017 UK Atomic British Energy Authority Energy Decommissioning £m £m £m £m £m £m Not later than one year 191 – 191 3,024 162 3,377 Later than one year and not later than five years 612 52 664 11,761 168 12,593 Later than five years 483 254 737 148,386 190 149,313 Total forward cash flows as at 31 March 2017 1,286 306 1,592 163,171 520 165,283 ## Core Department British Energy As a result of the restructuring of British Energy (BE) in January 2005, the Government assists BE in meeting its contractual historic fuel liabilities. The provision is based on the forecast payment schedule up to 2029 which is set out in the waste processing contracts agreed between BE, BNFL and the Department. The costs are estimated to be £188 million (31 March 2016: £205 million) (undiscounted at current prices) for next year and are then expected to fall each year thereafter. Each year the profile of future payments is reassessed in line with the Retail Prices Index (RPI) and the level of provision adjusted in accordance with the Historic Liabilities Funding Agreement with BE. UK Atomic Energy Authority Decommissioning The decommissioning provision represents the estimated costs of decommissioning fusion research facilities at UKAEA's Culham site, including the storage, processing and eventual disposal of radioactive wastes. The Core Department retains the liability for these costs. The estimate for the provision is reassessed annually. The last detailed Life Time Plan (LTP) for decommissioning, funded by the Nuclear Decommissioning Authority (NDA), was drawn up in 2007-08. Since then UKAEA has each year carried out a high level assessment of changes to the assumptions made in the previous LTP. For example, the provision includes estimates for the decommissioning of facilities built since 2007-08, and an assessment of the effect of changes to some key assumptions such as the date of Joint European Torus (JET) closure. \| Core \| \| \|------------\|-----------------\| \| Department \| \| \| and \| \| \| Agencies \| NDA \| \| Total \| Decommissioning \| The approach taken, until a further LTP is prepared, and the fact that much of the work required to deal with the liabilities will not be undertaken until well into the future, means that there is at present a significant uncertainty as to the amount of the provision. In addition, timing of expenditure on the decommissioning provision is dependent on the closure date of the JET facility which is to be decommissioned. The best estimate of the cost of the liabilities is discounted using HM Treasury's discount rates which range from -2.70% to -0.80% depending on the timing of cash flows. The undiscounted cost of the provisions as at 31 March 2017 was £266 million (31 March 2016: £258 million). ## Nda Decommissioning The NDA's nuclear decommissioning liability represents NDA's best estimate of the costs of decommissioning plant and equipment on each of the designated nuclear licensed sites in accordance with the published strategy. The programme of decommissioning work will take until 2137 but, in preparing the estimate, the NDA has focused in particular on the first 20 years which represent £53 billion out of the total £163.2 billion provision (31 March 2016: £51.2 billion out of £160.2 billion restated). The estimates are necessarily based on assumptions about the processes and methods likely to be used to discharge the obligations and reflect latest technical knowledge, existing regulatory requirements, Government policy and commercial agreements. Given the very long timescale and the complexity of the plants and material being handled, considerable uncertainty remains in the cost estimate, particularly in the later years. Discounting of the forward cash flow estimates to present value also has a significant impact on the liability reported in the Statement of financial position of £163.2 billion at 31 March 2017 (31 March 2016: £160.2 billion restated). The undiscounted equivalent of this reported liability is £119 billion at 31 March 2017 (31 March 2016: £117.4 billion). The Group auditors continue to include an, emphasis of matter, paragraph in their audit certificate concerning the overall measurement uncertainty. The NDA has commercial agreements in place under which a portion of the expenditure required to settle certain elements of the decommissioning provision are recoverable from third parties. Changes in future cost estimates of discharging these particular elements are therefore matched by a change in recoverable contract costs. In accordance with IAS 37, these recoverable amounts are not offset against the decommissioning provision but are treated as a separate asset (note 12). Further details are reported in Box 4 on page 38 of the Annual Report and in the NDA Annual Report and Accounts. Contract loss Contract loss provisions have been recognised by the Nuclear Decommissioning Authority to cover anticipated shortfalls between total income and total expenditure on relevant long term contracts. The amounts are disclosed net after deduction of amounts relating to recoverable contract costs (note 12). The amount provided in the year for contract losses relates to changes in estimates of the costs of existing contracts. Further detail, including movement on the gross provision, can be found in the accounts of the NDA. Group Total Departmental Early departure costs and restructuring Other Coal Authority and Total Core Agencies Department leases Other Onerous Legacy ailments British Shipbuilders £m £m £m £m £m £m £m £m £m £m fuel Concessionary Restated balance at 1 April 2015 486 184 185 133 458 1,446 918 121 147 2,632 Transferred in/(out) - – - – - – - - 25 25 Discount to present value 64 46 23 - 12 145 1,927 - 35 2,107 Provided in the year - – - 5 65 70 15 87 72 244 Provisions not required written back (28) (20) (1) (5) (23) (77) (33) (1) (6) (117) Provisions utilised in the year (49) (10) (11) (16) (359) (445) (16) (55) (2) (518) Unwinding of discount (2) 3 (2) (2) (3) (6) 11 - 1 6 Restated balance at 31 March 2016 471 203 194 115 150 1,133 2,822 152 272 4,379 ## 19.2 Other Provisions Transferred in/(out) - – - – - – - - (34) (34) Discount to present value 15 5 1 3 4 28 - (3) 10 35 Provided in the year - – - 31 8 39 57 25 130 251 Provisions not required written back (5) (2) (47) (16) (30) (99) (14) (4) (34) (152) Provisions utilised in the year (43) (6) (15) (19) (13) (96) (23) (49) (15) (183) Unwinding of discount (5) (2) (2) (1) - (10) (24) - 3 (31) Balance at 31 March 2017 433 198 131 113 119 994 2,818 121 332 4,265 Estimated forward discounted cash flows as at 31 March 2017 Not later than one year 43 8 11 17 19 98 26 38 43 205 Later than one year and not later than five years 146 36 50 72 40 344 110 41 156 651 Later than five years 244 154 70 24 60 552 2,682 42 133 3,409 Total forward cash flows as at 31 March 2017 433 198 131 113 119 994 2,818 121 332 4,265 The time scale over which it is estimated the discounted costs will need to be incurred is shown against Estimated forward discounted cash flows. ## Core Department Concessionary Fuel The Department's approach to accounting for the personal injury compensation claims against British Shipbuilders and its subsidiaries has been to provide for those costs of resolution which are both probable and reliably estimable. An actuarial review of asbestos and other disease liabilities as at 31 March 2016 was reported in April 2016. This report identified a range of undiscounted liabilities from £118 million to £389 million. The current estimate is that the liabilities will extend for up to 33 years. The provision has previously covered the cost of the Department's responsibility to provide either solid fuel or a cash alternative to ex-miners and their dependants formerly employed by British Coal, including the administration of the scheme. On the 15 November 2013, the Chancellor of the Exchequer announced that the government would additionally guarantee the concessionary fuel allowance of those who lost their entitlement as a consequence of the restructuring of UK Coal in July 2013. This resulted in a further cohort of approximately 1,500 beneficiaries added to the Department's Scheme. In the light of significant uncertainty associated with asbestos claims, there can be no guarantee that the assumptions used to estimate the provisions for the cost of resolving asbestos claims will be an accurate prediction of the actual cost that may be incurred and, as a result, the provisions are the subject of an actuarial review when a condition changes materially. On 4 March 2015, the Minister of State for Energy further announced that the government would ensure that the current UK Coal miners, approximately 700 beneficiaries, would continue to receive their concessionary fuel benefits upon closure of the companies' remaining deep mines. The estimated future cost is also included in the provision. The core Department is also responsible for compensation claims made against former British Shipbuilders' companies. The Financial Services Compensation Scheme does not compensate former employees in respect of periods of employment with nationalised industries and the Department assumed liability for this compensation by way of a Minute to Parliament in 2003. The undiscounted liability at 31 March 2017 was £9 million (31 March 2016: £9 million) and is included within other provisions. ## Legacy Ailments Of the total 52,287 current beneficiaries (including ex UK Coal beneficiaries) at 31 March 2017, 44,015 have opted for the cash alternative at an average of around £741 per annum; for the remainder, the average annual solid fuel cost to the Department is around £1,416 per beneficiary (this includes the cost of fuel, distribution and VAT). The provision is based on standard female mortality rates and includes an assumption of beneficiaries continuing to switch their entitlement from solid fuel to cash, in line with rates observed in the recent past and allowing for the fact that the ex-UK Coal beneficiaries have greater restrictions in this regard. Responsibility for the compensation claims relating to personal injuries and ailments suffered by former British Coal mineworkers transferred to the Department on 1 January 1998 by a restructuring scheme under the Coal Industry Act 1994. ## British Shipbuilders British Shipbuilders had liabilities arising from personal injury to former employees resulting primarily from exposure to asbestos during the course of their work. The Core Department has taken on full responsibility for the liabilities of the former Corporation, which was abolished in March 2013. The best estimate of the cost of the liabilities is discounted using HM Treasury's discount rates which range from -2.70% to -0.80% depending on the timing of the cash flows. The undiscounted liability as at 31 March 2017 was £176 million (31 March 2016: £183 million). The discounted value is higher than the undiscounted liability due to the negative discount rates used. The liabilities concern compensation claims relating to personal injuries. Over £6.3 billion has been paid out since privatisation and there are future liabilities such as induced hearing loss (£28 million), miscellaneous disease claims (including phurnacite, mesothelioma, pneumoconiosis, pleural thickening, asbestosrelated conditions, vibration white finger, chronic obstructive pulmonary disease, cancer, pleural plaques, other minor benefits schemes) (£69 million) and recently commenced litigation by former British Coal Coke Oven Workers (£20 million). The provisions are based on the forecasts of the settlements of future claims, taking into account discussion with our legal advisors, claim handlers and recent actuarial estimates. Forecasts beyond 2022, when the current contract with our legal advisors is due to end, are subject to considerable uncertainty in estimates of the number of cases and the levels of damages and costs. ## Onerous Leases The Core Department has onerous leases in respect of leased offices at 151 Buckingham Palace Road (BPR), 10-18 Victoria Street (10VS) and various leases transferred from other bodies following their winding up. The Department provides for these leases in full when the lease becomes onerous by establishing a provision for the future estimated payments discounted by HM Treasury's discount rate in the range -2.70% to -0.80% in real terms, depending on the timing of the cash flows. The current estimate is that the liabilities will extend up to 2026. The core Department has attempted to mitigate any potential losses through subletting against the existing head leases for the buildings, and has sublet BPR, 10VS and some of the properties transferred into the Department. However, given current market conditions and future forecasts the core Department has determined that at the reporting date neither the current nor future potential subleases will recover the full costs incurred by BEIS. Work is also ongoing to dispose of some of the leases to a specialist company, which primarily deals with surplus buildings. The core Department is also undergoing a program to rationalise the impact of onerous leases going forward. The undiscounted liability as at 31 March 2017 was £106 million (31 March 2016: £111 million). The discounted value is higher than the undiscounted liability due to the negative discount rates used for the short and medium term. ## Group Enterprise Capital Fund The British Business Bank plc (BBB) recognises a provision for loan commitments relating to Enterprise Capital Fund (ECF) investments which is included in other provisions. The British Business Bank accepts a lower return from ECF investments in order to encourage private sector investors to invest. Although BBB expects to make a positive return from these investments, this return is less than that required by the private sector. Accounting standards require BBB to recognise a liability when it makes a commitment to a fund. BBB records this liability as a provision. When a commitment is drawn, BBB subsequently impairs the resulting investment and utilises the provision by a corresponding amount. This results in significant upfront expenditure when new ECF commitments are entered into. This expenditure gradually reverses over the lifetime of the investment as the impairment is reversed and does not relate to an underlying loss on ECF investments. The undiscounted liability as at 31 March 2017 was £165 million (31 March 2016: £109 million). ## Coal Authority The Coal Authority provision relates predominantly to the Authority's responsibilities for mine water treatment, public safety and subsidence, subsidence pumping stations and tip management. Significant uncertainties are associated with estimation of likely costs in respect of these liabilities. Further details are reported in the Coal Authority Annual Report and Accounts. Included in other provisions in note 19.2 for the core Department is the Coal Health provision (legacy ailments), which is subject to significant uncertainty. ## Early Departure Costs And Restructuring £109 million of the restructuring provision relates to site licence companies and includes continuing annual payments under early retirement arrangements to individuals who retired early, or had accepted early retirement, before 31 March 2017 and will continue at least until the date at which the individual would have reached normal retirement age. ## 20 Retirement Benefit Obligations \| Present value of defined benefit obligation at 1 April \| 5,821 \| 5,923 \| \|----------------------------------------------------------\|---------\|---------\| \| Interest cost \| 197 \| 188 \| \| Current service cost \| 186 \| 222 \| \| Past service cost \| 36 \| 25 \| \| Benefits paid \| (200) \| (189) \| \| Actuarial (gains)/losses \| 1,385 \| (412) \| \| Employee contributions \| 25 \| 26 \| \| Transfer in \| - \| 38 \| \| Present value of defined benefit obligation at 31 March \| 7,450 \| 5,821 \| \| Fair value of assets at 1 April \| 5,544 \| 5,461 \| \| Expected return on plan assets \| 190 \| 174 \| \| Employer contributions \| 162 \| 160 \| \| Benefits paid \| (200) \| (189) \| \| Actuarial gains/(losses) \| 887 \| (112) \| \| Employee contributions \| 25 \| 26 \| \| Transfer in \| - \| 24 \| \| Fair value of assets at 31 March \| 6,608 \| 5,544 \| \| Net liability at 31 March \| 842 \| 277 \| to 2.5% at 31 March 2017 and for the nuclear site licence companies from 3.5% at 31 March 2016 to 2.5% at 31 March 2017. The increase in the net liability at 31 March 2017 compared to 31 March 2016 is primarily due to a decrease in the discount rate applied to the defined benefit obligation for the Medical Research Council from 3.4% at 31 March 2016 ## Net (Asset)/Liability By Scheme \| Medical Research Council \| (3) \| (124) \| \|----------------------------------------------------\|---------\|---------\| \| SLC - LLWR section of CNPP \| 13 \| 5 \| \| SLC - SLC section of Magnox Electric Group of ESPS \| 144 \| 151 \| \| SLC - Magnox section of CNPP \| 32 \| 23 \| \| SLC - Group Pension Scheme SLC section of CNPP \| 100 \| 30 \| \| SLC - Sellafield section of CNPP \| 541 \| 191 \| \| Nuclear Decommissioning Authority \| 15 \| 1 \| \| Total net liability \| 842 \| 277 \| \| 2016-17 \| 2015-16 \| \| \| Funded \| Funded \| \| \| pension \| pension \| \| \| schemes \| schemes \| \| \| £m \| £m \| \| \| 31 March 2017 31 March 2016 \| \| \| \| £m \| £m \| \| Medical Research Council (MRC) The MRC operates a defined benefit, final salary pension scheme. A full actuarial evaluation was undertaken as at 31 December 2013 which was rolled forward by the actuary to determine the approximate position as at 31 March 2017. Further details can be found in the accounts of the MRC. Nuclear site licence companies (SLCs) There are 5 defined benefit, final salary pension schemes relating to 3 of the 4 SLCs comprising: a) the LLWR section of the Combined Nuclear Pension Plan (CNPP) (for LLW Repository Limited), b) the SLC Section of the Magnox Electric Group of the Electricity Supply Pension Scheme and the Magnox Section of the CNPP ## Major Actuarial Assumptions For Slc Schemes \| \| \| \| LLW Repository Limited \| Magnox Limited \| Sellafield Limited \| \|---------------------------------\|---------\|---------\|--------------------------\|------------------\|----------------------\| \| 2016-17 \| 2015-16 \| 2016-17 \| 2015-16 \| 2016-17 \| 2015-16 \| \| Discount rate \| 2.5% \| 3.5% \| 2.5% \| 3.4% \| 2.5% \| \| Inflation (Retail Prices Index) \| 3.2% \| 3.0% \| 3.4% \| 3.2% \| 3.2% \| \| Life expectancy in years at \| \| \| \| \| \| \| 65, currently aged 65 (male) \| 21.8 \| 22.6 \| \| \| \| \| Life expectancy in years at \| \| \| \| \| \| \| 65, currently aged 45 (male) \| 23.1 \| 23.9 \| \| \| \| \| Life expectancy in years at \| \| \| \| \| \| \| 65, currently aged 65 (female) \| 24.2 \| 25.3 \| \| \| \| \| Life expectancy in years at \| \| \| \| \| \| \| 65, currently aged 45 (female) \| 25.8 \| 26.6 \| \| \| \| \| Life expectancy in years at \| \| \| \| \| \| \| 60, currently aged 60 (male) \| 28.4 \| 27.8 \| \| \| \| \| Life expectancy in years at \| \| \| \| \| \| \| 60, currently aged 40 (male) \| 29.5 \| 29.7 \| \| \| \| \| Life expectancy in years \| \| \| \| \| \| \| at 60, currently aged 60 \| \| \| \| \| \| \| (female) \| 30.3 \| 30.2 \| \| \| \| \| Life expectancy in years at \| \| \| \| \| \| \| 60, currently aged 40 (female) \| 31.4 \| 32.2 \| \| \| \| \| Life expectancy in years at \| \| \| \| \| \| \| 65, currently aged 65 (male) \| 22.8 \| 22.6 \| \| \| \| \| Life expectancy in years at \| \| \| \| \| \| \| 65, currently aged 45 (male) \| 24.2 \| 23.9 \| \| \| \| (for Magnox Limited) and c) the Group Pension Scheme SLC section of the CNPP and the Sellafield section of the CNPP (for Sellafield Limited). They are subject to the UK regulatory framework for pensions. The plans are operated under trust and the Trustees are responsible for operating them. All are closed to new entrants. Full actuarial evaluations were undertaken as at 31 March 2016 for the Magnox schemes and as at 31 March 2013 for the other three. The actuaries rolled forward the results to determine approximate positions as at 31 March 2017. Further information relating to actuarial assumptions, asset allocation and sensitivity analysis is provided below for these SLC schemes only as they comprise the major part of the overall pension liability. ## Asset Allocation For Slc Schemes \| Equities \| 1,538 \| 1,163 \| \|---------------------------\|---------\|---------\| \| Property \| 292 \| 299 \| \| Government bonds \| 1,488 \| 1,133 \| \| Corporate bonds \| 391 \| 369 \| \| Other growth assets \| 1,235 \| 957 \| \| Other \| 64 \| 261 \| \| Balance at reporting date \| 5,008 \| 4,182 \| ## Sensitivity Analysis For Slc Schemes \| 0.1 percentage point decrease in annual discount rate \| 58 \| \|---------------------------------------------------------\|------\| \| 0.1 percentage point increase in inflation assumption \| 56 \| \| 0.5 percentage point decrease in annual discount rate \| 5 \| \| 0.5 percentage point increase in inflation assumption \| 5 \| \| 1 year increase in life expectancy \| 1 \| The table shows the increase in liability that would result from changes in these actuarial assumptions. Nuclear Decommissioning Authority (NDA) 2 defined benefit pension schemes relate to the NDA - the Closed and Nirex sections of the CNPP. Both are closed to new entrants. Full actuarial evaluations were undertaken as at 31 March 2013. The actuaries rolled forward the results to determine approximate positions as at 31 March 2017. 31 March 2017 31 March 2016 £m £m LLW Repository Magnox Sellafield Limited Limited Limited £m £m £m ## 21 Capital And Other Commitments Total Minimum Payments In Respect Of Capital, Lease And Other Commitments Note Contracted capital commitments 21.1 123 2,095 119 2,087 Minimum future payments under: Operating leases 21.2 282 353 374 474 Finance leases – 3 – 5 PFI contracts and service concession arrangements 5 5 7 7 Other financial commitments 21.3 3,178 3,612 1,960 2,367 Total 3,588 6,068 2,460 4,940 ## 21.1 Capital Commitments Contracted capital commitments not otherwise included in these financial statements: Property, plant and equipment 2 415 1 318 Intangible assets 1 40 – 53 Loans and investments 120 1,640 118 1,716 Total 123 2,095 119 2,087 Core Department The core Department has not entered into any significant capital commitments. NDPBs and other designated bodies Capital commitments as at 31 March 2017 include the following significant items: • Property, plant and equipment commitments for Biotechnology and Biological Sciences Research Council (BBSRC) of £225 million (31 March 2016: £165 million) at the BBSRC Institute sites for the next four years and for Natural Environment Research Council (NERC) of £93 million (31 March 2016: £133 million), to build a new polar research vessel. • Investment commitments of £960 million (31 March 2016: £946 million) for the British Business Bank plc (BBB) relating to undrawn investment commitments, £456 million \| \| 31 March 2017 \| 31 March 2016 restated \| \|---------------\|------------------------\|--------------------------\| \| Core \| \| Core \| \| Department \| Department \| \| \| and \| \| Departmental \| \| Agencies \| Group \| Agencies \| \| £m \| £m \| £m \| \| 31 March 2017 \| 31 March 2016 restated \| \| \| Core \| \| Core \| \| Department \| Department \| \| \| and \| \| Departmental \| \| Agencies \| Group \| Agencies \| \| £m \| £m \| £m \| (31 March 2016: £539 million) for the Green Investment Bank (GIB), which on 20 March 2017 was reclassified as an asset held for sale - relating to investment contracts where the borrower or investee entity may draw down committed capital over the contracted period - and £99 million (31 March 2016: £101 million) for the BIS (Postal Services Act 2011) Company Limited, which has capital calls relating to investments in respect of its private equity and property funds financial instruments. ## 21.2 Commitments Under Leases 21.2.1 Operating Leases Total future minimum lease payments under operating leases are given in the table below for each of the following periods: Department Agencies Obligations under operating leases comprise: Land: Not later than one year - 1 - - Later than one year and not later than five years - 2 - 2 Later than five years - 19 - 11 Buildings: Not later than one year 60 68 69 78 Later than one year and not later than five years 172 187 252 268 Later than five years 33 57 51 100 Other: Not later than one year 7 8 1 6 Later than one year and not later than five years 10 11 1 6 Later than five years - - - 3 Total 282 353 374 474 Operating leases: Department as a lessor Total future minimum lease receivables under operating leases are given in the table below: The core Department is allowed to sub-lease and can assign leases subject to the lease provisions. Further information about finance leases and sub-lease arrangements of the Agencies, NDPBs and other designated bodies can be found in the accounts of the relevant bodies. Receivables under operating leases for the following periods comprise: Not later than one year 7 5 Later than one year and not later than five years 24 10 Later than five years 39 17 Total 70 32 All of the above balances relate to the Departmental Group's ALBs. \| \| 31 March 2017 \| 31 March 2016 \| \|---------------\|-----------------\|-----------------\| \| Core \| \| Core \| \| Department \| \| \| \| and \| \| Departmental \| \| Group \| Agencies \| Group \| \| £m \| £m \| £m \| \| - \| 22 \| - \| \| 265 \| 312 \| 372 \| \| 17 \| 19 \| 2 \| \| 31 March 2017 \| 31 March 2016 \| \| \| Departmental \| Departmental \| \| \| Group \| Group \| \| \| £m \| £m \| \| 21.3 Other financial commitments BEIS has entered into non-cancellable contracts (which are not leases, PFI contracts or other service concession arrangements) for \| Not later than one year \| 487 \| 674 \| 523 \| 705 \| \|---------------------------------------------------\|-------\|-------\|-------\|-------\| \| Later than one year and not later than five years \| 1,601 \| 1,806 \| 1,294 \| 1,472 \| \| Later than five years \| 1,090 \| 1,132 \| 143 \| 190 \| \| Total \| 3,178 \| 3,612 \| 1,960 \| 2,367 \| ## 21.3.1 International Subscriptions The financial commitments payable include subscriptions payable to international bodies, analysed by the period in which the payments are due: \| \| \| \| Organisation \| Note Within 1 Year \| \|------------------------------\|-----\|-------\|----------------\|----------------------\| \| £m \| £m \| £m \| £m \| £m \| \| European Space Agency \| a \| 216 \| 926 \| - \| \| Other subscriptions \| 1 \| 5 \| 29 \| 35 \| \| Core Department and \| \| \| \| \| \| Agencies total \| 217 \| 931 \| 29 \| 1,177 \| \| European Organisation for \| \| \| \| \| \| Nuclear Research (CERN) \| b \| 132 \| 82 \| - \| \| Institut Laue Langevin (ILL) \| c \| 18 \| 76 \| 35 \| \| Other subscriptions \| 35 \| 48 \| 7 \| 90 \| \| Departmental Group total \| 402 \| 1,137 \| 71 \| 1,610 \| Notes: The Departmental Group is required to subscribe to a number of bodies on an ongoing and continuous basis. These subscriptions are paid in euros, Swiss francs and pounds sterling. The subscriptions described below are paid in euros or Swiss francs and amounts paid are subject to fluctuations due to exchange rate differences. a) The UK Space Agency subscribes to the European Space Agency (ESA) programme. The UK shares research objectives with other European nations and collaborates with them to mitigate the high capital and running costs of facilities. There are agreements in place at national level to regulate annual contributions and the management of the facilities. These subscriptions to international bodies and various other expenditures. Future payments to which BEIS is committed are as follows: \| \| 31 March 2017 \| 31 March 2016 restated \| \|--------------\|-----------------\|--------------------------\| \| Core \| \| Core \| \| Department \| Department \| \| \| and \| \| Departmental \| \| Agencies \| Group \| Agencies \| \| £m \| £m \| £m \| \| Later than 1 \| \| \| \| year and not \| Total \| \| \| later than 5 \| Later than \| \| \| years \| 5 Years \| 2016-17 \| include a period of notice of withdrawal from the arrangement. ESA requires a 12-month notice period after the end of the current calendar year. b) STFC shares the funding of the capital and running costs of CERN with other major scientific nations. There is a notice of withdrawal period of 12 months after the end of the current calendar year. c) The UK, through STFC, has signed up to International Conventions, with respect to Institut Laue-Langevin (ILL). The 5th protocol of the Intergovernmental Convention was signed in July 2013 and will remain in force until 31 December 2023. ## 21.3.2 Other Commitments The financial commitments payable in future years include payments due under non-cancellable contracts to the following organisations: Later than 1 year and not Within later than 5 Organisation Note 1 Year £m £m £m £m £m Met Office a 97 407 1,035 1,539 596 Met Office Supercomputer - - - - 47 Ordnance Survey b 53 150 - 203 352 Other commitments 120 113 26 259 193 Core Department and Agencies total 270 670 1,061 2,001 1,188 Other commitments 2 - - 2 9 Departmental Group total 272 670 1,061 2,003 1,197 The Departmental group has entered into noncancellable contracts with the above bodies. Contracts are paid in euros and pounds sterling. Where payments are made in euros, there are fluctuations due to exchange rate differences. The nature of the most significant contracts is described below: a) The core Department has agreements with the Met Office (a BEIS-owned trading fund) to provide meteorology services, including the Public Weather Service agreement which BEIS manages on behalf of the government. This agreement is open-ended but is reviewed on an annual basis. b) The core Department has agreements with Ordnance Survey Limited (a Governmentowned company in which BEIS is the sole shareholder) to provide mapping data and access to its database for the whole of government. The Public Sector Mapping agreement and the Open Data agreement expire on 31 March 2021. \| \| \| \| Total \| \| \|------------\|---------\|---------\|----------\|---------\| \| Later than \| \| Total \| \| 2015-16 \| \| years \| 5 Years \| 2016-17 \| restated \| \| ## 22 Financial Instruments The carrying amounts of financial instruments in each of the IAS 39 categories are as follows: Note Financial assets Loans and receivables: Cash and cash equivalents 17 1,192 1,817 775 1,495 Receivables (i) 14 641 1,273 818 1,354 Loans to public sector bodies (ii) & (iii) 10.3 & 16 991 846 751 654 Other financial assets 11.2 2 313 27 516 Total loans and receivables 2,826 4,249 2,371 4,019 Public dividend capital: Public dividend capital 10.2 81 81 81 81 Total public dividend capital 81 81 81 81 Available for sale: Repayable launch investments 11.1 1,205 1,205 1,389 1,389 Ordinary shares in public sector companies (iv) 10.1 664 1,086 610 1,146 Other financial assets 11.2 278 2,439 223 2,499 Total available for sale 2,147 4,730 2,222 5,034 Derivatives: Forward contracts 95 107 73 77 Contracts for difference – (12,334) (1,337) (12,607) Total derivatives 95 (12,227) (1,264) (12,530) Fair value through profit or loss: Other financial assets 11.2 – 2 – 61 Total fair value through profit or loss - 2 - 61 Held to maturity: Other financial assets 11.2 – 7 – 8 Total held to maturity - 7 - 8 Financial liabilities Financial guarantees (61) (61) (60) (60) Payables (ii) 18 (1,228) (1,964) (826) (1,332) Total other financial liabilities (1,289) (2,025) (886) (1,392) (i) The amounts disclosed above as payables and receivables exclude any assets or liabilities which do not arise from a contractual arrangement. (ii) Loans to public sector bodies comprises the loans detailed in note 16 and Other loans and investments in Other public sector bodies detailed in note 10.3. (iii) Loans to public sector bodies in the Core Department for 2016-17, excludes £58 million, relating to the Core Department's loan investments in the Northern Powerhouse Investment Fund and Midlands Engine Investment Fund, these are accounted for at cost under IAS 27. (iv) Ordinary shares in public sector companies excludes bodies that are consolidated in the Departmental Group, as these are held at cost, see note 10.1. \| \| 31 March 2017 \| 31 March 2016 restated \| \|------------\|-----------------\|--------------------------\| \| Core \| \| Core \| \| Department \| Department \| \| \| and \| \| Departmental \| \| Agencies \| Group \| Agencies \| \| £m \| £m \| £m \| • Investment Funds - Investee companies IFRS 7 Financial Instruments: Disclosure requires the disclosure of information which will allow users of financial statements to evaluate the significance of financial instruments on the Group's financial performance and position and the nature and extent of the Group's exposure to risks arising from these instruments. • Financial Guarantees - Through the various As the cash requirements of the Departmental Group are largely met through the Estimates process, financial instruments play a more limited role in creating risk than would apply to a nonpublic sector body of a similar size. The Departmental Group is however exposed to credit, market, interest rate, liquidity and commodity price risks due to the specific programmes and activities undertaken in pursuance of the Group's objectives. ## Credit Risk Credit risk is the risk that one party to a financial instrument will cause a financial loss for the other party by failing to discharge an obligation. The Departmental Group's total maximum exposure to credit risk as at 31 March 2017 is £6,720 million (31 March 2016 restated: £7,816 million). The risk of non-payment is reflected in the carrying amounts of the assets and liabilities, where the Department is exposed to credit risk. Significant credit risks can be summarised as follows: Core Department • Repayable Launch Investments - In the event of an investee company failure, the core Department may not recover its initial investment in whole or in part. The core Department seeks to offset this low-probability risk by analysing the financial health of any applicant at the time of application for launch investment and reviewing financial health as part of the programme monitoring activity. In addition, contracts aim to contain provisions which will (as a minimum) not disadvantage the core Department compared to other creditors in the event of a corporate failure. The core Department takes steps to monitor the payments that become due to the companies under launch investment contracts to ensure they comply with the terms of the contracts. Finally, the contracts also require the company's auditors to confirm that all payments made to the core Department have been made correctly and to identify any errors made. may not perform as expected and the Departmental Group may not recover its initial investment. The Department minimises the risk by monitoring the overall performance of the Funds and to secure value for the Department as an investor. This includes a full evaluation of each business case submitted prior to committing funds. loan guarantee schemes the core Department is exposed to the risk that a recipient of the loan may default and the lending institution will call upon the core Department to honour its guarantee. The core Department minimises the credit risk for its most significant guarantees, the Enterprise Financial Guarantee (EFG) and legacy Small Firms Loan Guarantee Scheme (SFLGS), by devolving responsibility to the banks to determine whether any business applying for a loan is commercially viable. The banks are required to apply normal commercial practices. To establish that this is the case, for EFG the core Department undertakes an independent audit of the lenders participating in the Scheme. This is done by sampling and checking guarantees granted and defaults arising using recognised statistical sampling and auditing techniques and by auditing individual default claims by exception, using the participating banks to determine whether any potential lender applying for a loan is commercially viable. Furthermore, any losses suffered on these loans are shared between the Department and the lending institution. The EFG is also subject to a cap which limits the core Department's exposure. As at 31 March 2017 BEIS has £684 million of guarantees outstanding (31 March 2016: £755 million) which will expire over the next 10 years as the underlying debt matures. Due to the cap on payouts, the maximum amount that could be paid out if all loans defaulted is £201 million (31 March 2016: £189 million). However, not all loans are expected to payout and BEIS has estimated its liability to be £61 million (31 March 2016: £60 million). In addition, BEIS has estimated that it will have future fees receivable of £27 million after allowing for bad debts (31 March 2016: £31 million). Both the liability for expected payouts and asset for future fees are recognised on the Statement of Financial Position. NDPBs and other designated bodies • BIS (Postal Services Act 2011) Company Limited is exposed to credit risk, from its investments in debt securities. At 31 March 2017, the Company held debt securities of mixed quality. The group is exposed to counter party credit risk on its high-yield debt securities. Based on historic rates of market defaults a 2% to 4% default rate within the portfolio would not be unexpected. To manage the risk of loss, the investments are broadly diversified. There are specific parameters for the holding of the debt securities within particular sectors together with a limit on individual holdings as a percentage of the total portfolio. The investment managers also have significant expertise in managing default risk. • The British Business Bank (BBB) investments are assessed by BBB's Valuation Committee. BBB produces credit risk ratings for its investments based upon a risk grading of the financial obligor and the estimated Loss Given Default on that investment. Risk drivers assessed in setting the ratings include the financial viability and lending safety of the investment and, if available, the rating assigned by an external credit agency. This is mitigated by new product approval processes that assess default and loss rates, due diligence of delivery partners underwriting methods, and portfolio monitoring and default models being put in place. • The Green Investment Bank (GIB) is exposed to credit risk with respect to their debt investments. GIB minimises the risk of default by entering into loan arrangements with borrowers with strong credit ratings and who hold appropriate collateral. ## Market Risk Market risk is the risk that fair values and future cash flows will fluctuate due to changes in market prices. Market risk generally comprises of: ## Foreign Currency Risk Core Department The core Department is exposed to a small amount of currency risk with respect to Repayable Launch Investment contracts where income due from aircraft or engine sales may initially be based in US dollars, but it is minimal in the context of the overall Repayable Launch Investment portfolio. Otherwise the core Department's exposure to foreign currency risk during the year was insignificant. Foreign currency income was negligible, and foreign currency expenditure was a small percentage of total expenditure (less than 1%). All material assets and liabilities are denominated in pounds sterling. ## Agencies Forward Contracts The UKSA pays an annual subscription in euros to the European Space Agency (ESA) and has entered into forward contracts to mitigate the risk. These derivative contracts have been designated as cash flow hedges. At the reporting date the hedges met the IAS 39 effectiveness criteria. ## Ndpbs And Other Designated Bodies Forward Contracts STFC and BIS (Postal Services Act 2011) Company Limited are subject to foreign currency risks and have entered into forward contracts to help mitigate these risks. These derivative contracts have been designated as cash flow hedges by STFC and at the reporting date the hedges met the IAS 39 effectiveness criteria. BIS (Postal Services Act 2011) Company Limited does not apply hedge accounting. Cash and cash equivalents held in foreign currency BIS Postal Services Act Company, MRC, STFC, NERC and Nesta Trust are subject to minor foreign currency risk through the maintenance of bank accounts in foreign currencies (predominantly USD and EUR) to deal with dayto-day overseas transactions. Investments At 31 March 2017 Enrichment Holdings Limited (EHL) primary investment was in URENCO Limited, a company valued in euros. A 5% movement in the EUR/GBP foreign exchange rate would result in an unrealised foreign exchange gain or loss of £21 million (31 March 2016: £30 million). ## Interest Rate Risk Core Department The core Department does not invest or access funds from commercial sources, but it is exposed to interest rate risk with respect to the SFLGS and the EFG. For SFLGS and EFG, the core Department is exposed to interest rate risk, as the majority of the loan guarantees are provided against variable rate loans. The banks' usual lending practices mean that fixed rate loans are usually available only for small value short-term loans. To minimise the risk of default due to interest rate rises, accompanied by a decline in the economic environment, the core Department relies on the lenders assessment using best commercial practice to manage the risk of default. NDPBs and other designated bodies GIB is exposed to market risk through the concentration of investments in the clean energy sector. GIB is also exposed to equity price risk due to its investments in businesses developing construction assets across its priority sectors. The company intends to withdraw from the investments when these assets are operational in order to recycle their capital. The risk is minimised by spreading investments across all of its priority sectors. The Nesta Trust is exposed to equity price risk due to its investment of a portion of its endowment assets in publicly listed equity investments. Nesta Trust minimises this risk by investing for the medium to long term, diversifying its equity investments over a number of managers with complementary styles, and invests in investment funds with large institutional investors. The performance of these investment managers is monitored regularly. NDPBs and other designated bodies For BIS (Postal Services Act 2011) Company Limited interest rate risk arises from the effects of fluctuations in the prevailing levels of market interest rates on the fair value of financial assets and future cash flows. The Company holds fixed interest securities that are exposed to fair value interest rate risk. The Company also holds floating rate securities that are exposed to cash flow interest rate risk. The principal strategy is to manage the fair value risk by holding the debt securities until maturity unless opportunities exist in the market for it to profit, for example, from any favourable interest rate movements. Interest rate risk is not expected to have a significant impact. EHL holds a one-third stake in URENCO Limited. The other, equal shareholders, are effectively the Dutch government (through Ultra-Centrifuge Nederland Limited), and German utilities (through Uranit UK Limited). URENCO Limited's principal activity is the provision of a service to enrich uranium to provide fuel for nuclear power utilities. Any change to this specialised market, such as a change in a country's energy policy, will impact the value of EHL 's investment. EHL regularly monitors the performance of URENCO Limited. GIB and BBB each hold both fixed and variable rate investments. Interest rate risk is regularly monitored by each organisation to ensure that the mix of fixed and variable borrowing is appropriate. GIB has entered into swaps to hedge against interest rate risk. The counterparty to these swaps is the core Department and so the Group is unaffected. BBB does not use derivatives to hedge interest rate risk. The impact of interest rates affects the discount rate used to arrive at the fair value of the CfD liability held by LCCC. Changes in interest rates which affect the discount rate would therefore affect the Statement of Financial Position valuation. However the Group is not financially exposed to this risk because the liability is funded through a levy on suppliers. ## Other Market Risk Core Department Inflation risk The CfD valuation is based on models which use assumptions about future prices. The amounts payable under the CfD contracts will be affected by the indexation of strike prices to reflect actual inflation and an inflation risk arises from the possibility of differences between the assumed inflation in the model and in the actual contracts. Inflation rates may not continue at the relatively low levels experienced in recent years; the Group is not financially exposed to this risk because the liability is funded through a levy on suppliers. Liquidity risk Liquidity risk is the risk that an entity will encounter difficulty in meeting obligations associated with financial liabilities. The core Department is exposed to wider risks relating to the performance of the economy as a whole. The main risks resulting from a downward movement in the economy include failures of investee companies of investment funds, loan defaults under the core Department's EFG Scheme and negative impacts on the core Department's repayable launch investment income and valuations from the potential resultant decrease in demand in the aerospace industry. The core Department and its Agencies In common with other Government departments, the future financing of its liabilities is to be met by future grants of Supply, voted annually by Parliament. There is no reason to believe that future approvals will not be forthcoming, therefore, on this basis the liquidity risk to the core Department and its Agencies is minimal. NDPBs and other designated bodies Information about the Departmental Group's objectives, policies and processes for managing and measuring risk can be found in the Governance Statement. Commodity price risk Commodity price risk is the risk or uncertainty arising from possible price movements. The amounts payable under the CfD contracts are exposed to price risk through the fluctuations in future actual wholesale electricity prices, specifically, on how they will differ from the current forecast of future prices in the central scenario. However the LCCC and the Department are not financially exposed to this risk because the liability is funded through a levy \| \| \| \| \| \| Note Level 1 Level 2 Level 3 \| Total Level 1 Level 2 Level 3 \| Total \| \|-----------------------------------------\|-------------------------------------\|-----------------------\|-------------------\|-----------------------\|--------------------------------\|---------------------------------\|----------\| \| £m \| £m \| £m \| £m \| £m \| £m \| £m \| £m \| \| Assets \| \| \| \| \| \| \| \| \| Available for sale \| \| \| \| \| \| \| \| \| Equity investments \| \| \| \| \| \| \| \| \| Ordinary shares in public sector bodies \| 10.1 \| - \| 1,086 \| - \| \| \| \| \| 1,086 \| \| \| \| \| \| \| \| \| - \| 1,146 \| - \| \| \| \| \| \| \| 1,146 \| \| \| \| \| \| \| \| \| Ordinary shares in listed equities \| 11.2 \| 266 \| - \| - \| \| \| \| \| 266 \| \| \| \| \| \| \| \| \| 199 \| - \| - \| \| \| \| \| \| \| 199 \| \| \| \| \| \| \| \| \| \| Ordinary shares in unlisted private \| \| \| \| \| \| \| \| equities \| 11.2 \| - \| 14 \| 429 \| \| \| \| \| 443 \| \| \| \| \| \| \| \| \| - \| 15 \| 470 \| \| \| \| \| \| \| 485 \| \| \| \| \| \| \| \| \| Debt and venture capital \| \| \| \| \| \| \| \| \| investments \| \| \| \| \| \| \| \| \| Repayable launch investments \| 11.1 \| - \| - \| 1,205 \| \| \| \| \| 1,205 \| \| \| \| \| \| \| \| \| - \| - \| 1,389 \| \| \| \| \| \| \| 1,389 \| \| \| \| \| \| \| \| \| Gilts and bonds \| 11.2 \| 46 \| - \| - \| \| \| \| \| 46 \| \| \| \| \| \| \| \| \| 55 \| - \| - \| \| \| \| \| \| \| 55 \| \| \| \| \| \| \| \| \| Property related holdings \| 11.2 \| - \| - \| 65 \| \| \| \| \| 65 \| \| \| \| \| \| \| \| \| - \| 2 \| 81 \| \| \| \| \| \| \| 83 \| \| \| \| \| \| \| \| \| Investment funds \| 11.2 \| - \| - \| 1,243 \| \| \| \| \| 1,243 \| \| \| \| \| \| \| \| \| - \| - \| 1,004 \| \| \| \| \| \| \| 1,004 \| \| \| \| \| \| \| \| \| Other investments \| 11.2 \| 7 \| 350 \| 19 \| \| \| \| \| 376 \| \| \| \| \| \| \| \| \| 3 \| 508 \| 162 \| \| \| \| \| \| \| 673 \| \| \| \| \| \| \| \| \| Total available for sale assets \| 319 \| 1,450 \| 2,961 \| 4,730 \| 257 \| 1,671 \| 3,106 \| \| Derivatives \| \| \| \| \| \| \| \| \| Forward contracts \| - \| 112 \| - \| \| \| \| \| \| 112 \| \| \| \| \| \| \| \| \| - \| 78 \| - \| \| \| \| \| \| \| 78 \| \| \| \| \| \| \| \| \| Total derivatives used for hedging \| - \| 112 \| - \| 112 \| - \| 78 \| - \| \| Fair value through profit or loss \| \| \| \| \| \| \| \| \| \| Ordinary shares in listed equities, \| \| \| \| \| \| \| \| Investment funds and other investments \| 11.2 \| 2 \| - \| - \| \| \| \| \| 2 \| \| \| \| \| \| \| \| \| 9 \| - \| 52 \| \| \| \| \| \| \| 61 \| \| \| \| \| \| \| \| \| Total fair value through profit or loss \| 2 \| - \| - \| 2 \| 9 \| - \| 52 \| \| Total assets \| 321 \| 1,562 \| 2,961 \| 4,844 \| 266 \| 1,749 \| 3,158 \| \| Derivatives \| \| \| \| \| \| \| \| \| Forward contracts \| - \| (5) \| - \| \| \| \| \| \| (5) \| \| \| \| \| \| \| \| \| - \| (1) \| - \| \| \| \| \| \| \| (1) \| \| \| \| \| \| \| \| \| Contracts for difference \| 9 \| - \| - (12,334) \| \| \| \| \| \| (12,334) \| \| \| \| \| \| \| \| \| - \| - (12,607) \| \| \| \| \| \| \| \| (12,607) \| \| \| \| \| \| \| \| \| Financial liabilities through profit \| \| \| \| \| \| \| \| \| or loss \| - \| (5) \| (12,334) (12,339) \| - \| (1) \| (12,607) \| (12,608) \| \| Total liabilities \| - \| (5) (12,334) (12,339) \| - \| (1) (12,607) (12,608) \| \| \| \| on suppliers. ## Financial Instruments: Fair Value Hierarchy The table below analyses financial instruments carried at fair value, by valuation method. The different levels have been defined as follows: - Level 1 - uses quoted prices (unadjusted) in active markets for identical assets or liabilities; - Level 2 - uses inputs for the assets or liabilities other than quoted prices, that are observable either directly or indirectly; - Level 3 - uses inputs for the assets or liabilities that are not based on observable market data, such as internal models or other valuation method. The following table presents the Departmental group's financial assets and liabilities that are measured at fair value at 31 March 2017 and 31 March 2016: 31 March 2017 31 March 2016 There were no transfers between level 1 and 2 during the year. Specific valuation techniques used to value financial instruments include: - the fair value of forward foreign exchange contracts is determined using forward exchange rate at the reporting date, with the resulting value discounted back to present value; - quoted market prices or dealer quotes for similar instruments; - the fair value of interest rate swaps, calculated as the present value of the estimated future cash flows based on observable yield curves; - other techniques, such as discounted cash flow analysis or for non-quoted ordinary shares that are not actively traded the net assets of the company are used. These are classified as level 3. The following table presents the changes in level 3 instrument for the year ended 31 March 2017, excluding the Contracts for Difference which is disclosed in note 9. Ordinary shares in un listed private Opening balance 470 1,389 1,299 3,158 Additions 13 – 1,056 1,069 Repayments/disposals (114) (144) (93) (351) Reclassifications to Non-current Asset held For Sale – – (1,009) (1,009) Gains and losses recognised in CSoCNE 60 (40) 74 94 Closing balance 429 1,205 1,327 2,961 The following table presents the changes in level 3 instrument for the year ended 31 March 2016, excluding the Contracts for Difference which is disclosed in note 9. Ordinary shares in un listed private Opening balance 564 1,740 1,113 3,417 Additions 20 – 375 395 Repayments/disposals (162) (112) (218) (492) Gains and losses recognised in CSoCNE 48 (239) 29 (162) Closing balance 470 1,389 1,299 3,158 The most significant individual valuation using level 3 inputs in the Departmental Group is Repayable launch investments; sensitivity analysis is detailed in note 11.1. The sensitivity analysis for the significant valuations using level 3 inputs for property related holdings and investment funds are detailed in the financial statements of British Business Bank Plc, Green Investment Bank and BIS (Postal Services Act 2011) Company Limited. Property related holdings, Investment funds and Repayable Other launch financial equities investments assets Total £m £m £m £m Property related holdings, Investment funds and Repayable Other launch financial equities investments assets Total £m £m £m £m ## 23 Contingent Liabilities Disclosed Under Ias37 The Departmental Group has the following significant contingent liabilities. Other liabilities \| Basis of Recognition \| Description \| \|-------------------------------------------------------------------------------------------------\|----------------------------------------------------------------------------------------------\| \| Unquantifiable \| \| \| Nuclear \| The core Department has a range of civil nuclear liabilities arising through its association \| \| with the United Kingdom Atomic Energy Authority and British Nuclear Fuels Limited as \| \| \| well as ensuring that the Government complies with its obligations under the various \| \| \| international nuclear agreements and treaties. The amount and timing of this overarching \| \| \| liability is not quantifiable. \| \| \| Coal Industry Act 1994 \| Responsibility for compensation claims relating to personal injuries suffered by former \| \| British Coal mineworkers between 1947 and 31 December 1994 transferred to the \| \| \| Department on 1 January 1998 by a restructuring scheme under the Coal Industry \| \| \| Act 1994. The timing and amounts of any future liabilities are uncertain except where \| \| \| provision has been made in the accounts. The future liabilities will depend on the nature \| \| \| of any injury and whether the courts decide that compensation is due. \| \| \| Site restoration liabilities \| \| \| inherited from British Coal \| \| \| The Department has inherited liabilities from British Coal to reimburse certain third parties \| \| \| with the costs necessary to meet statutory environmental standards in the restoration of \| \| \| particular coal-related sites. In addition to specific claims provided for (this is included in \| \| \| Other in note 19.2) it remains possible that the Department will be held responsible for \| \| \| further environmental liabilities. The timing and amounts of any liability are uncertain. \| \| \| Deed relating to the British \| \| \| Coal Staff Superannuation \| \| \| Scheme (BCSSS) under \| \| \| Paragraph 2(9) of Schedule \| \| \| 5 to the Coal Industry Act \| \| \| 1994 \| \| \| Government Guarantees were put in place on 31 October 1994, the day the Schemes \| \| \| were changed to reflect the impact of the privatisation of the coal industry. They are \| \| \| legally binding contracts between the Trustees and the Secretary of State for the \| \| \| Department for Business, Energy and Industrial Strategy. \| \| \| \| \| \| \| \| \| Deed relating to the \| \| \| Mineworkers' Pension \| \| \| Scheme (MPS) under \| \| \| Paragraph 2(9) of Schedule \| \| \| 5 to the Coal Industry Act \| \| \| 1994 \| \| \| The Guarantees ensure that the benefits earned by Scheme members during their \| \| \| employment with British Coal, and any benefit improvements from surpluses which were \| \| \| awarded prior to 31 October 1994, will always be paid and will be increased each year in \| \| \| line with the Retail Prices Index. If at any periodic valuation, the assets of the Guaranteed \| \| \| Fund were to be insufficient to meet its liabilities, the assets must be increased to bring \| \| \| the Fund back into balance. This is a long-term contingent liability dependent on the \| \| \| performance of the schemes' investments and their mortality experience. Further details \| \| \| regarding the Schemes and the notional sub-funds can be found in note 14. \| \| \| Restructuring Scheme \| \| \| Where liabilities transferred under the various Coal Authority Restructuring Schemes \| \| \| (CARS) have crystallised due to planning conditions, agreements, claims etc. a provision \| \| \| has been made in these financial statements. It has not however been possible to \| \| \| quantify those contingent liabilities that may arise in the future. \| \| \| UK Space Agency \| In 2013/14 the UK Space Agency (UKSA) entered into an operating lease with NATS (En \| \| Route) Plc for office accommodation. At the end of the lease term in December 2030, the \| \| \| landlord has the contractual right to enforce the Agency to pay for costs of dilapidation. \| \| \| However, due to the specialized nature of the asset, the expectation is that the landlord \| \| \| will continue using the asset in its current state and therefore will not choose to exercise \| \| \| this option. In the event of the lease contract being terminated by the landlord before the \| \| \| end of the lease term, UK Space Agency will be compensated. The likelihood of outflow \| \| \| of economic benefit is therefore assessed as not probable. \| \| \| Outer Space Act 1986 \| The UKSA has an obligation, governed by international (UN) convention, to third parties \| \| if they are accidentally damaged by UK space activities. Due to its unprecedented \| \| \| nature, a cost cannot be reliably estimated. In March 2015 the Outer Space Act 1986 \| \| \| was amended to cap licensees' previously unlimited liability for third party costs at 60 \| \| \| million euros for the majority of missions, for the duration of the licensed activity. This \| \| \| amendment was designed to adequately balance the risk to the UK Government whilst \| \| \| ensuring UK space operators remain competitive internationally. \| \| \| Financial Reporting Council \| The core Department has provided assurance to FRC in respect of providing grant where \| \| FRC's general voluntary funding falls or current statutory exemption from liability nears \| \| \| expiry. In the course of the financial year, new legislative measures were effected to \| \| \| prevent the statutory exemption from liability from expiring. \| \| are disclosed in our partner organisation accounts. \| Basis of Recognition \| Description \| \|--------------------------------------------------------------------------------------------------\|---------------------------------------------------------------------------------------------\| \| Public Appointment \| \| \| Assessors \| \| \| The Cabinet Secretary has provided a Government-wide indemnity to Public \| \| \| Appointments Assessors (PAAs). This will ensure that PAAs will not have to meet any \| \| \| personal civil liability incurred in the execution of their PAA functions. \| \| \| Inventories \| In March 2017 the Nuclear Decommissioning Authority held inventories of reprocessed \| \| uranic material. These materials are currently held at nil value due to uncertainty over their \| \| \| future use which may result in as-yet unquantified liabilities relating to potential treatment \| \| \| or disposal costs. \| \| \| BBSRC \| An indemnity has been given by Biotechnology and Biological Sciences Research \| \| Council (BBSRC) to the Roslin Institute for any costs that arise as a result of past actions \| \| \| of the Institute prior to its transfer to the University of Edinburgh in 2008. A further \| \| \| indemnity has been given to any fall in grant income of the Institute as a result of the \| \| \| transfer. The maximum settlement BBSRC will fund reduces each year and is limited to \| \| \| claims made up to May 2023. \| \| \| Subsidence damage and \| \| \| public safety liabilities \| \| \| Licensees of mining operations are required to provide security to the Coal Authority to \| \| \| cover anticipated future costs of settling subsidence damage liabilities within their Areas \| \| \| of Responsibility. Outside the Areas of Responsibility of the holders of licences under \| \| \| Part II of the 1994 Act, the Authority is responsible for making good subsidence damage. \| \| \| Where an Area of Responsibility is extinguished, this would transfer to the Authority \| \| \| who would become responsible for the discharge of outstanding subsidence liabilities. \| \| \| The Authority also has an ongoing liability to secure and keep secured the majority of \| \| \| abandoned coal mines. (In all cases the liability for operating collieries is the responsibility \| \| \| of the licensees/lessees and security is held to address those liabilities.) \| \| \| The above liabilities have been provided for within the Coal Authority provision (note 19.2) \| \| \| based on analysis of trends and claims experience. However it is possible that significant, \| \| \| unexpected events outside of this provision may materialise. \| \| \| In addition to the above general contingent liability, damage notices have been submitted \| \| \| to the Coal Authority in respect of subsidence damage to Wentworth Woodhouse, a \| \| \| Grade I listed country house. The Coal Authority has rejected these notices. The Upper \| \| \| Tribunal (Lands Chamber) has ruled on 4 locations of damage and concluded that the \| \| \| Coal Authority has no liability in respect to these; one further area of damage has yet to \| \| \| be considered and the Coal Authority will continue to strongly defend its case. \| \| \| Legal claims \| The Coal Authority is subject to various claims and legal actions in the ordinary course of \| \| its activities for which provision is made in the accounts where appropriate on the basis of \| \| \| information available. The Authority does not expect that the outcome of the above issues \| \| \| will materially affect its financial position. \| \| \| The CNPA has a number of potential liabilities in respect of claims from employees which \| \| \| depend on actual or potential proceedings. The timing and amounts of any payments are \| \| \| uncertain. These liabilities have not been provided for as CNPA believes the claims are \| \| \| unlikely to be successful or to lead to a transfer of economic benefit. \| \| \| Other \| There are a number of potential liabilities for the Department in respect of claims from \| \| suppliers, employees and third parties which depend on actual or potential proceedings. \| \| \| The timing and amounts of any liabilities are uncertain. \| \| \| Quantifiable \| \| \| Feed-in-Tariffs \| \| \| (£293 million) \| \| \| The Department faces claims for damages from solar energy and construction \| \| \| companies affected by changes to Feed-in-Tariffs in 2011. A number of companies from \| \| \| the solar industry initiated legal proceedings in 2012, claiming damages for interference \| \| \| with property rights. Following determination of the legal principles by the Court of \| \| \| Appeal, the Department is preparing for a full trial on the facts of the case, which is set \| \| \| for the first available date after 21 January 2018. Based on updated claims, claimants \| \| \| are seeking damages of up to £293 million. The Department has been ordered to pay \| \| \| 80% and 50% of the claimants' legal costs relating to preliminary hearings in the High \| \| \| Court and Court of Appeal respectively; the Department bears its own legal costs. \| \| \| The claimants and the Department are likely to incur substantial further legal costs (the \| \| \| Department's costs being estimated at £3.1 million) and the losing party is likely to be \| \| \| ordered to pay the costs of the winning party. \| \| \| Basis of Recognition \| \|---------------------------------------------------------------------------------------------\| \| British Business Bank \| \| (£201 million) \| \| The core Department guarantees British Business Bank under the Enterprise Financial \| \| Guarantee (EFG) and legacy Small Firms Loan Guarantee Scheme (SFLGs) to facilitate \| \| lending to viable businesses, with a maximum obligation being subject to a cap, which at \| \| 31 March 2017 is £201 million. \| \| Under the BBB's Help to Grow financial guarantee programme, which was new in the \| \| year, the Bank has entered in to financial guarantee agreements of £60 million. The Bank \| \| has guaranteed 75% of eligible lending to SMEs under these agreements and a counter \| \| guarantee is in place that guarantees 50% of the Bank's 75% of eligible lending. As at 31 \| \| March 2017 the amount lent under these financial guarantee agreements was £0.6 million \| \| (2016: £nil). \| \| Reprocessing and staff \| \| commitments \| \| (£16 million) \| \| STFC is responsible for Institut Laue-Langevin (ILL) staff-related commitments and costs \| \| associated with reprocessing fuel elements. The contingent liability is estimated to be £16 \| \| million (31 March 2016: £12 million). \| \| Wave Hub \| \| (£5 million) \| \| The core Department has indemnified Cornwall Council in respect of the transfer of Wave \| \| Hub up to a maximum amount of £5 million. This obligation expires in 2028 due to the \| \| limitation period under the signed contract. \| \| Ofgem administration costs \| \| from the buy-out fund \| \| (£3.6-£3.8 million) \| \| BEIS, the Scottish Government and the Northern Ireland Executive have previously \| \| undertaken to support Ofgem's costs for administering the Renewables Obligation \| \| scheme (around £3.6 - £3.8 million) if there is insufficient money in both the buy-out \| \| fund and late payment fund to cover these costs. The size of the 2016/17 buy-out fund \| \| will not be known until October 2017. It is dependent in part by the availability and price \| \| of Renewable Obligation Certificates (ROCs) - if there is a surplus of ROCs, suppliers \| \| may be more inclined to meet their obligations by submitting ROCs but ultimately much \| \| depends on supplier behaviour which is difficult to predict. BEIS will have an indication \| \| of how many ROCs are available and whether there is likely to be a surplus after the end \| \| of the obligation year (31 March 2017) but will not know the size of the buy-out fund until \| \| October 2017. \| \| Innovate UK \| \| (£2.5 million) \| \| Innovate UK is responsible for decommissioning of Narec Monitoring Platform at an \| \| estimated cost of £2.5 million. This could take place anytime between 3 and 25 years. \| \| Medical Research Council \| \| (£1.8 million) \| \| MRC has identified a contingent liability of £1.8 million (31 March 2016: £1.8 million) \| \| for dilapidation work. This may be required at the end of property leases which are \| \| due to expire within the next five years. \| ## 24 Contingent Assets Departmental Albs \| Basis of Recognition \| \|------------------------------------------------------------------------------------------------\| \| Unquantifiable \| \| Coal Authority Restructuring \| \| Schemes \| \| By virtue of the seventh and ninth Coal Authority Restructuring Schemes (CARS 7 and \| \| 9), the Coal Authority is the beneficiary of restrictive covenants and clawback provisions \| \| relating to land and properties sold by the British Coal Corporation. In the event that the \| \| purchasers are able to retrospectively secure added value by obtaining planning consent \| \| for alternative uses, the Authority will receive a share of the added value. Quantification of \| \| this asset is not possible. \| \| Quantifiable \| \| On 13 February 2015 an agreement was signed between the Trustee and 'the Guarantor' \| \| (the core Department) to amend the Scheme structure of the BCSSS which was \| \| designed to provide certainty to members over increases to their pensions in the future. \| \| Under the provisions of the agreement, within 12 months of 31 March 2033, the trustee \| \| shall pay to the Guarantor any surplus remaining on the Scheme net of any amount \| \| retained for the obligation. \| \| Deed Relating to the British \| \| Coal Staff Superannuation \| \| Scheme (BCSSS) under \| \| Paragraph 2(9) of Schedule \| \| 5 to the Coal Industry Act \| \| 1994 \| \| (£1.707 billion) \| \| At the last valuation, the Government Actuary's Department had valued the surplus at \| \| £1.707 billion. The value of this surplus is subject to change depending on performance \| \| of future investments and changes to underlying valuation assumptions. Therefore the \| \| amount receivable by the Department is not certain and is dependent on a surplus being \| \| available on the Scheme in 2033. Based on the sizeable current surplus, the Department \| \| considers a receipt from the scheme in 2033 to be probable. \| ## 25 Related-Party Transactions The core Department is the parent of the bodies listed in Note 28 - these bodies are regarded as related parties and various material transactions have taken place during the reporting period between members of the Departmental Group. The related parties of the consolidating bodies are disclosed in their respective accounts. The core Department is also the sponsor of Companies House, UKIPO, the Met Office (Trading Funds), Ordnance Survey, NPL Management Limited, NNL Holdings Limited and British Nuclear Fuels Limited. The core Department has had various material transactions with other Government departments, Government bodies and devolved administrations comprising the Northern Ireland Executive, Scottish Government and the Welsh Government. The most significant of these transactions have been with HM Treasury, Post Office, HM Treasury's consolidated fund, Higher Education Funding Council for England, UK Green Investment Bank, UK Space Agency, Engineering and Physical Sciences Research Council, HM Revenue and Customs, the Department for Environment, Food and Rural Affairs, the Department for Communities and Local Government, Office of Gas and Electricity Markets, the Met Office and the Environment Agency. No minister, board member, key manager of the group or other related party have undertaken any material transactions with the core Department during the year. Details of the Department's ministers and senior managers are shown in the Remuneration Report. Professor Dame Ann Dowling, Non-Executive Director on the BEIS Departmental Board is an unpaid President and Chairman of the Board of Trustees of the Royal Academy of Engineering. The Royal Academy of Engineering received £21 million in grants from the core Department during the year. In the course of allocating funding during the year, the 7 research councils entered into material transactions with various Higher Education institutions. Where these bodies have board members who are also members of university councils, each body operates a policy that precludes interested parties from voting on the funding to the university in which they have an interest. Further details of the transactions can be found in the statutory accounts of the individual bodies. ## 26 Third-Party Assets benefit of third parties and are not included in BEIS's Accounts. The following are balances on accounts held in BEIS's name at banks but which are not BEIS's monies. They are held or controlled for the Department Agencies Monetary assets such as bank balances and monies on deposit 34 42 50 63 Total 34 42 50 63 The table above includes the following significant third-party assets: On 31 March 2017 the core Department held £21m (31 March 2016: £16.6m) transferred from BNFL plc to meet the potential future capitalisation requirements of the National Nuclear Laboratory Ltd. These monies are held in GBS (Government Banking Service) accounts. On 16 January 2016 the IOC ceased to be a listed, sanctioned entity by the EU and UK. The Department completed an orderly handover of the Rhum gas field management to the IOC by the agreed deadline of 16 March 2016. The IOC is now in full control of the management of their interest in the Rhum gas field. The IOC's share of revenues from resumed production was being held by the Department in a separate dedicated account, on behalf of the IOC. The IOC's share of costs were funded from this account and the balance of the funds amounting to £25.9 million was paid over to IOC in June 2016. On 22 October 2013 the Department took over temporary management of the Iranian Oil Company's (IOC) interest in the Rhum gas field; enabling co-management of the Rhum field with the operator, and 50% owner, British Petroleum (BP). This action was under the Hydrocarbons (Temporary Management Scheme) Regulations 2013, which allows the Secretary of State (SoS) of the Department to apply a temporary scheme to the hydrocarbons interests of a listed person which holds a relevant licence, where SoS is satisfied that this is necessary to avoid or remediate environmental damage and/or prevent permanent destruction of the value of the relevant licence. \| \| 31 March 2017 \| 31 March 2016 restated \| \|------------\|-----------------\|--------------------------\| \| Core \| \| Core \| \| Department \| \| \| \| and \| \| Departmental \| \| Group \| Agencies \| Group \| \| £m \| £m \| £m \| ## 27 Restatement Of Statement Of Financial Position And Statement Of Comprehensive Net Expenditure As A Result Of Machinery Of Government (Mog) Changes, Changes To The Designation Order And Other Restatements Machinery Of Government (Mog) Changes (Accounted For As Transfer By Merger) BEIS has had several MoG changes affecting its Estimate and Accounts for the year ended 31 March 2017, where functions or responsibilities have been merged or transferred within Government. A function is an identifiable business operation with an integrated set of activities, staff and recognised assets and liabilities, and changes are accounted for using merger accounting in accordance with the FReM. This requires the restatement of the Primary Statements and the associated Notes to the Accounts. ## The Creation Of Beis From The Merger Of Bis And Decc, And Transfer Out Of Functions From Bis To Department For Education (Dfe), Department For International Trade (Dit) As A Result Of Departmental Changes Announced In July 2016. As A Result Of The Departmental Changes Announced In July 2016, There Were Several Mog Changes Effective From 1 April 2016: • The transfer in to BEIS of BIS and DECC. • The transfer out of Higher Education (HE), Further Education (FE) and Apprenticeships to Department for Education (DfE) from BIS. In addition as a result of this MoG change, the Construction Industry Training Board, the Engineering Construction Industry Training Board, the Higher Education Funding Council for England, the Office for Fair Access, the Skills Funding Agency, the Student Loan Company and the UK Commission for Education and Skills are no longer consolidated within the Department's Accounts. To reflect the change in 2014-15 and 2015-16 comparative figures have been restated. The Departmental Group's net assets decreased by £57,499 million and £42,437 million respectively and in 2015-16 net expenditure decreased by £2,016 million as a result of this MoG change. • The transfer out of the International Trade and Export Control (ITEC) to Department for International Trade (DIT) from BIS. To reflect the change in opening balance sheet 2014- 15 and 2015-16 comparative figures, the Departmental group's net assets decreased by £3 million in both years and in 2015-16 net expenditure decreased by £15 million as a result of this MoG change. As part of alignment of accounting policies of BIS and DECC, receipts from the Nuclear Decommissioning Authority and Coal Authority for onward payment to the Consolidated Fund will be processed by the core Department as agent rather than recognised as income (this change impacts the core Department only and has no effect on the Group). Also part of the alignment of accounting policies, the Department's investments in other public sector bodies that are outside of the departmental boundary and not consolidated are held at fair value. In DECC these had been reported at historical cost whereas in BIS net assets of the entities was used. Across the BEIS Departmental Group, net assets is now used as the most appropriate measure of fair value. The core Department's net assets increased by £65 million and £57 million in 2015-16 and 2014- 15 and the Departmental Group's net assets increased by £235 million and £225 million in 2015-16 and 2014-15 respectively as a result of this MoG change. In addition to the creation of BEIS, the following MoG changes were previously announced and implemented during 2016-17. Transfer of Offender Learning and Skills Service to Ministry of Justice As a result of the Spending Review 2015, the Offender Learning and Skills Service programme transferred from 1 April 2016 from BIS to Ministry of Justice. To reflect the change in 2015-16 comparative figures, the Departmental Group's net expenditure was decreased by £1million as a result of this MoG change. Changes to the Departmental boundary Four GIB entities were added to the Designation and Amendment Order in 2016-17, with a retrospective classification, that affect the prior year figures. The prior year figures have therefore been restated to reflect the change in the Departmental boundary. These are: • UK Green Investment Offshore Wind C L.P. • UK Green Investment LID Limited • UK Green Investment FCG Limited Transfer of Shareholder Executive Group to UK Government Investments On 1 April 2016, the function of the Shareholder Executive transferred from BIS to the Chancellor of the Exchequer under a new body called UK Government Investments. UK Government Investments brings together the activities of both the Shareholder Executive and UK Financial Investments and is wholly owned by the Chancellor of the Exchequer. To reflect the change in 2015-16 comparative figures, the Departmental Group's net expenditure was decreased by £11 million as a result of this MoG change. • GLID Wind Farms Topco Limited In addition, Fleetbank Funding Limited was designated as a central government body. These changes to the departmental boundary have resulted in an increase in net assets of £437 million. Transfer of Environmental Regulation to the Department for Environment, Food and Rural Affairs (DEFRA) On 1 April 2016, Environmental Regulation transferred from BIS to DEFRA. This has not resulted in any impact on net expenditure or net assets. Changes in accounting policy No changes in accounting policies were adopted by the FReM in 2016-17. Prior period restatements In 2016-17 a prior period accounting error was identified in relation to the over-release of income from the revaluation reserve in relation to Repayable Launch Investments. Transfers of functions (accounted for as transfer by absorption) In addition there were 3 transfers of functions accounted for as transfers by absorption, where the Departmental Group's Primary Statements and Notes have not been restated and the transfers are accounted for prospectively. • The transfer in of the National Measurement In accordance with Department's accounting policy, repayments received in excess of historic costs of an investment in the portfolio were released to the Consolidated Statement of Comprehensive Net Expenditure. It was identified that this released was incorrectly calculated. As a result CSoCNE was not materially overstated in any individual financial year but, the over-release had resulted in a material reduction in the value of the revaluation reserve. Regulation Office (NMRO) activities to core Department from 1 April 2016. This resulted in £2.4 million of NMRO's net assets being transferred into the core Department. NMRO was previously one of BIS' agencies. This transfer was between the core Department and an Executive Agency and has had no net effect on the presentation of financial statements as the transfer is reflected within the Core and Agencies column (see note 27.1 below). • The transfer out of BEIS Criminal Enforcement The Department has restated the 1 April 2015 reserves position, increasing the revaluation reserve by £266 million and reduction in the General Fund by £266 million. In 2015-16, the income released has been decreased by £7 million and revaluation reserve increased by £7 million, resulting in a restated revaluation reserve of £273 million. to Insolvency Service from 1 January 2017. This transfer was between the core Department and an Executive Agency and has had no net effect on the presentation of financial statements as the transfer is reflected within the Core and Agencies column. • The transfer out of the Oil and Gas Authority to the Oil and Gas Authority limited company from 1 October 2016. This transfer was between an Executive Agency and a Nondepartmental Public Body. The second restatement arises from elimination in 2016-17 of intra-Group receivables relating to funding of nuclear site licence company retirement-benefit obligations against the Nuclear Decommissioning Provision. In prior years they had been eliminated against current accrued expenses. These transfers have no impact on the financial statements as they are within the Departmental Group. ## Impact Of Restatements On Opening Balances For The Departmental Group At 31 March 2016 Re-presented Balance at 31 balance at 31 Machinery of March 2016 March 2016 Government per 2015-16 of the 2015- changes and published 16 published accounts accounts (BIS) (DECC) £m £m £m £m £m £m Consolidated Statement of Comprehensive Net Expenditure Net expenditure for the period 8,890 105,262 (2,046) (6) 7 112,107 Other comprehensive net income and expenditure 1,434 (19) (14) - (7) 1,394 Total comprehensive expenditure 10,324 105,243 (2,060) (6) - 113,501 Consolidated Statement of Financial Position Non-current assets 64,167 4,159 (54,726) 506 - 14,106 Current assets 6,436 819 (3,892) 51 - 3,414 Current liabilities (2,797) (4,428) 354 (9) (399) (7,279) Non-current liabilities (1,381) (179,792) 996 (538) 399 (180,316) General fund (63,835) 179,334 57,390 (6) 273 173,156 Revaluation reserve (2,119) (59) (234) - (273) (2,685) Charitable funds (423) - 112 - - (311) Minority interest (48) (33) - (4) - (85) Statement of Parliamentary Supply Resource DEL 16,819 1,405 (9,906) – – 8,318 Capital DEL 2,471 2,309 102 – – 4,882 Resource AME (7,826) 101,581 8,190 – – 101,945 Capital AME 9,965 64 (11,642) – – (1,613) Net outturn for the year 21,429 105,359 (13,256) – – 113,532 Nature of restatement accounting Other prior Restated policy Changes in period balance at 31 alignments the boundary adjustments March 2016 ## Impact Of Restatements On Opening Balances For Core Department And Agencies At 31 March 2016 Re-presented Balance at 31 balance at 31 Machinery of March 2016 March 2016 Government per 2015-16 of the 2015- changes and published 16 published accounting accounts accounts policy (BIS) (DECC) alignments £m £m £m £m £m £m Consolidated Statement of Comprehensive Net Expenditure Net expenditure for the period 10,377 4,385 (1,159) – 7 13,610 Other comprehensive net income and expenditure 241 (5) (7) – (7) 222 Total comprehensive expenditure 10,618 4,380 (1,166) – - 13,832 Non-current assets 59,465 488 (54,691) – – 5,262 Current assets 5,373 248 (3,754) – – 1,867 Current liabilities (1,826) (860) 860 – – (1,826) Non-current liabilities (871) (4,351) 213 – – (5,009) General fund (61,838) 4,482 57,436 – 273 353 Revaluation reserve (303) (7) (64) – (273) (647) Nature of restatement Other prior Restated Changes in period balance at 31 the boundary adjustments March 2016 ## Impact Of Restatements On Opening Balances For The Departmental Group At 1 April 2015 Re-presented Balance at 31 balance at 31 Machinery of March 2015 March 2015 Government per 2015-16 of the 2015- changes and published 16 published accounts accounts (BIS) (DECC) £m £m £m £m £m £m Consolidated Statement of Financial Position Non-current assets 50,870 2,827 (40,003) – - 13,694 Current assets 6,969 1,444 (3,391) – - 5,022 Current liabilities (3,422) (5,786) 774 – (481) (8,915) Non-current liabilities (1,448) (75,736) 445 – 481 (76,258) General fund (48,709) 77,334 42,263 – 266 71,154 Revaluation reserve (3,783) (37) (224) – (266) (4,310) Charitable funds (433) – 136 – - (297) Minority interest (44) (46) – – - (90) ## Impact Of Restatements On Opening Balances For Core Department And Agencies At 1 April 2015 Re-presented Balance at 31 balance at 31 Machinery of March 2015 March 2015 Government per 2015-16 of the 2015- changes and published 16 published accounts accounts (BIS) (DECC) £m £m £m £m £m £m Consolidated Statement of Financial Position Non-current assets 45,074 332 (40,086) - - 5,320 Current assets 5,412 776 (3,138) - - 3,050 Current liabilities (2,593) (1,661) 765 - - (3,489) Non-current liabilities (872) (2,793) 126 - - (3,539) General fund (46,454) 3,348 42,391 - 266 (449) Revaluation reserve (567) (2) (58) - (266) (893) Nature of restatement accounting Other prior Restated policy Changes in period balance at 31 alignments the boundary adjustments March 2015 Nature of restatement accounting Other prior Restated policy Changes in period balance at 31 alignments the boundary adjustments March 2015 ## 27.1 The National Measurement and Regulation Office (NMRO) transfer into BEIS core Department As detailed in Note 27 above, 1 April 2016, NMRO became part of the Regulatory Delivery directorate within the core Department. This resulted in £2.4 million of net assets transferring from NMRO to the core Department. The full effect of this transfer is shown below. ## Transfer To Beis \| Statement of Comprehensive Net Expenditure \| £'000 \| £'000 \| \|--------------------------------------------------------------\|---------\|---------\| \| Loss on transfer \| 2,400 \| \| \| Statement of Financial Position \| £'000 \| £'000 \| \| Non-current assets: \| \| \| \| Property, plant and equipment \| 896 \| \| \| Heritage assets \| 127 \| \| \| Intangible assets \| 123 \| \| \| Trade and other receivables \| 200 \| \| \| Total non-current assets \| 1,346 \| \| \| Current assets: \| \| \| \| Trade and other receivables \| 1,298 \| \| \| Cash and cash equivalents \| 785 \| \| \| Total current assets \| 2,083 \| \| \| Total assets \| 3,429 \| \| \| Current liabilities: \| \| \| \| Trade payables and other liabilities \| (1,029) \| \| \| Total current liabilities \| (1,029) \| \| \| Non-current assets plus/less net current assets/ liabilities \| - \| 2,400 \| \| Non-current Liabilities: \| \| \| \| Trade payables and other liabilities \| \| \| \| Total non-current liabilities \| - \| - \| \| Total assets less liabilities \| - \| 2,400 \| \| Taxpayers' equity and other reserves: \| \| \| \| General fund \| 2,197 \| \| \| Revaluation reserve \| 203 \| \| \| Total equity \| - \| 2,400 \| ## 28 List Of Bodies Within The Departmental Group The table below shows the list of BEIS organisations that are included in the Government Resources and Accounts Act 2000 (Estimates and Accounts) Order 2016, known as the Designation Order. The individual Annual Report and Accounts for each of these bodies can be found on their own websites or via the Inside Government website (https://www.gov. uk/government/organisations/department-forbusiness-energy-and-industrial-strategy). The bodies whose accounts have been consolidated within the Departmental Group Designated Body (linked bodies are indicated in italics below their parent body) Status (a) Bodies consolidated in Departmental Group accounts for 2016-17 Executive Agencies Insolvency Service Executive Agency gov.uk/government/organisations/insolvencyservice National Measurement and Regulation Office1 Executive Agency gov.uk/government/organisations/nationalmeasurement-and-regulation-office UK Space Agency Executive Agency gov.uk/government/organisations/uk-spaceagency Oil and Gas Authority2 Executive Agency https://www.ogauthority.co.uk/ Crown Executive Non Departmental Public Bodies (NDPBs) Crown Executive NDPB acas.org.uk Advisory Conciliation and Arbitration Service (ACAS) Central Arbitration Committee Linked but independent institution of ACAS Certification Office for Trade Union and Employers' Associations Linked but independent institution of ACAS NDPBs and other designated bodies Executive NDPB ahrc.ac.uk The Arts and Humanities Research Council Executive NDPB bbsrc.ac.uk The Biotechnology and Biological Sciences Research Council BIS (Postal Services Act 2011) Company Limited Limited Company owned by BEIS BIS (Postal Services Act 2011) B Company Limited Limited Company Consolidated by BIS (Postal Services Act 2011) Company Limited British Business Bank plc Public Limited Company owned by BEIS British Business Bank Investments Ltd Limited Company Consolidated by British Business Bank plc British Business Finance Ltd Limited Company Consolidated by British Business Bank plc British Business Financial Services Ltd Limited Company Consolidated by British Business Bank plc accounts are shown in section (a) of the table. Bodies within the Departmental Group but not consolidated, such as where net assets are not considered material to the Departmental Group accounts, are indicated separately in section (b) of this table. As a result of changes made in the 2016-17 Designation Order, some additional bodies are now included in the Departmental Group accounts boundary. Where boundary changes have an impact on previously reported financial results, these are shown in Note 27. Website (further information about linked bodies or those closed during the year is also included) Consolidated by ACAS Consolidated by ACAS Website not yet available british-business-bank.co.uk Designated Body (linked bodies are indicated in italics below their parent body) Status British Business Aspire Holdco Ltd Limited Company Consolidated by British Business Bank plc Capital for Enterprise Limited (CfEL) Limited Company Consolidated by British Business Bank plc Limited Company Consolidated by British Business Bank plc Capital for Enterprise Fund Managers Limited Capital for Enterprise (GP) Limited Limited Company Consolidated by British Business Bank plc Competition Service Executive NDPB catribunal.org.uk/244/Competition-Service.html Competition Appeal Tribunal Tribunal NDPB catribunal.org.uk Civil Nuclear Police Authority Executive NDPB gov.uk/government/organisations/civil-nuclearpolice-authority Coal Authority Executive NDPB gov.uk/government/organisations/the-coalauthority Committee on Fuel Poverty Advisory NDPB gov.uk/government/organisations/committeeon-fuel-poverty Committee on Radioactive Waste Management Advisory NDPB gov.uk/government/organisations/committeeon-radioactive-waste-management The Copyright Tribunal Tribunal NDPB gov.uk/government/organisations/copyrighttribunal Council for Science and Technology Advisory NDPB gov.uk/government/organisations/council-forscience-and-technology Diamond Light Source Limited Limited Company diamond.ac.uk Dounreay Site Restoration Limited Limited Company dounreay.com Executive NDPB esrc.ac.uk The Economic and Social Research Council Executive NDPB epsrc.ac.uk The Engineering and Physical Sciences Research Council Enrichment Holdings Ltd Limited Company owned by BEIS Enrichment Investments Limited Limited Company Consolidated by Enrichment Holdings Limited Electricity Settlements Company Ltd Limited Company emrsettlement.co.uk/ Fleetbank Funding Limited Limited Company owned by BEIS Limited Company frc.org.uk The Financial Reporting Council Limited Limited Partnership Joint venture owned by STFC and UK Atomic Energy Authority Harwell Science and Innovation Campus Public Sector Limited Partnership Website (further information about linked bodies or those closed during the year is also included) Costs are included in the core Department's expenditure. No accounts produced as costs are included in the core Department's expenditure. It is funded by BEIS and operated by UK Intellectual Property Office. No accounts produced as costs are included in the core Department's expenditure. Site Licence Company - private company, which operates sites on behalf of, and under contract from the NDA. This is a special purpose vehicle for the Government's investment in Urenco Limited. This is a vehicle for the Government to facilitate the Enable Loan Guarantee Scheme Designated Body (linked bodies are indicated in italics below their parent body) Status Industrial Development Advisory Board Advisory NDPB gov.uk/government/organisations/industrialdevelopment-advisory-board Insolvency Practitioners Tribunal Tribunal NDPB gov.uk/government/organisations/insolvencypractitioners-tribunal LLW Repository Limited Limited Company llwrsite.com Low Carbon Contracts Company Ltd Limited Company owned by BEIS Low Pay Commission Advisory NDPB gov.uk/government/organisations/low-paycommission Magnox Limited Limited Company magnoxsites.com Medical Research Council Executive NDPB mrc.ac.uk Midlands Engine Investments Limited Limited Company owned by BEIS Executive NDPB nerc.ac.uk The Natural Environment Research Council The NESTA Trust Charitable Trust nesta.org.uk/faqs/what_is_the_nesta_trust Northern Powerhouse Investments Limited Limited Company owned by BEIS Nuclear Decommissioning Authority Executive NDPB gov.uk/government/organisations/nucleardecommissioning-authority Radioactive Waste Management Limited Limited Company Consolidated by Nuclear Decommissioning Authority Sellafield Limited Limited Company sellafieldsites.com/ ## Nuclear Liabilities Financing Assurance Board \| Advisory NDPB \| gov.uk/government/organisations/nuclear- \| \|---------------------------------------\|--------------------------------------------\| \| liabilities-financing-assurance-board \| \| \| Office of Manpower Economics \| Advisory NDPB \| \| manpower-economics \| \| ## Website (Further Information About Linked Bodies Or Those Closed During The Year Is Also Included) No accounts produced. Funded by BEIS and operated by the Insolvency Service. Costs are included as part of the core Department. No accounts produced as costs are included in the core Department's expenditure. It is funded by BEIS and operated by the Insolvency Service. Site Licence Company - private company, which operates sites on behalf of, and under contract from the NDA. lowcarboncontracts.uk/ No accounts produced as costs are included in the core Department's expenditure Site Licence Company - private company, which operates sites on behalf of, and under contract from the NDA. british-business-bank.co.uk/ourpartners/ midlands-engine-investment-fund/ british-business-bank.co.uk/ourpartners/ northern-powerhouse-investment-fund/ Site Licence Company - private company, which operates sites on behalf of, and under contract from the NDA. Costs are included in the core Department's expenditure. No accounts produced as costs are included in the core Department's expenditure. Designated Body (linked bodies are indicated in italics below their parent body) Status Oil and Gas Authority2 Limited Company owned by BEIS Postal Services Holding Company Limited Limited Company owned by BEIS Regulatory Policy Committee Advisory NDPB gov.uk/government/organisations/regulatorypolicy-committee Executive NDPB stfc.ac.uk The Science and Technology Facilities Council (STFC) STFC Innovations Limited Limited Company Consolidated by STFC South Tees Site Company Limited Limited Company owned by BEIS Executive NDPB innovateuk.org Innovate UK (trading name of The Technology Strategy Board) UK Climate Investments LLP Limited Partnership between BEIS and UK Green Investment Bank UK Climate Investments Indigo Limited Limited Company Consolidated by the UK Climate Investments LLP UK Green Investment Bank plc Public Limited Company owned by BEIS Limited Partnership Consolidated by UK Green Investment Bank plc Aviva Investors Realm Energy Centres Limited Partnership Limited Partnership Consolidated by UK Green Investment Bank plc UK Energy Efficiency Investments 1 L.P. Energy Saving Investments L.P. Limited Partnership Consolidated by UK Green Investment Bank plc Limited Company Consolidated by UK Green Investment Bank plc UK Green Investment Bank Financial Services Limited Limited Company Consolidated by UK Green Investment Bank plc UK Green Investment Rhyl Flats Limited Limited Partnership Consolidated by UK Green Investment Bank plc UK Green Sustainable Waste and Energy Investments L.P. Limited Partnership Consolidated by UK Green Investment Bank plc UK Waste Resources and Energy Investments L.P. UK Green Community Lending Ltd Limited Company Consolidated by UK Green Investment Bank plc Limited Company Consolidated by UK Green Investment Bank plc UK Green Investment Rampion Limited Limited Company Consolidated by UK Green Investment Bank plc UK Green Investment Gwynt y Mor Limited Limited Company Consolidated by UK Green Investment Bank plc UK Green Investment Climate International Limited The Recycling and Waste L.P. Limited Partnership Consolidated by UK Green Investment Bank plc Limited Company Consolidated by UK Green Investment Bank plc Green Investment Bank Offshore Wind Fund LP Limited Company Consolidated by UK Green Investment Bank plc UK Green Investment Offshore Wind B L.P. Limited Company Consolidated by UK Green Investment Bank plc UK Green Investment Co-investment Lyle Limited UK Green Investment FCG Limited Limited Company Consolidated by UK Green Investment Bank plc Website (further information about linked bodies or those closed during the year is also included) ogauthority.co.uk/ This is a vehicle for the Government's investment in Royal Mail Plc and Post Office Limited. No accounts produced as costs are included in the core Department's expenditure. This is a vehicle for managing the Government investment in the South Tees Site greeninvestmentbank.com/funds/international/ greeninvestmentbank.com Designated Body (linked bodies are indicated in italics below their parent body) Status UK Green Investment LID Limited Limited Company Consolidated by UK Green Investment Bank plc UK Green Investment Lyle Limited Limited Company Consolidated by UK Green Investment Bank plc Limited Partnership Consolidated by UK Green Investment Bank plc UK Green Investment Offshore Wind C L.P. Limited Partnership Consolidated by UK Green Investment Bank plc UK Green Investment Offshore Wind Co-Investment L.P. Limited Company Consolidated by UK Green Investment Bank plc UK Green Investment OSWF Lyle Limited Limited Company Consolidated by UK Green Investment Bank plc UK Green Investment (OSW) GP Limited Limited Company Consolidated by UK Green Investment Bank plc UK Green Investment Sheringham Shoal Limited GLID Wind Farms TopCo Limited Limited Company Consolidated by UK Green Investment Bank plc Lyle JV Holdings Limited Limited Company Consolidated by UK Green Investment Bank plc UK Shared Business Services Limited Limited Company uksbs.co.uk RCUK Shared Services Centre Limited Limited Company Consolidated by UK Shared Business Services Limited United Kingdom Atomic Energy Authority Executive NDPB gov.uk/government/organisations/uk-atomicenergy-authority (corporate) AEA Insurance Ltd Limited Company Consolidated by United Kingdom Atomic Energy Authority ## (B) Bodies Not Consolidated In Departmental Group Accounts For 2016-17 \| Limited Company \| www.apcuk.co.uk/ \| Advanced Propulsion Centre UK \| \|---------------------------------------------------\|--------------------\|--------------------------------------------\| \| Limited \| \| \| \| Aerospace Technology Institute \| Limited Company \| ati.org.uk/ \| \| British Business HoldCo Ltd \| Limited Company \| No accounts produced as dormant company in \| \| 2016-17 prior to being dissolved on 19 April 2016 \| \| \| \| British Hallmarking Council \| Executive NDPB \| gov.uk/government/organisations/british- \| \| hallmarking-council \| \| \| \| Committee on Climate Change \| Executive NDPB \| theccc.org.uk/about/ \| Daresbury SIC (Pub Sec) LLP (Daresbury Science and Innovation Campus Public Sector Limited Liability Partnership) \| Limited Liability Partnership \| \|----------------------------------------------\| \| Technology Facilities Council and Halton \| \| Borough Council. Turnover and net assets are \| \| not material to Departmental Group accounts. \| \| Company Limited by \| \| Guarantee \| \| Daresbury Science & Innovation \| \| Campus Limited (Daresbury Science \| \| and Innovation Campus Limited \| \| Liability Partnership (Sci-Tech \| \| Daresbury)) \| ## Website (Further Information About Linked Bodies Or Those Closed During The Year Is Also Included) ccfe.ac.uk (fusion research) Turnover and net assets are not material to Departmental Group accounts. Turnover and net assets are not material to Departmental Group accounts. Turnover and net assets are not material to Departmental Group accounts. Turnover and net assets are not material to Departmental Group accounts. www.sci-techdaresbury.com A joint venture between the Science and Technology Facilities Council and Langtree. Turnover and net assets are not material to Departmental Group accounts. Designated Body (linked bodies are indicated in italics below their parent body) Status Groceries Code Adjudicator Office Holder and Corporation Sole NDA Archives Limited Limited Company gov.uk/government/organisations/nucleardecommissioning-authority NW VCLF HF LLP Limited Liability Partnership Recorded as investment in core Department accounts. Turnover and net assets are not material to Departmental Group accounts. Pubs Code Adjudicator Office Holder and Corporation Sole Research Sites Restoration Limited Limited Company Dormant - Site Licence Company UK Climate Investments VC Limited Limited Company Limited company holding investment by the UK Climate Investments LLP. Wave Hub Limited3 Limited Company wavehub.co.uk 1 The activities of the National Measurement and Regulation Office, transferred to BEIS core Department on 1 April 2016 2 The activities of the Oil and Gas Authority (agency) transferred to the Oil and Gas Authority limited company owned by BEIS from 1 October 2016 3 Wave Hub Limited transferred from BEIS's ownership to Cornwall Council on 31 March 2017 Website (further information about linked bodies or those closed during the year is also included) gov.uk/government/organisations/groceriescode-adjudicator Turnover and net assets are not material to Departmental Group accounts. Turnover and net assets are not material to Departmental Group accounts. gov.uk/government/organisations/pubs-codeadjudicator Turnover and net assets are not material to Departmental Group accounts. No costs or activities incurred in 2016/17 as the activities transferred to Magnox Turnover and net assets are not material to Departmental Group accounts. Turnover and net assets are not material to Departmental Group accounts. ## 29 Events After The Reporting Period Machinery of Government Changes Transfer of International Education programmes to Department for Education As a result of the Departmental changes announced in July 2016 and a subsequent ministerial decision in March 2017, from 1 April 2017 the International Education programme transferred from the Secretary of State for Business, Energy and Industrial Strategy to the Secretary of State for Education. These programmes encompass: - European University Institute subscriptions - Erasmus and other European Education programmes - Global Science A budget of £13 million will be transferred with the programmes. Transfer of the BEIS Advisory Legal Team to the Government Legal Department On 1 April 2017, the BEIS Advisory Legal team transferred to the Government Legal Department (GLD), the Government-shared legal service for advisory legal work and civil litigation. The strategic rationale of this transfer enables the greater critical mass of the GLD to enhance the flexibility and resilience of BEIS's legal support. The move facilitates even closer working between BEIS Legal and the other parts of GLD on the many common issues that BEIS faces. Establishment of UK Research and Innovation The Higher Education and Research Bill received Royal Assent on 27 April 2017. Under the provisions of this legislation, UK Research and Innovation will be established as a single, strategic body that will bring together the 7 research councils, Innovate UK and the research and knowledge exchange functions of the Higher Education Funding Council for England, to be known as Research England. It is anticipated that UK Research and Innovation will be established on 1 April 2018. 29.1 Date Accounts authorised for issue BEIS's Accounting Officer has authorised these Accounts to be issued on the same day as they were certified. Harwell Campus ## Trust Statement Accounting Officer'S Foreword To The Trust Statement Scope The Department of Business, Energy and Industrial Strategy is responsible for collection and allocation of receipts from the EU Emissions Trading Scheme (EU ETS), the Carbon Reduction Commitment (CRC) Scheme and the Climate Change Agreements (CCA) Scheme. The Department is also responsible for: expenses incurred in the collection of these receipts; the revenue and expenditure; and the cash flows. On 1 April, 2015 the Oil and Gas Authority (OGA) was formed as an Executive Agency of the Department and was responsible for collection and allocation of the receipts from the Petroleum Licensing Regime. In 2015-16 it was agreed on efficiency grounds that the Petroleum Licence fees collected by the OGA and paid over to the Consolidated Fund would be included in the Departmental Trust Statement for financial reporting purposes. As the OGA became a Government company on 1 October 2016, in 2016-17 the OGA has prepared its own Trust Statement. This will include the petroleum licence receipts for 2016- 17 with prior year comparatives. These prior year comparatives are also in the Departmental Trust Statement for 2015-16. The assets and liabilities related to petroleum licence fees on 1 April 2016 were as follows; cash of £15.177 million, receivables of £9.109 million and other liabilities of £5.070 million represented by reserves of £19,216 million. These were removed from the Departmental Trust Statement by a movement on reserves, where £19.216 million represented the amount due to the Consolidated Fund. The Departmental Trust Statement reports the: • Revenues, expenditure, assets and liabilities relating to proceeds received from the UK auctions of European Allowances under Phase III of the EU ETS and Aviation allowances of the EU ETS for the financial year 2016- 17. These amounts are collected by the Department for payment into the Consolidated Fund; • Revenues, expenditure, assets and liabilities relating to the receipts of Petroleum Licences under The Petroleum Act 1998 for the financial year 2015-16, but not 2016-17. These amounts are collected and now reported by the OGA for payment to the Consolidated Fund; • Revenues and assets relating to the receipts of CRC Allowances under the CRC Energy Efficiency Scheme Order (2010) as amended by CRC Energy Efficiency Scheme Order (2013) for the financial year 2016-17. These amounts are collected by the Department for payment to the Consolidated Fund; • Revenues and assets relating to the receipts of CCA Buy-out payments for Target 1 reporting period; and • Civil penalties levied against participants in the EU ETS, CRC, ESOS and CCA Schemes. These amounts are collected by the Department for payment to the Consolidated Fund. This statement is also prepared to provide disclosure of any material expenditure or income that has not been applied to the purposes intended by Parliament or material transactions that have not conformed to the authorities which govern them. ## Background In the current phase (Phase III) there is a single EU-wide cap. Each Member State was required to submit a list of all the participants that will be included in Phase III, setting out its proposed levels of free allocation in accordance with the revised ETS Directive. EU ETS The EU Emissions Trading Scheme is designed to reduce greenhouse gas (GHG) emissions at the lowest cost to the European economy. It also aims to provide greater certainty that the UK and the EU will meet emission reduction targets. For Phase III at least 50% of allowances will be auctioned across the EU, a far greater percentage than in the previous phases. This includes full auctioning for the power generation sector in the UK and most Member States and for all Member States by 2020. The EU ETS includes approximately 11,000 power stations and industrial plants across the EU. Around 1,000 of these are sited in the UK and comprise power stations, oil refineries, offshore oil and gas platforms and industries that produce iron and steel, cement and lime, paper, glass, ceramics and chemicals. Other organisations may also be covered by the EU ETS, including universities and aviation operators, although there is an opt-out for hospitals and small emitters. The EU ETS works on a 'cap and trade' basis: there is a 'cap' or limit set on the total greenhouse gas emissions allowed by participants covered by the Scheme. This cap is converted into tradable emission allowances. Tradable emission allowances are allocated to participants in the market; in the EU ETS this is done via a mixture of free allocation and auctions. One allowance gives the holder the right to emit one tonne of CO2 (or its equivalent). Participants covered by the EU ETS must monitor and report their emissions each year and surrender enough allowances to cover their annual emissions. The UK appointed ICE Futures Europe to conduct auctions of EU ETS Phase III EUAs and EUAAs on behalf of the Department from November 2012. The Department has extended the contract with ICE by a further 2 years, until November 2017, the maximum allowed for in the EU Auctioning Regulation. The full schedule for Phase III auctions is available on the ICE emissions auctions web pages at www.theice. com/emissions/auctions. The UK has completed an exercise through the Official Journal of the European Union to re-procure the UK's auction platform upon expiry of the current contract in November 2017. The UK Government has identified ICE Futures Europe as the preferred supplier. On 27 April 2017, EU Member States voted in favour of an amendment to the Auctioning Regulation for a new listing of the UK's auction platform. Following the clearance of EU Parliament and Council scrutiny, the formal listing is expected to be complete in Q3 of 2017 to enable the smooth continuation of the UK's EU ETS auctions in November 2017. Participants who are likely to emit more than their allocation have a choice between taking measures to reduce their emissions or buying additional allowances, either from companies who will emit less, from the secondary carbon market or from Member State held auctions. The UK held 25 auctions of EUA allowances in 2016/17. All but one of these auctions cleared successfully. The auction on 14 December was cancelled as a result of the total volume of bids falling short of the volume of the allowances being auctioned. The allowances were distributed over the next 4 auctions,as required by the Auctioning Regulation. The carbon price signifies the amount participants in the EU ETS are willing to pay per EU allowance (EUA) which is based on demand and supply. There are separate Aviation Allowances (EUAAs) for airline operators. There was one EUAA auction of 921,000 allowances held in 2016/17. This was held on the 26 October 2016 and covered the 2016 compliance year. The auction cleared successfully. The first phase of the EU ETS ran from 2005 to 2007 and the second phase ran from 2008 to 2012 to coincide with the first Kyoto Commitment Period. The current phase of the EU ETS (2013 to 2020) builds upon the previous two phases and is significantly revised to make a greater contribution to tackling climate change. Petroleum Licences The Petroleum Act 1998 vests in the Crown all rights to the nation's petroleum resources. The Act gives the Secretary of State powers to grant licences that confer exclusive rights to "search and bore for and get" petroleum. Each of these licences confers such rights over a limited area and for a limited period. Following the creation of the OGA as an executive agency of the Department and the subsequent transfer of operations to the government company, the OGA is responsible for issuing and administering these licences and reporting them through their own Trust Statement. The amount reported in 2016-17 in the Departmental Trust Statement in respect of licence rental fees is £nil in 2016-17 and £70 million in 2015-16. CRC The CRC Energy Efficiency Scheme (CRC) is a mandatory UK-wide trading scheme that was brought into law via the CRC Energy Efficiency Scheme Order 2010 (SI 2010/768) (the 'CRC Order') and simplified via the CRC Energy Efficiency Scheme Order 2013 (SI 2013/1119). The scheme is designed to incentivise large public and private sector organisations to take up cost-effective energy efficiency opportunities through the application of a range of drivers and thereby drive down the carbon emissions throughout the UK. The CRC Scheme is designed to tackle the four main barriers to the take up of energy efficiency highlighted by the Carbon Trust report in 2005, namely insufficient financial incentives to reduce emissions, uncertain reputational benefits of demonstrating leadership, split incentives between landlord and tenants and organisational inertia. The CRC is designed to improve energy efficiency and thereby reduce emissions primarily from large non-energy intensive organisations in the private and public sectors. The sectors being targeted include large retail organisations, banks, large offices, universities, large hospitals, large local authorities and central government departments. The Environment Agency, in its role of UK Scheme Administrator, administers the scheme's registry on behalf of the Department and the Devolved Administrations. Participants use it to report annually their energy supply data and purchase and surrender allowances as required each compliance year. The Environment Agency along with the devolved scheme regulators, namely Scottish Environment Protection Agency, Northern Ireland Environment Agency and Natural Resources Wales, are responsible for the audit and enforcement of the scheme, including the issue of Civil Penalties as required. The Environment Agency report to the Department who are responsible for the overall monitoring and reporting of CRC, ensuring that the figures recorded in the Trust Statement are complete and correct. The scheme started in April 2010 with a four-year introductory phase. The second phase of the scheme commenced in 2014 and will run until 2019. There are around 2000 participants in the scheme for the second phase. The CRC tackles the barriers to energy efficiency in three ways. Firstly, the CRC has standardised and structured reporting requirements which require participants to monitor and report their emissions; secondly it has a reputational driver through the publication of data, and thirdly its financial element which requires participants to buy allowances for the carbon they emit. This brings the cost-benefits of energy efficiency to the attention of Finance Directors and aims to make it a boardroom issue. In Phase II there are 2 allowance sales each year, a forecast sale in April for the compliance period starting that month and a compliance sale in October for the previous compliance year. The allowance price in the forecast sale is set at a lower price than that in the later buy-to-comply sale for the same compliance year. This is to incentivise participants to better forecast their energy use in order that they can, if they wish, make use of the cheaper forecast sale price (NB there is a special allocation sale that runs from November to the following April for use where participants are found to need to purchase additional allowances to comply with the scheme). The special allocation allowance price would be the same as the equivalent compliance buy to comply price. This financial year 2016-17 saw the third forecast sale for Phase II of the scheme. 3. Buy-out Payments - Payments made by Climate Change Agreements (CCAs) Climate Change Agreements (CCAs) are voluntary agreements that allow eligible energyintensive sectors to receive up to a 90% reduction in the Climate Change Levy (CCL) if they sign up to stretching energy efficiency targets agreed with Government. The collection of buy-out payment income commenced in 2015-16 in respect of the first target reporting period and will continue for both buy-out payments and civil penalties, until the scheme ends in 2023. The income distribution is explained under the section on Financial Review. The new CCA scheme was launched on 1 April 2013 and contains 53 industrial sectors across more than 8,000 sites. The scheme runs until 2023 and if all sectors meet their targets from 2013 to 2020 against agreed baselines, the scheme is estimated to deliver an overall 11% energy efficiency improvement and savings to participants on the CCL of around £300 million each year. A number of simplifications were made to the scheme when it was launched in 2013. These include: • The Environment Agency administering Energy Savings Opportunity Scheme The Energy Savings Opportunity Scheme (ESOS) is an energy assessment scheme that is mandatory for all large undertakings in the UK. Government established ESOS in response to the requirements of Article 8 (4-6) of the EU Energy Efficiency Directive (2012/27/EU). the new scheme on a cost-recovery basis, providing a simplified and streamlined approach to administration for both Government and Industry; • Participants being able meet their targets Qualifying organisations must carry out audits of the energy used by their buildings, industrial processes and transport to identify cost-effective energy saving measures, by 5 December 2015 and every 4 years thereafter. either by direct action, or by using a buy-out mechanism for any shortfall against targets. Any over-achievement by a target unit may be banked and used by that target unit against future targets without having to be verified by a third party; and • The introduction of civil penalties for minor infractions not warranting decertification or termination. These simplifications mean that there are 3 potential money streams: 1. Charging Income - Payments by CCA The Department's analysis indicates that around 7,500 Ultimate Parent organisations will participate in the scheme. It is estimated that ESOS would deliver a net benefit to the UK of £1.6 billion (over 15 years), with the vast majority being felt by business through lower energy bills. This benefit will be realised if each participant in the scheme makes an average energy reduction of 0.7% as a result of implementing cost effective energy efficiency opportunities identified through audits. The Environment Agency (EA) and equivalent regulators in the devolved administrations are responsible for ensuring compliance with ESOS. Participants who fail to comply with the scheme could be fined up to £50,000 by the EA. participants to the Administrator on an annual basis, in accordance with a charging scheme established under paragraph 52C Finance Act 2000, Schedule 6 (as amended by Finance Act 2012). These monies are retained by the Environment Agency and will not feature in the Trust Statement. 2. Civil Penalties - Payments received by the There are currently no charges for registering for the scheme. The income stream consists of penalties for non-compliance with the regulations and these can only be issued after 29 January 2016 (the grace period allowed for compliance in the first phase, after the 5 December 2015 regulatory deadline). Confirmation has been given that no penalties have been issued for 2016-17. Administrator for minor infractions, passed by the Department to the Consolidated Fund in accordance with powers given in 52F Finance Act 2000, Schedule 6 (as amended by Finance Act 2012). The amounts are specified in The Climate Change Agreements (Administration) Regulations 2012. participants at the end of each 2-year target period in cases where CCA targets are not met. Payments are calculated on the basis of £12 per tonne of CO2 by which the target is exceeded. The powers are given in 52F Finance Act 2000, Schedule 6 (as amended by Finance Act 2012). The amount is specified in The Climate Change Agreements (Administration) Regulations 2012. ## Future Developments EU ETS The Department has agreed a schedule of Phase III general allowance auctions through to November 2017. The Department will announce further auctions for 2017 following the listing of the UK's new auction platform in EU legislation (expected in Q3 of 2017). Negotiations on Phase IV of the EU ETS (which runs from 2021–2030) are expected to conclude later in 2017. Both the European Council and European Parliament agreed their negotiation positions in February 2017 to enter trilogue negotiations. Petroleum Licences The OGA's Trust Statement for 2016-17 can be found at: www.ogauthority.co.uk CRC For the current phase, the following prices have been announced: CRC Scheme Year Forecast Sale Price Compliance Sale Price 2014-15 £15.60 £16.40 2015-16 £15.60 £16.90 2016-17 £16.10 £17.20 2017-18 £16.60 £17.70 2018-19 £17.20 £18.30 As part of the Budget in March 2016, the Government announced that CRC would close following the 2018-19 compliance year, with no purchase of allowances required to cover emissions for energy supplied from April 2019. The Government stated that organisations will report under the CRC for the last time by the end of July 2019, with a surrender of allowances for emissions from energy supplied in the 2018-19 compliance year by the end of October 2019. The Government will work with the devolved administrations on scheme closure arrangements. ## Energy Savings Opportunity Scheme No Future Developments Are Ascertained. Remote Contingent Liabilities On 29 March 2017, the UK Government submitted its notification to leave the EU in accordance with Article 50. The triggering of Article 50 starts a 2-year negotiation process between the UK and the EU. Any subsequent changes in legislation, regulation and funding arrangements are subject to the outcome of the negotiations. As a result, an unquantifiable remote contingent liability is disclosed. In accordance with accounting standards, no contingent assets can be recognised. During this 2-year period, which includes the full duration of the next accounting period, the UK remains a full member of the EU with all the rights and obligations arising from membership. There are no significant impacts on the financial statements in the short term from making the formal notification. ## Financial Review CRC Allowance sales under the CRC Scheme generated £750 million (2015-16: £755m). There were 10 civil penalties levied against companies participating in the CRC Scheme in the financial year under review. The civil penalties amounted to £59,420 (2015-16: £110,000). EU ETS The UK has held 24 EUA auctions and one EUAA auction between 1 April 2016 and 31 March 2017 that yielded income of £387 million (whereas the same period in 2015-16 yielded £415 million) as shown in Note 2.2 of the Trust Statement. All the auctions were wholly competitive auctions. The costs incurred in administering the CRC Scheme were borne by the Department as shown in Note 3 and included within the Department's Accounts. For each auction the total amount received was passed to the Consolidated Fund within a few days of the auction. The timing of the revenues in euros and onward transfer in sterling gave rise to exchange differences in the case of each auction totalling £211,000 (2015-16: £432,000). These exchange differences are recognised in the Statement of Revenue, Other Income and Expenditure. CCA Buy-out payments income generated from the Phase 1 reporting cycle of the CCA generated £94,000 in 2016-17 (£22.5 million in 2015-16). The drop in income for 2016-17 is explained by the fact that this was a period of secondary reporting for target reporting period 1, where participants make further top-up buy-out payments after an audit or they receive a refund if they have overpaid. ## Auditors In 2016-17, there were 54 civil penalties totalling £0.97 million levied under the EU ETS scheme by the Environmental Agency as regulator for the year under review (2015-16: 242 penalties totaling £4.9 million). There were also 9 penalties totalling £1.5 million issued by the Offshore Petroleum Regulator for Environment and Decommissioning (OPRED) in 2016-17 which are reported here for the first time. These financial statements have been audited, under the Government Resources and Accounts Act 2000, by the Comptroller and Auditor General (C&AG), who is appointed under statute and reports to Parliament. The audit opinion is on pages 229 to 230. The auditor's notional remuneration is included within the Department's Accounts. There were no fees in respect of nonaudit work. ## Basis For Preparation Most of the penalties relate to non-compliance with targets for installations in the UK small emitter opt-out scheme, who have opted out of the main requirements of the ETS. The optout requires that installations have to keep their emissions below a set target; for every tonne of CO2 emitted above their target, a penalty is charged, which is not subject to appeal. Some of these penalties (for example on aviation) relate to previous compliance years. However, the offshore industry is regulated by OPRED, a discrete directorate within BEIS. The relevant Civil Sanctions Guidance has been published alongside the civil penalties so far applied. These are related to a backlog of failures to surrender sufficient allowances and failures to comply with a permit condition. OPRED expects the number of penalties to increase in the near future as a number of compliance issues are identified. The HM Treasury Accounts Direction, issued under section 7(2) of the Government Resources and Accounts Act 2000, requires the Department to prepare the Trust Statement to give a true and fair view of the state of affairs relating to the collection and allocation of the carbon allowance auction receipts for the EU Emissions Trading Schemes, the allowances sales from the CRC scheme, buy-out payments from the CCA Scheme and civil penalties receivable under the EU ETS, CRC and CCA schemes. Regard is given to all relevant accounting and disclosure requirements given in Managing Public Money and other guidance issued by HM Treasury. The costs associated with administering the scheme were borne by the Department as shown in Note 3 and included within the Department's Accounts. ## Accounting Judgements As the Accounting Officer, it is my responsibility to apply suitable accounting policies in the preparation of the Trust Statement. Revenues are recognised in the period in which the event that generates the revenue takes place, consequently the anticipated proceeds from future auctions and licences as detailed in Note 2 are not recognised as assets within this statement. All the transactions within the Trust Statement reflect transactions that have taken place in the financial year and consequently do not require accounting judgements to be made. ## Events After The Reporting Period Details of events after the reporting period are given in Note 11 to the Trust Statement. ## Governance Statement The Department's Governance Statement, covering both the Accounts and the Trust Statement, is included in Governance section of this Report. Alex Chisholm Principal Accounting Officer and Permanent Secretary 13 July 2017 ## Statement Of The Accounting Officer'S Responsibilities In Respect Of The Trust Statement • the state of affairs of the CRC Allowance Under section 7 of the Government Resources and Accounts Act 2000, HM Treasury has directed the Department for Business, Energy and Industrial Strategy to prepare for each financial year a Trust Statement in the form and on the basis set out in the Accounts Direction. • the revenue collected and expenditure incurred HM Treasury has appointed the Permanent Secretary as Accounting Officer of the Department for Business, Energy and Industrial Strategy with overall responsibility for preparing the Trust Statement and for transmitting it to the Comptroller and Auditor General. In preparing the Trust Statement, the Accounting Officer is required to comply with the requirements of the Government Financial Reporting Manual and in particular to: • observe the Accounts Direction issued by HM • make judgements and estimates on a • state whether applicable accounting standards The Accounting Officer is responsible for ensuring that: there is a high standard of financial management, including a sound system of internal control; that financial systems and procedures promote the efficient and economical conduct of business and safeguard financial propriety and regularity; that financial considerations are fully taken into account in decisions on policy proposals; and that risk is considered in relation to assessing value for money. • prepare the Trust Statement on a going ## Accounting Officer'S Confirmation The Accounting Officer is responsible for the fair and efficient administration of the EU Emissions Trading Scheme (EU ETS) including conducting the auction of EU Allowances in the UK for Phase III of the Scheme and Aviation allowances of the EU ETS, collection of the proceeds and onward transmission of the funds in their entirety to the Consolidated Fund. The Accounting Officer is also responsible for the collection of CRC Allowances and CCA buy-out payments for onward transmission to the Consolidated Fund and, the collection of civil penalties levied under the CCA, CRC, ESOS and EU ETS schemes for onward transmission to the Consolidated Fund. I have taken all the steps that I ought to have taken to make myself aware of any relevant audit information and to establish that the Department's auditors are aware of that information. I have received appropriate assurances from the former accounting officers who served this department and its predecessors, Sir Martin Donnelly and Stephen Lovegrove. As far as I am aware, there is no relevant audit information of which the Department's auditors are unaware. The responsibilities of the Accounting Officer, including responsibility for the propriety and regularity of the public finances for which an Accounting Officer is answerable, for keeping proper records and for safeguarding the Department's assets, are set out in Managing Public Money published by HM Treasury. The annual report and accounts as a whole is fair, balanced and understandable. I take personal responsibility for the annual report and accounts and the judgements required for determining that it is fair, balanced and understandable. The Trust Statement must give a true and fair view of: • the state of affairs of the EU ETS, CCA, Alex Chisholm Principal Accounting Officer and Permanent Secretary 13 July 2017 Schemes and penalties issued under the EU ETS, ESOS, CCA and CRC Schemes. These streams of income are recognised on an accruals basis; Scheme sales which are recognised on a cash received basis; and together with the net amounts surrendered to the Consolidated Fund. Treasury, including the relevant accounting and disclosure requirements, and apply suitable accounting policies on a consistent basis; reasonable basis; as set out in the Government Financial Reporting Manual have been followed, and disclose and explain any material departures in the accounts; and -concern basis. # The Certificate And Report Of The Comptroller And Auditor General To The House Of Commons I certify that I have audited the financial statements of the Department for Business, Energy and Industrial Strategy Trust Statement for the year ended 31 March 2017 under the Government Resources and Accounts Act 2000. The financial statements comprise the Statement of Revenue, Other Income and Expenditure, the Statement of Financial Position, the Statement of Cash Flows and the related notes. These financial statements have been prepared under the accounting policies set out within them. ## Respective Responsibilities Of The Accounting Officer And Auditor As explained more fully in the Statement of Accounting Officer's Responsibilities in Respect of the Trust Statement, the Accounting Officer is responsible for the preparation of the financial statements and for being satisfied that they give a true and fair view. My responsibility is to audit, certify and report on the financial statements in accordance with the Government Resources and Accounts Act 2000. I conducted my audit in accordance with International Standards on Auditing (UK and Ireland). Those standards require me and my staff to comply with the Auditing Practices Board's Ethical Standards for Auditors. ## Scope Of The Audit Of The Financial Statements An audit involves obtaining evidence about the amounts and disclosures in the financial statements sufficient to give reasonable assurance that the financial statements are free from material misstatement, whether caused by fraud or error. This includes an assessment of: whether the accounting policies are appropriate to the circumstances of the Department for Business, Energy and Industrial Strategy Trust Statement and have been consistently applied and adequately disclosed; the reasonableness of significant accounting estimates made by the Department for Business, Energy & Industrial Strategy; and the overall presentation of the financial statements. In addition I read all the financial and non-financial information in the Accounting Officer's Foreword to the Trust Statement to identify material inconsistencies with the audited financial statements and to identify any information that is apparently materially incorrect based on, or materially inconsistent with, the knowledge acquired by me in the course of performing the audit. If I become aware of any apparent material misstatements or inconsistencies I consider the implications for my certificate. I am required to obtain evidence sufficient to give reasonable assurance that the expenditure and income recorded in the financial statements have been applied to the purposes intended by Parliament and the financial transactions recorded in the financial statements conform to the authorities which govern them. ## Opinion On Regularity In my opinion, in all material respects the expenditure and income recorded in the financial statements have been applied to the purposes intended by Parliament and the financial transactions recorded in the financial statements conform to the authorities which govern them. ## Opinion On Financial Statements Matters On Which I Report By Exception In my opinion: I have nothing to report in respect of the following matters which I report to you if, in my opinion: • the Department for Business, Energy and • adequate accounting records have not been • the financial statements are not in agreement • I have not received all of the information Industrial Strategy Trust Statement gives a true and fair view of the state of affairs of balances stemming from: the collection of EU Emissions Trading Scheme (ETS) auction receipts; Carbon Reduction Commitments (CRC) allowance sales; Climate Change Agreements (CCA) receipts; and EU ETS, CRC, CCA and Energy Savings Opportunity Scheme (ESOS) civil penalties as at 31 March 2017 and of the net revenue for the year then ended; and • the Governance Statement does not reflect • the financial statements have been properly ## Report prepared in accordance with the Government Resources and Accounts Act 2000 and HM Treasury directions issued thereunder. I have no observations to make on these financial statements. ## Opinion On Other Matters In my opinion: Sir Amyas C E Morse Comptroller and Auditor General • the information given in the Accounting 17 July 2017 Officer's Foreword to the Trust Statement for the financial year for which the financial statements are prepared is consistent with the financial statements National Audit Office 157-197 Buckingham Palace Road Victoria London SW1W 9SP kept or returns adequate for my audit have not been received from branches not visited by my staff; or with the accounting records and returns; or and explanations I require for my audit; or compliance with HM Treasury's guidance. ## Statement Of Revenue, Other Income And Expenditure For The Year Ended 31 March 2017 \| Revenue \| Note \| £'000 \| £'000 \| \|---------------------------------------------------\|-----------\|-----------\|---------\| \| Licence fees and taxes \| \| \| \| \| Carbon Reduction Commitment allowance sales \| 2.1 \| 750,179 \| 755,026 \| \| EU Emissions Trading Scheme auction income \| 2.2 \| 387,264 \| 415,232 \| \| Petroleum licences \| 2.3 \| - \| 70,225 \| \| Climate Change Agreements buy-out payments income \| 2.4 \| 94 \| 22,538 \| \| Total licence fees and taxes \| 1,137,537 \| 1,263,021 \| \| \| Fines and penalties \| \| \| \| \| Civil penalties - EU Emissions Trading scheme \| 2.5 \| 2,472 \| 4,862 \| \| Civil penalties - CRC Scheme \| 2.5 \| 59 \| 110 \| \| Total fines and penalties \| 2,531 \| 4,972 \| \| \| Total revenue and other income \| 1,140,068 \| 1,267,993 \| \| \| Expenditure \| \| \| \| \| EU Emissions Trading Scheme costs \| 3.1 \| (218) \| (437) \| \| Credit losses - debts written off \| 3.2 \| (–) \| (42) \| \| Total expenditure \| (218) \| (479) \| \| \| Disbursements \| \| \| \| \| Northern Ireland Government payments \| 3.3 \| - \| (1,600) \| \| Total disbursements \| - \| (1,600) \| \| \| Total expenditure and disbursements \| (218) \| (2,079) \| \| \| Net revenue for the Consolidated Fund \| 1,139,850 \| 1,265,914 \| \| \| Transfer of petroleum licence net assets to OGA \| (19,216) \| - \| \| \| Net revenue for the Consolidated Fund \| 1,120,634 \| 1,265,914 \| \| There were no recognised gains or losses accounted for outside the above Statement of Revenue, Other Income and Expenditure. The notes on pages 234 to 241 form part of this statement. 2016-17 2015-16 ## Statement Of Financial Position as at 31 March 2017 Current assets Receivables and accrued fees 4 2,453 11,320 Cash and cash equivalents 5 17,087 28,684 Total current assets 19,540 40,004 Current liabilities Payables 6 (518) (1,600) Deferred revenue 7 (–) (3,470) Total current liabilities (518) (5,070) Net current assets 19,022 34,934 Total net assets 19,022 34,934 Represented by: Balance on Consolidated Fund Account 8 19,022 34,934 The notes on pages 234 to 241 form part of this statement. Alex Chisholm Principal Accounting Officer and Permanent Secretary 13 July 2017 \| \| 31 March 2017 \| 31 March 2016 \| \|------\|-----------------\|-----------------\| \| Note \| £'000 \| £'000 \| ## Statement Of Cash Flows for the year ended 31 March 2017 \| Net cash flows from operating activities \| A \| 1,140,126 \| 1,263,684 \| \|--------------------------------------------\|-------------\|-------------\|-------------\| \| Cash paid to the Consolidated Fund \| (1,136,546) \| (1,205,942) \| \| \| Cash for Petroleum Licences paid to the \| \| \| \| \| Consolidated Fund \| (15,177) \| (72,185) \| \| \| Increase/(decrease) in cash in this period \| B \| (11,597) \| (14,443) \| ## Notes To The Statement Of Cash Flows A: Reconciliation of Net Cash Flow to Movement in Net Funds Net Revenue for the Consolidated Fund 1,120,634 1,265,914 Non-cash movement - Transfer of petroleum licences to OGA 8 19,216 – (Increase)/decrease in receivables and accrued income 4 (242) (5,550) Increase/(decrease) in payables and deferred income 6, 7 518 3,320 Net cash flows from revenue activities 1,140,126 1,263,684 B: Analysis in changes in Net Funds Increase/(decrease) in cash in this period (11,597) (14,443) Net Funds as at 1 April (net cash at bank) 5 28,684 43,127 Net Funds as at 31 March (closing balance) 5 17,087 28,684 Please note that the movement in receivables and payables does note reconcile to prior year due to the transfer of associated amounts to the Oil and Gas Authority (OGA). These are included in the non-cash movement line in section A: Reconciliation of Net Cash Flow to Movement in Net Funds. The notes on pages 234 to 241 form part of this statement. \| \| 2016-17 \| 2015-16 \| \|---------\|-----------\|-----------\| \| Note \| £'000 \| £'000 \| \| 2016-17 \| 2015-16 \| \| ## Notes To The Trust Statement 1 Statement Of Accounting Policies 1.3 Revenue recognition Revenue is recognised when it can be measured reliably and it is probable that the economic benefits will flow to the Exchequer. It is measured at the fair value of amounts received or receivable, net of repayments. 1.1 Basis of Accounting The Trust Statement is prepared in accordance with the accounts direction issued by HM Treasury under section 7(2) of the Government Resources and Accounts Act 2000. The Trust Statement is prepared in accordance with the accounting policies detailed below. These have been agreed between the Department of Business, Energy and Industrial Strategy (the Department) and HM Treasury and have been developed in accordance with International Financial Reporting Standards (IFRS) and other relevant guidance. The accounting policies have been applied consistently in dealing with items considered material in relation to the accounts. The income and associated expenditure contained in the Departmental Trust Statement are those flows of funds which the Department administers on behalf of the Consolidated Fund. In prior years the petroleum licences which the OGA administers were included. However in 2016-17 the OGA's operations were transferred to a government company. Therefore the OGA is now preparing its own Trust Statement for the petroleum licences. This transfer is reflected by use of absorption accounting principles showing the transfer of net petroleum licence assets to the OGA. 1.4 Financial instruments A financial instrument is any contract that gives rise to a financial asset of one entity and a financial liability or equity instrument of another entity. Financial assets and financial liabilities are recognised in the Statement of Financial Position when the Department becomes a party to the contractual provisions of an instrument. The financial information in the Trust Statement is rounded to the nearest £'1000. ## 1.5 Financial Assets The Department Classifies Financial Assets Into The Following Categories: The Trust Statement is presented in pounds sterling, which is the functional currency of the Department. 1.2 Accounting convention The Trust Statement has been prepared in accordance with the historical cost convention. EU Emissions Trading Scheme receipts represent proceeds from the auction of carbon allowances under Phase III and aviation allowances of the EU Emissions Trading Scheme. Revenue is recognised at the close of each competitive auction, when the revenue can be measured reliably. Revenue in respect of CRC allowance sales is recognised on a cash received basis by agreement with HM Treasury. Revenue in respect of CCA buy-out payments is recognised on an accruals basis, albeit the recognition point is when the income is received. Revenue in respect of civil penalties is recognised when the penalty is imposed. CRC participants may request refunds for over-surrendered allowances (Note 10 Contingent Liabilities refers). These are accounted for in the period in which the refund request is authorised and processed. • Loans and receivables; and • Cash and cash equivalents. Loans and receivables comprise: • for EU ETS the amounts due from Primary Participants in respect of established auction liabilities for which, at the financial year end, payments had not been received. The amounts due are measured at fair value calculated at the close of each auction and have a maturity of less than 3 months; and • civil penalties levied against participants in the EU ETS, CCA and CRC Schemes, amounts for which have not been received at the financial year end. The carrying amount of these assets approximates to their fair value. Cash and cash equivalents comprises current balances with banks and other financial institutions, which are readily convertible to known amounts of cash and which are subject to insignificant risk of changes in value and have an original maturity of 3 months or less. The carrying amount of these assets approximates to their fair value. ## 1.6 Financial Liabilities The Department Classifies Financial Liabilities Into The Following 2 Categories: • Financial liabilities at fair value through profit or loss; and • Other financial liabilities. The categorisation depends on the purpose for which the financial liability is held or acquired. Management determines the categorisation of financial liabilities at initial recognition and re-evaluates this designation at each reporting date. For the purposes of this Trust Statement the Department holds financial liabilities in the following category: • Other financial liabilities. Other financial liabilities comprise: • Payables in the Statement of Financial Position. Payables are amounts established as due at the reporting date, but where payment is made subsequently; and • Deferred revenue which represents petroleum licence income invoiced and received in advance relating to a future financial year. Since these balances are expected to be settled within 12 months of the reporting date there is no material difference between fair value, amortised cost and historical cost. 1.7 Foreign currency Transactions that are denominated in a foreign currency are translated into sterling at the rate of exchange ruling on the date of each transaction. Monetary assets and liabilities denominated in foreign currency at the year-end are translated at the rates ruling at that date unless a forward rate has been fixed with the Bank of England. All translation differences are included in the Statement of Revenue, Other Income and Expenditure for the period. ## 2 Revenue 2.1 Carbon Reduction Commitment Allowance Sales \| 2016-17 \| 2015-16 \| \|-----------\|-----------\| \| £'000 \| £'000 \| \| Allowance \| \| \| sales \| 750,179 \| \| Total \| 750,179 \| ## 2.2 Eu Emissions Trading Scheme Auction Income \| 2016-17 \| 2015-16 \| \|-----------\|-----------\| \| £'000 \| £'000 \| \| Phase III \| \| \| Auctions \| \| \| Income \| 382,461 \| \| Aviation \| \| \| Auctions \| \| \| Income \| 4,803 \| \| Total \| 387,264 \| Auctions under Phase III of the scheme were held from November 2012, and aviation allowance auctions were held from September 2014. For further details please see the Foreword. Dates for the carbon allowances auctions under Phase III and aviation allowances of the EU ETS, along with the number of units to be auctioned are available on the Intercontinental Exchange website on the auction calendar link at theice.com/ emissions/auctions. ## 2.3 Petroleum Licence Income 3 Expenditure And \| 2016-17 \| 2015-16 \| \|------------\|-----------\| \| £'000 \| £'000 \| \| Fees \| \| \| receivable \| - \| ## 3.1 Costs Incurred In The Collection Of Receipts \| Total \| - \| 70,225 \| \|---------\|-----\|----------\| OGA are responsible for petroleum licence income, which in 2015-16 as reported in the Departmental Trust statement. In 2016-17 OGA are preparing a separate Trust Statement so only the prior year comparatives are shown here. ## 2.4 Climate Change Agreement Income \| 2016-17 \| 2015-16 \| \|-----------\|-----------\| \| £'000 \| £'000 \| ## 3.2 Credit Losses Buy-out payment income receivable 94 22,538 Total 94 22,538 Buy-out payments income generated from the Phase 1 reporting cycle of the CCA generated £94,000 in 2016-17 2015-16: £22.5 million. The drop in income for 2016- 17 is explained by the fact that this was a period of secondary reporting for target reporting period 1, where participants make further top-up buy-out payments after an audit, or they receive a refund if they have overpaid. ## 2.5 Civil Penalties \| 2016-17 \| 2015-16 \| \|--------------\|-----------\| \| £'000 \| £'000 \| \| Levied under \| \| \| EU ETS \| \| \| Scheme \| 2,472 \| \| Levied under \| \| \| CRC Scheme \| 59 \| \| Total \| 2,531 \| There were 64 civil penalties totalling £2,471,990 (2015-16: 242 penalties totalling 4,861,929), levied under the EU ETS scheme for the year under review. CRC penalties of £59,420 were recognised in 2016-17 (2015-16 £110,453). Additionally for 2016-17, the income incorporates offshore EU ETS penalties alongside onshore and aviation EU ETS penalties. ## Disbursements \| 2016-17 \| 2015-16 \| \|----------------\|-----------\| \| £'000 \| £'000 \| \| Foreign \| \| \| currency \| \| \| translation \| \| \| costs (EU ETS) \| 211 \| \| Bank charges \| \| \| on Euro \| \| \| auction bank \| \| \| account (EU \| \| \| ETS) \| 7 \| \| Total \| 218 \| \| 2016-17 \| 2015-16 \| \| £'000 \| £'000 \| \| Specific bad \| \| \| debts written \| \| \| off - EU ETS \| \| \| penalties \| - \| \| Total \| - \| A single penalty of £42,217.95 shown as a receivable in 2014-15 was written off in 2015-16 as the company was dissolved. ## 3.3 Disbursements \| 2016-17 \| 2015-16 \| \|-------------\|-----------\| \| £'000 \| £'000 \| \| Payments \| \| \| to Northern \| \| \| Ireland \| \| \| Government \| - \| \| Total \| - \| Prior to 2016-17, disbursements represented payments to the Northern Ireland government. This was to reflect their share of the proceeds received by the Department under the Petroleum Licensing Regime administered by the OGA. These payments are made under Section 2 of the Miscellaneous Financial Provisions Act 1968. There are no outstanding amounts at the reporting date under Payables (Note 6) as for 2016-17 they are reported in the OGA's Trust Statement. In addition to the costs and disbursements above the Department incurred expenditure of £664,175 (2015-16: £1.448 million) in administering EU ETS and £657,787 (2015-16: £430,882) in respect of the CRC Scheme. Expenditure to administer the CCA scheme totalled £457,610 (2015-16: £501,275). Expenditures on EU ETS, CRC and CCA are included in the Department's Accounts because there is no express statutory provision for these costs to be deducted from the revenue collected and paid over to the Consolidated Fund. ## 4 Receivables And Accrued Fees \| 2016-17 \| 2015-16 \| \|-----------------\|-----------\| \| £'000 \| £'000 \| \| Petroleum \| \| \| licence fees \| \| \| receivable \| - \| \| Civil penalties \| \| \| receivable \| 2,453 \| \| Accrued \| \| \| petroleum \| \| \| licences \| \| \| receivable \| - \| \| Total \| 2,453 \| Civil penalties receivable represent the amounts due from the participants where invoices for payment have been issued but not paid for at the year end. ## 5 Cash And Cash Equivalents \| 2016-17 \| 2015-16 \| \|----------------\|-----------\| \| £'000 \| £'000 \| \| Balance as at \| \| \| 1 April \| 28,684 \| \| Net change in \| \| \| cash and cash \| \| \| equivalent \| \| \| balances \| (11,597) \| \| Balance \| \| \| at 31 March \| 17,087 \| \| The following \| \| \| balances at 31 \| \| \| March were \| \| \| held at: \| \| \| Government \| \| \| Banking \| \| \| Service \| 17,087 \| \| Total \| 17,087 \| ## 6 Payables 9 Financial Instruments 2016-17 2015-16 ## 9.1 Classification And Categorisation Of Financial Instruments \| \| £'000 \| £'000 \| \|----------\|---------\|---------\| \| Accruals \| - \| 1,600 \| \| Other \| 518 \| - \| \| Total \| 518 \| 1,600 \| ## 7 Deferred Revenue \| 2016-17 \| 2015-16 \| \|--------------------\|-----------\| \| £'000 \| £'000 \| \| Deferred Petroleum \| \| \| Licence revenue \| - \| \| Total \| - \| ## 8 Balance On The Consolidated Fund Account \| 2016-17 \| 2015-16 \| \|----------------\|-----------\| \| £'000 \| £'000 \| \| Balance on the \| \| \| Consolidated \| \| \| Fund as at 1 \| \| \| April \| 34,934 \| ## 9.2 Risk Exposure To Financial Instruments Net revenue for the Consolidated Fund 1,139,850 1,265,914 Transfer of Petroleum licences to OGA; (19,216) – Less amounts paid to the Consolidated Fund (1,136,546) (1,278,127) Balance on the Consolidated Fund as at 31 March 19,022 34,934 2016-17 2015-16 £'000 £'000 Financial assets: Cash 5 17,087 28,684 Petroleum licence fees receivable 4 – 8,719 Civil penalties receivable 4 2,453 2,211 Accrued petroleum licence fees receivable 4 – 390 Total loans and receivables 19,540 40,004 Financial liabilities: Accruals 6 (–) (1,600) Other payables (518) (–) Deferred revenue 7 (–) (3,470) Total other financial liabilities (518) (5,070) EU Emissions Trading Scheme The EU Emissions Trading Scheme is exposed to foreign currency risk due to the timing difference in recognising the proceeds at the auction exchange rate and the date at which the proceeds are converted into sterling, which is one day after the close of the auction. This results in either an exchange loss or gain. As shown in Note 3.1 there was an exchange loss incurred this financial year of £211,000 (2015-16: £432,000). The scheme is not exposed to interest rate or liquidity risk and its exposure to market risk is limited due to there being a current demand for carbon allowances. The civil penalties imposed under the EU ETS scheme are subject to credit risk, but this risk is assessed by management as minimal due to the nature of the participants in the scheme. However one infrastructure civil penalty was written off in 2015-16 (Note 3.2) as the company concerned was dissolved. CRC Scheme The allowance sales under the Carbon Reduction Commitment are subject to credit risk, but this risk is assessed by management as low. This is borne out in the results from previous years of the scheme. The civil penalties imposed under the CRC scheme are subject to credit risk, but this risk is assessed by management as minimal due to the nature of the participants in the scheme. CCA Scheme The buy-out payment revenue collected under the CCA scheme is subject to credit risk, but this risk is assessed by management as low, due to the nature of participants in the scheme. All fees under the regime are received in sterling minimising any other risks. Information which will allow Trust Statement users to evaluate the significance of financial instruments on the Department's financial performance and position and the nature and extent of the Department's exposure to other risks arising from financial instruments can be found in Note 22 of the Department's Accounts. ## 10 Contingent Liability A contingent liability exists for refunds the Department may have to pay to participants in the CRC Energy Efficiency Scheme who have over-surrendered allowances. This is as a result of legislation included in the CRC Order 2013, which came into force in May 2013. The refunds are contingent upon participants being able to prove that the over-surrender was due to a reporting error and must be agreed by the Secretary of State. The Department is unable to quantify the amount of future refunds, but based on the most recent information available from the scheme administrators, the refunds are not expected to be significant. Future refunds will be paid as and when they fall due out of future scheme receipts. The Department has issued guidance to participants detailing the refund process. Furthermore for the CCA scheme a contingent liability also exists in the secondary reporting phase of each Target Reporting Period. A refund is due where a participant has undergone review or audit procedures and it is deemed they have overpaid. The Department must retain sufficient funds in order to satisfy this requirement of the CCA scheme. ## 11 Events After The Reporting Period There were no significant events after the reporting period that require disclosure. The Accounting Officer has duly authorised the issue of the Trust Statement on the date of the Comptroller and Auditor General's audit certificate. 6. Compliance with the requirements of the ## Annex D Accounts Direction Given By Hm Treasury In Accordance With Section 7(2) Of The Government Resources And Accounts Act 2000. 1. This direction applies to the Department for Business, Energy and Industrial Strategy. 2. The Department shall prepare a Trust Statement ("the Statement") for the financial year ended 31 March 2017 for the revenue and other income, as directed by the Treasury, collected by the department as an agent for others, in compliance with the accounting principles and disclosure requirements of the edition of the Government Financial Reporting Manual by HM Treasury ("FReM") which is in force for 2016-17. 7. The Statement shall be transmitted to 3. The Statement shall be prepared, as 8. The Trust Statement, together with this prescribed in Appendix 1, so as to give a true and fair view of: (a) the state of affairs relating to the collection and allocation of taxes, licence fees, fines and penalties and other income by the Department as agent and of the expenses incurred in the collection of those taxes, licence fees, fines and penalties insofar as they can properly be met from that revenue and other income; (b) the revenue and expenditure; and (c) the cash flows for the year then ended. 4. The Statement shall also be prepared so as to provide disclosure of any material expenditure or income that has not been applied to the purposes intended by Parliament or material transactions that have not conformed to the authorities which govern them. 5. When preparing the Statement, the Vicky Rock Deputy Director, Government Financial Reporting Her Majesty's Treasury 2 June 2017 Department shall comply with the guidance given in the FReM (Chapter 8). The Department shall also agree with HM Treasury the format of the Principal Accounting Officer's Foreword to the Statement, and the supporting notes, and the accounting policies to be adopted, particularly in relation to revenue recognition. Regard shall also be given to all relevant accounting and disclosure requirements in Managing Public Money and other guidance issued by HM Treasury, and to the principles underlying International Financial Reporting Standards. FReM will, in all but exceptional circumstances, be necessary for the accounts to give a true and fair view. If, in these exceptional circumstances, compliance with the requirements of the FReM is inconsistent with the requirement to give a true and fair view, the requirements of the FReM should be departed from only to the extent necessary to give a true and fair view. In such cases, informed and unbiased judgement should be used to devise an appropriate alternative treatment which should be consistent with both the economic characteristics of the circumstances concerned and the spirit of the FReM. Any material departure from the FReM should be discussed in the first instance with HM Treasury. the Comptroller and Auditor General for the purpose of his examination and report by a date agreed with the Comptroller and Auditor General and HM Treasury to enable compliance with the administrative deadline for laying the audited accounts before Parliament before the Summer Recess. direction (but with the exception of the related appendices) and the Report produced by the Comptroller and Auditor General under section 7(2) of the Government Resources and Accounts Act 2000 shall be laid before Parliament at the same time as the Department's Resource Accounts for the year, unless the Treasury have agreed that the Trust Statement may be laid at a later date. ## Appendix 1 Trust Statement for the year ended 31 March 2017 1. The Trust Statement shall include: • a Foreword by the Principal Accounting Officer; • a Statement of the Principal Accounting Officers Responsibilities; • a Governance Statement; • a Statement of Revenue, Other Income and Expenditure; • a Statement of Financial Position; • a Cash Flow Statement; and • such notes as may be necessary to present a true and fair view. 2. The Notes shall include among other items: • the accounting policies, including the policy for revenue recognition and estimation techniques and forecasting techniques together with statements explaining any significant uncertainty surrounding estimates and forecasts; • a breakdown of material items within the accounts; • any assets, including intangible assets and contingent liabilities; • summaries of losses, write-offs and remissions; • post balance sheet events; and • any other notes agreed with HM Treasury and the National Audit Office. Sponsoring Department Income Stream Responsible Entity BEIS EU Emissions Allowance BEIS Department of Business, Energy and Industrial Strategy Fines and Penalties BEIS CRC Allowances BEIS CCA Buy-Out Payments Core Technology Facility, Newcastle Univeristy campus ## Annexes Annex A: Our Major Projects And Programmes At the end of September 2016, the Department had 10 major projects listed in the Government Major Projects Portfolio (GMPP), summarised in the table below. Transparency data on project \| Project \| \|-----------------------------------------------------------------------------\| \| To avert an investment hiatus in the deployment of low carbon electricity \| \| Financial Investment \| \| Decision Enabling \| \| for Hinkley Point C \| \| generation caused by the announced reform of the electricity market, \| \| in the period between the publication of the Electricity Market Reform \| \| (EMR) white paper and the full implementation of the EMR Contracts \| \| for Difference (CfD). \| \| To establish a new research institution, with the construction of a new \| \| Francis Crick \| \| Institute \| \| facility located close to St Pancras station, London. The Francis Crick \| \| Institute is a joint venture between the UK's largest biomedical research \| \| and academic institutions: the Medical Research Council (MRC), Cancer \| \| Research UK (CRUK), the Wellcome Trust, University College London, \| \| Kings College, London and Imperial College, London. \| \| To site and construct a safe, secure and environmentally responsible \| \| permanent geological disposal facility for higher-activity radioactive \| \| waste across England, Wales and Northern Ireland. \| \| Geological Disposal \| \| Facility (GDF) \| \| Programme \| \| To provide £320 million of time-limited capital support to support \| \| the construction of heat networks projects in England and Wales. \| \| Heat Networks \| \| Investment Project \| \| To deliver a single LLC Register Service for England to provide a national \| \| resilient service, consistency of customer experience and fees. \| \| Local Land Charges \| \| (LCC) Programme \| \| To secure a reduction in the cost and time to deliver the outcomes of \| \| the Magnox Optimised Decommissioning Plan and the Optimised RSRL \| \| baseline by securing a new PBO for the Magnox and RSRL Site Licence \| \| Companies. \| \| Magnox and \| \| Research Sites \| \| Restoration Limited \| \| (RSRL) Parent Body \| \| Organisation (PBO) \| \| Competition \| \| New Polar Research \| \| Vessel \| \| Replace 2 existing polar research and supply vessels with \| \| one dual-purpose ship. The single-ship option is planned to save \| \| £102 million over 30 years. \| \| Project Eagle \| \| The Shareholder Executive is taking forward consideration of a sale \| \| of Government's one-third shareholding in Urenco, a uranium enrichment \| \| company. \| \| Creating the environment for success at Sellafield by moving from \| \| a PBO model to a subsidiary model. \| \| Sellafield Model \| \| Change \| \| To offer smart electricity and gas meters to every home in Great Britain by \| \| 2020, providing accurate bills, and enabling better-informed decisions on \| \| energy consumption, faster switching, and a more flexible energy system. \| \| Smart Metering \| \| Implementation \| \| Programme \| cost and delivery confidence are published annually alongside the Infrastructure and Projects Authority's Annual Report. In addition, the Department had one major project which left the GMPP between September 2015 and September 2016. \| Project \| \|---------------------------------------------------------------------------\| \| To support practical experience in the design, construction and operation \| \| of commercial-scale CCS power generation through the CCS competition. \| \| Carbon Capture \| \| and Storage (CCS) \| \| Commercialisation \| \| Programme \| ## Annex B: Other Information Advertising Campaigns We delivered a £1.75 million UK-wide communications campaign to raise awareness to employees and employers of the 1 April increases in the National Living Wage and National Minimum Wage. The campaign was launched at the end of February and included advertising on radio, online, in regional newspapers and posters - all up-weighted to the regions where higher concentrations of the target audience reside. Its aim was to ensure that eligible workers are paid the correct rate, with support and guidance on a campaign website checkyourpay.com. The campaign drove more than 730,000 visits to the website, far exceeding initial predictions. ## Correspondence We aim to respond to 80% of correspondence within 15 working days. In 2016-17, we responded to 13,094 cases with 71% replied to within the deadline. The chart below shows the core department's performance responding to correspondence from both Ministers and the public ## Complaints To The Parliamentary Ombudsman In 2015-16 (latest data available), the ombudsman accepted 16 complaints for investigation against the department and the organisations that are accountable to the department (2014-15: 16) and upheld or partly upheld 6 complaints (2014-15: 5)16. ## Annex C: Regulatory Reporting Table 1 - Public Spending This Table Provides A Summary Of Departmental net expenditure using the same headings as voted within the Estimate. \| 2012-13 \| 2013-14 \| 2014-15 \| 2015-16 \| \|----------------------\|---------\|----------\|----------\| \| outturn \| outturn \| outturn \| outturn \| \| Resource DEL \| \| \| \| \| Deliver an ambitious \| \| \| \| \| industrial strategy \| 200,403 \| 300,436 \| 288,168 \| \| Maximise investment \| \| \| \| \| opportunities and \| \| \| \| \| bolster UK interests \| 27,640 \| 7,535 \| 3,980 \| \| Promote competitive \| \| \| \| \| markets and \| \| \| \| \| responsible business \| \| \| \| \| practices \| 55,945 \| 85,943 \| 70,324 \| \| Delivering \| \| \| \| \| affordable energy \| \| \| \| \| for households and \| \| \| \| \| businesses \| 65,099 \| 45,947 \| 355,160 \| \| Ensuring that our \| \| \| \| \| energy system is \| \| \| \| \| reliable and secure \| 7,073 \| 22,151 \| 18,822 \| \| Taking action on \| \| \| \| \| climate change and \| \| \| \| \| decarbonisation \| \| \| \| \| 54,662 \| 76,446 \| 115,824 \| 95,211 \| \| Managing our energy \| \| \| \| \| legacy safely and \| \| \| \| \| responsibly \| 340,708 \| 336,433 \| 318,312 \| \| Science and \| \| \| \| \| Research \| 53,806 \| (15,051) \| 10,819 \| \| Capability \| 380,370 \| 370,967 \| 408,745 \| \| Government as \| \| \| \| \| Shareholder \| 401,055 \| 387,362 \| 243,220 \| \| Deliver an ambitious \| \| \| \| \| industrial strategy \| \| \| \| \| (ALB) net \| 16,704 \| (35,066) \| (38,576) \| \| Promote competitive \| \| \| \| \| markets and \| \| \| \| \| responsible business \| \| \| \| \| practices (ALB) net \| 63,058 \| 59,821 \| 49,766 \| \| Ensuring that our \| \| \| \| \| energy system is \| \| \| \| \| reliable and secure \| \| \| \| \| (ALB) net \| 0 \| 0 \| (280) \| \| Taking action on \| \| \| \| \| climate change and \| \| \| \| \| decarbonisation \| \| \| \| \| (ALB) net \| 3,427 \| 3,710 \| 4,416 \| \| 2016-17 \| 2017-18 \| 2018-19 \| 2019-20 \| \| outturn \| plans \| plans \| plans \| \| 2012-13 \| 2013-14 \| 2014-15 \| 2015-16 \| 2016-17 \| 2017-18 \| 2018-19 \| 2019-20 \| \|------------------------------\|-----------------------------------------------------------------------------------------------\|-----------\|-------------\|-----------------------\|-----------\|-----------\|-----------\| \| outturn \| outturn \| outturn \| outturn \| outturn \| plans \| plans \| plans \| \| Managing our energy \| \| \| \| \| \| \| \| \| legacy safely and \| \| \| \| \| \| \| \| \| responsibly (ALB) net \| 24,424 \| 29,121 \| 23,188 \| 46,977 \| 39,234 \| 23,177 \| 24,800 \| \| Science and \| \| \| \| \| \| \| \| \| Research (ALB) net \| 365,092 \| 84,291 \| 80,272 \| 82,787 \| 257,357 \| 223,749 \| 297,921 \| \| Capability (ALB) Net \| 59,591 \| 68,597 \| 59,268 \| 39,218 \| 39,818 \| 9,800 \| 9,800 \| \| Government as \| \| \| \| \| \| \| \| \| Shareholder (ALB) net \| 99,432 \| 72,153 \| 16,238 \| (30,023) \| (46,890) \| (41,068) \| (42,901) \| \| NDA and SLC \| \| \| \| \| \| \| \| \| expenditure \| 1,259,039 \| 1,413,249 \| 1,431,342 \| 1,414,542 \| 1,287,445 \| 1,360,000 \| 1,342,000 \| \| Nuclear \| \| \| \| \| \| \| \| \| Decommissioning \| \| \| \| \| \| \| \| \| Authority Income \| \| \| \| \| \| \| \| \| (CFER) \| (784,055) \| (892,139) \| (1,008,787) \| (974,558) (1,026,768) \| (998,000) \| (976,000) \| (978,000) \| \| Electricity Market \| \| \| \| \| \| \| \| \| Reform \| 3,823 \| (4,851) \| 0 \| 0 \| - \| 0 \| 0 \| \| Total Resource DEL 2,697,296 \| 2,417,055 2,450,221 2,499,237 1,972,334 \| 1,982,716 \| 2,019,110 \| 1,821,519 \| \| \| \| \| Of which: \| \| \| \| \| \| \| \| \| Staff costs \| 498,100 \| 527,935 \| 518,385 \| 548,832 \| 519,891 \| 363,576 \| 429,133 \| \| Purchase of goods \| \| \| \| \| \| \| \| \| and services \| 2,016,160 \| 2,279,269 \| 2,200,717 \| 2,231,691 \| 2,017,981 \| 1,951,253 \| 1,924,922 \| \| Income from sales of \| \| \| \| \| \| \| \| \| goods and services \| (893,095) (1,027,176) (1,157,876) (1,144,381) (1,173,251) (1,030,906) (1,009,512) (1,018,452) \| \| \| \| \| \| \| \| Current grants to \| \| \| \| \| \| \| \| \| local government \| \| \| \| \| \| \| \| \| (net) \| 14,087 \| 7,253 \| 18,354 \| 25,513 \| 12,055 \| 8,956 \| 6,180 \| \| Current grants to \| \| \| \| \| \| \| \| \| persons and non- \| \| \| \| \| \| \| \| \| profit bodies (net) \| 213,494 \| 167,028 \| 585,126 \| 548,517 \| 196,275 \| 338,068 \| 338,066 \| \| Current grants \| \| \| \| \| \| \| \| \| abroad (net) \| 61,993 \| 44,913 \| 31,427 \| 41,307 \| 33,974 \| 70,349 \| 89,401 \| \| Subsidies to private \| \| \| \| \| \| \| \| \| sector companies \| 200 \| 0 \| 0 \| 131,476 \| 264,837 \| 1,618 \| 1,465 \| \| Subsidies to public \| \| \| \| \| \| \| \| \| corporations \| 350,000 \| 350,250 \| 230,402 \| 183,035 \| 145,239 \| 95,000 \| 60,000 \| \| Net public service \| \| \| \| \| \| \| \| \| pensions \| \| \| \| \| \| \| \| \| 2 \| \| \| \| \| \| \| \| \| 15,967 \| 27,640 \| (7) \| 0 \| - \| 0 \| 0 \| 0 \| \| Rentals \| 24,712 \| (63,075) \| (63,400) \| (47,642) \| 40,608 \| 25,814 \| 26,190 \| \| Depreciation \| \| \| \| \| \| \| \| \| 1 \| \| \| \| \| \| \| \| \| 304,486 \| 304,701 \| 293,609 \| 268,978 \| 355,397 \| 279,919 \| 279,303 \| 283,669 \| \| Take up of provisions \| (2,577) \| (25) \| 23 \| (30) \| 780 \| 0 \| 0 \| \| Change in pension \| \| \| \| \| \| \| \| \| scheme liabilities \| 204 \| 37 \| 12 \| 35 \| 128 \| 200 \| 200 \| \| Other resource \| 93,565 \| (201,695) \| (206,551) \| (288,094) \| (441,580) \| (121,131) \| (126,238) \| \| 2012-13 \| 2013-14 \| 2014-15 \| 2015-16 \| \|-----------------------\|----------\|-----------\|--------------------\| \| outturn \| outturn \| outturn \| outturn \| \| Resource AME \| \| \| \| \| Deliver an ambitious \| \| \| \| \| industrial strategy \| (31,763) \| (142,334) \| (93,804) \| \| Maximise investment \| \| \| \| \| opportunities and \| \| \| \| \| bolster UK interests \| 0 \| 0 \| 3,881 \| \| Promote competitive \| \| \| \| \| markets and \| \| \| \| \| responsible business \| \| \| \| \| practices \| 38,660 \| 68,858 \| 74,000 \| \| Ensuring that our \| \| \| \| \| energy system is \| \| \| \| \| reliable and secure \| (4,797) \| (1,484) \| 342,599 \| \| Taking action on \| \| \| \| \| climate change and \| \| \| \| \| decarbonisation \| 0 \| 0 \| 497,618 \| \| Managing our energy \| \| \| \| \| legacy safely and \| \| \| \| \| responsibly \| 68,415 \| (396,981) \| (96,723) \| \| Science and \| \| \| \| \| Research \| 82,814 \| 34,544 \| 87,581 \| \| Capability \| (9,289) \| (34,742) \| (29,793) \| \| Government as \| \| \| \| \| Shareholder \| 48,248 \| (21,894) \| 25,524 \| \| Renewable Heat \| \| \| \| \| Incentive \| 27,416 \| 52,367 \| 158,946 \| \| Deliver an ambitious \| \| \| \| \| industrial strategy \| \| \| \| \| (ALB) net \| 0 \| 2,479 \| (4,309) \| \| Promote competitive \| \| \| \| \| markets and \| \| \| \| \| responsible business \| \| \| \| \| practices (ALB) net \| (11,657) \| (561) \| (243) \| \| Taking action on \| \| \| \| \| climate change and \| \| \| \| \| decarbonisation \| \| \| \| \| (ALB) net \| 0 \| 0 \| 1,987,931 \| \| Managing our energy \| \| \| \| \| legacy safely and \| \| \| \| \| responsibly (ALB) net \| 160,363 \| 378 \| (65,835) 1,906,630 \| \| Science and \| \| \| \| \| Research (ALB) net \| 43,462 \| (24,687) \| 48,980 \| \| Capability (ALB) Net \| 113 \| (113) \| 0 \| \| Government as \| \| \| \| \| Shareholder (ALB) net \| 0 \| (130,671) \| (148,034) \| \| 2016-17 \| 2017-18 \| 2018-19 \| 2019-20 \| \| outturn \| plans \| plans \| plans \| \| 2012-13 \| 2013-14 \| 2014-15 \| 2015-16 \| 2016-17 \| 2017-18 \| 2018-19 \| 2019-20 \| \|-----------------------\|-----------\|----------------------\|----------------------\|---------------------\|---------------------\|-----------\|-----------\| \| outturn \| outturn \| outturn \| outturn \| outturn \| plans \| plans \| plans \| \| Nuclear \| \| \| \| \| \| \| \| \| Decommissioning \| \| \| \| \| \| \| \| \| Authority \| 5,137,651 \| 5,309,642 \| 5,644,353 89,797,932 \| 2,850,516 \| 1,794,000 \| 1,105,000 \| 1,069,000 \| \| Nuclear \| \| \| \| \| \| \| \| \| Decommissioning \| \| \| \| \| \| \| \| \| Authority Income \| \| \| \| \| \| \| \| \| (CFER) \| (711) \| (898) \| 0 \| 0 \| 0 \| 0 \| 0 \| \| Government as \| \| \| \| \| \| \| \| \| Shareholder \| 415,257 \| 316,071 \| 239,776 \| 254,256 \| 231,511 \| 277,000 \| 217,000 \| \| Government as \| \| \| \| \| \| \| \| \| Shareholder \| 0 \| 77,341 \| 0 \| 0 \| 0 \| 0 \| 0 \| \| Total \| \| \| \| \| \| \| \| \| Resource AME \| 5,964,182 \| 5,107,315 8,672,448 \| 101,956,236 \| 3,523,215 2,855,274 \| 2,166,525 2,248,019 \| \| \| \| Of which: \| \| \| \| \| \| \| \| \| Staff costs \| 0 \| 0 \| 0 \| 0 \| 0 \| 834 \| 902 \| \| Purchase of goods \| \| \| \| \| \| \| \| \| and services \| 6,612 \| 127,354 \| 19,776 \| 23,450 \| 36,169 \| 1,700 \| 1 \| \| Income from sales of \| \| \| \| \| \| \| \| \| goods and services \| (711) \| (10,578) \| (152) \| 0 \| 0 \| (12,414) \| 152 \| \| Current grants to \| \| \| \| \| \| \| \| \| persons and non- \| \| \| \| \| \| \| \| \| profit bodies (net) \| 513,246 \| 448,509 \| 392,622 \| 327,826 \| 385,511 \| 523,940 \| 492,922 \| \| Subsidies to private \| \| \| \| \| \| \| \| \| sector companies \| 0 \| 52,367 \| 158,943 \| 372,420 \| 0 \| 780,000 \| 900,000 \| \| Net public service \| \| \| \| \| \| \| \| \| pensions \| \| \| \| \| \| \| \| \| 2 \| \| \| \| \| \| \| \| \| 24 \| 0 \| 0 \| 0 \| - \| 0 \| 0 \| 0 \| \| Rentals \| 0 \| 0 \| (139) \| (81) \| (718) \| 0 \| 0 \| \| Depreciation \| \| \| \| \| \| \| \| \| 1 \| \| \| \| \| \| \| \| \| 293,077 \| 53,750 \| 2,653,848 10,126,954 \| 59,846 \| 148,121 \| 52,833 \| 37,625 \| \| \| Take up of provisions \| 5,743,710 \| 5,400,115 \| 6,022,459 91,967,474 \| 2,984,414 \| 1,909,642 \| 1,263,026 \| 1,229,353 \| \| Release of provision \| (451,125) \| (448,607) \| (407,513) \| (692,733) \| (351,474) \| (343,857) \| (314,688) \| \| Change in pension \| \| \| \| \| \| \| \| \| scheme liabilities \| 25,762 \| 12,337 \| 29,627 \| 19,199 \| 20,375 \| 0 \| 0 \| \| Unwinding of the \| \| \| \| \| \| \| \| \| discount rate on \| \| \| \| \| \| \| \| \| pension scheme \| \| \| \| \| \| \| \| \| liabilities \| 40,890 \| 1,464 \| 43,398 \| 37,423 \| 38,095 \| 80 \| 80 \| \| Release of provisions \| \| \| \| \| \| \| \| \| covering payments of \| \| \| \| \| \| \| \| \| pension benefits \| (15,991) \| (27,758) \| 0 \| 0 \| - \| 0 \| 0 \| \| Other resource \| (191,312) \| (501,638) \| (240,421) \| (225,696) \| 350,997 \| (152,772) \| (228,703) \| \| Total Resource \| 8,661,478 7,524,370 11,122,669 \| 104,455,473 \| 5,495,549 4,837,990 4,185,635 4,069,538 \| \| \| \| \| \| Budget \| \| \| \| \| \| \| \| \| Of which: \| \| \| \| \| \| \| \| \| Depreciation \| \| \| \| \| \| \| \| \| 1 \| \| \| \| \| \| \| \| \| 597,563 \| 358,451 \| 2,947,457 10,395,932 \| 415,243 \| 428,040 \| 332,136 \| 321,294 \| \| \| 2012-13 \| 2013-14 \| 2014-15 \| 2015-16 \| \|-----------------------\|----------\|---------\|-----------\| \| outturn \| outturn \| outturn \| outturn \| \| Capital DEL \| \| \| \| \| Deliver an ambitious \| \| \| \| \| industrial strategy \| (71,647) \| 9,744 \| (345,273) \| \| Maximise investment \| \| \| \| \| opportunities and \| \| \| \| \| bolster UK interests \| 189,430 \| 374,500 \| 190,635 \| \| Promote competitive \| \| \| \| \| markets and \| \| \| \| \| responsible business \| \| \| \| \| practices \| 9,500 \| 446 \| 47 \| \| Delivering \| \| \| \| \| affordable energy \| \| \| \| \| for households and \| \| \| \| \| businesses \| 86,404 \| 81,312 \| 137,266 \| \| Ensuring that our \| \| \| \| \| energy system is \| \| \| \| \| reliable and secure \| 0 \| 0 \| 1,158 \| \| Taking action on \| \| \| \| \| climate change and \| \| \| \| \| decarbonisation \| 30,146 \| 48,575 \| 47,620 \| \| Managing our energy \| \| \| \| \| legacy safely and \| \| \| \| \| responsibly \| 6,815 \| 6,883 \| 7,103 \| \| Science and \| \| \| \| \| Research \| 328,823 \| 474,623 \| 597,152 \| \| Capability \| 54,126 \| 26,178 \| 11,027 \| \| Government as \| \| \| \| \| Shareholder \| 178,322 \| 121,200 \| 106,569 \| \| Deliver an ambitious \| \| \| \| \| industrial strategy \| \| \| \| \| (ALB) net \| 394,562 \| 609,293 \| 642,389 \| \| Promote competitive \| \| \| \| \| markets and \| \| \| \| \| responsible business \| \| \| \| \| practices (ALB) net \| 879 \| 1,543 \| 1,559 \| \| Ensuring that our \| \| \| \| \| energy system is \| \| \| \| \| reliable and secure \| \| \| \| \| (ALB) net \| 0 \| 0 \| 2,207 \| \| Taking action on \| \| \| \| \| climate change and \| \| \| \| \| decarbonisation \| \| \| \| \| (ALB) net \| 2 \| 0 \| 4,004 \| \| Managing our energy \| \| \| \| \| legacy safely and \| \| \| \| \| responsibly (ALB) net \| 3,443 \| 3,497 \| 5,895 \| \| 2016-17 \| 2017-18 \| 2018-19 \| 2019-20 \| \| outturn \| plans \| plans \| plans \| \| 2012-13 \| 2013-14 \| 2014-15 \| 2015-16 \| 2016-17 \| 2017-18 \| 2018-19 \| 2019-20 \| \|-----------------------\|-----------\|---------------------\|------------\|------------\|------------\|------------\|------------\| \| outturn \| outturn \| outturn \| outturn \| outturn \| plans \| plans \| plans \| \| Science and \| \| \| \| \| \| \| \| \| Research (ALB) net \| 4,786,495 \| 5,443,945 \| 5,490,888 \| 5,531,882 \| 3,453,704 \| 3,277,431 \| 3,553,492 \| \| Capability (ALB) Net \| 1,600 \| 7,257 \| 773 \| 641 \| 480 \| 1,500 \| 0 \| \| Government as \| \| \| \| \| \| \| \| \| Shareholder (ALB) net \| 120,113 \| 603,759 \| 616,035 \| 595,189 \| 1,172,665 \| 408,000 \| 163,090 \| \| NDA and SLC \| \| \| \| \| \| \| \| \| expenditure \| 1,776,295 \| 1,697,841 \| 1,845,932 \| 1,827,695 \| 1,970,695 \| 1,998,000 \| 1,901,000 \| \| Nuclear \| \| \| \| \| \| \| \| \| Decommissioning \| \| \| \| \| \| \| \| \| Authority Income \| \| \| \| \| \| \| \| \| (CFER) \| (54,866) \| (337) \| (2,916) \| (51,639) \| 0 \| 0 \| 0 \| \| Total Capital DEL \| 7,840,442 \| 9,510,259 9,360,070 \| 10,198,839 \| 10,834,636 \| 10,895,941 \| 10,594,925 \| 11,245,374 \| \| Of which: \| \| \| \| \| \| \| \| \| Staff costs \| 486,510 \| 481,265 \| 499,390 \| 480,109 \| 477,642 \| 401,488 \| 300,294 \| \| Purchase of goods \| \| \| \| \| \| \| \| \| and services \| 482,611 \| 598,356 \| 604,949 \| 648,188 \| 400,763 \| 277,614 \| 277,154 \| \| Income from sales of \| \| \| \| \| \| \| \| \| goods and services \| (275,173) \| (107,129) \| (122,637) \| (131,102) \| (257,467) \| (245,487) \| (247,493) \| \| Current grants to \| \| \| \| \| \| \| \| \| persons and non- \| \| \| \| \| \| \| \| \| profit bodies (net) \| 4,223,838 \| 4,248,076 \| 4,465,923 \| 4,666,325 \| 4,800,848 \| 3,132,212 \| 3,514,732 \| \| Current grants \| \| \| \| \| \| \| \| \| abroad (net) \| 333,655 \| 321,542 \| 317,714 \| 302,460 \| 317,400 \| 481,240 \| 574,064 \| \| Subsidies to private \| \| \| \| \| \| \| \| \| sector companies \| - \| - \| - \| - \| 0 \| 59,722 \| 61,214 \| \| Subsidies to public \| \| \| \| \| \| \| \| \| corporations \| 0 \| (452) \| (1,238) \| (2,655) \| 224,350 \| 154,882 \| 157,825 \| \| Capital support for \| \| \| \| \| \| \| \| \| local government \| \| \| \| \| \| \| \| \| (net) \| 49,075 \| 77,095 \| 21,570 \| 54,528 \| 280 \| 55,500 \| 42,000 \| \| Capital grants to \| \| \| \| \| \| \| \| \| persons & non-profit \| \| \| \| \| \| \| \| \| bodies (net) \| \| \| \| \| \| \| \| \| 487,920 \| 1,247,048 \| 968,596 \| 999,113 \| 420,695 \| 1,034,527 \| 914,968 \| 796,641 \| \| Capital grants \| \| \| \| \| \| \| \| \| to private sector \| \| \| \| \| \| \| \| \| companies (net) \| 57,986 \| 93,124 \| 131,354 \| 155,115 \| 237,003 \| 240,224 \| 249,316 \| \| Capital grants abroad \| \| \| \| \| \| \| \| \| (net) \| 210,070 \| 362,976 \| 203,769 \| 425,981 \| 525,994 \| 511,085 \| 470,058 \| \| Capital support for \| \| \| \| \| \| \| \| \| public corporations \| (1,229) \| 118,832 \| 90,278 \| 170,203 \| 191,538 \| 79,070 \| 38,010 \| \| Purchase of assets \| 2,046,889 \| 1,958,591 \| 2,071,328 \| 2,059,177 \| 2,241,911 \| 2,284,773 \| 2,176,534 \| \| Income from sales of \| \| \| \| \| \| \| \| \| assets \| (67,184) \| (84,335) \| (37,628) \| (92,106) \| (65,427) \| (9,193) \| (8,910) \| \| 2012-13 \| 2013-14 \| 2014-15 \| 2015-16 \| \|----------------------------------\|-----------------------------------------------------------------------------------------\|-------------------\|----------------------\| \| outturn \| outturn \| outturn \| outturn \| \| Net lending to the \| \| \| \| \| private sector and \| \| \| \| \| abroad \| 140,708 \| 322,515 \| 519,050 \| \| Other capital \| (335,234) \| (127,245) \| (372,348) \| \| Capital AME \| \| \| \| \| Deliver an ambitious \| \| \| \| \| industrial strategy \| 0 \| 0 \| (35,000) \| \| Maximise investment \| \| \| \| \| opportunities and \| \| \| \| \| bolster UK interests \| 0 \| (19,723) \| 17,413 \| \| Managing our energy \| \| \| \| \| legacy safely and \| \| \| \| \| responsibly \| (33,189) \| (490,707) \| (620,294) \| \| Science and \| \| \| \| \| Research \| 0 \| 0 \| 0 \| \| Government as \| \| \| \| \| Shareholder \| (61,368) \| (763,521) \| 291,559 \| \| Renewable Heat \| \| \| \| \| Incentive \| 12,731 \| 13,770 \| 1,697 \| \| Deliver an ambitious \| \| \| \| \| industrial strategy \| \| \| \| \| (ALB) net \| 0 \| 0 \| 7,159 \| \| Science and \| \| \| \| \| Research (ALB) net \| (57,492) \| (1,108) \| (71,497) \| \| Government as \| \| \| \| \| Shareholder (ALB) net \| 0 (1,063,420) (1,206,678) \| (430,678) \| (129,934) \| \| Government as \| \| \| \| \| Shareholder \| 0 (1,979,829) \| 0 \| 0 \| \| Government as \| \| \| \| \| Shareholder (ALB) net \| 0 \| 0 \| 0 \| \| Total Capital \| \| \| \| \| Budget \| 7,701,124 \| 5,205,721 \| 7,744,429 \| \| Total departmental \| \| \| \| \| spending \| \| \| \| \| 3 \| \| \| \| \| 15,765,039 12,371,640 15,919,641 \| 102,628,415 \| 15,900,435 \| 15,139,672 \| \| Of which: \| \| \| \| \| Total DEL \| 10,233,252 11,622,613 11,516,682 12,429,098 12,451,573 12,598,738 12,334,732 12,783,224 \| \| \| \| Total AME \| 5,531,787 \| 749,027 4,402,959 \| 90,199,317 3,448,862 \| 1 Includes impairments 2 Pension schemes report under FRS 17 accounting requirements. These figures therefore include cash payments made and contributions received, as well as certain non-cash items 3 Total departmental spending is the sum of the resource budget and the capital budget less depreciation. Similarly, total DEL is the sum of the resource budget DEL and capital budget DEL less depreciation in DEL, and total AME is the sum of resource budget AME and capital budget AME less depreciation in AME. \| 2016-17 \| 2017-18 \| 2018-19 \| 2019-20 \| \|---------\|-------\|-------\|-------\| \| outturn \| plans \| plans \| plans \| ## Notes The large increase in spend in 2014-15 and 2015-16 on Delivering affordable energy for households and businesses Resource DEL is due to the Government Electricity Rebate. Resource DEL expenditure for Electricity Market Reform is shown separately in 2012-13 as this expenditure was funded through a Contingencies Fund advance, pending passage of the Energy Bill through Parliament. Repayment of that advance in 2013-14 was made against Deliver secure energy on the way to a low carbon energy future Resource DEL, offset by the credit shown against Electricity Market Reform. The increase in spend from 2016-17 against Science and Research Capital DEL and decrease against Science and Research (ALB) Capital DEL reflects the reclassification of expenditure for the Higher Education Funding Council for England (HEFCE) for Science and Research following the Machinery of Government transfer of HEFCE to the Department for Education. The figure for Depreciation in Resource AME in 2014-15, 2015-16 and 2016-17 includes the movement in fair value for Contracts for Difference, shown against Taking action on climate change and decarbonisation and Taking action on climate change and decarbonisation (ALB) net. Outturn for 2015-16 has not been updated in line with the restated Statement of Comprehensive Net Expenditure, but does include the reclassification across all years of certain research and development expenditure from Resource to Capital DEL, which is not reflected in the restated 2015-16 Statement of Comprehensive Net Expenditure and Statement of Parliamentary Supply. \| \| 2012-13 \| 2013-14 \| 2014-15 \| \|-----------------------\|---------\|---------\|---------\| \| Resource DEL \| outturn \| outturn \| outturn \| \| Deliver an ambitious \| \| \| \| \| industrial strategy \| 1,941 \| 2,662 \| 1,935 \| \| Promote competitive \| \| \| \| \| markets and \| \| \| \| \| responsible business \| \| \| \| \| practices \| 781 \| (528) \| 796 \| \| Managing our energy \| \| \| \| \| legacy safely and \| \| \| \| \| responsibly \| 0 \| 0 \| 0 \| \| Science and \| \| \| \| \| Research \| 51 \| 53 \| 58 \| \| Capability \| 351,444 \| 335,497 \| 345,965 \| \| Government as \| \| \| \| \| Shareholder \| 4,394 \| 3,465 \| 3,108 \| \| Deliver an ambitious \| \| \| \| \| industrial strategy \| \| \| \| \| (ALB) net \| 5,864 \| 1,968 \| 2,565 \| \| Promote competitive \| \| \| \| \| markets and \| \| \| \| \| responsible business \| \| \| \| \| practices (ALB) net \| 8,532 \| 12,206 \| 10,102 \| \| Taking action on \| \| \| \| \| climate change and \| \| \| \| \| decarbonisation \| \| \| \| \| (ALB) net \| 3,427 \| 3,710 \| 4,043 \| \| Managing our energy \| \| \| \| \| legacy safely and \| \| \| \| \| responsibly (ALB) net \| 4,403 \| 4,629 \| 5,536 \| \| 2015-16 \| 2016-17 \| 2017-18 \| 2018-19 \| 2019-20 \| \|---------\|---------\|-------\|-------\|-------\| \| outturn \| outturn \| plans \| plans \| plans \| \| \| 2012-13 \| 2013-14 \| 2014-15 \| 2015-16 \| \|-------------------------\|----------\|-----------\|-----------\|-----------\| \| Resource DEL \| outturn \| outturn \| outturn \| outturn \| \| Science and \| \| \| \| \| \| Research (ALB) net \| (813) \| (1,350) \| 4,740 \| 3,649 \| \| Capability (ALB) Net \| 56,252 \| 68,597 \| 59,268 \| 39,218 \| \| Government as \| \| \| \| \| \| Shareholder (ALB) net \| 467 \| 4,626 \| 267 \| 251 \| \| NDA and SLC \| \| \| \| \| \| expenditure \| 38,752 \| 41,790 \| 37,110 \| 34,992 \| \| Nuclear \| \| \| \| \| \| Decommissioning \| \| \| \| \| \| Authority Income (CFER) \| (2,321) \| (1,875) \| 0 \| 0 \| \| Electricity Market \| \| \| \| \| \| Reform \| 0 \| (200) \| 0 \| 0 \| \| Total \| \| \| \| \| \| administration \| \| \| \| \| \| budget \| 473,174 \| 475,250 \| 475,493 \| 435,008 \| \| Of which: \| \| \| \| \| \| Staff costs \| 326,077 \| 349,871 \| 341,753 \| 365,590 \| \| Purchase of goods \| \| \| \| \| \| and services \| 183,826 \| 191,654 \| 179,482 \| 145,800 \| \| Income from sales of \| \| \| \| \| \| goods and services \| (81,121) \| (115,081) \| (123,790) \| (135,538) \| \| Current grants to \| \| \| \| \| \| persons and non- \| \| \| \| \| \| profit bodies (net) \| 0 \| (439) \| 30 \| 29 \| \| Current grants \| \| \| \| \| \| abroad (net) \| 20 \| 36 \| 18 \| 108 \| \| Net public service \| \| \| \| \| \| pensions \| 1,532 \| 1,219 \| (7) \| 0 \| \| Rentals \| 20,438 \| 20,131 \| 27,074 \| 31,852 \| \| Depreciation \| 35,683 \| 33,203 \| 30,738 \| 29,956 \| \| Take up of provisions \| 0 \| 0 \| (12) \| 2 \| \| Change in pension \| \| \| \| \| \| scheme liabilities \| 0 \| (12) \| (65) \| 25 \| \| Other resource \| (13,281) \| (5,332) \| 20,272 \| (2,816) \| \| 2016-17 \| 2017-18 \| 2018-19 \| 2019-20 \| \| \| outturn \| plans \| plans \| plans \| \| ## Annex D: Glossary AME: Annual Managed Expenditure, see box 1 on page 33. ARAC: Audit and Risk Assurance Committee, see page 56. Article 50: Under the Lisbon Treaty, states any EU member state may decide to withdraw from the Union and must notify the European Council of its intentions. The Union shall negotiate and conclude an agreement with the state, setting out the arrangements for its withdrawal, taking account of the framework for its future relationship with the union. BBB: British Business Bank plc BBSRC: Biotechnology and Biological Sciences Research Council BE: British Energy BEIS: Our Department, the Department for Business, Energy and Industrial Strategy BFP: Business Finance Partnership, BIS: Department for Business, Innovation and Skills, one of our predecessor departments BIS2020: The Business, Innovation and Skills' transformation programme prior to the Machinery of Government change that formed BEIS. BNFL: British Nuclear Fuels Limited BVCA: British Venture Capital Association Business Improvement District : Business led partnerships which are created through a ballot process to deliver additional services to local businesses. CAVs: Connected and Autonomous Vehicles CCA: Climate Change Agreements CCL: Climate Change Levy CDEL: Capital Departmental Expenditure Limit, see box 1 on page 33. CETV: Cash Equivalent Transfer Value CFER: Consolidated Fund Extra Receipts, Income which is not retained by the department but returned to the Consolidated Fund CFP: Cavendish Fluor Partnership Consolidated Fund: The main bank account of the UK government. Contracts for Difference (CfDs) : See box 5, page 39 CRC: Carbon Reduction Commitment CNI: Critical National Infrastructure CNPP: Combined Nuclear Pension Plan CSOPS: Civil Service and Other Pension Scheme D&I: Diversity and inclusion DDR: Departmental Risk Registers DECC: Department for Energy and Climate Change, one of our predecessor departments DEFRA: Department for Environment, Food and Rural Affairs DEL: Departmental Expenditure Limit, see box 1 on page 33. DExEU: Department for Exiting the European Union DfE: Department of Education DIT: Department for International Trade Dynamic Dispatch Model (DDM): a comprehensive fully integrated power market model covering the GB power market over the medium to long term EDFE: Energy Nuclear Generation Limited EHL: Enrichment Holdings Limited Energy Company Obligation (ECO): A government energy efficiency scheme to help reduce carbon emissions and tackle fuel poverty. EPO: European Patent Office ESA: European Space Agency ESC: Electricity Settlements Company ESO: European Southern Observatory ESOS: Energy Savings Opportunity Scheme Estimate: See Supply Estimate EU ETS: EU Emissions Trading Scheme EUA: EU allowance EUAA: EU aviation allowance ExCo: Executive Committee, see page 58. Fifth Carbon Budget: A carbon budget places a restriction on the total amount of greenhouse gases the UK can emit over a 5-year period. The fifth carbon budget covers the 2028 to 2032 period. FIDeR: Final Investment Decisions enabling Renewables FLS: Future Leaders Scheme FReM: Government Financial Reporting Manual GBS: Government Banking Services GCIA: Group Chief Internal Auditor GCRF: Global Challenges Research Fund GDFC: Green Deal Finance Company GGCs: Greening Government Commitments GHG: Greenhouse gas GIAA: Government Internal Audit Agency GIB: Green Investment Bank GMM: Government Major Projects Portfolio GRAA: Government Resources and Account Act 2000 Green Paper: a set of proposals for discussion and consideration, and an invitation to others to contribute collaboratively to their development. Hinkley Point C (HPC): A project to construct a nuclear power station in Summerset, England. HPDS: High Potential Talent Schemes ICO: Information Commissioner's Office IEA: International Energy Agency IFRS: International Financial Reporting Standards ILL: Institut Laue Langevin IPA: Infrastructure and Projects Authority IRR: Internal Rate of Return ITEC: International Trade and Export Control LCCC: Low Carbon Contracts' Company LCF: Levy Control Framework Repeal Bill: Sets out the government's proposals for ensuring a functioning statute book once UK has left the EU RDEL: Resource Departmental Expenditure Limit, see page 33 Local Enterprise Partnerships : Partnerships between local authorities and businesses who decide what the priorities should be for investment in roads, buildings and facilities in the area. RICS: Royal Institute of Charted Surveys RO: Renewables Obligations Loss of Load Expectation (LOLE): Metric used to measure the security of the electricity supply RPS: Redundancy Payment Service LTP: Life Time Plan SCS: Senior Civil Service MoG: Machinery of Government SDP: Single Departmental Plans SLS: Senior Leaders Schemes SLCs: Nuclear Site Licence companies Monte-Carlo Simulation : A computerised mathematical technique that allows for the account of risk in quantitative analysis and decision making. SME: Small and medium enterprise engagement MPS: Mineworkers' Pension Scheme SoPS: Statement of Parliamentary Supply MRC: Medical Research Council SOSIA: Secretary of State Investor Agreement NAO: National Audit Office SRMC: Short Run Marginal Cost NDA: Nuclear Decommissioning Authority SSCL: Shared Services Connect Ltd NDPBs: Non-departmental public bodies STSC: South Tees Site Company Limited NEBMs: Non-Executive Board Members NERC: Natural Environment Research Council NIF: National Insurance Fund NMRO: National Measurement Regulation Office Supply Estimates: the means of obtaining from Parliament, the legal authority to consume resources and spend cash the government needs to finance department's agreed spending programme. NNLHL: NNL Holdings Limited TCD: Target Commissioning Date NPLML: NPL Management Limited TCW: Target Commissioning Window ODA: Official Development Assistance TME: Total Departmental Managed Expenditure UKAEA: UK Atomic Energy Authority Decommissioning OEDC: Organisation for Economic Co-operation and Development UKCES: UK Commission for Employment and Skills OGA: Oil and Gas Authority UKIIF: UK Innovation Investment Fund ONS: Office of National Statistics UKRI: UK Research and Innovation OSL: Ordinance Survey Limited UKSBS: UK Shared Business Services OSTF: Ordinance Survey Trading Fund Paris Agreement: An agreement within the United Nations Framework Convention on Climate Change which deals with greenhouse gas emissions mitigations, adaptation and finance starting in the year 2020. Virement: the reallocation of provision in the Estimates without the need for a Supplementary Estimate to obtain parliamentary authority. Virement reallocates underspends on one part of the Estimate to cover overspends on another part of the Estimate. PAC: Public Accounts Committee WTC: Waste Transfer Contracts PBL: Parliament Business and Legislation Committee PCSPS: Principal Civil Service Pension Scheme PES: Public Expenditure System PEVC: Private Equity and Venture Capital PFR: Performance, Finance and Risk Committee, see page 60. POL: Post Office Limited PPAs: Prior Period Adjustment PPE: Property, plant and equipment PSH: Postal Services Holding Company Limited Pulse Surveys: Shorter surveys carried out between annual Staff Surveys on staff attitudes. R&D: Research and Development	en
1186-pdf	## Update Of Major Projects Over The Page Is A Summary Of The Council'S Major Projects: Please Note Before Reviewing The "Large" Project Information: - The Summary of "Large" projects will evolve over time as projects progress, are completed and new projects are initiated and is provided to inform the committee in performing its role of risk and assurance of the project management approach. - Any project that achieves a score of 80 or more out of 160 qualifies as a "Medium/Large" or Major project and is included in this list. - Executive is responsible for scheme financing/policy and Scrutiny will perform detailed reviews of any relevant project. - The status (RAG - Red, Amber or Green) is provided as an overview. (RAG description, below, as agreed at the July 2016 A&G committee) Green All the elements of delivery are within acceptable parameters with risks managed. Amber There are risks/issues with one or more elements of delivery. There is a plan in place to bring the project back within acceptable parameters and it is in the control of the project team. Red There are issues with one or more elements of delivery and there is no plan in place to mitigate or there is a plan emerging, but it is out of the control of the project team ## The Coporate Projects Portfolio Was Significantly Affected By The Unprecedented Challenges Of The Covid- 19 Pandemic During This Period \| Large projects summary \| Previous \| \|----------------------------------\|-------------\| \| period \| \| \| (RAG) \| \| \| Older Person's Accommodation \| \| \| Phase 2(ASC) \| \| \| York Central \| \| \| Castle Gateway \| \| \| Local Plan \| \| \| Guildhall \| \| \| Adult Social Care - Future Focus \| \| \| Outer ring road (A1237) \| \| \| Housing Delivery Programme \| \| \| Centre of Excellence \| \| \| Provision of School Places 2017- \| \| \| 2023 \| \| \| Housing ICT Programme \| Amber \| \| Smart Travel Evolution Programme \| \| \| (STEP) \| \| \| Flood Risk \| \| \| City Centre Access Project \| \| \| Parking Review \| \| \| Inclusion Review \| \| \| Be Independent \| \| \| Procurement of MSA and Strategic \| \| \| Engagement Technology Partner \| \| \| Hyperhubs \| \| This period (RAG) Direction of travel Green Amber Worse Amber Amber Same Amber Amber Same Green Amber On hold ## Detailed Updates Project Title Older Persons' Accommodation Programme Phase 2 Reporting period April 2020 ## Description To provide, and ensure the provision of, a range of accommodation to address the housing (and care) needs of the city's older residents. The Council's Executive on 30th July 2015 approved the Business Case for the Older Persons' Accommodation Programme in order to prepare the city for a 50% increase in the size of the over 75 population. This will:  Deliver a 10 unit extension and refurbishment of Lincoln Court Independent living scheme  Build a 29 unit extension to the Extra Care scheme at Marjorie Waite Court, plus provide 4 bungalows on the site  Carry out community and stakeholder engagement to establish the demand for specialist older person's housing and the issues facility residents of the city in relation to age related housing.  Complete procurement of a new residential care facility as part of the wider Health and Wellbeing Campus at Burnholme; and  Encourage the development of additional residential care capacity, extra care and age related housing, supporting older people to continue to live independently in their own home.  Complete the transfer of Haxby Hall care home to a care provider who will extend and enhance the provision on site.  Review the Council's Independent Living stock to ensure it meets the needs of existing and new tenants and to seek opportunities to increase its capacity. \| Overall status this period (Apr) \| \| Overall status previous period (Mar) \| \|-------------------------------------------------------------------------\|---------------------------------------------------------------------\|-----------------------------------------\| \| \| \| \| \| Financial \| Non \| Tasks \| \| \| Scope \| Quality \| \| \| \| \| \| Benefits \| \| \| \| \| \| \| \| Milestones \| \| \| \| \| \| \| \| Apr \| \| \| \| \| \| \| \| \| \| \| \| Mar \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| - \| \| \| \| \| We are now able to fill void properties much more quickly than had \| \| \| been the case and we are not carrying void properties for long \| \| \| \| periods. We are now starting to see a shift into extra care nominations \| \| \| \| and where possible supporting people to live independently rather \| \| \| \| than move into residential care. \| \| \| \| Financial \| \| \| \| Status \| \| \| \| Explanation \| \| \| \| - \| \| \| \| \| Promotional work around the availability and benefits of extra care \| \| \| over the coming months will generate interest and demand for \| \| \| \| properties of all tenures and should help shift the demand from \| \| \| \| residential care. \| \| \| - The allocations process has been streamlined and voids are starting to be filled more quickly. - Work still needs to be done to ensure that the costs of CYC extra care are in line with other extra care schemes. - The ongoing financial benefits of the programme are at risk in the short term as the projects are on hold. This will delay the provision of the accommodation which will require ongoing access to commissioned accommodation. Tasks & - Construction projects are now all on hold. Completion of these will now be delayed. Milestones Status - Procurement of an extra care development on the Lowfield Green site has been put on hold during the COVID 19 outbreak. Explanation - The timetables for all of these projects will be reviewed when dates for restarting the work are known. Issues Status Explanation - The closure of all capital construction sites in this programme is an issue for all projects. The cessation of procurement projects will delay the development of an extra care scheme on the Lowfield Green site. ## Current Status Programme Wide 1. Plans are being developed by the Housing Delivery Programme for properties on Burnholme, Ordnance Lane and Duncombe Barracks. The Older Person's Accommodation Programme has been involved in determining the design, layout and home numbers to enable older people to live well in each of these developments. 2. Development of Bungalows at Lowfield Green is progressing well with these being in the first phase of the development to be completed. ## Burnholme Health & Wellbeing Campus 1. The care home topping out ceremony was held on 18 March attended by the Executive Member for Health & Adult Social Care, representatives from the contractor and the care home operator. 2. Care home construction is now on hold as the contractor has closed the site during the COVID 19 outbreak. It is not clear yet when work will resume, therefore a revised timetable is not yet available. ## Marjorie Waite Court Extra Care Scheme. 1. Construction of the MWC extension is now on hold as the contractor has closed the site during the COVID 19 outbreak. It is not clear yet when work will resume therefore a revised timetable is not yet available. 2. The site and existing building have been secured to ensure the safety of the existing tenants. 3. Work in the existing building has been delayed, which has enabled the care provider team to allocate temporary properties in the building. ## Lincoln Court 1. Construction work at Lincoln Court is now on hold as the contractor has closed the site during the COVID 19 outbreak. It is not clear yet when work will resume therefore a revised timetable is not yet available. 2. The electrical supply to the building has been connected. 3. Steel structural work to the front of the building has been completed. 4. Cookers for the apartments and furniture for communal areas have been ordered. ## Haxby Hall 1. The transfer of Haxby Hall care home has been put on hold during the COVID 19 outbreak, for the welfare of all of the residents of Haxby Hall. 2. Legal negotiations with Yorkare Homes are ongoing. ## New Independent Sector Provision 1. The partnership working with JHRT for nominations to apartments at New Lodge is going well. 2. The Council's planning department is working on applications for extra care properties on Shipton Rd and a 60 bed care home in Strensall. 3. The Council's planning department have received a planning application for an extra care development on Cherry Lane. - Construction projects are unlikely to be progressed during the coming month. - Planning applications for Shipton Rd, Strensall and Cherry Lane sites will continue to be processed. - Following an electronic consultation and design session, plans for the design and layout of older person's and intergenerational accommodation on the Ordnance Lane site will be progressed. Reports to Executive, CMT, Project Board, DMT Exec member Cllr. Carol Runciman and Cllr Denise Craghill Corporate Director of Health, Housing and Adult Social Care: Sharon Houlden Director responsible Dependencies Burnholme Health & Wellbeing Campus Capital Programme Executive July 2015 https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=88 40&Ver=4 ## Link To Paper If It Has Been To Another Member Meeting (E.G. Executive, Council, A Scrutiny Committee) Executive October 2015 - Grove House and Oakhaven Older Persons' Homes https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=88 42&Ver=4 Executive May 2016 - Delivery of Community Facilities at the Burnholme Health & Wellbeing Campus http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=8884& Ver=4 Executive July 2016 Demonstrating Progress on the Older Persons Accommodation Programme https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 03&Ver=4 Executive November 2016 (Willow house OPH) http://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MI d=9307&Ver=4 Executive December 2016 - Older Persons' Accommodation Programme Update / Burnholme Health & Wellbeing Campus: Key Decisions to further progress this development / Lowfield Green Development: Moving forward to deliver a care home, health facility and housing / Haxby Hall Older Persons' Home: A Sustainable Future https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 08&Ver=4 Executive Feb 2017 - Sale of Land at Fordlands Road as Part of the Older Persons' Accommodation Programme https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 10&Ver=4 Executive March 2017 - Oakhaven Extra Care Facility: the sale of land to facilitate the development https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 11&Ver=4 Executive March 2017 - Burnholme: the sale of land to facilitate the development of a Care Home; agreement to management arrangements for the Community & Library facilities; disposal of the Tang Hall Library site https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 11&Ver=4 Executive August 2017 - Investment in New Extra Care Accommodation for Older People at Marjorie Waite Court Following the Closure of Burton Stone Lane Community Centre https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 190&Ver=4 Executive August 2017 - A Further Phase of the Older Persons' Accommodation Programme Deciding the Future of Woolnough House Older Persons' Home . https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 190&Ver=4 Executive September 2017 - Demonstrating Delivery of the Older Persons' Accommodation Programme https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 191&Ver=4 Executive October 2017 - Disposal of Willow House, Walmgate, York https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 192&Ver=4 Executive December 2017 - A Further Phase of the Older Persons' Accommodation Programme: Deciding the Future of Windsor House Older Persons' Home https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 194&Ver=4 Executive January 2018 - Securing a Sustainable Future for Haxby Hall Older Persons' Home https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 195&Ver=4 Executive February 2018 - Disposal of Willow House http://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=101 96&Ver=4 Executive March 2018 - Investment at Lincoln Court to Create an Independent Living with Support Facility http://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=101 89&Ver=4 Executive April 2018 - Deciding the Future of Morrell House Older Persons Home http://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=101 97&Ver=4 Executive July 2018 - Delivering Improved Sports and Active Leisure Facilities at Burnholme https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 470&Ver=4 Executive September 2018 - Demonstrating Delivery of the Older Persons' Accommodation Programme and Preparing for Further Action https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 472&Ver=4 Executive November 2018 - A Further Phase https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 474&Ver=4 Executive March 2019 - Investment in the Redevelopment of Lincoln Independent Living Scheme https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11 469&Ver=4 Executive January 2020 - The Transfer and Transformation of Haxby Hall Care Home (by way of long lease) and associated land transactions. https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11 115&Ver=4 Executive March 2020 - Lowfield Green: Responding to Older Persons' Accommodation Needs. https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11 117&Ver=4 ## Project Title York Central Reporting period April 2020 Description York Central is a key strategic development site for economic growth and housing delivery for the city. The majority of the land is in the ownership of Network Rail and Homes England. CYC have a role to play in de-risking the site and accelerating delivery with public sector partners. In recent months, the site and the opportunity it presents have been positioned at all levels of Government as a priority site for support to enable delivery of locally-led regeneration and development schemes. The capacity for the site to contribute to the achievement of the local plan housing targets is also a key consideration. Overall status this period (Apr) Overall status previous period (Mar) \| \| \| \| \| \| Financial \| Non \| Tasks \| \| \| \|--------------------------------------------------------------------------\|--------------------------------------------------------------------------\|---------\|-------\|-----------\|--------------\|-----------\|----------\|-------\|--------\| \| \| Scope \| Quality \| Costs \| Resources \| Benefits \| Financial \| & \| Risks \| Issues \| \| \| \| \| \| \| \| \| \| \| \| \| Benefits \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Milestones \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Apr \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Mar \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Tasks \| \| \| \| \| \| \| \| \| \| \| & \| \| \| \| \| \| \| \| \| \| \| - \| \| \| \| \| \| \| \| \| \| \| \| The programme is driven by partner organisational delivery \| \| \| \| \| \| \| \| \| \| imperatives and funding availability. The programme indicates \| \| \| \| \| \| \| \| \| \| \| that milestones are achievable but there is very little float/ scope for \| \| \| \| \| \| \| \| \| \| \| slippage and the project is complex with many communities of \| \| \| \| \| \| \| \| \| \| \| interest. \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Milestones \| \| \| \| \| \| \| \| \| \| \| Status \| \| \| \| \| \| \| \| \| \| \| - \| \| \| \| \| \| \| \| \| \| \| \| The project remains on target to deliver infrastructure works to funding \| \| \| \| \| \| \| \| \| \| deadlines and housing/economic benefits to City. \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Explanation \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| - \| \| \| \| \| \| \| \| \| \| \| \| City of York Council and WYCA have released additional funding \| \| \| \| \| \| \| \| \| \| whilst the HIF announcement is awaited, to support scheme off plot \| \| \| \| \| \| \| \| \| \| \| infrastructure detailed design and Reserved Matters Planning \| \| \| \| \| \| \| \| \| \| \| Application. \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Risks \| \| \| \| \| \| \| \| \| \| \| Status \| \| \| \| \| \| \| \| \| \| \| Explanation \| \| \| \| \| \| \| \| \| \| \| Risks associated with the project are complex and interdependent. Active \| \| \| \| \| \| \| \| \| \| \| risk management is ongoing. \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Issues \| \| \| \| \| \| \| \| \| \| \| Status \| \| \| \| \| \| \| \| \| \| \| Explanation \| \| \| \| \| \| \| \| \| \| \| Planning RMA submission March 2020, Partnership Agreement to be \| \| \| \| \| \| \| \| \| \| \| signed, S106 to be signed, and HIF funding awaited. \| \| \| \| \| \| \| \| \| \|  The Outline Planning Application was approved by Planning Committee in March 2019. The Reserved Matters Application for phase 1 off plot infrastructure is being prepared and will be submitted in March 2020.  Public Engagement on the RMA commenced in February 2020.  John Sisk Ltd have been appointed as infrastructure delivery partner for Phase 1 Infrastructure, they have reported on Buildability issues and these have been approved by Board for development into the Stage 4 Design.  The WY+TF Full Business Case has been conditionally approved by WYCA.  The Budget in March 2020 announced funding for York Central, the conditions on the Award are awaited. Once received we will review the discharging of them.  RMA Planning Application for Infrastructure to be submitted in April 2020.  Stage 4 Detailed Design progressing to enable Pricing of Design. Reports to York Central government structures and the Executive. Exec member Cllr Keith Aspen Neil Ferris - Corporate Director of Economy and Place Director responsible Dependencies Local Plan Policy, Economic Strategy, City Transport Policy and external funding bids. Executive December 2015 - York Central and Access Project http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=8844& Ver=4 Executive July 2016 - York Central http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=9303& Ver=4 Link to paper if it has been to another member meeting (e.g. executive, council, a scrutiny committee) Executive November 2016 Consultation on access options / Third party acquisitions http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=9307& Ver=4 Executive July 2017: Project and Partnership Update http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10188 &Ver=4 Executive November 2017 - Preferred Access Route and Preparation for Planning http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10193 &Ver=4 Executive March 2018 - York Central Access Construction http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10189 &Ver=4 Executive June 2018 - Masterplan and Partnership Agreement http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10469 &Ver=4 Decision Session August 2018 - York Central Design Guidelines http://modgov.york.gov.uk/ieListDocuments.aspx?CId=875&MID=10847 #AI49619 Executive August 2018 York Central Update - Western Access http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10471 &Ver=4 Executive November 2018 - York Central Enterprise Zone investment Case http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10474 &Ver=4 Executive January 2019 York Central Partnership Legal Agreement http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10476 &Ver=4 Executive July 2019 - York Central Partnership Update http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11107 &Ver=4 Executive October 2019 - Update http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11111 &Ver=4 ## Project Title Castle Gateway Reporting Period April 2020 Description City of York Council (CYC) are one of the principal land owners in the area around Piccadilly, the Eye of York, St George's Field and the Foss Basin. This area is being referred to as the "Castle Gateway" and many parts of the area are underused, semi derelict or of poor quality. Many of the properties are for sale or owned by investors and there is a risk that the area will continue to be blighted or that important sites will be developed in a piecemeal manner. The area is urgently in need of a fresh vision to improve the locality and create a socially and economically sustainable future. As the principal landowner, CYC will be instrumental in delivering a joined-up regeneration of the area which will maximise social and economic benefits for the City. \| Overall status this period (Apr) \| \| Overall status previous period (Mar) \| \|--------------------------------------------------------------------------------\|-------\|-----------------------------------------\| \| \| \| \| \| Financial \| Non \| Tasks \| \| \| Scope \| Quality \| \| \| \| \| \| Benefits \| \| \| \| \| \| \| \| Milestones \| \| \| \| \| \| \| \| Apr \| \| \| \| \| \| \| \| \| \| \| \| Mar \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Costs \| \| \| \| Status \| \| \| \| Explanation \| \| \| \| The Executive approved a further budget of £2.15m to take the project \| \| \| \| through to the next decision point at the end of 2020. The project remains \| \| \| \| within that budget but it should be noted that the budget was predicated \| \| \| \| on the anticipated delivery timescales which may be impacted by covid19 \| \| \| \| leading to an increase in overheads and huge uncertainty as to \| \| \| \| the impact on future build costs. \| \| \| \| \| \| \| \| Financial \| \| \| \| Benefits \| \| \| \| Status \| \| \| \| Explanation \| \| \| \| A GVA assessment of the proposed masterplan has been undertaken by \| \| \| \| WYCA. They assess the GVA benefits of the proposals to be £360m for \| \| \| \| the Leeds City Region. However, realising these benefits is dependent on \| \| \| \| the successful delivery of the whole masterplan which will require \| \| \| \| significant investment from the council and other public bodies. \| \| \| \| Tasks & \| \| \| \| Milestones \| \| \| \| Status \| \| \| \| The report to Executive in January 2020 represented a key milestone in \| \| \| \| delivery and provided a new series of milestones and targets. However, \| \| \| \| all of these will need to be reviewed in light of the impact of covid19. \| \| \| \| Explanation \| \| \| \| \| \| \| \| Risks Status \| \| \| \| Explanation \| \| \| \| This is a complex project to deliver an ambitious masterplan, and as such \| \| \| \| it has significant risks to its delivery. Whilst mitigation and monitoring of \| \| \| \| risks is being undertaken, the project is likely to remain at risk throughout \| \| \| \| delivery. \| \| \| \| Issues \| \| \| \| Status \| \| \| \| Explanation \| \| \| \| \| \| \| \| Issues remain under review. \| \| \| \| \| \| \| ## Current Status Covid19 - Due To The Impact Of Covid19, Corporate Decisions On Council Priorities Through The Response Phase And The Redeployment Of Many Of The Major Projects and Regeneration Team in to critical services, a number of work streams in the delivery of this project have currently paused. Delivery strategy - The procurement of construction partners for phase one was due to commence in April. However, a pause has been put on all non-essential procurement at a corporate level. An assessment of the impact of this on project delivery and a decision as to how to proceed will be taken this month. A further report is still intended to be brought back to Executive in the summer of 2020, setting out the proposed delivery model for 17-21 Piccadilly, and the business case and funding strategy for phase two of the masterplan - the new public realm to replace Castle Car Park. However, this will remain under review based on the ongoing impact of covid19. Castle Mills and St George's Field - The planning applications remain on course to be considered in May, subject to decisions as to how and when planning committees can proceed under the current covid19 restrictions. West Yorkshire Transport Fund - work in progressing the funding bid to outline and full business case stages will continue to be led by the council's consultant's WSP wherever possible. Castle Gateway events - a lease has been agreed for the Cbeebies roadshow to take place on Castle Car Park in September 2020. However, this will again be reviewed in light of the ongoing impact of covid19. St George's Field and Castle Mills - Officers will continue to respond to any comments or objections relating to the planning applications and will work with planning officers to resolve any issues to ensure the successful achievement of planning permission. Phase one delivery - a decision will be taken as to how to proceed with the procurement of contractors in light of covid19. 17-21 Piccadilly - the RIBA stage 2 design work will commence to ascertain the development capacity of the site and allow a decision as to whether the council should proceed with development or dispose to the market to deliver. This will largely be architect led and won't impact on the emergency response to covid19. Reports to The Executive sponsor for the Castle Gateway is the Leader of the Council in his remit as Executive Member for Finance and Performance. The Executive have approved a whole series of recommendations over the last three years to advance the project, with delivery of these being the responsibility of the Castle Gateway Working Group. This working group was established in January 2017 and serves as the project board and meets on a monthly basis. It is chaired by the Director for Economy and Place, and the wider interests of the council are represented by the Assistant Directors for Regeneration and Asset Management; Planning and Sustainable Development; and Transport, Highways and the Environment. The group also has Heads of Service for legal, finance and property. The working group is the key interface point with wider stakeholders, with the project manager and Assistant Director for Regeneration and Asset Management chairing the Castle Gateway Advisory Group (which consists of key stakeholders and principal custodians of the city) and the My Castle Gateway public engagement partnership. The interests of the formal partnership with York Museums Trust will also be represented by the same individuals and outcomes and decisions fed back in to the working group. The Castle Gateway project manager has defined expenditure levels under the Council's Contract Procedure Rules. Any decisions that are outside the remit of previous recommendations from the Executive are taken to the appropriate decision making route as set out by the council's governance and decision making framework. Dependent on the nature and scope of the issue this may be an officer decision, Executive Member decision, or require a full Executive decision. Exec member Cllr Nigel Ayre Neil Ferris - Corporate Director of Economy and Place Director responsible Dependencies Local Plan Policy, City Transport Policy Executive October 2015 - York's Southern Gateway http://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=884 2&Ver=4 ## Link To Paper If It Has Been To Another member meeting Executive November 2016 - Land Assets on Piccadilly https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 07&Ver=4 Executive January 2017 - Update York Castle Gateway https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 09&Ver=4 Executive August 2017 - Proposed Temporary Use of Part of Castle Car Park https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 190&Ver=4 Executive April 2018 - Castle Gateway Masterplan http://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=101 97&Ver=4 Executive October 2018 - Proposed Temporary Uses of Part of Castle Car Park https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 473&Ver=4 Executive October 2019 - Update http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11111 &Ver=4 Executive January 2020 - Castle Gateway Phase One Delivery Strategy https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11 115&Ver=4 ## Project Title Local Plan Reporting Period April 2020 Description The 'Local Plan' is a citywide plan which sets the overall planning vision and the spatial land use strategy for the city. It provides a portfolio of both housing and employments sites for at least a 15 year period and will set the Green Belt boundaries for York. In addition it incorporates both policies and approaches to set the context for development management decisions. Effectively, it sets out the opportunities and policies on what will or will not be permitted and where, including new homes and businesses. The Local Plan must be accompanied by an infrastructure delivery plan setting out the Council's approach to strategic infrastructure and its funding. All housing and employments sites included must be viable and deliverable this is directly linked to future approaches to planning gain i.e. CiL and S106. In response to both the Council resolution in autumn 2014, and the changed national and local context, officers have initiated or a series of work streams to inform the next stages of plan production. This relates to housing need, economic growth and the related need for employment land, and detailed site assessments. The production of the plan has to be in accordance with statute and national guidance. This includes a legal requirement to work with neighbouring authorities. It also means that the plan must be subject to Sustainability and Environmental Assessments. It will also ultimately be subject to an independent examination by a government inspector. \| Overall status this period (Apr) \| \| Overall status previous period (Mar) \| \|--------------------------------------------------------------------------\|-------\|-----------------------------------------\| \| \| \| \| \| Financial \| Non \| Tasks \| \| \| Scope \| Quality \| \| \| \| \| \| Benefits \| \| \| \| \| \| \| \| Milestones \| \| \| \| \| \| \| \| Apr \| \| \| \| \| \| \| \| \| \| \| \| Mar \| \| \| \| \| \| \| \| \| \| \| \| Scope \| \| \| \| Status \| \| \| \| Take the Local Plan through examination in public (EIP) and to adoption \| \| \| \| as statutory development plan for York. \| \| \| \| Explanation \| \| \| \| Costs \| \| \| \| Status \| \| \| \| \| \| \| \| Cost associated with EIP, modifications consultation and adoption. \| \| \| \| Explanation \| \| \| \| Tasks & \| \| \| \| Milestones \| \| \| \| Status \| \| \| \| Appointed planning inspectors are undertaking an independent \| \| \| \| examination of York's Local Plan. Initial hearing sessions took place at \| \| \| \| York Racecourse from 10th to 18th December 2019. \| \| \| \| Explanation \| \| \| ## Risks Status Risks associated with examination of Local Plan by Planning Inspectorate. ## Explanation Current Status Appointed planning inspectors have completed phase 1 of the examination of York's Local Plan. The initial hearing sessions took place at York Racecourse from 10th to 18th December. More information about the hearings is available to view at: www.york.gov.uk/localplanexamination The Local Plan sets strategic priorities for the whole city and forms the basis for planning decisions; it must be reviewed at regular intervals to be kept up to date. The first phase hearing sessions covered the strategic principal matters identified by the inspectors including:  legal compliance  housing need and  the York Green Belt. The inspectors took into account the comments submitted to-date, as far as they related to soundness considerations such as whether the plan is justified, effective and consistent with national policy. The Forward Planning Team are currently completing a number of 'Homework' items requested by the inspectors' for their consideration in conjunction with the Phase 1 hearing sessions. Following the submission of all of the required 'homework' items discussed in the Phase 1 hearing sessions the Inspector has confirmed they will issue the Council with an interim Inspectors report. This is anticipated in May 2020. Further phase 2 hearing sessions on the remainder of the Plan will then be requested by the Inspector but the timing of these is dependent on the outcome of the phase 1 Inspectors report. Reports to Executive, Local Plan Working Group Exec member Cllr. Keith Aspden, Cllr Andrew Waller and Cllr Nigel Ayre Neil Ferris - Corporate Director of Economy and Place Director responsible Dependencies Deliverability of York Central Executive July 2015 https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=88 40&Ver=4 Link to paper if it has been to another member meeting Executive June 2016 City of York Local Plan - Preferred Sites Consultation http://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=919 1&Ver=4 Executive December 2016 - Update on Preferred Sites Consultation and Next Steps https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 08&Ver=4 Executive January 2017 - Update on Local plan https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 09&Ver=4 Executive July 2017 https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 188&Ver=4 Local Plan Working Group January 2018 http://democracy.york.gov.uk/documents/s120857/LP%20LPWG%20FI NAL%20REPORT.pdf Executive January 2018 - Update https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 195&Ver=4 Executive May 2018 City of York Local Plan - Submission https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 198&Ver=4 Executive September 2018 Supplementary Planning Documents to support the emerging York Local Plan https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 472&Ver=4 Executive March 2019 - Update https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 479&Ver=4 Project title The Guildhall Reporting period April 2020 Description City of York Council vacated the Guildhall in April 2013, moving to West Offices as part of the Admin Accommodation programme, in order to make approx. £1m pa savings. An evaluation of potential future uses had already been undertaken, and following further feasibility work and review a decision on the Future of the complex was taken by Executive in October 2015. Approval was granted for detailed project development work to secure the future of the Guildhall as a serviced office venue; with virtual office and business club facilities, maximising the benefits of the different spaces within the complex, its heritage appeal, and also ensuring ongoing council use and public access in a mixed use development. Overall status this period (Apr) Overall status previous period (Mar) \| \| \| \| \| \| Financial \| Non \| Tasks \| \| \| \|---------------------------------------------------------------------------\|-------\|---------\|-------\|-----------\|--------------\|-----------\|----------\|-------\|--------\| \| \| Scope \| Quality \| Costs \| Resources \| Benefits \| Financial \| & \| Risks \| Issues \| \| \| \| \| \| \| \| \| \| \| \| \| Benefits \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Milestones \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Apr \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Mar \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Costs Status \| \| \| \| \| \| \| \| \| \| \| Explanation \| \| \| \| \| \| \| \| \| \| \| The cost report tabled at the board meeting held on the 30th of March \| \| \| \| \| \| \| \| \| \| \| 2020 highlighted budget pressure, as a result of significant contingency \| \| \| \| \| \| \| \| \| \| \| expenditure. However, this is based on a number of assumptions / \| \| \| \| \| \| \| \| \| \| \| estimates requiring validation. \| \| \| \| \| \| \| \| \| \| \| Resources \| \| \| \| \| \| \| \| \| \| \| Status \| \| \| \| \| \| \| \| \| \| \| Explanation \| \| \| \| \| \| \| \| \| \| \| Site is currently advancing as planned however we may face delay in the \| \| \| \| \| \| \| \| \| \| \| near future as the contractor is reporting that their supply chain is \| \| \| \| \| \| \| \| \| \| \| becoming fragile due to staffing difficulties and forced closures. \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \|  \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| A collaborative risk workshop has been undertaken and a revised risk \| \| \| \| \| \| \| \| \| \| \| register has been agreed. \| \| \| \| \| \| \| \| \| \| \| Risks Status \| \| \| \| \| \| \| \| \| \| \| Explanation \| \| \| \| \| \| \| \| \| \| \|  \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| The river conditions posed a high level of risk for crane erection, the \| \| \| \| \| \| \| \| \| \| \| levels are less critical for daily use of the river hence the lowering of \| \| \| \| \| \| \| \| \| \| \| the risk to amber. \| \| \| \| \| \| \| \| \| \| \|  \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| The impact of Covid 19 remains unclear although the site remains \| \| \| \| \| \| \| \| \| \| \| open at this time. \| \| \| \| \| \| \| \| \| \| \| Issues \| \| \| \| \| \| \| \| \| \| \| Status \| \| \| \| \| \| \| \| \| \| \|  \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Supply chain is reporting difficulties in certain areas full list in \| \| \| \| \| \| \| \| \| \| \| Resources field. \| \| \| \| \| \| \| \| \| \| \| Explanation \| \| \| \| \| \| \| \| \| \| \|  \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Site will need to respond to Construction Industry Guidance re social \| \| \| \| \| \| \| \| \| \| \| distancing. \| \| \| \| \| \| \| \| \| \| ## Current Status Statutory Consents / Approvals  Executive approval February 2019 to advance to the construction stage.  Planning and LBC approvals granted 16 Feb 17.  Executive approval for scheme delivery 16 Mar 2017.  Full Council approval of budget requirement 30 Mar 2017.  Grant Agreement letter signed with WYCA 7 Apr 2017 securing £2.347m of LGF funding from LCR LEP to support project delivery. ## Project Progress Construction Commenced On The 16Th Of September 2019. Future Outlook.  Demolition of the North Annexe  Reconstruction of the South Range Superstructure. Reports to The Guildhall board reports to Economy and Place DMT and PM updates Executive member and Executive when required for updates and approvals. Exec member Cllr Nigel Ayre Neil Ferris - Corporate Director of Economy and Place Director responsible Dependencies Local plan Executive October 2015 - The Future of York's Guildhall & Riverside http://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=884 2&Ver=4 Scrutiny - 13 June 2016 http://modgov.york.gov.uk/ieListDocuments.aspx?CId=144&MId=9420& Ver=4 Link to paper if it has been to another member meeting (e.g. executive, council, a scrutiny committee) Exec July 2016 - Detailed Designs & Business Case http://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=930 3&Ver=4 Executive March 2017 - The Development of the Guildhall Complex https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 11&Ver=4 Executive May 2018: The Development of the Guildhall Complex https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 198&Ver=4 Executive February 2019: Redevelopment Tender Evaluation & Project Business Plan Appraisal https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11 007&Ver=4 ## Project Title Asc - Future Focus Reporting Period April 2020 Description Demand for Adult Social Care rises each year. People are living longer into old age requiring support, there are more people living longer with complex long term conditions and there are increasing numbers of young adults in transition to adult services with complex needs. This increased demand for services coincides with significant financial pressure arising from reduced Local Authority funding, legislative changes driven by the Care Act and an increased public expectation of Adult Social Care and rightly an expectation of high quality, personalised and flexible support for those who are eligible for care. The goal of health and care services is to help older, vulnerable or disabled adults who have ongoing support needs to live well and have a good life. A "good life" means living independently at home wherever possible, with opportunities to spend time with other people and to do things which are meaningful to that individual. Current ways of supporting adults do not consistently result in everyone achieving all of their goals and living well where they want to live. People and families are not always helped enough to look after themselves and each other. Services can be overly paternalistic and lack the choice and control that services users rightly demand. Social care is often a vital part of enabling people to live independent lives but it is far from being the only component to enable people to live fulfilled lives. We must be ready to have different conversations which take full account people's assets, strengths, knowledge and skills to build and harness the contributions of people, their personal networks, social capital and their local communities. This will support greater wellbeing and independence. The nature and scale of these challenges requires a fundamental shift in how Adult Social Care is delivered to ensure financial sustainability and to help those with social care needs, their families and carers have a better quality of life. There is an emerging consensus that community based models of social work based on Asset Based Conversations that will support a collaborative approach alongside communities, families and carers are the most effective way to approach the challenges outlined above. A review of national best practice and emerging evidence to identify the elements of such approaches that are likely to be of key importance for any operating model that seeks achieve both improved lives and financial sustainability for Adult Social Care. To be successful this will entail: Changing culture and reducing bureaucracy, with an emphasis on having deeper and more specific conversations based upon what people, their families and carers want in terms of their outcomes; Focussing on maximising the Assets, Skills Knowledge and Strengths of individuals and their communities in maintaining health, wellbeing and independence and thereby helping people develop and maintain skills that will maximise their independence in the long term; Reaching people earlier and being more accessible in local communities; Helping people access community solutions and improve their connections with others to reduce isolation and loneliness; Emphasising the importance of being highly responsive when people are in crisis and developing a plan that helps them to regain as much independence as possible; Making the best use of digital and technological solutions to support employees to be more effective and efficient in their work, and help people lead independent lives. Working closely with Community and Health Partners to make best use of resources and ensure that people receive the right care, in the right place at the right time. Overall status this period (Apr) Completed Overall status previous period (Mar) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Apr Mar Scope Status Explanation Programme deliverables have remained within scope remain within acceptable levels. NB: the additional items below which have used programme resource will move into BAU processes post 1st April 2020. a. At the request of the Assistant Director, work will begin with LD team on reviewing readiness for an outcomes strength based review process. b. At the request of the Assistant Director, work will begin with Preparation for Adulthood. Quality Status Explanation Project deliverables completed. Benefits Realisation has moved to business as usual. Costs Status Explanation Project has closed. Resources Status Explanation The team has been flexibly resourced throughout the programme. Project resource has moved to business as usual with wider focus on improvement and realisation of benefits. Non Financial Status Explanation - Detailed analysis of time spent on non-value added processing in Assessment and Care management suggest there remains opportunities to achieve efficiency and time equivalent savings through reducing hand offs and paperwork within the processes. - Paperwork and remote working benefits achieved. Hand offs / waiting lists were on target pre-covid. Tasks & Milestones Status Explanation Project complete. Risks Status Explanation Risks appropriately managed via AMT and regular team meetings with AD and staff. Issues Status Explanation Project closed. Outstanding issues moved to BAU. Remaining detailed issues have changed in light of Covid systems response.  The project now moved to business as usual.  Benefits realisation work has begun through a Strength Based / Holistic review of all cases.  Resources have been agreed to manage ongoing requirements and benefits post project.  The project has moved to business as usual. Reports to The Programme uses existing Management Structures in the HHASC Directorate and uses DMT as its Programme Board. Exec member Cllr. Carol Runciman Sharon Houlden: Corporate Director of Health, Housing and Adult Social Care Director responsible Dependencies Market development, Comprehensive Information, Advice and Guidance for ASC Link to paper if Executive Sept 2016 - Progress toward a new Operating Model for Adult Social Care http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=9305& Ver=4 Additional Adult Social care Support and Resources Executive May 2018 http://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10198&Ve r=4 it has been to another member meeting (e.g. executive, council, a scrutiny committee) ## Project Title Outer Ring Road (A1237) Reporting Period April 2020 Description This project combines the previously separate schemes - YORR roundabout upgrades & YORR dualling (phase 1). This project has already delivered an upgrade of the Wetherby Road roundabout in 2018/19 to the new standard 3 lane approaches and 2 lane exits on the A1237. This project will continue by upgrading the stretch of the A1237 to dual carriageway standard between the A19 junction and Little Hopgrove junction, including the upgrade of the 5 roundabouts on this stretch to the standard already set by the Wetherby Road upgrade. This project will increase the capacity of the ring road, particularly of the roundabouts being upgraded, to reduce orbital and radial journey times. The A1237 roundabout at Great North Way will also be improved as part of this project (although this lies outside the stretch which is to be dualled). Overall status this period (Apr) Overall status previous period (Mar) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Apr Mar Tasks & Milestones Status The combined scheme is now being addressed in various disciplines however there is slight slippage on the programme presented in autumn 2019. Explanation Risk Status Risks are being monitored daily. Explanation Issues Status Explanation The project is to be amalgamated with the proposals for dualling the A1237. This issue is currently being addressed by the project team to approach the scheme as a single entity and bring together the component parts in the next period. 1. Ensuring that all environmental surveys are complete and within date. 2. Continuing negotiations with landowners to attempt to purchase land. 3. A new procurement strategy has been developed and will be presented to Councillors, although there is currently some uncertainty about the timing due to Covid 19. 4. Discussions continue with funding partners (WYCA & DfT) to find a coordinated process for scheme governance. 5. Preparing a public engagement strategy to present to Councillors. 6. Undertaking usage surveys of Public Rights of Way (PROW). ## Future Outlook Planned Work For April 2020: 1. Draft all necessary reports to ensure a swift recommencement of business following the Covid19 virus. 2. Consider structural design issues across the scheme. 3. Progress bridge design details to present to Network Rail. 4. Rearrange meetings with utility companies following Covid19. 5. Continue to attempt to make land purchase. 6. Prepare documentation to appoint designer. Reports to Project reports into the Transport board, Project Board and Lead Members Board Exec member Cllr Andy D'Agorne Director responsible Neil Ferris - Corporate Director of Economy and Place Dependencies LTP4, Local plan Executive West Yorkshire Transport Fund - 24 November 2016 http://democracy.york.gov.uk/documents/s110381/WYTF%20Exec %20Nov%202016%20v5.pdf Link to paper if it has been to another member meeting (e.g. executive, council, a scrutiny committee) Executive July 2017 - Proposed York Outer Ring Road Improvements / Approach to Deliver https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId =10188&Ver=4 Executive December 2018 A1237 Outer Ring Road - Dualling Update https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId =10475&Ver=4 Executive September 2019 York Outer Ring Road Improvements Update https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId =11109&Ver=4 Executive February 2020 - Dualling from A19 Rawcliffe to A64 Hopgrove https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId =11116&Ver=4 ## Project Title Housing Delivery Programme Reporting Period April 2020 Description The accelerated delivery of mixed tenure housing across multiple sites in the city. Overall status this period (Apr) Overall status previous period (Mar) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Apr Mar Financial Status Explanation High level financial modelling has been undertaken to inform the delivery programme. Risks remain around build costs for the remainder of the programme as well as sales receipts from open market and shared ownership homes. To be reviewed following Covid-19. Non Financial Status Commitment to deliver added social value through the Housing Delivery Programme. This needs to be embedded into all design and construction work and the sales and lettings process. Explanation Risks Status Explanation Detailed risk register has been formulated to identify all key risks, assign responsibilities and determine potential mitigation measures. ## Current Status Lowfield  Construction work is continuing, piling for phases 1, 2 & 3 is complete and substructure work is commencing. Brickwork to phase 1 progressing on schedule.  The site team have employed new ways of working to ensure social distancing guidance can be met in Covid-19 crisis. ## Burnholme  Stage B design work has been completed and is currently under review by the project team.  An online design consultation is being run through Survey Monkey and the CYC website.  A cost review is currently being conducted before the scheme progresses into the next stage before planning. ## Duncombe Barracks  Design work complete to end of Stage B.  Various consultation events and meetings held both with internal CYC staff and residents and neighbours to the site.  Overwhelmingly positive response to latest design work. ## Ordnance Lane  Design work is progressing well - now in Stage B of design work and have undertaken 3 separate engagement events which were well attended and well received. ## Future Outlook Lowfield  Continue to progress infrastructure works (drainage, road formations), substructures and superstructures (phase 1 & 2 of site). ## Burnholme  Design will proceed into Stage 3 (preparing planning application).  In the coming month the designs will be taken to the next level of detail with a focus on materiality and building methodology. The team will continue to work to select the best structural type for quality and cost for achieving Passivhaus. Discussions with various council departments will also take place around the proposed planning submission, including developer contributions from the scheme. ## Duncombe  Complete cost appraisal and ensure financial viability of the project.  Commission Stage C design work.  Review outstanding survey work. ## Ordnance Lane  Developing the brief for the older person's living offer with stakeholders. This could include an intergenerational living arrangement.  Review outstanding survey work.  Meeting with the highways and drainage team to discuss and refine these strategies. Reports to Project team consisting of officers at the council who will advise on specialisms such as legal, housing, finance, and procurement. This project team feeds into the Housing Delivery Programme Board, which consists of senior officers and managers. The board guides decisions shaping the programme, setting objectives, scope, and timelines for projects. The board reports into the HCA as part of the partnership arrangement as well as One Public Estate. When milestones are met the programme will report into 'Capital and Asset Board' and 'Health, Housing and Adult Social Care' and 'Employment and Place' Management Teams for coordination and major project issues. Decisions taken by the Council Management Team followed by Executive. Exec member Cllr. Denise Craghill Director responsible Sharon Houlden: Corporate Director of Health, Housing and Adult Social Care Dependencies None March 2017 Executive Meeting https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 11&Ver=4 December 2017 Executive Meeting - Delivering Health and Wellbeing facilities for York - Establishing a Delivery Model and the Scope of the Programme Link to paper if it has been to another member meeting (e.g. executive, council, a scrutiny committee) - Delivering the Lowfield Scheme https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 194&Ver=4 July 2018 Executive Meeting - Proposals https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 470&Ver=4 October 2018 Executive Meeting - Duncombe Barracks, Burton Stone Lane https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 473&Ver=4 January 2019 Executive Meeting- Building More Homes for York - removal of the HRA borrowing cap https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 476&Ver=4 September 2019 Executive Meeting - Housing Delivery Programme Update https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11109& Ver=4 ## Project Title Centre Of Excellence Reporting Period April 2020 Description City of York Council with its partners are planning to: a. Deliver a feasibility study to explore the opportunities and benefits of building a Specialist Disabled Children Short Break Facility in York. b. To expand the Family Intensive Rapid Support Team (FIRST) to incorporate a therapeutic short break residential element and to explore the opportunities and benefits of increasing the service offer to neighbouring Local Authorities across the region. The project is part of the wider development of services for disabled children and young people across the city and provides the council with an opportunity to:  Invest capital in developing a 'Disability Centre of Excellence' which has the potential to be a leader in innovative practice both regionally and nationally.  Make York Home for more disabled children and young people by reducing out of Area placements.  Develop and invest in service provision in order to generate future savings and income generating potential.  Deliver better outcomes for disabled children and young people including those with the most complex needs. FIRST is a specialist Clinical Psychology led service that supports families with children/ young people who have a learning disability, autism and the most complex behavioural needs. FIRST provides intensive assessment and intervention for children and their family at the point of potential placement breakdown. The proposed Specialist Disabled Children Short Break Facility would potentially incorporate and replace the short break residential provision currently provided at The Glen and Glen House. Overall status this period (Apr) Overall status previous period (Mar) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Apr Mar  Contractor has ceased work on site. Advisers have advised of "furloughed" resource. Resource Status Explanation  NHS second contribution to funding has been delayed due to first fix not having been completed. Reflected in valuation, so no immediate impact on CYC.  Alternative Drainage solution has resulted in contractor extension of time Tasks & Milestones  Mitigation measures will be put in place to reduce 5 week delay throughout programme Status Explanation  Project estimated completion date has been updated to reflect anticipated opening of new service  Significant delay due to Coronavirus pandemic is envisaged, as yet unquantified Risks Status Explanation Significant risk to programme due to Coronavirus pandemic. Issues Status Explanation Coronavirus pandemic ## Current Status Finance  Client contingency is being monitored closely to ensure risk items and provisional sums remain within contingency budget.  There is an agreed payments schedule, linked to build milestones to draw down NHSE Transforming Care Capital Grant. ## Risks  Substation risk has been closed. Legal agreement between all parties has been resolved and planning application is agreed.  There is certainty to drainage risk. Additional costs have been agreed and plans put in place to mitigate the programme delays.  Ground risks highly unlikely to materialise.  Delay due to cessation of work on construction site due to health & safety concerns relating to Coronavirus pandemic. ## Programme  Project end date has been updated to reflect finish when new service is open.  Push to mitigate delay to programme caused by drainage redesign, all other elements of programme are on or ahead of schedule.  Substructure; steel frame system installed; underfloor heating and floor screed in place; roof sealed early March.  Extension of Time due to Force Majeure, as yet unquantified. ## Communication And Engagement  First brick was laid by children who will use the new centre.  Regular residents newsletter agreed and circulated.  Email address promoted for public to contact the project team. ## School Playing Fields  Development of the school playing fields at the back of the school as a mitigation measure for playing fields used at the front has been completed on time and budget. ## Legal  All outstanding legal issues have been agreed. ## Governance  Risks and decisions are being monitored, recorded and agreed through quarterly Project Board.  System established for decisions to be made outside of meetings. While the construction work is postponed, we will maintain regular update communication and will progress with any outstanding design matters in order to ensure that, on recommencement, there can be no further delay to completion. Reports to  The project is accountable to a Project Board chaired by Amanda Hatton - Director CEC.  The project Board contains representation from Children's Social Care, Health, Education, Adult Services and Finance.  The project Board is accountable to CEC DMT chaired by Amanda Hatton, Director of Children, Education and Communities.  The project Sponsor is Amanda Hatton. Exec member Cllr Ian Cuthbertson Director responsible Amanda Hatton - Corporate Director of Children, Education and Communities Dependencies None Executive August 2017 - Re-Commissioning a Short Break Service for Adults with a Learning Disability based at Flaxman Avenue, York https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 190&Ver=4 Executive January 2018 Develop a Centre of Excellence for Disabled Children and their Families in York Link to paper if it has been to another member meeting (e.g. executive, council, a scrutiny committee) https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 195&Ver=4 Executive April 2018 - Revised Recommendation in Relation to the Capital Budget http://democracy.york.gov.uk/documents/s122950/Centre%20of%20Ex cellence%20for%20Disabled%20Children%20Executive%20Paper%20 April%202018%20Final.pdf ## Project Title Provision Of School Places Reporting Period April 2020 Description The need to provide sufficient school places for current and future residents is a key statutory duty of CYC and will build an educational infrastructure for the city by forecasting likely demand and supply of school places over the medium term (until 2022/23). The aims of this project are to identify where and when additional school places will be required, and work with central government and the school community to provide places in good or outstanding schools. CYC is provided with some 'Basic Need' funding from central government for this purpose and will need to ensure that this and other sources of funding are used to best effect in those areas of greatest need, and to ensure that all educational provision is sustainable in the longer term, working with the school community. The project represents a significant priority for City of York council in delivering educational opportunities for residents. Overall status this period (Apr) Overall status previous period (Mar) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Apr Mar Cost Status Explanation Future Basic Need funding is likely to be very limited and housing developer contributions may not meet the expected requirements for educational infrastructure across all sites. This is being addressed through the Local Plan required infrastructure process, but these requirements exceed any current capital for the costs. ## Current Status Capacity  Identification and prioritisation of schools requiring a review of net capacity has been assessed and visits have now been completed for those schools in the highest 2 priority categories, with assessments fed back to schools. Due to the current national lockdown and thanks to accurate plans being available from the recent building works, the net capacity assessment for the final school in the lowest prioritisation category has been completed as a paper exercise. Confirmation of the accuracy of this net capacity assessment will be achieved by visiting the school once restrictions are lifted. ## Communication  There has been continued communication with developers of some proposed and forthcoming housing sites this period, and with those officers overseeing the draft Local Plan and future infrastructure plan for the city.  Communication is also ongoing to discuss solutions to address the pressures around secondary school place requirements in the south east of the city and put plans in place.  Communication continues around plans to increase secondary school places in the west of the city.  Although outside the scope of this project, construction work has now started in the east of the city to increase the number of secondary school places available.  The current national situation could impact on the speed at which all the above plans can be rolled out and a risk assessment examining this is being compiled.  Communication has taken place this month with a number of primary schools and MATs to discuss the implication of the newly released forecasts and 2020 reception round admissions data on their schools. This also included looking at primary in-year transfer issues in the south east of the city.  Communication is taking place within the team and across departments to investigate the risks associated with the national lockdown on the capital maintenance programme and the knock on effects on providing school places. ## Data Modelling  Formal sign off of the annual SCAP process has not yet been received and is expected later in the year.  Work continues to improve the forecasting process.  The January census data has now been mapped to the catchment areas in both the primary and secondary forecasting models. ## Forecasting  Both primary and secondary forecasts for 2020 have been produced and the forecasts and associated primary and secondary planning area action plans are now available on YorkEducation. ## Policy  The review of the S106 Policy is under way. Work has been completed to give an indication of what the actual primary and secondary pupil yield has been at a number of larger housing developments built in the last 20 years in the City of York. Work has also been completed to give an indication as to the expected pupil yield from these new housing developments for pupils requiring specialist education provision. Liaison with other departments within the Council is now taking place to look at the viability of adjusting pupil yield and the potential impact on other departments.  The Capital Programme for 2020/21 has now been approved.  The admission arrangements for the school year 2021/22 have now been reported to the Executive, the determination notice published and liaison with other admission authorities completed. The main focus of this period: ## Capacity  Following the initial submission of the annual 'SCAP' return, await and respond to any further queries from Department for Education. This process continues for 2019 in coordination with the DfE, with final submission expected to take place imminently.  Feedback net capacity assessments for the final identified school - once a visit to site is allowed. ## Communication  Continued engagement with local schools and academy trusts to gather their views and identify any potential plans about how they could assist in providing for future need.  Continue communication regarding the planning and construction work taking place to address secondary school place requirements in the Secondary Planning Area - East York.  Continue to liaise regarding the proposal to address secondary school place requirements in the Secondary Planning Area - South East York.  Continue to move forward proposals to address the secondary school place requirements in the Secondary Planning Area - West York.  A paper will be prepared for YSAB regarding surplus primary school places in the north of the city. ## Forecasting  Develop the primary and secondary forecasting models. ## Policy  Continued work around a refined planning policy approach re: Housing Developer Contributions (HDCs) for current and future developers is in review with colleagues in Planning to ensure compliance with wider CYC policy and agreements re: Local Plan. ## Project Plan  Further develop, communicate and agree the project plan. Reports to Project is overseen by Children, Education and Communities Directorate Management Team and Executive Member for Children and Young People as necessary. Exec member Cllr Ian Cuthbertson Amanda Hatton - Corporate Director of Children, Education and Communities Director responsible Dependencies Local Plan Policy, Economic Strategy, City Transport Policy Link to paper if it has been to another member meeting (e.g. executive, council, a scrutiny committee) Executive February 2018 Admission arrangement for the 2019/20 school year https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=101 96&Ver=4 Executive July 2019 The Provision of School Places and Allocation of School Capital Budgets 2019-2023 to Address Secondary Place Pressures https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=111 07&Ver=4 Executive October 2019 Archbishop Holgate's School - Expansion 2020-21 https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=111 11&Ver=4 ## Project Title Housing Ict Programme Reporting Period April 2020 Description The Housing ICT Programme is a major ICT enabled business transformation and culture change programme which will deliver a new operating model and systems for the Housing and Building Services teams within the Housing Services Department. Procurement of a new ICT solution will enable customer centric, holistic services to be delivered with first point of contact resolution at a place, time and manner that suits the customer. Overall status this period (Apr) Overall status previous period (Mar) Scope Quality Costs Resources Apr Mar Quality Status Explanation  The programme has identified significant pressure against the current timeline around the quality of the programme. A full detailed review of the current programme timeline and impact assessment against the quality that the programme will deliver based on the current timeline will be completed as soon as possible.  All business requirements, ICT and BI requirements validated, signed off and ITT issued.  Due to current disruption caused by Covid-19 the costs for the programme are unknown. Cost Status Explanation  There will be a likely extension due to activity pausing on the programme and we will need to plan this when we get closer to returning to business as usual. It is likely we will have increased costs across salary, external project management and lease of the programme office at Swinegate. Resources Status Explanation All contracts and secondments for staff on the programme run to end of November 2020 and these will need to be extended if the programme resumes as normal. Tasks & Milestones Explanation All current milestones are likely to be moved and will need re-planning when we know we can call on business resource again. Risks Status Explanation Every element of the programme has an increased risk profile due to current pause of workshop activity. We are unable to mitigate a lot of these risks currently as we have paused all workshop activity with the business. Issues Status Explanation The overall cost and timeline of the programme will be increased due to the implementation pause caused by current disruption. The overall programme status has moved to red this month. \| \| Financial \| Non \| Tasks \| \| \|------------\|--------------\|--------\|----------\|--------\| \| Benefits \| Financial \| & \| Risks \| Issues \| \| \| \| \| \| \| \| Benefits \| \| \| \| \| \| \| \| \| \| \| \| Milestones \| \| \| \| \| \| \| \| \| \| \| This is to reflect the fact that, due to the Covid-19 disruption, all business implementation activity has been paused, initially until after the Easter break. This means any activity on the programme that involves subject matter experts from the business. As a result this will impact on timeline and costs for the programme. The programme team continue to use the time effectively to test the existing system configuration and progress activity that can be picked up without business representation. Following the Easter break a review will be carried out to assess if we can start to resume implementation activity or not (remote sessions using Skype). In the next month the programme will:  Continue to use programme pause effectively to review outstanding actions, catch-up and test the system  Continue to engage with all stakeholders and update them on activity  Work with our chosen supplier to keep on top of programme planning as far as possible. Reports to Programme reports to the Housing ICT Programme Board. This group is chaired by the Assistant Director of Housing with key representatives from the HHASC senior management team. The Programme Manager attends the monthly HHASC Senior Management Team (SMT) and both Housing and Building Services department team meetings to update on the programme. Exec member Cllr. Denise Craghill Sharon Houlden: Corporate Director of Health, Housing and Adult Social Care Director responsible Dependencies Digital Services Programme - for delivery of other interdependent projects and technical resources N/A Link to paper if it has been to another member meeting ## Project Title Smart Travel Evolution Programme - Step Reporting Period April 2020 Description STEP is a programme of delivery that will prepare York for the coming revolution in adoption of connected and autonomous vehicles and managing whole city mobility. The project aims to achieve this by:  Improving communications to transport infrastructure and collecting more transport data.  Building a transport data platform to assist the City to meet big data challenges and making more of this data accessible.  Improving transport modelling, that allows us to run City wide models at varying scales, in near real time. This allows us to understand the way the transport network is performing and is expected to improve our transport planning activities. Overall status this period (Apr) Overall status previous period (Mar) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Apr Mar Resources Status Internal strategic modelling resource not in place. Modeller being appointed and should be with team in 3 months. Explanation Tasks & Milestones - Due to the COVID-19 outbreak, the procurement process for the data platform will be delayed. The national lockdown on movement also means that the Classified Junction Counts (CJCs) cannot be carried out for 2020 in time for the model build and 2019 data backwards will have to be used, with the possibility for an update later. Status Explanation - The GLOSA contractor has also requested additional time for completion due to complications associated with staffing through the COVID crisis. - COVID-19 Outbreak has led to a delay in procuring the data platform, obtaining some typical traffic data and on contractor resourcing. Risks - Public Transport Fare and Patronage data required for model build but requires the bus operators to co-operate in a timely manner. Status Explanation - Internal Modelling resource required to ensure models can be adequately accepted and used going forward. - GLOSA is a project deliverable but is not deployed outside of research within the UK. Research has been carried out and solution is now identified, but it still presents a risk as it's new to UK. In the last reporting period:  GLOSA tender pre-contract meeting held with Dynniq.  Real-time Time Speed Data (RTSD) data put together with CYC traffic counters for comparing accuracy.  Data platform specification worked on further.  Draft Model Specification Report delivered to CoYC for review.  Classified Junction Counts (CJCs) planned for the end of March have been cancelled due to the COVID-19 lockdown meaning non-typical traffic would be observed. In the next reporting period:  GLOSA contract to be completed.  Draft Model Specification Report to be completed as final.  Data Platform specification to be shared with stakeholders for review. Reports to The STEP board reports in to Economy and Place DMT and PM updates executive member and Executive when required for updates and approvals. Key decisions are agreed by the Transport Board before reaching executive member or Executive. Exec member Cllr Andy D'Agorne Neil Ferris - Corporate Director of Economy and Place Director responsible Dependencies The Transport Capital Programme and TSAR Project Link to paper if it has been to another member meeting ## Project Title Flood Risk - York 5 Year Plan Reporting Period April 2020 Description CYC are working closely with the Environment Agency to deliver a range of localised improvements to the cities flood defences, this work - the York Five Year Plan - has been developed following the floods and is supported by Government investment. In addition to this we are working with the EA on a catchment scale study to identify opportunities for wider interventions across the River Ouse catchment to further reduce future flood risks into the long term. Overall status this period (Apr) Overall status previous period (Mar) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Apr Mar  The 19 flood cells have a range of challenging technical and environmental elements, the speed of delivery of the whole programme further complicates the delivery. Costs Status Explanation  Value engineering and robust challenge of all solutions is being carried out across all flood cells but delivery of the core outputs with the available funding will continue to be challenging.  Existing cells being taken to planning or where construction has commenced represent value for money and will deliver a robust set of flood risk management interventions, this is reviewed closely by the programme board and assured by the EA Large Project Review Group.  The project team are closely monitoring the available funding and its ability to deliver the programme of works across all flood cells.  CYC continue to work closely with the EA on the delivery of the York Flood Alleviation Scheme as part of the York Five Year Plan.  CYC are members of the Programme Board and EA continue to attend quarterly Executive Member for the Environment Decision Sessions and Economy & Place Overview and Scrutiny bi-annually.  19 flood cells have been identified and schemes to improve existing or build new defences are in varying stages of development in a prioritised manner across the city to deliver the projects stated required outcomes, as determined by Defra, to better protect 2000 homes and businesses in the city.  The Outline Business Case has been agreed by the EA Large Project Review Group for all 19 flood cells.  Planning applications are being submitted for a range of cells, construction has begun on two flood cells - North Street/Memorial Gardens and St Peters School. Planning permissions are being considered for Clementhorpe and Clifton Ings.  The Covid-19 response has delayed all aspects of public consultation. Pending planning decisions for the Bishopthorpe, Clementhorpe and Strensal flood storage area cells are awaiting confirmation of how they can continue.  The EA are working with all consultants and contractors to understand the impacts on the programme. Reports to The Project board sits within the Environment Agency. The Environment Agency has a formal programme board in compliance with PRINCE2 methodology, CYC are a member of the board. The lead Executive member receives a quarterly report and it is the subject of a bi-annual report to Economy and Place scrutiny committee. This approach to governance has been approved and adopted by Executive. Exec member Cllr Andrew Waller Neil Ferris - Corporate Director of Economy and Place Director responsible Dependencies None Executive February 2017: CYC Response to the Independent Flood Inquiry https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=9310& Ver=4 Link to paper if it has been to another member meeting ## Project Title City Centre Access Reporting Period April 2020 Description Project involves the feasibility and design of static and automated measures to be implemented into the area around Spurriergate, Coney Street, Parliament Street and York Racecourse to provide public protection from potential vehicle attack. The proposals follow firm Police and Counter Terror Unit advice to implement measure to protect areas of high footfall. The automated measures will retain vehicle access outside the footstreets hours and allow emergency and other urgent access during footstreets hours through a system of control by CYC. Overall status this period (Apr) Overall status previous period (Mar) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Apr Mar Scope Status Explanation Scope has been extended to include support for HVM measures for Xmas Market and Xmas Lights Switch on and this impacted on the progress of the project. Further temporary measures may be needed in 2020. Resources Status Current lack of CYC engineering support risks progress. Explanation Tasks & Milestones Work ongoing to refine programme plan. Status Explanation Risk Status Risks associated with successful implementation. Explanation Issues Status Clarity of scope of principal designer has been improved but is still an issue and timescales remain challenging. Explanation Current status  Detailed design continuing utilising trial hole information  Procedures and protocols for city centre access continue to be developed  Racecourse design completed and tender documents prepared  Impact of COVID-19 means delays to tendering, supply and completion of some tasks due to reduced availability of key stakeholders, particularly blue light services.  Detailed design continuing utilising trial hole information  Procedures and protocols for city centre access continue to be developed  Racecourse design completed and tender documents prepared  Impact of COVID-19 means delays to tendering, supply and completion of some tasks due to reduced availability of key stakeholders, particularly blue light services. Reports to Programme reports to the Transport Board and is advised by the York Counter Terrorism Working Group There is a CYC internal working group working on the detail. This group is chaired by the Assistant Director for Transport, Highways and Environment. Neil Ferris - Corporate Director of Economy and Place Exec member Cllr Andy D'Agorne Director responsible Executive February 2018: City Transport Access Measures http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10196& Ver=4 Executive September 2018: City Centre Access Update and Priority 1 Proposals http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10472& Ver=4 Dependencies None Link to paper if it has been to another member meeting (e.g. executive, council, a scrutiny committee) Executive August 2019: City Centre Access Experimental Traffic Order Conclusion and Phase 1 Proposals http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11108& Ver=4 Executive February 2020: Phase 1 Proposals (Update) https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=111 16&Ver=4 ## Project Title Parking Review Reporting Period April 2020 Description This project is to research, procure and implement a new parking back office system to replace the current system that is now out of date. In turn this new system will help to bring around a change in how parking is managed and how our customers interact with us by taking forward a customer self service system, such as the purchasing of parking permits and dealing with PCNs (Penalty Charge Notices). Historically there have been a number of issues relating to the delivery of the Parking Services back office system due to issues with the supplier. Motivation for this approach is also brought about by the fact that more than 25% of footfall in the customer centre is for parking related matters. This has been attributed to complex policy, under performing IT systems and associated processes and lack of available on-line services for customers. There is an opportunity to resolve a number of issues with this change project with the delivery of an ICT back office system to deliver this change and as the catalyst to support the development of a new parking strategy and technological roadmap for the next 10+ years in line with the Local Plan and Local Transport Plan 4. As part of this project the Council ICT team are looking into how this system could interface with existing CYC systems, such as FMS and CRM but looking forward, how these systems can interface with other systems such as parking machines and the wider Smart City work the Council is taking forward (STEP). Overall status this period (Apr) Overall status previous period (Mar) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Apr Mar Tasks & Milestones Status Explanation Following the configuration stages, all other stages such as user acceptance testing will likely be delayed due to Covid19 disruption. Timescales, risks and issues will be revised and key decision dates will be added. Risks Status Explanation Due to Covid19 and likely delays the project has been marked at risk. Issues Status Explanation Covid19 and will impact on the key stages of the project, such as UAT stages and ultimately implementation of the system as well as the monthly permit payment option. There will likely be a delay in the user acceptance testing and go live of the project due to the Covid19. As a result this system will not be implemented until later in 2021. Based on initial investigations there is a direct debit solution but further investigation are required and the solution may require a separate project to enable use throughout all CYC services. This project will likely be led by the Customer Services team but due to their time currently being fully focused on the Covid19 response this will be a number of months. Therefore it will be recommended that in order not to delay the go live of this system it may have to be started without a monthly payment solution. Members will be asked to accept this with a view to it being rolled out as part of a phase 2 project. Key progress from March:  Test Strategy Document signed off by CYC ICT development team and confirmed with supplier  Configuration worksheets sent to supplier for initial feedback  Meeting held with supplier on data cleansing with the outcome being the start of a data retention matrix  Change request document created for sign off at the project board  Draft Exec report started to include all changes to permits and the TRO  Dip checks meeting went ahead and questions/answers from the outcome on this were confirmed by the supplier  New handheld device identified for testing. Key progress for April:  Feedback from supplier on UAT scripts and configuration worksheets  Contract finalisation and signed  Continued exploration for offline user options and presented to board - decisions required  Progress with the updated data retention policy for PCN and permit data  Change request document including all associated costs to be reviewed at the re-scheduled board meeting  Handheld device testing against the MDM  Finalised Exec report to be submitted including all changes to permits and to the TRO  It has been accepted by the board that this project is now delayed, potentially well into 2021 due to the Covid19 disruption. Reports to The project is steered by the Parking working group and reports to the Transport Board Exec member Cllr Andy D'Agorne Neil Ferris - Corporate Director of Economy and Place Director responsible Dependencies None Executive February 2016: Parking Review https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=8846&V er=4 Link to paper if it has been to another member meeting. Executive November 2019: Parking Update https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11112& Ver=4 ## Project Title Inclusion Review Reporting Period April 2020 Description The purpose of the inclusion review will be to ensure that The Local Authority and School Community work together to maximise the opportunity for early intervention and prevention and to improve the outcomes of children and young people with special educational needs and/or disabilities (SEND). The review will examine the current configuration of services and the use of funding to support SEND to ensure that there is greater clarity and accountability around the use and impact of resources. The pressures on the High Needs funding block within the designated schools grant (DSG) means that there are accelerating financial pressures in meeting the needs of children and young people with SEND. A key purpose of the Inclusion Review is ensuring that the pressures on High Needs funding are being managed effectively whilst ensuring that the local authority is able to deliver its statutory duties articulated in the Children and Families Act, 2014 and the SEND code of practice. Overall status this period (Apr) Overall status previous period (Mar) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Apr Mar - The scope is being revisited to incorporate findings from IMPOWER and Ofsted. Scope Status Explanation - A draft written statement of action has been produced and is being reviewed by LA and CCG. Delivery of workstreams is being adversely impacted by Covid19 Quality Status - The findings from the Local Area SEND Inspection will also be aligned with the Inclusion Review through the Written Statement of Action which needs to be submitted to Ofsted by 3rd June. Explanation - Work to progress the workstreams is being impacted by Covid19. Costs - IMPOWER and the SEN transport consultant have identified areas for potential savings - these will need to be brought in to the programme and will deliver opportunities in the medium to longer term. Status Explanation - The outcomes of the SEND Inspection are likely to increase some areas of cost in the short term to ensure that actions identified in the Written Statement of Action are delivered. - The reprofiling of the Danesgate Community budget is taking place but the commissioned number will take 18 months to reduce. Resource Covid19 is potentially going to result in additional costs. Status Explanation Financial Status Explanation The work currently taking place to review panel processes and practice models will provide opportunities to reduce costs in some areas, however, Covid19 is impacting on the ability to move forward. Tasks & Milestones The progress on tasks and milestones, particularly related to the written statement of action is being adversely impacted by Covid19. Explanation Risk Status Active risk management is ongoing. Explanation Issues Status Explanation A draft written statement of action has been produced and is in the process of review and development. Establishing workstreams is being adversely impacted by Covid19.  Phase 3 of the Inclusion Review has started and a steering group appointed. The programme plan will be developed by this group using the recommendations from phase 2 of the review.  The strategic principles developed in stage 2 have been agreed and shared with the Council's Executive, Schools forum and members of the York Schools and Academies Board.  Capital works have taken place at Hob Moor Oaks primary special school (August 2018) and capital works have been agreed to support the development of the post 19 local education offer at Blueberry academy and Askham Bryan College.  Expressions of interest for secondary satellite provision have been received and a project plan is in the early stages of development.  A feasibility study is taking place with a primary school to support the development of a proposed primary ERP provision.  Preliminary work to review the Behaviour and Attendance Partnership protocols and processes is underway.  A steering group has been established to oversee the academy conversion of the Danesgate Community. This will put in place a commissioning agreement with the South Partnership Multi-Academy Trust which will define the future relationship between the local authority and Danesgate when it becomes an alternative provision academy.  Proposals about the development of alternative provision have been shared with the secondary heads forum in March 2020. Further consultation with schools has been impacted by COVID 19.  Headteacher recruitment for the Danesgate Community has been successfully completed and the new head will take up post in June 2020. The School Inclusion Adviser is supporting the Danesgate Community 2.5 days a week.  The interim financial model for Danesgate has been agreed and the commissioned number for 2020-21 has been set. Reports to CEC, DMT Exec member Cllr Ian Cuthbertson Amanda Hatton - Corporate Director of Children, Education and Communities Director responsible Dependencies None Executive November 2018: The Inclusion Review and the Special Needs Capital Grant https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=1 0474&Ver=4 Executive August 2019: Executive Report Danesgate Land Academy Conversion https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=1 1108&Ver=4 Link to paper if it has been to another member meeting (e.g. executive, council, a scrutiny committee) Executive November 2019: Millthorpe School - Enhanced Resource Provision https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=1 1112&Ver=4 ## Project Title Be Independent Reporting Period April 2020 Description Be Independent (BI) is the provider of the Council's community alarm and equipment service. This includes a 24 hour response service, assessment and installation of equipment, telecare and assistive technology services. These services play a key role in supporting better outcomes for individuals either in their own homes, supported living or in residential and nursing homes across the City. The aim is to prevent, reduce or delay the need for care, enabling people to be as independent as possible. Previously provided in-house, the service was externalised in 2014 and the Council supported the establishment of a social enterprise in the form of a Community Interest Company (CIC) to deliver the service. In June 2018 the Executive agreed to the transfer of Be Independent service back to the Council and the direct management of Health, Housing & Adult Social Care. All assets and liabilities will be transferred from Be Independent to the City of York Council and staff transfers will be agreed under TUPE. Following the transfer which was completed in August 2018, an operational review of the service has commenced to understand its core functions, purpose, strengths and areas for improvement to ensure that it is sustainable. Whilst the overarching vision for the service will be coproduced in line with the Council's vision, a 3 month IT scoping project has been commissioned to review the systems/processes currently in use as this is a key priority to move the service forward. Be Independent needs to have a robust IT infrastructure in line with CYC protocols to enhance and grow the business, and improve the customer experience of this Community Equipment & Response Service. By utilising the latest technology (GDPR compliant), workers will become agile and customers will have a seamless service from all teams including Business Support, Response, Assessment and Control Teams, where an overburden on paperwork is phased out. IT aims to integrate different software systems used for call handling, stock management and financing linked to a service manager with comprehensive performance reporting tools. Streamlining software systems and providing teams with the appropriate hardware (with internet connection) is a primary focus in order for the teams to perform efficiently and effectively. This will improve the use of resources, develop capacity and ensure a strength based approach can be implemented in the future. Overall status this period (Apr) Overall status previous period (Mar) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Apr Mar Scope Status Explanation - Due to the current COVID19 situation, staff have been mobilised with laptops to continue to work from home where possible. New business processes have been put in place to avoid social contact where possible, as well as adaptations to taking payments. A new call handling software solution will be the focus of the project moving forward to enable a fully mobile workforce. Tasks & Milestones Status - The main focus of the project is to replace the call handling system to enable a mobile workforce in line with the vision and direction of the service area, to ensure it is future proof and fit for purpose. With more in light of COVID19. Explanation - Discussions around how IoT can support early discharge / home from hospital with expected surge of COVID19 cases. - Roll out of devices for majority of staff to continue to work from home where possible. Issues Status - Issues remain under review. Explanation  Be Independent would like to move forward with a new call handling provider. ICT running through security checks and working with procurement on contract once cleared.  Wider research around how people view technology in social care, their expectations and whether they feel it can help people live more independently has been put on hold for now due to COVID19 impact.  Mosaic user access has been granted to staff to view and edit records.  "Internet of Things" proof of concepts are on hold until further notice due to COVID19 and weighing up plan of action to support customers.  Mobile workforce have been issued laptops to continue to work from home where possible, however, some requests for additional stock have been placed recently and coordinated by service desk.  Finalise contract with new call handling provider.  Begin work on migrating data, testing and implementation for new system.  Determine plan of action for IoT to support current COVID19 situation.  Support new working processes with devices in light of COVID19 situation. Reports to Head of ICT/Director level/CMT/Executive Exec member Cllr Carol Runciman Sharon Houlden - Corporate Director of Health, Housing and Adult Social Care Director responsible Dependencies None Executive June 2018 - Transfer of Be Independent to the direct management of City of York Council https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=1 0469&Ver=4 ## Link To Paper If It Has Been To Another Member Meeting Project Title Procurement Of Msa And Strategic Engagement Technology Partner - On Hold Reporting Period April 2020 Description To develop a specification, procure and appoint a technology provider to deliver the City of York Council's (CYC) essential managed network services arrangements (MSA) this includes connectivity, voice and data services. CYC's current MSA contract expires following an extension period, on 31 August 2020. The contract is currently worth £2million per year and the new contract is likely to run for at least a minimum of 10 years. The procurement process was approved by Executive in November 2017, and progressed proper in April 2019 after the appointment of commercial procurement partners to support internal capacity, with the view to develop an Invitation to Tender for both CYC and Harrogate Borough Council. The scope of the review then changed in July 2019 to proceed to meet CYC requirements only, due to a change in Harrogate's local circumstances. There is continuing good relationships between the two councils and a shared management team. The new provider will be a strategic technical delivery partner enabling CYC to achieve its strategy for the delivery of digital services to its residents, businesses and partners. Progress of the original project to date includes documenting the requirements of both councils and production of a draft ITT. The changing scope of the procurement has allowed a pause in proceedings to allow for the following:  A review of work done to date and a revision of the scope of the project.  Bringing the project in line with Council's All About Projects approach  Addressing of known risk as per independent legal and technical advice commissioned given the time taken to date and learning from recent procurement practice elsewhere. The aim of this revised project is to recommence the procurement with a robust approach and assurance that the Council can secure the best MSA going forward given changed scope and lessons learned. Overall status this period (Apr) Overall status previous period (Mar) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Apr Project placed on hold 24th March 2020 due to the Covid 19 Pandemic. Re-start will depend on resumption of business as usual. Reports to  Project Board chaired by a Project Sponsor and meets on a monthly basis.  Project Steering Group chaired by the Project Manager meets weekly.  Project Sponsor and Project Manager meet weekly.  Legal and Finance/Procurement are represented at both meetings at both strategic and operational levels.  Oversight is provided by the Council's Corporate Project & Programmes' manager.  Independent assurance provided by an external adviser/consultant. Exec member Cllr Nigel Ayre Ian Floyd - Deputy Chief Executive & Director of Customer & Corporate Services Director responsible Dependencies Link to paper if it has been to another member Exec Dec 2017 - Procurement of ICT Managed Services https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId= 10194&Ver=4 ## Project Title Hyperhubs Reporting Period April 2020 Description By providing Hyper Hubs at Poppleton and Monks Cross Park and Ride sites, a solar canopy would be erected over approximately 100 parking spaces, providing space for 1,400 m2 of solar panels. This canopy is an elevated structure - essentially a roof below which cars can still park - with solar panels on the top. Adjacent to the canopy, but not on land currently used for parking, there would be an energy storage facility - a battery. At each site there would also be eight charging points for electric vehicles. Electricity generated by the solar panels would be used to hyper charge vehicles plugged in to the charging points. Electricity not used immediately would be stored in the battery. When the battery is full, this electricity could be fed into the national grid. The solar canopies would use the free space immediately above the vehicles to harvest solar energy to the site. Batteries would then store the electricity, providing it either to hyper charge electric vehicles when plugged in, or feeding it into the UK electricity grid. The electric vehicle infrastructure element of the project is to purchase and install the DC 'hyper' charging points (faster than current 'rapid' charge speed points at 50kW) which will supply the energy to the vehicles. These will be installed in a Hub of eight car bays which can supply up to 150kW power output per car, with a typical charging session taking 10-20 minutes. By way of comparison, a typical home charging point takes around eight hours to charge an electric vehicle. Overall status this period (Apr) Overall status previous period (Mar) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Apr Mar  All future project milestones will be revised over the next month to Tasks & account for Covid-19 situation. Milestones  Our approach is to continue with desktop based work which can be Status Explanation progressed during the current movement restrictions. We will develop a robust construction plan with a flexible start date which will begin once the covid-19 situation allows. Risk Status Explanation Risks updated to reflect most significant current risks to the project.  Procurement process has been completed.  Contract awarded to EvoEnergy.  Project team and Evo Energy will produce a robust project plan which accounts for likely delays due to Coronavirus situation.  Evo Energy will begin work on desktop based activities: site layout, electrical design, DNO connection. Reports to The project will report to the Transport board. This is an internal board that is chaired by the Assistant Director for Transport, Highways and Environment. The members also include the Head of Transport, who acts as the City of York Council client for the project and the Head of Programmes, who is responsible for the delivery of projects within the Economy and Place Directorate. The Project Manager will report to the Sustainable Transport Manager (who reports to the Head of Transport) and will be held to account for delivery by the Head of Programmes, who will also provide Project assurance. Finance also are members of the board to provide any technical input. Exec member Cllr Andy D'Agorne Neil Ferris - Corporate Director of Economy and Place Director responsible Dependencies Link to paper if it has been to another member Executive March 2019 - A Sustainable Future for York with Hyper Hubs https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11469& Ver=4 Executive Sept 2019 - Reducing York's Carbon Footprint with Electric Vehicles https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11109& Ver=4 Executive March 2020 - Electric Vehicle Charging Strategy https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11117 &Ver=4	en
0193-pdf	## Dclg Salary Transparency The Department for Communities and Local Government (DCLG) has sought consent from individuals to publish the names and salaries of those staff earning a full-time salary over £60,000 (the Senior Civil Service minimum as at 31 March 2014). The Department recently published an updated Local Government Transparency Code 2014 which covers local authorities in England. The full Local Government Transparency Code 2014 can be accessed here: https://www.gov.uk/government/publications/local-government-transparencycode-2014 On the 31st March 2014, 151 Department staff were earning a full-time salary of £60,000 or higher. Please note that though all of these 151 staff have a full time salary of £60,000 or higher, some of these staff work part time and the salary they receive is adjusted accordingly. The figures quoted here all refer to the full time salaries of individuals, regardless of whether they work full time or not. The breakdown of these staff in salary bands by DCLG Group is as follows: Salary Group Salary floor ceiling Total Permanent Secretary £190,000 £194,999 1 £60,000 £64,999 12 £65,000 £69,999 12 £70,000 £74,999 9 Finance & Corporate Services £90,000 £94,999 1 £95,000 £99,999 1 £100,000 £104,999 1 £110,000 £114,999 2 Finance & Corporate Services Total 38 £60,000 £64,999 15 £65,000 £69,999 7 £70,000 £74,999 5 £85,000 £89,999 3 Localism £90,000 £94,999 2 £105,000 £109,999 1 £120,000 £124,999 1 £160,000 £164,999 1 Localism Total 35 £60,000 £64,999 26 £65,000 £69,999 18 Neighbourhoods £70,000 £74,999 8 £75,000 £79,999 2 \| £80,000 \| £84,999 \| 3 \| \|---------------------------------------------------------------\|------------\|------\| \| £85,000 \| £89,999 \| 1 \| \| £90,000 \| £94,999 \| 3 \| \| £95,000 \| £99,999 \| 1 \| \| £105,000 \| £109,999 \| 1 \| \| £130,000 \| £134,999 \| 1 \| \| Neighbourhoods Total \| \| \| \| £60,000 \| £64,999 \| 2 \| \| £65,000 \| £69,999 \| 5 \| \| £70,000 \| £74,999 \| 2 \| \| £75,000 \| £79,999 \| 1 \| \| Strategy, Communication & Private Offices \| \| \| \| / Troubled Families Team / Other \| \| \| \| £80,000 \| £84,999 \| 1 \| \| £110,000 \| £114,999 \| 1 \| \| £130,000 \| £134,999 \| 1 \| \| Strategy, Communication & Private Offices / Troubled Families \| \| \| \| Team / Other Total \| \| \| \| 13 \| \| \| \| Grand Total \| \| \| 51 DCLG staff earning a full-time salary over £60,000 consented to disclosure of their name and salary details in salary bands as follows: \| Last Name \| First Name \| Salary floor \| Salary ceiling \| \|--------------\|---------------\|-----------------\|-------------------\| \| ALAFAT \| TERRIE \| £105,000 \| £109,999 \| \| ALDRIDGE \| STEPHEN \| £100,000 \| £104,999 \| \| BENIOFF \| SARAH \| £90,000 \| £94,999 \| \| BOWREY \| JULIAN \| £70,000 \| £74,999 \| \| BRODRICK \| DAWN \| £95,000 \| £99,999 \| \| BUCHANAN \| KIRSTY \| £65,000 \| £69,999 \| \| BURKITT \| NICHOLAS \| £60,000 \| £64,999 \| \| CAMPBELL \| ANDREW \| £90,000 \| £94,999 \| \| CARROLL \| MARK \| £105,000 \| £109,999 \| \| CASEY \| LOUISE \| £130,000 \| £134,999 \| \| COX \| PHILIP \| £90,000 \| £94,999 \| \| DENNISON \| SCOTT \| £65,000 \| £69,999 \| \| DEXTER \| NICHOLAS \| £70,000 \| £74,999 \| \| DOWNIE \| PAUL \| £60,000 \| £64,999 \| \| DUNCAN \| GRAHAM \| £65,000 \| £69,999 \| \| EDWARDS \| HELEN \| £160,000 \| £164,999 \| \| EVERTON \| JANE \| £70,000 \| £74,999 \| \| FLETCHER \| GRAHAM \| £65,000 \| £69,999 \| \| FOULDS \| BRIAN \| £65,000 \| £69,999 \| \| HALL \| ROBERT \| £65,000 \| £69,999 \| \| HILL \| DAVID \| £80,000 \| £84,999 \| \| HOLLAND \| PETER \| £120,000 \| £124,999 \| \| KEAN \| ANDREW \| £65,000 \| £69,999 \| \|----------------------------------------------------------\|-------------\|------------\|------------\| \| KERSLAKE \| BOB \| £190,000 \| £194,999 \| \| KUENSSBERG \| DAVID \| £70,000 \| £74,999 \| \| LEDSOME \| ROBERT \| £75,000 \| £79,999 \| \| LEE \| JACK \| £65,000 \| £69,999 \| \| LLEWELLYN \| BENJAMIN \| £65,000 \| £69,999 \| \| LOCKHART \| STEPHANIE \| £60,000 \| £64,999 \| \| MEGAINEY \| CHRISTOPHER \| £65,000 \| £69,999 \| \| MOCKFORD \| STUART \| £65,000 \| £69,999 \| \| MORGAN \| ANDREW \| £70,000 \| £74,999 \| \| NEEDS \| BRIGITTE \| £60,000 \| £64,999 \| \| NICHOLSON \| GILL \| £70,000 \| £74,999 \| \| O'CONNOR \| NEIL \| £85,000 \| £89,999 \| \| RANDALL \| SALLY \| £60,000 \| £64,999 \| \| REED \| MICHAEL \| £65,000 \| £69,999 \| \| RIDLEY \| SIMON \| £85,000 \| £89,999 \| \| ROSSINGTON \| DAVID \| £110,000 \| £114,999 \| \| SCATES \| DARREN \| £110,000 \| £114,999 \| \| SCHOFIELD \| PETER \| £130,000 \| £134,999 \| \| SHELDON \| CAMILLA \| £60,000 \| £64,999 \| \| SMITH \| DAVID \| £70,000 \| £74,999 \| \| STANIER \| RUTH \| £80,000 \| £84,999 \| \| SWEENEY \| JULIA \| £80,000 \| £84,999 \| \| TUKE \| JOSEPH \| £110,000 \| £114,999 \| \| WALKER \| THOMAS \| £65,000 \| £69,999 \| \| WECHSLER \| THOMAS \| £65,000 \| £69,999 \| \| WHATMORE \| ELIZABETH \| £70,000 \| £74,999 \| \| WHITE \| PATRICK \| £85,000 \| £89,999 \| \| WILKIE \| AIDAN \| £70,000 \| £74,999 \| \| \| \| \| \| \|  \| \| \| \| \| 33 staff did not respond. \| \| \| \| \|  \| \| \| \| \| 67 staff did not consent to disclosure of their details. \| \| \| \|	en
4117-pdf	National Archives - a proposed approach for sector-led improvement and development December 2011 About the LGA The Local Government Association (LGA) is here to support, promote and improve local government. Local government is facing the most radical changes, as well as the most significant opportunities, in a decade. We will fight local government's corner and support local authorities through challenging times by focusing on our top two priorities:  representing and advocating for local government and making the case for greater devolution  helping local authorities tackle their challenges and take advantage of new opportunities to deliver better value for money services. Visit www.local.gov.uk Introduction 1. This paper sets out a framework for a new sector-led improvement and development programme for local archives. 2. The LGA appreciates The National Archive (TNA) has only recently inherited wider responsibilities for the archive sector. As a result it is in the initial stages of consultation before creating a new business plan. This document aims to provide a useful tool to TNA in setting out LGA's initial thoughts on sector development and what TNA's role should be. In addition, this document suggests some first thoughts on how we can work in partnership to develop and modernise the archives sector. Proposed approach 3. The proposed approach is driven by a desire for TNA and the LGA to develop a joint vision and improvement programme for local authority archive services. It realises the critical role local authorities play in providing a modern and thriving archives service, enabling TNA to develop a key strategic partnership. 4. LGA and TNA to establish a new, forward-thinking national partnership and innovative joint improvement programme. This is to create a modern, innovative and efficient archives service, underpinned by an ambitious self-improvement programme. The LGA is to represent local authorities within TNA's decision-making structures, such as TNA's Implementation Group and provide support and advice to the Archives Sector Development team. 5. Encourage TNA and Arts Council England (ACE) to work closely together to have a single conversation. This is in order to build a coherent cultural sector, sharing innovation and best practice between and within sectors. This will also enhance opportunities for the archives sector to access funding and programmes provided by ACE, for example accessing Renaissance funding. 6. Support TNA's development with the sector of an accreditation scheme as a key self-improvement tool for the sector. TNA to work in partnership with local authorities and other sector providers to develop the accreditation scheme as a tool which will best support excellent service delivery. The LGA would welcome acting as a 'critical friend' in the development of the scheme. 7. TNA to support local authorities to deliver their statutory duties in relation to record management and promoting equality. The LGA will work with TNA to share good practice in effective records management. There is a real opportunity for commercialisation of public sector record management services to provide additional income. The LGA would encourage TNA to explore and promote appropriate entrepreneurial opportunities for the sector. 8. The LGA would welcome clarity from TNA on what they foresee their exact role to be and what funding opportunities they will be offering to local government to improve archive service delivery. 9. The LGA recognises the urgency and challenges facing the local archives sector and local authorities more generally. We would be committed to working with TNA in exploring what support can be offered to local authorities in the immediate future of 3-6 months before TNA's business plan for wider archive sector work is formalised and while local authority budgets are being finalised. Context 10. It is fundamental any programme acknowledges the new policy context we are working in, namely that:  The Government has placed a greater emphasis on localism and the 'Big Society': the need for public services to engage volunteers and community groups and to be accountable to their local communities. We recognise the experience the archives sector brings to this.  The Government has also dismantled much of the top-down performance management regime imposed upon local authorities. Local government is taking collective responsibility for its own sector-led improvement, as set out in the LGA 'Freedom to lead' document.  Local authorities are faced with significant budget reductions but there is also less ring-fencing of funds received. In the community budget areas there is greater flexibility to pool central government spending and spend it on what matters most locally.  In addition, much of the old regional architecture, such as regional development agencies (RDAs), has been abolished and there is a greater emphasis on local and sub-regional collaboration to deliver better services and make cost savings.  There is an ever-increasing appetite for accessing information digitally. Development has begun on the Government and private sector's partnership to provide broadband access to every home in UK by 2015, with 90 per cent of homes and businesses having access to super-fast broadband.  Local authorities have a statutory duty for the management of public records. Both are important, especially in relation to modernisation and digitisation of archive services.  TNA is facing significant budget pressures, coupled with wider responsibilities for the archive sector. Partnership working is vital to ensure sensible strategic decisions are made which maximise the effective distribution of limited resources.  The ACE has taken over responsibility for museums and libraries from the Museums, Libraries and Archives Council (MLA). It is important that the archives sector maintains its profile alongside these two much larger sectors and continues the vital dialogue with the museums and library sectors.  In November 2011, the LGA published 'Taking the lead: selfregulation and improvement in culture, tourism and sport'.  TNA are represented on LGA's Culture, Tourism and Sport Improvement Project Group. As a result, the sector is experiencing a fast pace of change and there is a real urgency to the challenge facing local archive services. The LGA is acting now because councils will be taking decisions over the next few months that could curtail the sector's self-improvement capacity. Key principles 11. The LGA is pleased TNA identifies that the provision of archive services varies significantly on a local scale in terms of size, budget, facilities and local profile. Therefore with TNA's support, local authorities are best placed to decide how to run their archive services providing the best service for their local community while achieving value for money. 12. LGA is broadly supportive of TNA's model for excellence for publiclyfunded archive services as set out in 'Archives for 21st century' document. Local authorities are already running innovative models for their archive services, focused on finding local solutions to meet local needs - see case studies in Annex 1. We would welcome the support TNA can offer local authorities in developing and supporting such creative thinking through initiating projects, partnership working and sharing knowledge. TNA can also procure national deals for projects especially in digitalisation resources which would bring value for money to local authorities. However, it is important such resources meet the local needs of local authorities. 13. LGA are very supportive of TNA's idea of developing bigger and better services in partnership with other local authorities and the private and charitable sector in order to achieve efficiency and value for money. In order for this to work it would need to be led by local need as there is no 'one-size-fits-all' model. LGA in partnership with MLA ran a Future Libraries Programme, which included looking at sharing backroom functions in delivering library services. It highlighted important issues to be aware of such as council's desire for their libraries to maintain their own identity and local look and feel, to the difficulties arising in decision making between two authorities of different political persuasions. The LGA would be happy to share the lessons learnt from the Future Libraries Programme and its successor, the Libraries Development Initiative, with TNA. 14. Strong political leadership is vital for local archive services to thrive. TNA and LGA will play an important role in ensuring local politicians and professional archive staff work in partnership to run resilient and efficient archive services. 15. We feel that TNA's new responsibilities create an exciting opportunity for local authorities to benefit even more from TNA's depth of knowledge and experience in this sector. With both local authorities and TNA experiencing funding cuts, the LGA feels TNA could add the most value by acting as a catalyst to maximising resources. This could be through sharing good practice, building influence across government, encouraging initiatives in the sector, and supporting local archive services to strengthen and develop. It could also include building upon TNA's existing work with local government, such as the current web archiving work. In times of austerity with differing opinions on spending priorities, TNA can play an important role on behalf of local authorities by advocating the public value of archives, such as underpinning democracy and learning. 16. Partnerships between archive services and libraries and museums offer opportunities to develop more innovative services. Therefore, it is essential that there is a joined-up conversation between TNA and ACE, whose remit now includes museums and libraries. This is especially so given that some local authorities make no distinction between their library and archive services. Furthermore, there are already some good practice and innovative models which have been born out of LGA and ACE's work on libraries which could be useful for developing archive services. 17. TNA can play a key role in improving and supporting service quality through a sector-led improvement scheme. With the wealth of knowledge and expertise TNA has in archive delivery it can recognise and promote excellence through sharing innovative ideas and best practice. We would support any useful tools TNA could equip local authorities with as part of a sector led improvement offer. TNA's archives accreditation scheme could be such a tool as councils could use it to monitor and benchmark their own performance, driving up service standards. Next steps 18. The LGA would like at an early stage to begin a conversation with TNA to establish a new, forward-thinking national partnership and discuss the ideas outlined in this document in more detail. Background Local Government's Archive Services 19. More than 130 local authorities provide archive services, local studies and local history libraries. The collections of unique records in their care document a community's identity. There are more than a million visits to local authority archives each year. Many books, magazines, plays, films, television, radio and websites rely on information from archives - much of it in the care of local authorities. Local authorities also have a legal responsibility to look after their records, charged by statute to 'make proper arrangements' for them. 20. Local authorities hold records of national and international importance. These include the official records that underpin democracy and the records of the lives of ordinary people, businesses and local life that add colour and texture to the official record. And it's not just paper and parchment. Most local authority collections contain photographs, maps, plans, prints, drawings, sound recordings, moving images, microfilm and digital records. Together these unique records provide sources of inspiration, enjoyment and learning. 21. Innovative projects, such as Hull History Centre and The Keep in East Sussex, are showing how imaginative archive services can contribute widely to the local community. This is through education, culture, health and social initiatives and they can become a high-profile point of civic pride and economic development. For more information contact: justine.wharton@local.gov.uk Appendix 1 Best practice and innovative case studies 22. In times of austerity, innovation is more important than ever. Local government has already demonstrated its commitment to TNA's goal of ensuring that services are secure, sustainable, resilient and innovative. Below are four case studies demonstrating local government's resourcefulness and innovation. Case study: Durham County Record Office - utilising volunteers Durham County Council's Record Office set up the Mining Durham's Hidden Depths project in October 2009. So far more than 100 volunteers have created 86,701 entries for an online index designed to "make County Durham's mining heritage more accessible to informal adult learners by exploiting a major archive collection of national and international significance." By the project's official end, in March 2010, more than 60,000 miner's names had already been indexed and new data made available online for people to access. A network of 106 volunteers with a wide range of ages and abilities trained in research and indexing techniques. Fifty of those people expressing an interest in continuing their voluntary work with Durham County Records Office. Case study: Centre for Buckinghamshire Studies - digitalising and inspiring new audiences At the Centre for Buckinghamshire Studies (CBS), they have been encouraging secondary schools to use their resources, especially their archives and collections. To achieve this, they have taken advantage of the availability of virtual learning software in all schools in the county. Having been inspired by a demonstration of The National Archive's 'virtual classroom', CBS used the software as an innovative and inexpensive way of bringing their archives into the classroom. The virtual classroom sessions allowed pupils and archivists to interact and discuss documents and other items stored in the CBS archives. An item would be presented onscreen for the pupils to study, while other parts of the software allowed students to hear the archivist talk about it. Students could also type questions to the archivist. While this session has been trialled in one school, the hope is to spread it out to secondary schools throughout Buckinghamshire. Case study: Somerset Heritage Centre - sharing services and a one stop access to resources including online. Somerset Heritage Centre (SHC) opened in September 2010. It marked a new beginning for the county's heritage by combining on one site Somerset's archive, museum and local studies collections and making them available in a fully modern setting. The SHC is also home to the county's Records Management, Historic Environment and Registration Services, as well as to the long-established Somerset Archaeological Society. The SHC replaces 16 former premises, including the Somerset Record Office of 1958, but has been far more than a building project. It has allowed greater cost-effectiveness through shared services, including customer service, learning and outreach, and one-stop access to resources both onsite and online (a new website is about to be launched). Financial resilience has been strengthened through agreements to supply archive and records management services to other organisations, and an audience development plan has shaped engagement with new and existing audiences as well as with volunteers. Since opening, nearly 60 volunteers have begun work on archive-related projects. Visitor numbers have also risen sharply. Together with the related project to create the Museum of Somerset (just opened), the new SHC expresses a belief that innovative delivery of archive and other heritage services has a very significant role to play in supporting local and national agendas at a time of great financial pressure. Case study: Derbyshire Record Office - Artist-in-residence to engage new audiences Derbyshire Record Office is merging with Matlock Local Studies Library to provide a one-stop-shop for local and family history research in the county. A major building project, costed at £4.2 million and entirely funded by Derbyshire County council, has begun at the Record Office to extend storage capacity and create exciting new public spaces for this purpose. An artist-in-residence has been appointed for the duration of the building project to work with staff and the community, informing the interior design, enlivening the public space with art and raising the profile of the service. The artist will particularly work with people who haven't used the service before to encourage them to feel a sense of ownership and pride, and to create a welcoming environment that continues to attract new audiences to the service. Overall, the project will nurture a culture of creativity within the Record Office and local studies team that will give them the skills and confidence to continue to engage creatively with new audiences once the project has finished. The project has already received Archive Pace Setter status, which aims to encourage innovative projects within the archive sector and promote good practice in archives as part of wider workforce development and advocacy strategies.	en
4935-pdf	## Part Two: Pottery In India And Khurja By Amitav Rath ## Table Of Contents Part 2: Pottery In India And Khurja PREFACE .................................................................................................................................................... II POTTERY IN INDIA................................................................................................................................... 1 POTTERY IN KHURJA.............................................................................................................................. 3 KHURJA....................................................................................................................................................... 3 INFRASTRUCTURE ....................................................................................................................................... 3 Transport ............................................................................................................................................... 3 Power Supply......................................................................................................................................... 4 Water Supply & Sanitation .................................................................................................................... 4 Solid Waste Management....................................................................................................................... 4 Telecom Services.................................................................................................................................... 4 Educational Facilities............................................................................................................................ 4 Healthcare Facilities ............................................................................................................................. 5 Banking.................................................................................................................................................. 5 Industrial Estates ................................................................................................................................... 5 THE HISTORY OF POTTERY IN KHURJA....................................................................................................... 6 Origins................................................................................................................................................... 6 1950s and 1960s .................................................................................................................................... 7 1970s - 1980s ........................................................................................................................................ 8 1980s-present......................................................................................................................................... 8 CURRENT STATUS OF THE POTTERY SECTOR IN KHURJA ..................................................... 11 PRODUCTS................................................................................................................................................. 11 NAME OF PRODUCT................................................................................................................................... 11 NUMBER OF OPERATING UNITS................................................................................................................. 11 MARKET.................................................................................................................................................... 12 PRODUCTION PROCESS.............................................................................................................................. 13 SOURCING RAW MATERIALS..................................................................................................................... 13 EMPLOYMENT........................................................................................................................................... 14 HEALTH ISSUES......................................................................................................................................... 16 POLLUTION AND ENVIRONMENTAL IMPACTS ............................................................................................ 17 ENERGY USE IN POTTERY................................................................................................................... 18 USE OF ELECTRICITY ................................................................................................................................ 18 ENERGY EFFICIENCY IN THE USE OF ELECTRICITY.................................................................................... 19 KILNS........................................................................................................................................................ 19 Coal...................................................................................................................................................... 21 ## Preface The main objectives of the DFID Project R7413 are to promote mechanisms to increase the adoption of energy efficient technologies and practices in the case of one small scale industry sector in India and Ghana. The sector chosen in India is the ceramic sector. The focus of the work has been in one large cluster of ceramic firms in Khurja, India. The process followed in the project has been to: - map the operational practices in a sample of units and develop working relationships with relevant stakeholders; - examine existing practices to determine possible improved practices that could be adopted including new technologies in the main energy using parts of the operations, and, - analyse the extent to which energy efficiency gains can be achieved in a manner that is also financially attractive to the firms. Finally, the intention of the project is to examine the barriers to the adoption of improved technologies and to suggest specific interventions to reduce the barriers. This is provided that the suggested improvements are found to have a sufficiently high rate of financial return, making them potentially sustainable without subsidies. This section first examines the pottery industry in India. This is followed by a more detailed examination of Khurja and its pottery industry. This includes an account of the history of the pottery industry in Khurja. The current status of the pottery sector is examined in detail, including current production levels and markets, employment levels and the environmental impacts of the industry. At the conclusion of the section, attention is given to the pattern of energy use in the pottery industry, with particular reference to kilns. The work done in India is detailed in the following sections: Part One Poverty and Energy Efficiency in Small Industries - A Review of the Issues Part Two Pottery in India and Khurja \| Part Three \| Some Problems and Solutions in Khurja \| \|---------------\|--------------------------------------------------------------\| \| Part Four \| Improvements \| \| Part Five \| Conclusions \| \| Annex 1 \| Survey of the Pottery Industries in India \| \| Annex 2 \| Work Plan Followed for the Project and Project Design Issues \| \| Annex 3 \| Availability & Prices for Various Equipment / Instruments \| \| Annex 4 \| Pilot Questionnaire for Energy Use in Khurja Pottery Kilns \| Annex 5 Details of Ceramic Fibre Insulation at Naresh Potteries Annex 6 Ceramics' Industry Pollution Regulations Annex * * Temperature Profiles for Khurja Firms Annex * * CERAM Report Annex * * Study on Energy Conservation Opportunities In Ceramic Industries Khurja PCRA 2000 The people and institutions who participated in this project and their contact details are listed below: Stephen Ward Intermediate Technology Consultants Ltd Schumacher Centre for Technology and Development Bourton Hall, Bourton-on-Dunsmore Rugby CV23 9QZ, UK Tel: +44 1788 661198 Fax: +44 1788 661105 E-mail: stephenw@itdg.org.uk Website: www.itcltd.com Mr Vhingra Petroleum Conservation Research Association (PRCRA) Northern Region 609, New Delhi House, 27, Barakhamba Road New Delhi - 110001, India Tel: 3357457, 3315879 Fax: 3320629 E-mail: pcrad@del2.vsnl.net.in Website: www.pcra.org Dr Amitav Rath Policy Research International (PRI) 6 Beechwood Avenue, Suite 14 Ottawa ON K1L 8B4, Canada Tel: +613 746 2554 Fax: +613 744 4899 E-mail: arath@pri.on.ca Website: www.pri.on.ca Dr H S Maiti, Director Central Glass & Ceramic Research Institute (CG&CRI) 196, Raja S.C. Mullick Road Calcutta 700032 India Tel: 473 5829 Fax: 033 473 0957 Email: director@cscgcri.ren.nic.in, hsm@cscgcri.ren.nic.in Shri A K Gupta, Deputy Secretary in Charge Central Glass & Ceramic Research Institute (CG&CRI), Khurja Centre G.T. Road, Khurja, 203 131, India Fax: 05738 42501 Mr B L Dhar Industrial Development Services (IDS) M-1 Kanchenjunga 18, Barakhamba Road New Delhi - 110 001, India Tel: +331 3469/ 2287/ 4714 Fax: +1 331 6470 E-mail: idsindia@satyam.net.in Website: www.industrialdevservices.com Carl Shenton CERAM Research Ltd Queens Road, Penkhull Stoke-on-Trent Staffordshire, UK Tel: +44 1782 76 4444 Fax: +44 1782 412334 Email: carl.shenton@ceram.co.uk Website: www.ceram.co.uk Dr Abeeku Brew-Hammond P.O Box 6534 Kumasi Institute of Technology and the Environment (KITE) Kumasi, Ghana Tel: +233 51 33824 Fax: +233 51 33824/26026/60232 E-mail: kite@ghana.com Website: http://linklive.net/KITE ## Pottery In India An initial survey (IDS) found information on 100 pottery manufacturing clusters in India. Many of these are small clusters and the data available on them was not very detailed. More detailed information was available on 24 clusters from fourteen different states and this is provided in see Annex 1. The Indian ceramic industry can be broadly divided into two major groups, whiteware pottery and red clay pottery (including terracotta), which are both produced in India. The products of each of these groups are listed below. Red Clay 1. Building Bricks 2. Roofing tiles 3. Utility articles such as kulhar, saucers, surahi, matka sets Whitewares 1. Cups, saucers, mugs, tea-sets 2. Stoneware kundis, jars 3. Pressed porcelain insulators and other LT and HT insulators 4. Chemical porcelain items 5. Decorative pottery items such as flower vases, toys, ash-trays 6. Fire bricks, saggars and other heat resisting items. The 24 clusters identified in the survey, including the cluster in Khurja, produce predominantly whiteware, although also some small amounts of terracotta are also produced. Terracotta tiles are popular in Southern India, while utility items made from red clay are ubiquitous in the country and tend to be made by the smallest and also more rural units. There is a new demand for high fired terracotta ware in the export markets which is being met by some larger units in Khurja. This is actually a nontraditional product in the sense the clay composition is different and the ware is fired at a much higher temperature. There by this product has a higher lustre and lower porosity. Beyond the 100 clusters identified and the 24 clusters for which data is available, there are thousands of pottery units scattered across India which have not been cited nor surveyed as part of this project. Many villages and towns have small traditional pottery units making low fired utility items. None of these have been studied here. In the 24 clusters for which more information was available, the data shows that there were 2,191 individual pottery units with estimated sales per month of 445 million Rupees or annual sales of almost 6000 million Rupees (US$150 million using an exchange rate of US$1 = 40 Rupees). The smallest cluster identified, Chinat in Uttar Pradesh, had only 6 units and estimated per monthly sales of 1.6 million Rupees. The largest cluster identified was Khurja (in Uttar Pradesh) with 491 units and annual sales of almost 2500 million Rupees. Clearly Khurja is the single most important pottery cluster in India composed of small scale units. Of the sample of 24 clusters, it is estimated that the Khurja cluster alone accounts for 25% of the manufacturing units and over 40% of the production. The industry is labour intensive. Almost 95,000 people are estimated to be employed by the 24 clusters surveyed (this is likely to be an under estimate for reasons discussed later). The above data suggests that the output to labour ratio is 60,000 Rupees (US$1,500) in the 24 clusters. The industry is also energy intensive. The firing of the clay in kilns and dryers account for most of the energy consumption. Fuel used to power the kilns includes gas, electricity, diesel oil, kerosene, coal, wood and cow dung. Of these wood and cow dung are used in smaller and rural kilns, while coal is probably the most common fuel used by the largest number of units. Electricity is rarely used because of high costs and erratic supplies due to shortages in the country. The fuel of choice is diesel oil or kerosene in the newer oil fired kilns. Gas is not common again due to supply constraints in India. But it is very likely that the availability of gas and its use will increase slowly as more natural gas pipelines are being built. Environmental problems arising from the ceramics industry in India include air pollution from combustion, coal ash disposal, effluents from the clays and possible impact on deforestation where wood is predominant. Ceramic ware is produced both for the domestic market and for export. But over all export markets are unlikely to be more than 10-15% of total production. There is increased imports of ceramics in the higher price range and the smaller units face competition from large scale manufacturers also. \| Ceramics \| India - SME \| Khurja \| India* \| \|---------------------\|---------------\|-------------\|-------------\| \| 1 \| \| \| \| \| Large Scale \| \| \| \| \| UK* \| \| \| \| \| 2 \| \| \| \| \| Value of production \| $150 million \| $62 million \| $230million \| \| Employment \| 95,000 \| 25,000 \| 27,000 \| \| Output/Labour \| $1,500 \| $2,500 \| $8,500 \| * Source 1–CMIE publication on Annual Survey of Industries, 1995-1996; 2 -www.energy_efficiency.gov.uk/eebpp/eebpp-template.cfm ## Pottery In Khurja Khurja Khurja town had a population of 107,600 as at the last general census in 1991 and is currently the sixth largest town of the National Capital Region. Its present population may be estimated at around 150,000, while awaiting the results of the 2001 census. It is located in the state of Uttar Pradesh (UP) and is part of the Bulandshahr district. Khurja is around 100km from Delhi, mostly east and a little south, on the Grand Trunk Road which continues on to Kanpur, and beyond to Calcutta. It takes about 2 to 2.5 hours by road from New Delhi to Khurja. Khurja is also an important railway junction by virtue of linking Kanpur-Varanasi and Calcutta on one side, and Delhi on the other. The total area of Khurja is 549,186 hectares. Its climate is hot and dry with a maximum temperature of 48 o C and a minimum temperature of 3o C; it has an average yearly rainfall of 580 to 690 mm. Khurja is a prominent industrial and commercial town in Bulundshahr district. The two main employment and livelihood sources in Khurja are pottery and agriculture, at roughly 50% each. The pottery industry directly employs about 25,000 workers with a further 5000-7000 employed in various support services and allied activities. Other sources of employment in Khurja include trade and commerce and a very small amount of other manufacturing. ## Infrastructure Khurja is well located and overall has reasonably good infrastructure. It is accessible by road and railway, is connected to the State Electricity Grid, has sufficient water supply, a nationally and internationally connected telephone exchange, good educational facilities and 9 branches of national banks. Like many parts of India, while these connections exist, in many ways the quality of the infrastructure remains poor. It suffers from poor road condition, lack of regular power due to overall supply shortages and inadequate healthcare facilities. There are some problems with waste water drainage and considerable room for improvement in solid waste disposal. A short description of Khurja's infrastructure is provided below. ## Transport The major transportation route to Khurja is the main Grand Trunk Road. Other entry points to the town of Khurja include Delhi-Bulundshahr, Aligarh, Shikarpur, Pahasu and Jewar. There is a perception that access roads to Khurja and roads within the town need to be upgraded. Khurja railway station is an important railway junction and lies on the main Delhi-Kolkata Grand Trunk Road. The pottery units primarily use road to transport their products as the railway services are reported to be inadequate. ## Power Supply Khurja receives its power through the State Electricity Grid. The town itself has 4 electric sub-stations with a total capacity of 28 MVA; however each of the substations are overloaded by at least 25 per cent. Most of the electricity network is currently in need of repair or replacement. Due to these problems the town, including all pottery units, generally experience a shortage of power and frequent power outages. As a result numerous people, in particular commercial and industrial enterprises, resort to the use of standby diesel generators. ## Water Supply & Sanitation The water supply in Khurja is sufficient, meeting both domestic and industrial purposes. Approximately 2,880 kilo litres of water is supplied to Khurja on a daily basis. There is however an acute waste water drainage problem. The consequent water logging has lead to various water pollution problems. ## Solid Waste Management Khurja's solid waste is collected manually by hand carts and cattle drawn vehicles. Although the collected waste is disposed of in designated disposal areas, it does not undergo segregation or any other waste disposal techniques. ## Telecom Services Khurja town has a telephone exchange and is connected nationally and internationally. Internet service has recently been started in the town by a national service provider, Videsh Sanchar Nigam Ltd. (VSNL). ## Educational Facilities Educational facilities in Khurja are fairly good as can be seen below. \| Education Facility \| Number \| \|-----------------------\|----------\| \| Technical Institute \| 1 \| \| Degree Colleges \| 2 \| \| Intermediate Colleges \| 4 \| \| High Schools \| 1 \| \| Junior High School \| 12 \| The technical institute provides the trained/skilled manpower to the pottery cluster. ## Healthcare Facilities Khurja town has two government hospitals with a total capacity of about 80 beds. In addition there are a few private nursing homes, one family and child welfare center and also private doctors. The existing health care facilities are grossly inadequate. For instance, less than 4% of the workers are covered under the employee health insurance scheme. ## Banking Khurja's banking needs are in principle well met by the presence of nine public sector banks in the town, two of which have more than one branch. \| Name of Bank \| Branches \| \|---------------------------\|------------\| \| Allahabad Bank \| 1 \| \| Central Bank \| 1 \| \| Oriental Bank of Commerce \| 3 \| \| Punjab National Bank \| 2 \| \| Punjab & Sind Bank \| 1 \| \| State Bank of India \| 1 \| \| State Bank of Patiala \| 1 \| \| Syndicate Bank \| 1 \| \| Union Bank \| 1 \| \| Total \| 12 \| The firms raised a number of issues related to their lack of access to bank finances. Some of the generic difficulties are connected to the bureaucratic rigidities of the banking and financial systems, and, the others are caused by the low transparency provided by SME owners with regards to their operations. Small scale units in general face difficulties in securing bank finance due to various formal procedural requirements - such as proper accounts, production statistics and other documentation - which they are often unable to fulfil. But many of these processes are necessary for any banking system and banks will always be unable to deal with borrowers who cannot provide a full and clear account. ## Industrial Estates Among the support provided to promote an efficient pottery cluster in Khurja have been the development of two industrial estates. The first is in an area of 17 acres on the Grand Trunk Road which has been developed with 18 industrial sheds and two plots. It is entirely devoted to pottery and all units are fully operational here. The second is on Junction Road and has been developed by UP Small Industry Corporation and is a little larger at 30 acres. At present 25 pottery units are operating on this site. ## The History Of Pottery In Khurja Origins There are at least two conflicting versions of the origins of the pottery-manufacturing sector in Khurja. In one version there was a historical cluster of traditional potters, who had established them selves in Khurja, several hundred years ago. In this version potters from Egypt and Syria accompanied the Afghan King Taimur Lung when he passed by Khurja on an easterly campaign 500 years ago. In another, the origins of the tradition go back to people with knowledge of pottery who had moved there during the Mughal empire. In another opposing version, there is supposedly no long historical tradition of pottery in Khurja, but the second is highly unlikely, though the extent of production was probably low. Nevertheless, in both versions of the history, the more modern phase of pottery manufacture began in the 1940s, with the establishment of a pottery factory by the UP Government in 1942. This unit was set up to meet the demand for sanitary ware, as imported supplies were disrupted by the war. A decade earlier, in the 1930s, the UP Government had appointed a Professor H N Roy - who had just returned from England with training in ceramics - to conduct trials on whiteware pottery in Khurja. He was to generate interest amongst the traditional potters in making whiteware from conventional raw materials. This first effort at providing technical support and to promote innovations among the local potters proved to be unsuccessful. The UP Government factory, set up in 1942, produced pottery for the defence department. After the war, the items under production changed. Their product quality however was so poor that demand was virtually absent and the factory was closed in 1946-47. To avert complete financial loss on the part of the government, the factory was then transformed into a Pottery Development Centre (PDC) in 1952 with a promotional role. The potters who had earlier worked in the government factory, were allowed to draw their requirements of processed raw materials from the centre and were also provided with the facility of firing their wares on payment of nominal rent in the government kilns. In the year 1946 the UP Government established the Pottery Development Office (PDO) to promote the pottery industry in Khurja and provide training to entrepreneurs and workers. The number of potters in Khurja started to increase, but slowly during the 1940s. ## 1950S And 1960S The Khurja pottery cluster experienced a stronger growth in the late 1950s and 1960s. The industry remained essentially cottage until the end of the 1950s, with there being only 3 units independent of the Pottery Development Centre (that is besides dependent potters, whose numbers are unknown, who used the common facilities provided by the PDC). The 1950s and 1960s were characterised by a number of interventions and support measures for the industry. In the early 1950s the UP Government sent its ceramics expert, Dr T N Sharma, to Japan to obtain advanced training in porcelain manufacture. and the second, was to ask the Government of India to take up collective marketing for the Khurja pottery cluster. Dr Sharma returned to Khurja in 1955 and he reported that fine porcelain could be produced in Khurja using raw materials available in India if the required equipment could be made available and the Japanese techniques for making fine porcelain were adopted. He also promoted an improved type of profile for jiggers, expanded use of setters and improved saggar designs (Sharma 1976). The request of the UP Government to the Government of India for marketing assistance resulted in the establishment of a Marketing Depot by the National Small Industries Corporation (NSIC) in late 1956 for marketing and promotional activities. The depot was able to make some contribution to increased sales, improved sale prices and it reduced internal competition amongst the pottery units which had earlier caused prices to fall rapidly (Sharma 1976). In the late 1950s and early 1960s a number of additional initiatives were also undertaken to support the pottery industry in Khurja. - In 1959-60 a design extension centre was set up as a branch of the Central Design Centre in Calcutta (the result of this initiative is unknown); - In 1961 the All India Handicrafts Board invited a German pottery expert, Mr William Mosech, to train people in the making of glazed red clay pottery and artistic pottery using common clay. Although he was reported to produce "exquisite" pottery, "no concerted efforts were made to produce red clay pottery after he left the country"1 or this effort did not get taken up by the industry; - In 1962 a High Tension Laboratory for the Testing of Insulators was established to support the industry in getting their electrical insulators tested and certified locally. The Laboratory activities were integrated with the role of the PDO. Two experts visited the laboratory under the UN Technical Assistance Scheme and assisted in developing testing protocol and the production of insulators. By 1965-66 there was a total of 160 pottery units operating in Khurja. Of these 88 were independent units with their own firing facilities, and the other 72 units relied on the common facilities of the PDC. During this period and continuing on to the late 1980s all coal supply was controlled by the government. So all units were dependant on quotas for coal and these and the supplies were arranged by the PDO. ## 1970S - 1980S During the 1970s, after the nationalisation of banks in the country, government policy mandated the liberalisation of industrial loans to smaller enterprises in India. With this opening of access to larger financial resources, a large number of entrepreneurs with no previous background in the ceramics industry began entering the industry. They set up larger units (though still in the small scale sector, but larger than had been common earlier) between 1973-75 and again in 1979-82. In this period the growth of units was predominantly in the form of independent units and their number rose to 271. Besides these there was some growth of the units depending on the PDC's facilities and these rose to only 126 units. It is reported that the PDC was increasingly inefficient and was slowly loosing the support of the pottery units. The figures above suggest that those who could afford to invest the higher amounts of capital increasingly decided to avoid the PDC. With increasing losses, in 1982, the UP government transferred the common facilities it had provided to dependent potters to manufacture their goods, to the UP Small Industrial Corporation (UPSIC). The UPSIC attempted to run the facilities on a more commercially sound basis and made various new investments in equipment. But it was soon running into a competitive relationship with the private units and was unable to either provide support or competition. The losses quickly mounted and the facilities were completely closed down within a few years, by the mid-1980s. Since that time they remain closed and standing idle, a monument to industrial archaeology. Many commissions have been appointed subsequently but no resolution of the issues have taken place in over 15 years. ## 1980S-Present From the mid-1980s the Khurja pottery cluster started to witness higher growth rates. Production has increased rapidly in the past 15 years from 63.3 million Rupees in 1986- 87 to between 1600-2500 million Rupees in 1999-2000. Since 1995 there has been a steady growth in the installation of oil fired shuttle and tunnel kilns. Prior to this only coal-based downdraft kilns had been used for firing wares in Khurja. This development will be discussed in more detail in the energy consumption section below. \| Year \| No. of Units \| Production (Rs Mn) \| \|-----------\|----------------\|----------------------\| \| 1946-47 \| 8 \| 0.03 \| \| 1956-57 \| 37 \| 0.2 \| \| 1966-67 \| 162 \| 1.7 \| \| 1976-77 \| 255 \| 9.4 \| \| 1986-87 \| 397 \| 63 \| \| 1996-97 \| 491 \| 840 \| \| 1999-2000 \| 491 \| 1600-2500 \| Source: RITES 1992 and PDC Note: The numbers that are quoted in the official figures of firms and narratives of the industry often diverge by 10-20%. The production figures are likely to have higher margins of error. But we believe they represent the overall picture. The growth of the number of operating units in Khurja is shown above. The graph suggests that there was a period of relatively slow growth in the number of units in the first decade. The next four decades saw almost an uniform rate of growth of around 12- 14 new units per year until the early 1990s. since then the number of units has remained stagnant. The graph below shows that the total value of production was on the other hand growing at exponential rates. It can be presumed that over time each unit continued to expand its output. It should be noted that the above numbers in Rupees are not deflated for inflation which has averaged at around 10% per year and to that extent provide an inflated picture of the true growth rate in Khurja. ## Current Status Of The Pottery Sector In Khurja Products The main items produced by independent pottery units in Khurja are listed in the table below, in conjunction with the number of units manufacturing each type of product and the respective production value. Chiefly whiteware is produced in Khurja, however there is also a small amount of high fired terracotta being produced for export markets. Most pottery units in Khurja manufacture crockery (stoneware), HT/LT insulators and decorative wares (stoneware). There are only a few specialized units that manufacture sanitary wares, bone china and chemical porcelain. Manufactured and their Production in 1996-97 \| Name of Product \| Number of Units \| Production (Mn Rs) \| \|---------------------\|-------------------\|----------------------\| \| Crockery wares \| 273 \| 437 \| \| Art Wares \| 65 \| 92 \| \| Electrical Goods \| 103 \| 227 \| \| Scientific Goods \| 6 \| 17 \| \| Sanitary Wares \| 2 \| 8 \| \| Bone China Crockery \| 8 \| 25 \| \| Electronics \| 4 \| 5 \| \| Ceramic Jars \| 3 \| 5 \| \| Refractories \| 3 \| 3 \| \| Grinding Valves \| 2 \| 2 \| \| Ceramic Tiles \| 2 \| 2 \| \| Others (grinding, \| \| \| \| decoration) \| \| \| \| 20 \| 17 \| \| \| Total \| 491 \| 840 \| Source: PDC ## Number Of Operating Units The latest information available from the PDO, KPMA and CGRI, indicates that there are 491 (independent) pottery units registered with the PDO. While not all of them are operating the number of operating units is not known exactly. In addition to the 491 independent units, there are around 150 dependent units of which, only around 60 units are currently operational. Again while the details on these are not available, the responses during interviews suggested that most of these are not doing too well as they do not have any captive raw material processing or firing facilities and were earlier relying on the PDC. They procure body and glaze in readymade form and make greenware in their units; they rent kiln space from other units. It is estimated that all units in Khurja produced around 2500 million Rupees worth of ceramics in 1999-2000 (PDO). The majority of the 491 units are traditional units. Almost all are at least ten years or older. They always started with low capital investments and use basic and old technologies. There are now about 130 modern units that have invested in shuttle and tunnel kilns moving away from the older coal fired down draft kilns. ## Market Khurja's pottery products are sold all over India and also exported. Within India products are sold directly and also indirectly through middlemen, shopkeepers and large godown owners. In our survey units ranged from those with 100% direct sales to the market to others who sold everything through traders. There are about 23 export oriented pottery units in Khurja. Export clients include countries such as the United Kingdom, USA, Australia, New Zealand, United Arab Emirates etc. The major export items are ceramic artware, insulators and scientific porcelain. Historically Khurja's export levels have been low due to the cluster's inability to meet the stringent quality requirements of export clients. In 1999-2000, exports were valued at 148.2 million Rupees, representing between 6-10% of aggregate production. This proportion is reasonably typical, although exports have on occasion represented up to 15 per cent of Khurja's aggregate ceramics production. Approximately one-third of exports are sold directly by manufacturing units located in the cluster and two thirds are through intermediary market agents (see Table 2.2). Major direct exporters include Dadoo Industries, SR Potteries, Darshan Ceramics and Silico Chemico. \| Year \| Direct Exports \| Indirect Exports \| Total Exports \| \|-----------\|------------------\|--------------------\|-----------------\| \| (Rs Mns) \| (Rs Mns) \| \| \| \| (Rs Mns) \| \| \| \| \| 1997-98 \| 30 \| 60 \| 90 \| \| 1998-99 \| 37.5 \| 82.5 \| 120 \| \| 1999-2000 \| 48 \| 100.2 \| 148.2 \| Source: TERI 2001 ## Production Process There are three broad steps in manufacturing ceramics: preparation of the raw materials, preparation of the greenware and firing. 1. Clay is ground and mixed in a mixer. The clay is then mixed with water and made workable. 2. Clay is poured into moulds, extra material is cleaned or trimmed. Additional parts such as handles added if required. Additional forming processes such as turning and throwing are listed in the table below. \| Inputs \| Process & Description \| Outputs \| \|----------------------------------\|----------------------------\|---------------------\| \| Casting slip \| \| \| \| Casting \| \| \| \| - pouring of slips into moulds \| \| \| \| Final shaped \| \| \| \| moulds \| greenware (unfired) \| \| \| Plastic clay \| \| \| \| Jiggering \| \| \| \| - forming of flatware using \| \| \| \| Final shaped \| \| \| \| rotating wheel and formers \| greenware (unfired) \| \| \| Jolleying \| \| \| \| - as above but to make hollow \| \| \| \| ware (bowls, jugs, planters etc) \| \| \| \| Leatherhard clay \| \| \| \| Turning \| \| \| \| - similar process to a lathe for \| \| \| \| Final shaped \| \| \| \| forming cylinder profiles \| greenware (unfired) \| \| \| Plastic clay \| \| \| \| Throwing \| \| \| \| - hand forming using potter's \| \| \| \| Final shaped \| \| \| \| wheel \| greenware (unfired) \| \| \| Pressing \| \| \| \| - forming of shapes using \| \| \| \| Plastic clay \| Final shaped \| \| \| moulds \| moulds and hydraulic press \| greenware (unfired) \| 3. The greenware is loaded onto trays and then placed in kilns. Terracotta and earthenware is fired immediately whilst porcelain and some other products are first glazed and then fired. ## Sourcing Raw Materials Surprisingly, given the amount of raw materials required, none of the raw materials required for making pottery are available locally in Khurja. So why Khurja became a home for the largest pottery cluster is a little bit of mystery but it suggests that the earlier historical developments were more than sufficient to provide the necessary impetus to the growth of this cluster in Khurja. It is quite likely that with the growth of the industry after the initial government support, after a point in time, its size provided economies of clusters which together with relatively close access to metropolitan markets, could over come the disadvantage of raw materials. Raw materials are thus procured through local agents in Khurja, of which there are about 25. The sources of the various clay raw materials are shown in Table 2.6 below. In addition to these, there are other raw materials and also chemicals that are used in the glazes such as zinc oxide, zirconia, barium carbonate, chromium oxide and soda feldspar. A few pottery units are sufficiently large and financially strong, so as to procure the raw material directly from places like Rajasthan, Delhi, Ahmedabad, Bikaner, Bihar etc. and certain chemicals from Agra, and as such do not have to deal with intermediary traders. \| Raw Material \| Source \| \|--------------------\|-----------------------------------------------\| \| China clay \| Rajasthan, Gujarat, Bihar, Calcutta, Delhi \| \| Plastic ball clay \| Bikaner (Rajasthan), Chandia (Madhya Pradesh) \| \| Quartz \| Jaipur, Udaipur, Ajmer, Alwar \| \| Potash feldspar \| Jaipur, Udaipur, Ajmer, Rajasthan \| \| Fire clays \| Delhi \| \| Bikaner clay \| Ahmendabad \| \| Kundan clay \| Kerela \| \| Source: RITES 1992 \| \| ## Employment The ceramic industry is highly labour intensive, requiring both skilled, semi-skilled and unskilled labour at every stage of production. The minimum number of workers in a unit in Khurja ranges from about 7 to 10, and the maximum reported is around 30 to 40. An independent unit whose production is one ton per day, or 300MT per annum, will need about 40 to 50 workers. Many units are larger than the above and in fact require up to 300 workers. The firms have several incentives to report fewer workers than the actual numbers. As the numbers of workers go up the firms have to provide more benefits, compy with stricter labour laws and so on. The workers are further grouped into smaller numbers of "permanent" and larger numbers of "temporary or contract " labour for legal reasons. According to the statistical information available from the PDO, the current pottery manufacturing workforce at Khurja is around 15,000 (Table 2.7). This figure however is based on unit-wise information provided by the units themselves, and as a result has a major downward bias. A more realistic estimate of the current deployment of workforce with pottery units at Khurja, based on a number of interviews, is placed at around 25,000. The breakdown of labour between skilled, semi-skilled and unskilled categories can be seen in the table below. About eighty per cent of these 25,000 workers are migrants from Bihar, West Bengal and Nepal. The output to labour ratio in Khurja is around 100,000 Rupees (US$2,500). This is in comparison to the average output to labour ratio in the 24 clusters reported on earlier, where the ratio is much lower at 60,000 Rupees. This confirms the higher capital inputs used at Khurja compared to the average Indian small scale pottery manufacture. Category Official Employment (Nos.) Actual (est.) Employment (Nos.) Skilled 8,000 10,000 Semi-skilled 5,000 5,000 Unskilled 2,000 10,000 Total 15,000 25,000 The estimates in the table above were prepared through informal discussions with a number of stakeholders in the industry in Khurja. There is a much larger discrepancy in the official numbers as compared to our estimated above for unskilled workers. We believe that this is because most of them are hired as "contract" labour and not as permanent employees. But many more of the skilled and semiskilled workers are required on a long term basis and are so categorised as employees. In addition to direct employment of workforce by the pottery industry, a total of around 3,000 persons are engaged in various support services and allied activities; a broadbreak up of these can be seen in the table below. Assuming a similar underestimation of the workforce in this category as per those in direct employment, we could easily estimate the actual number of people indirectly employed by the pottery industry to be between 5,000–7,000. \| Activity \| No. of Units / \| \|------------------------------------\|------------------\| \| Establishments \| \| \| Average \| \| \| Employment per Unit \| \| \| Estimated Total \| \| \| Employment \| \| \| Body-mix making \| 15 \| \| Raw-material dealers \| 25 \| \| Transfer decoration units \| 30 \| \| Packaging material industry \| 4 \| \| Jute rope making units \| 3 \| \| Gunny bag making units \| 20 \| \| Pottery machinery manufacturers \| 10 \| \| Spares & tool dealers \| 15 \| \| Transporters \| 40 \| \| Transfer paper manufacturers \| 4 \| \| Khurja pottery wholesalers \| 100 \| \| Khurja pottery retailers \| 50 \| \| Labour for raw material handling / \| \| \| movement \| \| \| 25 \| 6 \| \| Total \| 2970 \| Thus while we could collect the above figures, we believe that they suffer from some underestimation as well. Hence our estimate of total direct and indirect employment in Khurja is between 30,000 and 35,000. ## Health Issues With respect to health issues, only about 1000 workers or about 4 percent of Khurja pottery industry workforce are covered by Employees State Insurance Scheme (ESI). Under this scheme, they are entitled to free access to the medical facilities at the ESI Hospital. No specific occupational diseases are associated with the Khurja pottery industry. An informal survey of private doctors found some suggestion of skin problems such as eczema amongst workers arising from the prolonged handling of clay and other materials such as glazes. Amongst the general Khurja population, the incidence of respiratory diseases such as asthma and bronchitis is somewhat higher than other populations. This is due to air pollution caused predominantly by the burning of coal (in downdraft kilns). ## Pollution And Environmental Impacts Policies and regulations regarding pollution in India are formulated by the Central Pollution Control Board (CPCB). Part of their duties include prescribing, at the national level, the Minimum Acceptable Standards (MINAS) regarding pollution for various industries, including ceramics. Each state then has a pollution control board, which is responsible for the enforcement of the CPCB's policies, regulations and standards. The state pollution control boards are allowed to specify higher standards than the MINAS for their particular state or special areas within the state but are not supposed to lower them. In Uttar Pradesh, there are two zones which have special and stricter regulations - the Doon Valley (Dehradun) and Agra Trapezium. However, the Khurja pottery cluster does not fall within either of these two special zones and as a result is subject to the MINAS as developed by the CPCB for the ceramics industry. The regulations come under the Environment (Protection) Rules" of 1986. These MINAS are implemented by the Uttar Pradesh State Pollution Control Board (UP SPCB). The major environmental problems arising from the pottery industry in Khurja are air pollution due to coal firing, the disposal of coal ash and effluent problems arising from the process of wet grinding. The UP SPCB has been aware of the significant, adverse environmental impacts generated by coal based down draft kilns for a number of years and has been asking the pottery units to take appropriate measures to rectify the problem. The main measure recommended is to build new and higher chimneys for coal fired kilns. In meetings between the KPMA and the UP SPCB over the past few years the former has pleaded for leniency in the enforcement of MINAS. The KPMA have argued that the pollution control equipment required to meet MINAS were beyond the technical capability and financial means of the pottery units. The UP SPCB has tended to be sympathetic towards the KPMA's requests, acknowledging the poor financial position of a number of the pottery units in Khurja. It has offered a "relief period" where it does not implement the MINAS to give units time to make modifications. Although in 1997 it did issue notifications to two units to cease their operations. The UP SPCB is not pressing for compliance on the coal fired kilns as it believes that with the strong trend away from coal to diesel, the problems caused by coal firing will disappear. Hence remedial steps to improve the coal fired kilns, which are any way on their way out, would not be economically justified. ## Energy Use In Pottery In general the energy efficiency of many industrial operations in India are poor compared to world averages. The efficiency of SMEs is also generally expected to be lower than that of more sophisticated larger units with better equipment and management. According to a study by Dalal Consultants, the energy used in the small scale Indian glass industry average for pot furnace performance (MkJ/MT of glass draw) is more than 4 times higher than the national benchmark and more than 6 times higher than the international benchmark. Some units consume over 11 times more energy than the international benchmark. The highly energy intensive ceramics industry would be expected to follow a similar trend. The major consumers of energy in the production process are kilns and dryers; together they usually constitute more than 70% of an entire pottery unit's energy consumption (see Table 2.9 below). In Khurja however, little use is made of dryers, which pushes the kiln's (or kilns') energy usage alone up to 80% of total energy usage. % consumption Stage of production With drying Without drying process Processing of raw materials 5-6 20 Fabrication of pieces 8-10 Drying processes 20-25 80 Firing operation 60-65 Source: Technology Evaluation In Ceramics Industry The remaining 20-30% of energy is accounted for by the processing of raw materials and the fabrication of greenware described in the earlier table and below. ## Use Of Electricity Electricity is used in the Khurja pottery units in the following ways: - pulverizers (ball mills, jaw crushers); - slip preparation (blunders, fitler press, pug mill, agitators); - pumps; - motors; - compressors; - fans and blowers; - electrical testing; - blowers and fuel pumps on shuttle and tunnel kilns (electrically operated); - lighting etc. Whilst electricity does not represent a large proportion of a pottery unit's total energy use, it is still requisite in the production process. The various problems associated with electricity supply in Khurja mentioned earlier such as frequent outages and unannounced load shedding significantly disrupt production cycles. The extent of this varies considerably between units, with a few little affected. Except for those few, all other units use standby diesel generators to produce electricity when the supply from the grid is not available. ## Energy Efficiency In The Use Of Electricity Energy efficiency in the use of electricity is not accorded a high priority by Khurja pottery units since it represents a relatively small proportion of total of energy consumption and due to more general time and resource constraints. Nevertheless considerable opportunities to improve the efficiency with which electricity is used exist. These are mainly through: - power factor correction and load factor improvement; - optimum loading of pulverisers (that is, jaw crushers and ball mills) - replacement of v-belts with modern flat belts; - energy efficient lighting such as replacing incandescent lamps with fluorescent tubes; - conducting cleaning and spray glazing with compressors at reduced pressures. ## Kilns A number of different kilns exist for use in the pottery industry in India and they can be classified and/or examined in a number of different ways. For example, whether they are muffle, semi-muffle or direct fired kilns, based on the nature of contact between the flame and the ware. The kiln may operate on a batch or a continuous production cycle. The kiln may use different types of energy. In Khurja three types of kilns are used: down-draft kilns, shuttle kilns and tunnel kilns. Diesel-fueled shuttle and tunnel kilns were first introduced in the early 1990s. Despite being late entrants, they are increasingly popular due to various operational advantages (discussed further below) as Table 2.10 illustrates. There are currently between 100 to 130 diesel fired, tunnel or shuttle kilns with a number being added currently. The type of kilns being used by each of the firms surveyed is shown in the Table 2.11. \| Year \| Shuttle kilns \| Tunnel kilns \| Total \| \|-----------\|-----------------\|----------------\|---------\| \| 1995 \| 5 \| \| \| \| 1997 \| 15 \| \| \| \| 1999 \| 30 \| 20 \| 50 \| \| 2000 \| 50 \| 50 \| 100 \| \| 2001 ( \| \| \| \| \| estimate) \| \| \| \| \| 70 \| 60 \| 130 \| \| All down-draft kilns in Khurja are coal fired (although in other parts of India smaller units often use wood and cow dung). The shuttle and tunnel kilns in Khurja presently run on diesel oil. There are a small number of electric kilns. However, they are not used due to the higher unit cost of electricity as compared to other fuels such as diesel, and the highly irregular supply. Only one company has been experimenting with a tunnel kiln using LPG. Unfortunately for them the pressure of the LPG cylinders they use has been too low to achieve the high temperatures required. There is however a possibility that piped natural gas may become available in the near future or the next few years. The energy efficiency of kilns is defined as the heat used or required to fire the ceramic product divided by the total heat supplied to the kiln. The energy cost of kilns typically ranges from a low of 22% to a high of 35% of the sales value of production. Firm No. Coal Down Draft Electrical Shuttle (diesel) Tunnel (diesel) TOTAL IN USE 1 Not in use 3 (not in use) 3 3 6 2 - - 1 - 1 3 1 - - - 1 4 3 - - - 3 5 - - 1 1 2 6 1 - - - 1 7 - - 1 - 1 8 - - 1 1 2 9 2 - - - 2 10 1 - - 1 2 11 1 - - - 1 12 - - 2 - 2 13 - - - 2 2 14 2 - - - 2 15 No captive kiln capacity 16 Not in use - 1 1 being installed 1 17 No captive kiln capacity, rents facilities available at another unit. 18 1 - 1 - 2 TOTAL IN USE 12 0 11 8 31 ## Coal Coal is made available to the pottery units in Khurja through a system of coal quotas and supplied through various collieries. The UP State Government allocates a coal quota for each pottery unit on the basis of its installed production capacity, which is reviewed annually, and the PDO is responsible for its administration. Most units however do not receive the full amount of coal allocated to them under the quota and are thus forced to purchase additional coal from the open market, which tends to be of an inferior quality. Until recently there was a subsidy for coal which probably increased the disincentives to SMMEs to be efficient. Coal is discussed further in later sections. ## References Agrawal, G.C., "Status Report on Glass and Ceramic Industries in Uttar Pradesh" (undated, estimate 1970s). Khuntia, S. and Murty, J.S., "Coal Fired Pottery Kiln - A Boon for Potters", Regional Research Laboratory (C.S.I.R.), Bhubaneswar - 751013 Pottery Development Office (Khurja). 1999. Demand Study and Industrial Profile – Development and Possibility for Pottery Industry (Pottery Industry Khurha). Sharma, Dr T. N., "Let Us Also Turn Our Common Clay Into Gold" (undated, estimate 1970s). Sharma, Dr T.N., "Khurja Pottery Industry - Its Growth and Development", reproduced from the author's paper, published in the transactions of Indian Ceramic Society, Vol.XXXVII, No.5, 1976. Technology Evaluation in Ceramics Industry, A Report Prepared Under Technology Absorption and Adaptation Scheme, Government of India, Department of Scientific & Industrial Research, Ministry of Science and Technology, December 1991. TERI 2001, Diagnostic study for the development of pottery industry cluster at Khurja in Uttar Pradesh, Final, 2001, Tata Energy Research Institute (TERI Project Report No.2000CR61), New Delhi. RITES India, Infrastructure Survey of Khurja, undated (estimate 1992). U.P. Industrial Consultants Ltd. 1998. Brief Survey Report of Potteries, Glass, Leather and Brassware (Under Technology Mission Program).	en
2722-pdf	Du 24 au 25 Vendemiaire an 14 De midy a 6 heure A 2 heure il a pleut le temps orageux le vent a l'ouest joly frais l'air venteux au soleil couché encorre un grain du cote de l'ouest vent et [pluiese] l'ennemis prenent le large de 6 heure a minuit le temps s'est un peu adoucy, mais il s'est [formé] toujours de gros nuage au tour du ciel orageux le vent toujour a l'ouest frais, a 11 heure la pleuye a recommance de minuit a 4 heure du matin Le restant de la nuit le vent a la meme partie A 2 heure la pleuye à récommencé elle a durait Jusqu'a 4 heure le temps constament orageux De 4h a 8 heure au jour le temps couver tous autour de l'horizon levent constamment a l'ouest frais, le temps s'est un peu eclairci au milieu du ciel on n'a peut apercevoir l'ennemis de la tette du mat il parait qui devoit avoir pris la bordée vers le detroit, raport au temps orageux et couvert auJ hui, nous avont decouvert 5 voile don't deux a toute vue ver le sud et 3 assépret De 8 heure a midy Dans le courant de la matinee le temps s'est eclairci le vent a l'ouest joly frais l'air beau, le general a été a bord du formidable Du 25 au 26 Vendemiaire an 14 De midy à 6 heure Tems clair et chaud, joly brise d'OSO, l'ennemi au large et rien de nouveaux dans l'armée, le ciel s'est couver au tour de l'horizon deux frégattes ennemi etoient en panne pres la ville et plusieurs autre voilles atoute vue. l'amiral Villeneuve a quite le bord du V[aisse]au l'indontable a 5 heure du soir, le partent de lapres diné meme vent et meme temps De 6 heure a minuit Tems clair et presque calme pendant tout le quart de minuit à 4 heure Tems clair de partout, et calme pendant tout le quart de quatre à huit Tems clair et calme, a 5 heure avons fais branlebas de propreté à 7 heure ½ le general a mis ses voiles au sec, ainsi que nous et plusieurs autres batiments de l'armée, l'ennemi a paru [pau] dans le quart au nombre de cinq voiles, et point de mouvement dans la rade. De huit heure a midi Tems clair, chaud et calme presque tout le quart, a 9 heure ½ avons battu la generale, mis tout le monde a son poste et avons fait l'exercice en même tems jusqu'a 11 heure ¼, pendant tout le quart l'ennemi a été en vue et au nombre de cinq voiles pendant le quart le v[aisse]au le rayo a été occupé a faire derrapé ses ancres pas dautres mouvements dans l'armée. De huit heure a midi Tems Clair, Chaud et calme Presque toutle quart, a 9h ½ avons battu la generale, mis tout le monde a Son poste, et avons fait l'Exercice en même tems jusqu'a 11h1/4, pendant tout le quart l'ennemi a été en vue Et au nombre de cinq voiles pendant le quart le Vau le rayo a été occupé a faire derrapé ses ancres pas d'autres mouvements dans larmée De midy a 6 heure Levent d'ouest petit temps beau clair de tout Cotés, a 5 heure le General a appellé a l'ordre tous les batiment de l'armée un moment après de nous des affourcher et d'appeller a bord tous les Gents de l'Equipage lEnnemis paréssoient au nombre de quatre fregattes et un Goilete a 1 leie de laville Restant al'ouest, le vent constamment a la meme partie temps beau et Clair, a 5 H[eure] 1/2 ordre d'embarquer les Chaloupes et de désaffourchier De 6 heure a minuit a 11 heure ½ il est venue une Embarcation du Bord du Général nous ordonne de lever l'ancre du SE et rester par celle du N.O. à la meme heure signal de Virer à prie, fait de Suite virer l'ancre du SE. Et Etants a prie nous avons Envoyé une Embarcation à Bord de la Ste Trinidad pour lui demander quelle ancre elle levait la premiere elle nous a répondu que c'Etait celle du NO et quensuitte il Viendrait sur son SE. Cette manoeuvre nous a oblige de rester à pie, ne pouvant d'Esaffourcher sans tomber sur ce V[aisse]au. Le courant Etant fort et le vent au NNE. De minuit a 4 heure du matin nous avons reste dans la meme position le restant de la nuit le vent au NNE petit temps [?] De 4 h[eur]e a 8 h[eur]e a 5 heure nous avons vire [?] de l'ancre d'affourche a 4 heure le General a signalé d'appareiller sans autres Signeaux les v[aiss]eaux a la tete en Commencoient à [?] sans voile L'ennemi paraissant au nombre de 6 voiles aussitot qu'ils vu nous Metre sous voile ils ont tiré de Coups de canon pour anoncer A leur armeée notre? Départ le vent au NNE ?Par risee temp [?] Suite du 26 au 27 Vendemiaire an 14 De 8 heure a midy Nous attendions notre tours pour mettre sous voiles mais temps a Reste Calme plate la marée contre nous Ceux qui Etoient sous voiles ne faisoient aucun chemin, le General nous appellé a l'ordre s'etoit pour de malades l'ennemis a pris la fuite En tirant toujour de Coupes de Canons par intervale a 11 heure nous avons apellé une Embarquation du Fougeux et de l'aigle pour de malade venant du Vaisseau du G[eneral] a 11 heure ½ le vent s'est declare au SO petit temps bien clair de tous Cotés et tres Cheau Du 27 au 28 Vendemiaire an 14 De midy a 6 heure Plusieurs Vaisseaux et fregattes ont passé la ville ils faisoient de petite Bordée pour nous attendre Comme le vent s'est Etably a l'ouest joly frais a 4 heure le General a fait signal au Vaisseaux dessous le vent de metre sous voiles nous Etions Presque tous en mouvement l'un pour alonger d'anord ay?ez la autre a matu sans voiles , le General nous a appellés plusieurs fois a l'ordre, la p[remiè]re fois pour des malades, le 2[iè]me fois pour deux beuf encore que le Second Canot a trené abord, le temps bien clair, l'ennemis nous observe toujours, mais de tres loins, oblige par nos freg[attes] qu'elles etoient de bord. a 5 ½ heure le Cannot Major nous a aporte Du pain frais. a la meme le General a fait signale au Batiments sous voiles de mouiller De 6 heure a minuit Levent varians' au NNOetNO, joly frais temps beau un Bateau du pay nous a apporté du pain frais, a 8 heure a debordé le vent venant en diminuant et varians toujours ver le nord, petit Presque calme Suite du 27 au 28 vendemiaire an 14 De minuit a 4 heure du matin Le Restant de la nuit Calme quelques petit Risée du Cote du SE le temps Couver tout au tour de l'horizon De 4 heure a 8 heure le vent S'est dessivé au SE variant vers le Sud temps Couver de tout Cotes au Jour l'ennemi En observation parissaient aux nombre de 6 Voiles, mais tres éloignees, a 6 heure ½ Le General a fait signal a toute l'armée d'appareiller Sans autre signeax a 7 heure ½ le Signal de Bralabas du Combat, nous avons virés apie tout-apres Et fais D'eraper de Suite mis sans voiler les huniers et les peroquetr[page torn] Et fait Route pour sortir du port a 8 heure nous avons Etaient tous Souvoile a la Reservee du V[aiss]eau le Rayo Espagnole une de fregattes quelle Chassé En avant a tire sa bordee sans pouv[page torn] distinguer le Resultat de cette famée precipitée. De 8 heure a midiy a 8 heure ½ nous avons Été endessous ?en ?debord De porquer, le pilot Du pay nous a lessé l'air orageu Couver de tous Cotés le vent au Sud frais nous avons vire le perroquets singlant a l'ouest du Compas la mer Etait Calme le General n'ayant Signaleés aucun ordre de Bataille a 9 heure 1/2 dans le moment d'un grain de pluies le vent ?pesible le General du manoir a fait Signal d'un homme à la mer il afais tous le mouvement nécéssaire tous a Été Envain l'homme à Eté perdu Comme nous Étions par les eau du General nous avons apercu un Chapeau et Etoit a presumer qui Etait au malheureux, l'amiral a Signaler a la meme heure atoute l'armée de prendre un Ris a Chaque hunier Ensuite Raliement absolu a 10 heure le Rayo paressait sortir de la bay la pte du Canal nous Restoit au SE1/4 E distant deux laix environ a 11h le vent à passéi au SO par un Grains pluyer et vent nous avons pris EnCore deux Ris aux huniers Signalé par le General Du 28 a Midy au 29 a Midy an 14 Vendemiare De midy a 6 heure Une Courvette americaine nous a passé Bien pres apparence qu'elle avoit Été visité par les observateurs a 1 h[eu]re le General à signalé de forcer de voiles de Raliement General et de marcher Sur trois Colonnes a 2 heure le Colonne ont Été formée le temps s'est Eclairci le vent a passé a l'Oues maniable nous avons largues Deux Bris a 3 heure le General à signalé de virer de bord vent arrire tous a la fois, et tenir le vent les Genereaux ont pris le Centre des ? Colonnes a 3h[eure]1/2 Releve la terre de Cadiz a l'E ¼ dE Distant 5 leiex Environ, nous avion quatre Batiments Ennemis alarière vers le SO, on afais pluseur Signeaux au soleil Couché l'air venteux l'horizon Brumeuze De 6 heure a minuit a 8h1/2 dusoir après avoir vu faire divers signaux àl'Ennemi avons laissez arrivé pour former la ligne de bataille et avons Eté occupé Toute la nuit à cette manoeuvre laroute pendant le quart avalu le SO1/4 S 3o O sur laquelle avons Couru 11 1/4m Milles, Et le vent à la partie d'ONO petit frais 29o au 30 De minuit a 4 heure l'ennemis nous restoit au vent il a fais pluseu Signaux, nous Etions bien Rulée mes sans ordre sur plusier fois En panne sous la voilure des hunier voile d'atay l'e foch [fait], plusieur V[aiss]eux nous ont passé pres nous fairearrère ?Ruperri qui ne Gouveron pas ?Guarerros le vent petit du ONO temps clair. Suite du 28 au 29 Vendemiaire an 14 Le Restant de la nuit le vent petit temps Calme sans les huniers et la peroquet L'ennemi fais toujours quelque Signeaux. de 4 h a 8h dumatin a 6h[eure]1/2 avons relevé la terre supposé etre celle de Cadiz à SE et a toute vue au lever du Soleil nous avons apercu 31 voilles tant gros que petit a 7 heure le General a fait Signal de former en ligne de Bataille naturelle l'ennemis venaient sur nous indepandant le vent d'ouet petit a peinne nous pouvira Gourné De 8 heures a Midy fait ?Deffle Route pour nous metre en ligne car en panne nous pouvions Gouverner De 8heures a Midy a 9 heure ordre a l'armée de virer de bor ?lauf par ?l'auf tous ala fois, après nous pouvions Gouverner l'enemis venoient toujours sur nous vent arrière mais sans ordre, [illegible crossed out] a Cause du Calme Cependant il nous approchent toujours, l'ennemi s'est Devisé en deux Colonnes, une venait prendre la Queues de notre armée et l'autre la tette, le vent toujours petit sans pouvoir nous metre En ordre Du 29 au 30 Vendemiaire De midi a 6h a 1 heure le Centre de l'armée a Commancé le feux le temps couver tout autour de l'horizon le Vent toujours pas Régle Babord meme sous les hunier[page torn] a 1h[eure] ¼ la tette a Comancé mais nous Étions trop Eloignes, a 1h[eure] ½ toute l'armée a fait feux a la meme heure nous avons Comancé apercu un Veasseux a trois ponts dematé du ?mat d'hune du peroque de fougier, un moment après d'eaux V[aisseau] a trois ponts on de mattu de tous mats le Bu[centau]re a demate du Grand mat et du mat de peroque de fouge a 2h ½ le General demanoir a fait signal aux V[aisse]aus de la tette de virer de bord toute l'armee Englaise ? donne au Centre il y avais si peu de vent quand virant de bord nous nous sommes a la D[page torn] avec l'intrepide mais Rien ne Etais En depannage que la pat de bord de beaupres a trois heurs la Trenité a dematu de tous mats le B[ucentau]re a vu subis du meme sort Suite du 29 au 30 vendemiaire Et suite de midy a 6h a 3 heure heure (sic) le mat de notre peroquet devint Coupe a 4 heure nous avons racommence le feux a 41/2 heure un V[aiss]eu apris feux ne ?sachant de quelle nation nous lavons fait anglais Deux v[aiss]eu anglais Ses Sont aborde en meme temps, nous nous ?Bations sans ordre le deux v[aiss]eux dit aborde ont Etoient dematé au meme moment de l'abordage nous avons Réconnu 15V[aiss]eu de demates Compris un Brulé a 5 heure le Combat a finis, a 5 heure ½ le soleil couche Relévé le Cape Trafelgare a l'Est 4o S Distant 6 a 7 leiu, a 6heure Du Soir le Vaisseau qui Brulé à terminé l'Explosion le General deManoir nous a signalait de suivre sa manoeuvre trébord ?amasse sous la voilure des huniers les basse voile et le Grand peroque temps Bien couvert le vent a l'ouest De 6h[eure] a minuit Tribord arriere sous toute voile le vent a Cours varians vers le SO petit, Belle mer temps Couver mais l'air beau a minui viré de bord vent devans par ordre du General dumanoir qui nous avoient fait passé lavoir d'imiter se manoeuvre, nous etion quatre V[aiss]eux separé de l'armée De minuit à 4 heure après avoir viré de bord, avont ?amurré la grande voile, bordé perroquets et Cacatoix pour nous aproché de general a 1h ½ avont cargué, elerer, perroquets Et ?Cacatoix et la grand voile sur des Cargues ET/puis [nousavons?] dome [douze?] maintenu avec cette voilure aux aproche du general le tems couvert et el vent joly frais Suite 29 au 30 Vendemiaire De 4 heure du matin a 8 a 6 heure du matin Releve la terre du Cap Espartel la plus sud au ESE5o distant 10 l le vent decide au SSO et SO joly frai temps couver a 6 heure du matin pris deux ris au petit hunier a Cause que le mat d'hune Etoit avarié [?avancé] a 6 heure ½ apercu De la tette du mat 27 voilles ver le NE et une ver le SO pris deux ris auperoque de fougue signal toutes les avances que nous avions fait au Combas du General le temps pluvier toujours comme le vent frais a la meme portee Babord [illegible] voiles hunier de 8 heure a midy le tems à la pluie, avec le vent au SSO a 10 heure avons été a poupe du formidable et nous avons Conservé Ce poste pendant tous le quart avec nos basses voiles et huniers a 11 /12 nous avons pris un riz Par ordre du general, dans lemême temps il a signalé le Nor[d?page torn] nous avons presume qu'il voulait dire de faire route au nord Excerpt 7-8brumaire de 8h a midi a 8h ¾ le general ayant cassé sa vergue du grand hunier nous a obligé de diminuer de voile, le tems couvert et orgeux, de grains par intervalle Par cette manoeuvre nous avons passer a poupe du Geneal lequel nous a demandé si nous avions un pilote de la Coste Occidentalle ce que nous n'avions pas… Du 8 au 9 Brumaire an 14 de Midy a 6 heure a 1 heure le Ducquetrouin a signalé une voile au NNE dessuite le General nous afais signal de le chasser, mis toute reste dehors et fait Route sur lui a 2 heure nous avons été [?] a portée de la vais[seau], mis en panne sur babord Et lavon allé d'EN faire autant mis layalle a la mer et lavons visité, ledit s'appelle le ondermerning Cap[itai]ne Robert Graf du port de 120 Titai venant de sud en en prusse, menquan depuis 7 semenes, alland a la Guadeloupe [illeg] chargé de charbon, de terre l[?iqueuese] et du Cte. marchan il nous a dit avoir rencontré sur le Cap finistère 3 V[aiss]eaux des ligne anglais et un brig allant vers le SO depuis 15 jours, temps brumeux sous toute voile pour suivre le General, a 6 heure Rendu compte de […] Du 11 au 12 Brumaire an 14 de midi a 6h A midy et demi le general nous a donné ordre de chasser un Batiment qui nous restait a l'ESE qui Cetait une fregatte de suite nous avons force de voiles, et lavant Chassée Elle a restee ½ heure a travers en faisant de signaux a 1h Elle a laissé arrive et allait vent arrière Comme nous; a 2h[eure]1/2 le general nous a demandé par un signal si nous gagnions le batiment, nous lui avont repondu qu'oui un instant après avons decouvert une autre voile à l'ENE qui allait tribord arrière,a 3h[eure]1/2 le general nous a signale ralliement general; dans le même tems avons diminuer de voiles et Coté pr aCoster le general, même moment où on a apercu la terre du Cap Finistere au SSE, a 4h le genera nous a signalé de passer a poupe a 5h avons eté a poupe du general, lequel nous adit qu'il avait conclu d'aller reconnaitre le Cap Priol que pendant la nuit arriverait d'1/4 de bien faire attention à sa Manoeuvre et de le suivre et obser[ver] la route des V[aiss]aux qui nous suivait. De 6 heure a minuit Donné Connaissance ay Ducquetrouin de l'ordre qui nous avoit donné le General de Bouche sidessu nous avons a la nuit aussi Reconnu que le Batiment apercu dans le jour etoient ennemi par leurs Signeaux qui s'est sont fait a tout moments du quart, il sest sont meme ?matière au notre d el[illegible] ce que nous pouvions distinguer par la clarté de la lune a 10 heure nous avons change de Route sous vent toute voile babord arriere, l'ennemis nous poursui toujours de tres prêt, temps couver et pluviers De minuit a 4h[eure] De minuit a 2h[eure] avons entendu divers Coups de Canon des ennemis qui nous poursuivaient, pendant tout le quart petite pleuie et petit vent d'Ouest Etant toujours prés du general en forçant de voiles De 4h[eure] a 8h[eure] Ballétter hauter et Basser sur tribor le vent au SO joly frais pluies pendant tous le quart Belle mer Route a l'ENE du Compas, voyant que nous mouillion moins que nos conserves avons fait passer tout l'equipage a arriere, pour voir sil y avoit quelque derangement a la Rimage Suite du 11 au 12 Brumaire de 8h a midy Le Tems Brumeuze, Belle mer, petiti vent du SO à 9 ½ la [illegible] s'est Eclaircy. dans la partie du OSO; moment où nous avons decouvert quatre voiles; a 10h[eure] on en a decouvert cinq aussi dans le SO et [?] 11 heure 8 dans le même aire de vent, nous avons toujours continuer notre route au forcaut de voiles Du 12 au 13 Brumaire an 13 L'ennemis paréssant pas nous aproches de beaucoup ils etoient aux nombre de 6 voiles nous Etions sous la voilure a nous Conformera celle du General Car' il marchoit le moins de tous nous le temps Couver l'air beau belle mer a 4 ½ le G[eneral] nous a fait signale de passer a poupe de lui, il nous a Communique ses intentions, surtout [?] si l'ennemis nous attaque dans a nuit de nous Batre en Retrete et le bons marchiere presenter le travers nous et le ducquetrouin par fois pour faciliter le mouvement [?] il nous a dit aussi que dans la nuit nous faisions Route a l'ENE du Compas et de communiquer ce qu'il et dit si dessu au Ducquetrouin il a dit plusieurs autres Choses, mais pas Consequantes de 6h a minuit Tems clair d elune, belle mer, et petite Brise de SSO, toutes voiles dehors excepté la grand voile; l'ennemi Etant toujours a la vue derriere nous De minuit a 4 heure Un Batiment de la flote Enemis paressoit nous avoir approché, les autres ne paressoient pas a toute de la nuit le temps couver au tour de l'horizon l'air beau le vent au SSE petit, sous toutes voile a la Reserve de la grande voile tribord arriere faisant porter Grand Pluies, la mer tres Belle. Suite du 12 au 13 Brumaire de 4h a 8h le tems clair, petite Brise de SSE Presque calme, a 5h avons fait le Branlebas de Combat, à 61/2heure le general a signalé de se preparer, lors qu'une fregate Ennemie avait deja tire divers Coups de Canons sur nous a 7 1/2 le general et notre Commandant Villesgris ont Couche d'attaquer lennemie dans le même tems la general a signalé au ducquaytroin de virer de Bord vent devent ce qu'on a annulé a 8 h[eure] avons Commencer le combat c'est adire une fregatte avanguard de notre ennemis nous tiraillet par intervals le V[aiss]eu le Ducquetrouin le pris a partie lui a tire quelques Coups de Canon de Retrete la flote nous aproche peu a peu, mais sans ordre De 8 heure a midy Les amarers [?] a tribord l'ennemis aussi, sans tuotes voiles levent au SE petit temps couver et frais a 8 heure et 35o nous avons commence le feux, par les Canons de Retretée, ainsi que le formidable a 9 heures ½ a viré le V[aisse]au le Scipion par ordre du General de prendre la quée et Marcher En Echiquier et donc nous avons été dessuite a 10 heure Decouvria une voile vers le nord, nous en avions 8 a notre vue 5 tres pres et trois tres aloignée en 2me fregatte nous est venue tirailler par l'arrie l'ancre de tribord une et l'autre exactement de l'arrière nous prenions de ?couter de temps en temps pour la tirer des la Baterries, a 10 heure signal aux quatre V[aiss]eux de Repeter les signaux Les V[aiss]eux Ennemis nous aproché ils Etoient a portée de Deux Coups de Canons, a 11 heure ordre a la flote de tenir le vent tribord arriere Comme nous Etions les Echiquiers nous avons été Desuite en ligne de bataille, l'ennemis etoit Presque a la portée a 11 heure ½ signal de virer la ligne à toute l'armée Du 13 Brumaire au 14 suivans an 14 a midy Signal de virer de bord par la Contre marche, les v[aisse]aux ennemis ont commencé le feux quoique les frégattes n'avoient jamais Discontinué, annulet le Signal de virer par la Contre Marché a 1 heure [a] viré de bord toute l'armée vent devant, Les Ennemis ont virés ensuite a 1h1/2 on Reçu un V[aiss]eau de Renfort ils Etoient parconSequent 4 V[aiss]eaux Et quatre fregattes Dou elle nous Bataillest sous le vent et les V[aiss]eau au vent, les feux etait tres violant a 2 heure le V[aiss]eau le Scipion a demater de sont Grand mat d'hune a 2 heure1/4 le formidable S'est Rendu a 2 heure1/2 le Scipion en a fait de même, a 3 heure nous et le ducquetroions a Eté la cloture les feux a ete tres Rapide de deux cotes nous etions tous d'egréer Enfin mats maneuvres ne tenoient que par le beau temps et la mer Calme.	fr
3680-pdf	## Cascade Trail Uchafbwyntiau: Yr Afon Raeadraidd. DISGRIFIAD: Croeswch y bont a dilynwch y nodwyr ## Llwybr Y Chwarelwr Quarryman'S Trail Uchafbwyntiau: Rhaeadrau Ac Olion Y Chwarel. Mp3 Peidiwch ã mynd i mewn i unrhyw weithfeydd neu adeiladau mwyngloddio os gwelwch yn dda efallai eu bod yn anniogel. ## Cyswllt Gorsafoedd Stations Link Please do not enter any mine workings or buildings as they may be unsafe. ## Uchafbwyntiau: Golygfeydd O'R Mynyddoedd O Amgylch A Trenau Stêm. DISGRIFIAD: Dilynwch y nodwyr llwybrau coch rhwng gorsafoedd Nant Gwernol ac Abergynolwyn. Byddwch yn wyliadwrus o drenau wrth groesi'r groesfan wastad hanner fordd ar hyd y llwybr. Atgynhyrchir y map hwn o ddeunydd yr Arolwg Ordnans gyda chaniatâd Arolwg Ordnans ar ran Rheolwr Llyfrfa Ei Mawrhydi Hawlfraint y Goron. © Hawlfraint y Goron a hawliau cronfa ddata 2015 Arolwg Ordnans 100019741. 2015 This map is based upon Ordnance Survey material with the permission of Ordnance Survey on behalf of the controller of Her Majesty's Stationary Ofce © Crown copyright and database rights 2015 Ordnance Survey 100019741. 2015 lle picnic picnic area gwybodaeth information parking parcio toiledau toilets Moderate Distance: 1 miles/1.6km Time: 1 hour Climb: 100ft/30m Cymedrol Pellter: 1 milltir/1.6km Amser: 1 awr Dringo: 100tr/30m ## Highlights: The Cascading River. DESCRIPTION: From Nant Gwernol station cross the bridge and follow the yellow waymarkers upstream. Moderate with long climbs and steep descents. Strenuous Distance: 4 miles/6.4km Time: 2.5 hours Climb: 800ft/250m Anodd Pellter: 4 milltir/6.4km Amser: 2.5 awr Dringo: 800tr/250m ## Highlights: Waterfalls And Quarry Remains. DESCRIPTION: From Nant Gwernol station cross the bridge and follow the blue waymarkers upstream. Strenuous with long climbs and steep descents. Lawrlwythwch ein hap fôn clyfar PlaceTales Cymru\|Wales NRW di-dâl i glywed hanes teuluoedd chwarel Abergynolwyn. Download our free PlaceTales Cymru\|Wales NRW Smartphone app to hear the story of Abergynolwyn's quarry families. Moderate Distance: 1 mile/1.6km Time: ¾ hour Climb: 100ft/30m Cymedrol Pellter: 1 milltir/1.6km Amser: ¾ awr Dringo: 100tr/30m ## Highlights: Mountain Views And Steam Trains. DESCRIPTION: Follow the red waymarkers between Nant Gwernol and Abergynolwyn stations. Please be aware of trains when walking over the level crossing half way along the trail. caf café Pyst Marcio Llwybr Cywedol MP3 MP3 Audio Trail marker posts 1 5	en
3692-pdf	In the March Digest: - Survey of Apprenticeship Take-up in local authorities 2004 - Survey of People Management in local government 2005 - Hours and Holiday 2005 - Budget 2005: Labour Market implications Local Government Employment Digest provides information on labour market and pay and conditions issues, as well as brief negotiating reports across all local government groups, and survey results. In addition, it looks at all the latest statistics on pay and provides a round up of the state of the economy. PLEASE NOTE: From April 2005, the Digest will become an online-only publication. In order to receive a free electronic copy, please complete the sign up form at the weblink below: http://www.lg-employers.gov.uk/alert/php/action/signup_controller.php ## Contents Summary Statistics 3 ## 1 Features 1.1 Economy 6 1.2 Survey of Apprenticeship Take-up in Local Authorities 2004 8 1.3 Survey of People Management in local government 2005 12 1.4 Hours and Holiday 2005 17 1.5 Press Summary 21 1.6 Budget 2005: Labour market implications 22 ## 2 Pay And Earnings \| \| \| \|--------------------------------\|-----\| \| 2.1 Pay Trends \| 25 \| \| \| \| \| 2.3 Recent Pay Settlements \| 28 \| \| 2.4 \| \| \| \| \| \| Market Pay Service – Extract 5 \| 29 \| ## 3 Prices 3.1 Retail Price Index 35 3.2 House Price Indices 36 ## 4 Labour Market \| \| \| 4.1 Unemployment \| 37 \| \|-----\|-----\|----------------------\|-------\| \| \| \| 4.2 Employment \| 39 \| ## 5 Local Government \| \| \| 5.1 Local Government Datafile \| 40 \| \|-----\|-----\|---------------------------------------------\|-------\| \| \| \| 5.2 Employee Jobs in Local Government \| \| \| 41 \| \| \| \| \| \| \| 5.3 Current Position of Negotiating Groups \| 44 \| ## 6 Publications \| \| \| \| 6.1 Recent and Forthcoming Publications \| 47 \| \|----\|-----\|-------------------------------------------\|---------------------------------------------\|-------\| \| \| \| 6.2 Research & Intelligence Publications \| 48 \| \| One copy is circulated free to all local authorities in England and Wales each month. Additional copies are available on subscription to local authorities, other organisations and individuals. Back copies are available from Roopal Shah at The Employers' Organisation. Please note: authoritative information and advice on national negotiations are provided by separate pay circulars, employer information, bulletins, etc. ## Summary Statistics March 2005 Average Earnings Index (Base Rate 2000=100) Index Headline Rate* \| \| Jan \| Dec \| Nov \| Jan \| Dec \| Nov \| \|----------------------------------------------------------\|---------------------\|-------------\|--------\|--------\|--------\|--------\| \| Wh. Econ. 122.8 118.6 118.9 \| 4.4 \| 4.4 \| 4.2 \| \| \| \| \| Priv. Sec. \| \| \| \| \| \| \| \| 122.9 117.7 118.1 \| 4.4 \| 4.3 \| 4.1 \| \| \| \| \| Pub. Sec. \| \| \| \| \| \| \| \| 122.7 122.2 121.9 \| 4.6 \| 4.7 \| 4.7 \| \| \| \| \| Manuf. \| 117.6 117.7 116.6 \| 3.2 \| 3.3 \| 3.1 \| \| \| \| Services \| \| \| \| \| \| \| \| 124.1 117.7 119.2 \| 4.4 \| 4.5 \| 4.3 \| \| \| \| \| Next statistics: 13 \| \| \| \| \| \| \| \| th \| \| \| \| \| \| \| \| April 2005. \| \| \| \| \| \| \| \| Average of seasonally adjusted series over latest three \| \| \| \| \| \| \| \| months. \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| PRICES \| \| \| \| \| \| \| \| \| All items \| Underlying \| \| \| \| \| \| \| Feb \| Jan \| Dec \| Feb \| Jan \| Dec \| \| RPI \| 3.2 \| 3.2 \| 3.5 \| 2.1 \| 2.1 \| 2.5 \| \| TPI \| 3.1 \| 3.1 \| 3.5 \| \| \| \| \| CPI \| 1.6 \| 1.6 \| 1.6 \| \| \| \| Next statistics: 19 th April 2005. * Excludes mortgage interest. LABOUR MARKET (thousands) Nov-Jan Aug-Oct May-Jul \| Unempl. UK \| 1,410 \| 1,388 \| 1,418 \| \|--------------------\|----------\|----------\|----------\| \| Unempl. GB* \| 1,376 \| 1,352 \| 1,378 \| \| Total in empl. UK \| 28,567 \| 28,440 \| 28,385 \| \| Total in empl. GB* \| 27,818 \| 27,700 \| 27,656 \| \| \| \| \| \| \| \| Feb \| Jan \| Dec \| \| Claimant Count UK \| 813.3 \| 814.0 \| 824.2 \| \| Claimant Count GB \| 784.3 \| 784.3 \| 797.2 \| * Labour Force Survey figures have been re-weighted for individual regions to take account of the 2001 Census results. AEI FORECASTS Whole economy Range Mean 2005 (I) 3.6% - 5.0% 4.3% 2005 (II) 4.0% - 4.9% 4.5% Based on 10 forecasts, source IRS. RPI FORECASTS (All items) Quarter Range Mean 2005 (I) 3.1% - 3.5% 3.3% 2005 (II) 3.0% - 3.5% 3.2% Based on 10 forecasts, source IRS. SETTLEMENTS IRS 3.3% (Whole economy median over the three months to January 2005) IDS 3.3% (Whole economy median over three months to January 2005) EEF 2.7% (Manu) (Mean in the three months to January 2005) LRD 3.5% (Whole economy median over three months to January 2005) * The CBI no longer publishes pay figures. We now quote the Engineering Employers Federation (EEF) quarterly figures for the manufacturing sector. Total Employee jobs in Local Government* - June 2004 England Wales \| Education – Teachers \| 515,930 \| 37,313 \| \|-------------------------\|--------------------\|-----------\| \| Education –Others \| 726,615 \| 47,611 \| \| Social Services \| 288,006 \| 27,724 \| \| Services Direct to the \| \| \| \| Public \| \| \| \| 412,971 \| 39,543 \| \| \| Corporate Functions \| 176,652 \| 11,884 \| \| Total \| 2,120,174 164,074 \| \| Source: Employers' Organisation Local Government Employment Survey NEGOTIATIONS – CURRENT POSITIONS Group: Teachers in Residential Establishments (E&W) Settlement: The JNC agreed that the Main and Upper Pay Scales for qualified teachers in residential social services establishments should be subject to a general increase of 2.5% from 1 April 2004, 2.5% from 1 April 2005, and a further 0.75% from 1 September 2005 to 31 August 2006. All allowances applicable to teachers in social services establishments and Heads, deputies and Assistant heads in residential special schools were increased by the same percentage amounts as were the salaries. CURRENT PAY MOVEMENTS - Ibstock Building Products- 3.25% basic pay rise (1,400 hourly paid, 400 staff). - S4C- 3.4% basic pay increase, subject to minimum rise of £500 a year (210). - Tandridge District Council- 3.1% increase (340). Note: BCC data is updated quarterly. For further information please contact: Cheryl Lloyd – Tel: 020 7296 6656 Pay Settlements, Movements & Negotiations The British Chambers of Commerce Quarterly Economic Survey- Quarter 3, 2004 ƒ Exports: The export market is measured by volume of sales and volume of orders. After a strong showing in quarter 1 the manufacturing sector's balance of exports showed mixed movements in quarter 2, but remained relatively strong. However in quarter 3 the proportion of manufacturing's export sales fell. Export orders fell more sharply, levelling order levels to their lowest since quarter 3 2003. The services sector showed mixed results with export sales rising slightly and orders falling slightly. ƒ Investment: Investment intentions are measured by investment in plant & machinery and investment in training. There was a slight dip in the balance of manufacturing and services firms that intend to invest in Q2 compared with Q1. In quarter 3 this balance turned with a doubling in the proportion of firms planning to increase investment in plant and machinery. However, the proportion of firms planning to invest in training declined slightly. ƒ Business confidence: Business confidence is a key reflector of the economic climate. Turnover confidence and profitability confidence are the two yardsticks for measuring business confidence. Both manufacturing and services saw falls in turnover confidence and profitably confidence in the second quarter while falls for services were negligible. In quarter 3 turnover confidence in manufacturing and services fell further. Turnover confidence for manufacturing was at its lowest since quarter 1, 2003. Abbreviations Wh. Econ. Priv. Sec. Pub. Sec. Manuf. AEI IRS IDS EO CBI EEF LRD RPI TPI S.adjusted CPI LGS Whole economy Private sector Public sector Manufacturing Average Earnings Index Industrial Relations Services Incomes Data Services Ltd Employers' Organisation Confederation of British Industry Engineering Employers Federation Labour Research Department Retail Prices Index Tax and Price Index Seasonally adjusted Consumer Price Index Local Government Services ## Glossary Average Earnings Index The Average Earnings Index is calculated from a monthly survey of some 9 million employees across the economy. The Survey obtains details of gross wages and salaries paid to employees and so increases in the average earnings index include increases in bonus payments, payments by results, etc. as well as increases in basic pay. 'Seasonally adjusted' average earnings adjust actual monthly earnings to eliminate the effects of annual peaks and troughs, such as traditional periods of high overtime. The headline rate of increase in average earnings, which is given in this bulletin, is the average of the seasonally adjusted increases over the latest three months. Retail Price Index The Retail Prices Index (RPI) measures the average change from month to month in the prices of goods and services purchased by the average UK household. (For further details see the Local Government Employment Digest, July 1992). Consumer Price Index CPI is based on an internationally agreed measure of inflation and contains a different basket of goods to RPI (X). The main difference is CPI excludes the costs of owner-occupied housing (building insurance, council tax) and house prices. The CPI replaces the underlying rate of inflation (RPIX) as inflationary measure to be targeted by the Bank of England. Tax and Price Index The Tax and Price Index measures the change in gross income needed for taxpayers to maintain their purchasing power. It thus allows for changes to direct taxes and employees' National Insurance Contributions, as well as changes in the Retail Prices Index. ILO Unemployment ILO unemployment is based on the international definition of unemployment, which counts as unemployed all those without works, who is seeking work and are available to start work. Claimant Count The claimant count measure of unemployment is an administrative count of those eligible to receive unemployment-related benefits. utility bills whilst global competition has prevented consumer prices rising in the shortterm. OPEC's attempts to increase the production of oil by agreeing to an increase of 500,000 barrels per day appear to have had no effect on reducing the price of oil. It appears that increases in production are being more than matched by increases in demand. Cold weather across the Northern hemisphere and robust economic growth in China and the US have pushed up demand. The impact of the $50 barrel of oil has hit capital and intermediate goods producers who have passed on the costs to producers of consumer goods who will have to eventually pass on the costs to consumers. In addition to increased utility bills, British Airways announced a fuel surcharge last week of £26 on long-haul flights and £14 on short-haul flights. It remains to be seen if oil prices will drop before manufacturers will raise their prices. Inflationary pressures - from labour A longer-term threat to inflation could come from the continuing tightness in the labour market. Levels of employment are at a 34 year high (28.52 million) and the CBI believes that attempts to raise employment further might create upward pressure on earnings growth due to an insufficient supply of labour. The CBI also refer to the continuing skills gap in the economy stating that unfilled job vacancies have increased from 606,500 in January 2004 to 652,300 in January 2005. The releasing of new workers into the labour market (either through greater migration and/or by re-employing those currently not working) may lessen the pressure here but the CBI believes that skill shortages will become more acute over the next two years. Economy Interest rates have remained at 4.75% following the MPC meeting on 9 th/10 th March and it seems more likely that any rate rise will occur after rather than before the election. The CBI believes that there is a growing inflationary pressure from the high price of oil and an ever-tightening labour market. Housing market data has failed to lift the gloom. The impact of the Budget on the labour markets is assessed in a separate article in Features 1.6. Interest rates - Remain at 4.75% The decision to hold interest rates at 4.75% was favoured by seven of the nine members of the Monetary Policy Committee (MPC). Two members voted for a rise of 0.25% in the base rate. The MPC appear to be unsure of the strength of the economy and in particular the level of consumer spending. Mervyn King (Governor) has acknowledged that the committee are nervous about consumer spending but retail data seems to be providing little clarity. Consumer spending in January had grown by £2.3bn and credit, overdraft, card purchases and bank loans grew by 46% in January to a seven month high of £2.29bn. However, more recent data from the British Retail Consortium would appear to show that the rate of growth in consumer spending is tailing off. Moreover, the CBI believes that the continuing high cost of oil has yet to be passed onto the prices of consumer goods. If and when these costs are transferred, consumer spending is likely to fall anyway. Rachel Lomax of the MPC has hinted that the likelihood of an interest rate rise before the election was slim. Inflationary pressures - from oil The CBI are claiming that inflationary pressures are building and they predict that the CPI will rise to 1.8% by the end of 2005 and then go beyond 2% by the second half of 2006. The source of this belief is the persistently high price of crude oil. The price of Brent crude is 51% higher in February 2005 than in January 2004 and ONS data has shown that producer input costs have risen by 9.5% over the year to January. So far, consumers have only seen the impact of this at the petrol pump and through increased with the BBA reporting a 43% drop to 31,285 from 54,443 a year earlier, the biggest drop on record. Perhaps fuelling this drop in prices is a growing supply of housing due to the rising number of unsold properties. The Royal Institute of Chartered Surveyors state that the number of unsold properties is at it's highest since March 2003. Both the National Association of Estate Agents and the investment bank Lehman Brothers have argued that they believe the housing market is currently overvalued between 10% & 20%. The raising of stamp duty from £60,000 to £120,000 is likely to have a limited impact on the housing market but should enable those outside the South of England to make their first purchase more easily. Nick Shasha Housing - slump continues The Nationwide have put a brave face on their recent housing data that shows that annual housing price inflation has fallen back into the single-digits for the first time in four years. (falling from 10.2% to 7.9%). Picked up more by the media has been the monthly price change, (which is inherently more volatile) which has moved from a growth of 0.5% in February to a decline of 0.6% in March, the largest monthly decline in the Nationwide index since 1995. The Nationwide group economist Alex Bannister has responded by saying that "the data confirms our view that the market is experiencing a soft landing." Other sources of data convey a more negative picture. Both the Bank of England and the British Bankers Association (BBA) have reported large falls in mortgage approvals 33.0% (1,745 Apprentices) of the total (grossed) number of Apprentices were engaged with metropolitan districts, compared with 26.9% of the total local government workforce. Local education authorities, shire counties and unitaries each accounted for around 15% of the total number of Apprentices. Apprentices were concentrated in authorities in the North East, North West and Yorkshire and Humberside, accounting for 49.4% of the total Apprentices, compared with 33% of the total local government workforce. Distribution of Apprentices Authorities engaged almost double the amount of Apprentices (64.7%) than Advanced Apprentices (35.3%). Almost one-fifth of Apprentices were engaged in direct services. Around 17% were engaged in Education and across a number of departments. The Business and Administration framework was the most widely adopted (46.0%), followed by Construction (20.9%) and Early Years and Education (11.4 %) Less than half of the 160 authorities currently engaged with Apprentices were approved training providers/centres for Apprentices. The proportion was higher for local education authorities (87.0%) and London Boroughs (66.7%). Shire districts (13.8%) were the only authority type to fall below the all respondent average. Characteristics of Apprentices Just under two-thirds of the Apprentices for whom information on age was given had Survey of Apprenticeship Take-up in Local Authorities 2004 The Research and Intelligence (R&I) section of the Employers' Organisation for local government, in partnership with the Department for Education and Skills (DfES), conducted the Survey of Apprenticeship Take-up in Local Authorities 2004. It was a followup to the 2000 survey and was designed to establish how local government's involvement in the Apprenticeship scheme has progressed. Background The need to recruit and train young people within local government, especially in hard-tofill occupational areas and against the background of an ageing workforce, is a main theme within the Local Government Pay and Workforce Strategy. The survey was conducted between October and December 2004 with 387 local authorities, 31 combined fire authorities and 149 local education authorities, which were surveyed separately to their corporate counterparts. Responses were obtained from 52.5% of local authorities, 34% of local education authorities and 32.3% of combined fire authorities. Throughout the survey the term Apprentices has been used both as a reference to apprentices in general and as the Level 2 Apprenticeship. For clarification Table 1 should be used. Key Findings Authorities Involvement in the Apprenticeship Programme Over half of respondents had at least one Apprentice (60.6%). A further 21.6% had taken on Apprentices in the past but had no apprentices at the time of the survey, and 17.8% have never had any Apprentices. All responding metropolitan districts were currently engaged with Apprentices. Conversely, less than half of fire authorities (40.0%) were or had been involved. Number of Apprentices In Winter 2004, just under 5300 Apprentices were engaged with local authorities in England. The number of Apprentices in local government has risen by 22.2% since winter 2000. started their Apprenticeship when they were 16 or 17 (64.8%). Over one sixth of apprentices were aged 18 (18.0%) and onetenth were aged 20 or more (9.9%) when they began their Apprenticeship. Just over half of Apprentices were male (52.7%). The proportion was significantly larger for fire authorities (80.0%) but much smaller for local education authorities (22.7%). 11.3% of Apprentices were from minority ethnic origins. Of the ethnic minorities, Asian or Asian British accounted for the highest proportion (5.2%). London boroughs had higher proportions, with ethnic minorities accounting for 57.9% of Apprentices engaged within London boroughs. 2.5% of all apprentices engaged with local authorities had some form of long-term illness, health problem or disability, which limits their work or daily activities. Attitudes towards the Apprenticeship Programme The reason authorities cited as being the most important for their decision to implement Apprentices was the "opportunity for young people to achieve recognised national qualifications". This was followed closely by the "opportunity to provide young people with the appropriate range of skills". "Opportunity to access government funding" was given as the least important. The most significant perceived benefit of the Apprenticeship initiative was "to be recognised as a responsible employer taking action for the future". All authorities, whatever their current involvement with the scheme, considered "bureaucracy/paperwork" and "the amount of time needed to implement and deliver the programme" as the major drawbacks to the scheme. Future Involvement with Apprentices The future of the Apprenticeship initiative in local government looks very positive. Only 9 authorities (3.6% of responding authorities) indicated a possible decrease in numbers and 134 (53.6% of responding authorities) forecasted numbers increasing. This survey highlights both the real and potential benefits of using Apprenticeships as a tool for recruiting and developing younger workers. An ageing workforce (only 8% are aged 24 or under) shows the increasing needs of the sector to promote itself as an employer of choice. Whilst the survey shows strong take-up in the traditional Apprenticeship areas of Business Administration and Construction (which account for 70.6% of all local authority Apprentices) an increasingly wide choice of frameworks are becoming available. New opportunities range from generic frameworks such as the Advanced Apprenticeship in Management, to the development of new frameworks to cover specific skills shortage areas such as Public Protection (involving environmental health and trading standards). Certainly the creation and application of Adult Apprenticeships, aimed at those aged 22 or over, would offer a new development opportunity to large parts of the local government workforce. Authorities that use Apprentices find them advantageous and see their involvement increasing. The role of Apprentices in a wider capacity-building strategy can be found in one typical comment: "They have proved a very beneficial method of introducing young people into the organisation who have subsequently developed and moved into more senior and specialist roles e.g. planners, land charges officers and customer services supervisors." Authorities also see benefits of Apprentices in promoting diversity, succession planning and talent management. This survey shows what is being achieved, and highlights the benefits of engaging an Apprentice. It should serve as a basis for further Apprenticeship involvement over the next few years. A copy of the executive summary will be sent to all local authorities in England For further information please contact: Martin Stein at the Employers' Organisation, Layden House, 76-86 Turnmill Street, London EC1M 5LG, Tel: 020 7296 6676; Fax: 020 7296 6660; Email: martin.stein@lg-employers.gov.uk; or Ben Hickman at the Employers' Organisation, Layden House, 76-86 Turnmill Street, London EC1M 5LG,, Tel: 020 7296 6171; Fax: 020 7296 6660; Email: ben.hickman@lg-employers.gov.uk. Apprenticeships Young Apprentices 14-16 frameworks currently under development Apprentices 16-18 Level 2 frameworks Advanced Apprentices 18-25 Level 3 frameworks Adult Apprentices 22+ frameworks currently under development Survey of Apprenticeship Take-up in Local Authorities 2004: Key Findings Involvement with Apprentices Authorities that are training (Proportion of Respondents) (Proportion of Respondents) Currently Involved 60.6% Proportion with Apprentices 41.3 Involved in the Past 21.6% 65.7 Never been Involved 17.8% Proportion of Total Apprentices engaged with these Authorities Number of Apprentices (Grossed) Intentions Regarding Future Numbers Apprentices 3426 (Proportion of Respondents) Advanced Apprentices 1871 Increasing 53.8 Total Apprentices 5297 Decreasing 3.6% Staying the Same 42.6 Involvement by Function (Top five (Proportion of Apprentices) Reasons for Implementation Direct Services/DLO/DSO 19.4% Most Important Across a Number of Departments 17.3% Education 17.2% Opportunity for young people to achieve recognised national qualifications Social Services 9.4% Corporate Services 7.3% Opportunity to provide young people with appropriate Least Important Involvement by Framework (Top Implementing youth employment strategy (Proportion of Apprentices) Business Administration 46.0% Opportunity to access government funding to subsidise training costs Construction 20.9% Early Years & Education 11.4% Benefits of Apprenticeship Scheme Customer Services 3.0% Most Significant Health & Social Care 2.5% To develop/enhance the organisation's reputation for developing employees and their careers Characteristics of Apprentices (Proportion of Apprentices) To be recognised as a responsible employer taking action for the future Gender Least Significant Male 52.7% Female 47.3% To recruit local people who understand local circumstances Ethnicity To access government funding to subsidise White 88.7% training costs Minority Ethnic Origins 11.3% Age Distribution Problems with Apprenticeship Scheme 16 39.5% Most Significant 17 25.3% 18 18.0% Amount of time needed to implement and deliver the 19 7.3% Bureaucracy / paperwork 20+ 9.9% Least Significant Long-term illness/disability 2.5% Difficulty in delivering underpinning knowledge requirements Lack of support from local LSC represented on the SMT by the head of the corporate management function (described above) and just over a third (35.7%) of SMT's had people management included within another senior manager's portfolio of responsibility. 1 in 10 councils with no HR member More than two-thirds (71.6%) of respondents have people management represented by one elected member of the council. Just over a tenth (11.8%) have no direct representation of people management on the council and another tenth (10.1%) have people management shared as a responsibility by more than one elected member. A centralised HR function - the way forward? Three-fifths (62.4%) of respondents deliver people management to the rest of their authority using a centralised model which EO has defined as: 'the majority of HR activities are undertaken by a central HR team, whilst administrative elements take place within individual business units'. HR claims strategic partner role In 2003 the Chartered Institute of Personnel and Development (CIPD) undertook a survey of corporate HR functions, entitled 'Where we are, where we're heading', with the aim of identifying the ability of HR functions to develop and evolve to meet increasingly strategic business needs. To facilitate comparisons with the CIPD survey results the following question classifies the roles of HR functions into four distinct groups, as identified by Dave Ulrich in his formative book 'Human Resource Champions'. Survey of People Management in Local Government 2005 This is a preliminary report of key findings emerging from the survey, further analyses (based upon the final response) including some additional data areas and further data comparisons will be provided in the full survey report (please see contact names listed at the end of the report). This will include organisational structure; nature of service arrangements; time spent on HR activities; development of people strategy; people management ethos; and e-HR facilities available to staff. All respondents will be provided with full confidential feedback listings in spring 2005. Findings Nearly half of councils covered 44.1% of all local authorities in England provided a response to the survey of people management, sent out in January 2005 by the Employers' Organisation for local government. More detailed breakdowns of response by English region and type of authority are given in Table 1. The response was even across all Comprehensive Performance Assessment categories (poor-excellent), illustrating no imbalance in response toward any particular category. HR replaces personnel More than half of all authorities (59.4%) call their corporate people management function 'Human Resources' and a third use the title 'Personnel'. Who is leading on HR? One half (50.3%) of the most senior posts responsible for people management within local authorities report directly to the Chief Executive. A further 45% have one level of seniority between themselves and the Chief Executive. Commonly used titles for this post are 'Head of Human Resources' (32.9%), 'Head of Personnel' (15.9%) and a variety of titles including 'Assistant Chief Executive', 'Assistant Director, Human Resources' and broader titles such as 'Head of Organisational Development' and 'Head of People and Performance'. Around a seventh (14.0%) of respondents reported that people management was not directly represented on their Senior Management Team (SMT). Just under half (46.2%) had people management More than two-thirds (67.5%) of respondents described the main role of the authority's corporate people management function as 'Strategic Partner' ('A partner with senior and line managers in strategy design and execution facilitating the translation of business strategy into action'). This compares favourably with CIPD's finding that 33% of their 1,188 respondents considered themselves to be 'Strategic Partners' whilst 56% wished to become 'Strategic Partners'. Is HR adequately resourced? Grossed figures show that there are a total of 13,669 staff working in the direct provision of people management for 50% or more of their time in local authorities in England. Of these almost half (7,446) are based in corporate departments, and just over and under a seventh each (2,197, 1,944 and 1,740) are specifically based in Education, Social Services and 'other departments serving the public' respectively. Each year the EO conducts the Local Government Employment Survey (LGES) which gathers total workforce figures for all local government. Based upon the LGES June 2004 grossed figures (adjusted to demonstrate full-time equivalence) we have produced Table 2 which shows the ratios of people management staff to all local government staff within each type of local authority. Overall there are 106 local government employees to every one member of people management staff. This compares favourably with the IRS Employment Review Benchmark 2005 finding of 109 employees to 1 HR officer nationally across sectors. Our findings challenge the IRS' statement that "Public sector organisations also tend to have relatively large HR departments for the number of staff they oversee". Councils lead the way on the development of people strategies Most responding authorities (83.3%) reported that they had a people strategy in place for the whole of the authority. 4.8% had a strategy in place for part of the authority and just over a tenth (11.9%) had no people strategy in place. The IRS found that only 53% of manufacturers and 44% of private services sector companies had HR strategies in place. Councils report use of people measures Almost all (91.8%) authorities were using 'hard' (quantifiable and process) methods to evaluate people management regarding sickness absence. The other areas of people management commonly evaluated using 'hard' measures included: recruitment & retention (by four-fifths); training and development of managers (by just under twothirds) and training and development of nonmanagers (also by just under two-thirds). Whilst 'soft' evaluation measures were often used in addition to 'hard' evaluation methods most commonly 'soft' evaluation measures were used for work-life balance issues (by more than two-thirds, 69.6% of respondents). eHR strong in traditional people management jobs Most of the authorities who responded to the survey (88% and 81.9% respectively) reported that they used electronic HR (eHR) systems in order to provide payroll and absence management services to the whole or part of the authority. Just over two-thirds (71.7%) were using eHR for recruitment and retention and half were using eHR to provide skills and development services. Around twofifths of respondents were using eHR for other activities including: reward/pay management; performance management/appraisal; health and safety; workforce planning and equality and diversity. \| No. of \| Response \| Response \| \|-----------\|-------------\|-------------\| For further information please contact: Tracey Connage at the Employers' Organisation, Layden House, 76-86 Turnmill Street, London EC1M 5LG, Tel: 020 7296 6198; or Email: tracey.connage@lg-employers.gov.uk Or Ben Hickman at the Employers' Organisation, Layden House, 76-86 Turnmill Street, London EC1M 5LG,, Tel: 020 7296 6171; or Email: ben.hickman@lg-employers.gov.uk Or Kate Crofts at the Employers' Organisation, Layden House, 76-86 Turnmill Street, London EC1M 5LG,, Tel: 020 7296 6642; or Email: kate.crofts@lg-employers.gov.uk English Region \| returns \| rate \| \|--------------------\|--------------\| \| \| \| \| Type of Authority \| No. of \| \| returns \| rate \| \| received \| received \| \| East Midlands \| 27 \| \| East of \| \| \| England \| 26 \| \| \| Metropolitan \| \| districts \| \| \| 11 \| 30.6% \| \| London \| 16 \| \| North East \| 6 \| \| North West \| 18 \| \| South East \| 28 \| \| South West \| 21 \| \| West \| \| \| Midlands \| 14 \| \| \| \| \| \| \| \| Yorkshire and \| \| \| Humberside \| 12 \| \| \| \| \| All LAs in England \| 171 \| \| \| Total \| Total \| Ratio of PM \| \|--------------------\|---------------\|---------------\|----------------\| \| Type of Authority \| (grossed FTE) \| (grossed FTE) \| staff to LG \| \| PM staff \| LG staff \| staff \| \| \| Shire Districts \| 1,607 \| 119,939 \| 1:61 \| \| Metropolitan \| \| \| \| \| Districts \| \| \| \| \| 3,074 \| 411,932 \| 1:130 \| \| \| Shire Counties \| 4,115 \| 537,607 \| 1:135 \| \| England Unitaries \| \| \| \| \| 2,247 \| 285,010 \| 1:107 \| \| \| London Boroughs \| 1,959 \| 198,522 \| 1:95 \| \| All LAs in England \| \| \| \| \| 13,669* \| 1,553,009 \| 1:106 \| \| Total grossed FTE is greater than sum of departments as more information was available regarding total PM staff. ## Survey Of People Management In Local Government 2005 Preliminary Key Facts - England BASE for percentages (all respondents) =157 authorities in England (40%). PM = people management LA = local authority Title of corporate PM function Human resources 59.4 Personnel 31.2 Other 7.6 People management 1.2 No corporate/central people management Department 0.6 Title of head of PM Head of human resources 32.9 Other (inc. Asst. Chief Executive & Asst. Director) 31.8 Head of personnel 15.9 Human resources manager 6.5 Personnel manager 4.7 Director of human resources 2.9 Chief human resources officer 1.8 Chief personnel officer 2.9 Director of personnel 0.6 Representation of PM on senior mgt. team by head of PM 46.2 within other senior manager's portfolio of responsibility 35.7 not directly represented 14.0 other 4.1 Representation of people management by elected members within one member's portfolio of responsibility 71.6 not directly represented 11.8 within more than one member's portfolio of responsibility 10.1 other 6.5 Model of delivery of PM centralised 62.4 decentralised 12.9 account management 1.2 shared service 10.0 outsourced 0.6 integrated 1.7 other model of PM service delivery 11.2 Role of the PM function (using Ulrich's descriptors 1) strategic partner 67.5 administrative expert 9.2 employee champion 4.9 change agent 18.4 ## Survey Of People Management In Local Government 2005 Preliminary Key Facts - England BASE for percentages (all respondents) =157 authorities in England (40%). PM = people management LA = local authority PM staff numbers \| total (grossed FTE) PM staff in local govt. in England \| 13,669 \| \|---------------------------------------------------------------------------------\|-----------\| \| total (grossed FTE) PM staff in corporate departments \| 7,446 \| \| total (grossed FTE) PM staff in other departments \| 1,740 \| \| total (grossed FTE) PM staff in education (schools = 1,591 + non-schools = 606) \| 2197 \| \| total (grossed FTE) PM staff in social services \| 1,944 \| \| mean ratio of local govt. staff (FTE) to PM staff \| 1:106 \| \| People strategy \| \| \| \| \| \| people strategy in place for whole authority \| 83.3 \| \| people strategy in place for part of authority \| 4.8 \| \| no people strategy in place \| 11.9 \| \| LAs using "hard" (quantifiable and process) methods to evaluate PM regarding: \| \| \| \| \| \| sickness absence management \| 91.8 \| \| improved recruitment & retention policies \| 80.1 \| \| training & development of managers \| 62.0 \| \| training & development of non-managers \| 60.8 \| \| improving internal communications \| 40.9 \| \| development of top leadership \| 36.8 \| \| work-life balance issues \| 31.6 \| \| team-based working \| 14.0 \| \| LAs using "soft" (qualitative) methods to evaluate PM regarding: \| \| \| \| \| \| work-life balance issues \| 69.6 \| \| training & development of managers \| 67.8 \| \| development of top leadership \| 64.9 \| \| improving internal communications \| 61.4 \| \| training & development of non-managers \| 55.6 \| \| improved recruitment & retention policies \| 35.7 \| \| team-based working \| 33.9 \| \| sickness absence management \| 18.1 \| \| Whole or part of LAs using eHR to conduct: \| \| \| \| \| \| payroll \| 88.0 \| \| absence management \| 81.9 \| \| recruitment and retention \| 71.7 \| \| skills and development \| 51.2 \| \| performance management / appraisal \| 47.0 \| \| reward/pay management (inc. job evaluation/grading) \| 46.4 \| \| health and safety \| 41.6 \| \| equality and diversity \| 42.2 \| \| workforce planning \| 40.4 \| \| other \| 2.4 \| agreement of 1997. When this has been rolled out to all authorities, greater harmonisation in hours worked is likely to occur. Teachers From September 2004 teachers in England will be limited in the number of hours that they can be required to cover for an absent colleague. This is in addition to a new workload agreement which, according to IDS is designed to free teachers from some administrative tasks. NHS The standard weekly hours for all full time NHS staff will be 37.5 hours (excluding meal breaks) under the Agenda for Change agreement. Civil Service Harmonisation of working hours is also occurring in the Civil Service with many agencies having achieved 30 days leave as standard, irrespective of grade. Holiday entitlement Unlike weekly working hours, the difference between manual and non-manual holiday entitlement is very small. Table 2 shows that the most common number of annual leave entitlement for organisations included in the IDS database is 25 days. The average number holidays overall is 24.6 days, and the average number of holidays for manual and nonmanual workers is 23.9 days and 24.7 days respectively. The lowest number of holiday entitlement days is 21.6 days in hotels and leisure; this is followed by 22.9 days in construction and retail. For many organisations the basic holiday entitlement is boosted by service Hours and Holiday 2005 This article looks at the key findings from the IDS Study 784 on Hours and Holidays and the IRS Employment Review 817, which also features data on holidays. IDS report the average full time working week is 37.2 hours and the average basic annual leave entitlement is 24.6 days whilst the IRS report that basic leave entitlement is 24.7 days. Findings from IDS - A survey of 484 organisations Basic Working Hours Table 1 based on an analysis published by IDS shows that there are still large differences in the number of working hours between manual and non-manual workers. Manual employees still tend to be more likely to work weeks in excess of 37 hrs per week than nonmanual workers. 45% of manual workers have a basic working week of 39 hours or more (compared with 11% of those in non-manual agreements). Conversely, 40% of those in non-manual agreements have a basic week of 36 hours or under (against 10% of manuals). There is also a difference in the number of hours worked in different sectors. The lowest average basic weekly working hours are 35.2, found for those working in the finance sector, a mainly non-manual sector. The longest weekly working hours were recorded in agriculture and forestry (38.8), mining and quarrying and textiles (38.7) and clothing and footwear (38.4). IDS report that there has been an ongoing move to harmonise manual and non-manual working conditions, including the number of working hours. Two-thirds of harmonised agreements have a basic working week of 37 to 37.75 hours. Hours in the public sector Local Government According to IDS from the 1st of April 2004, local government staff in London previously on the manual workers grading structure saw the introduction of a standard 36-hour week under the terms of the single status Union membership The IRS also show that leave entitlement tends to be higher amongst those organisations that have union membership (26.1 days) compared to non-union organisations (22.7 days). Unions tend to be more prevalent in larger public sector organisations where leave levels are often historically higher than the private sector but it seems possible that union membership has had a positive impact on increasing holiday entitlement. Levels of holiday by size of organisation and sector Table 3 shows that organisational size across industry appears to have little or no impact on levels of holiday entitlement. The largest variance is for organisations that have 1-249 employees and those that have 1000+ employees. Here the level of holiday entitlement is 24 and 25 days respectively (at both the mean and median). Larger organisations may tend to offer a very marginal increase in holiday levels. Much greater variances are found by sector. The largest difference is for the public sector and private services where the level of holiday entitlement is 27.1 and 22.7 days respectively (at the mean). The public sector and private manufacturing sector also have a much wider variance of holiday on offer (between 18.4 and 46. 3 and 18.2 and 45.8 respectively) than in the private services sector (between 17.4 and 28). Despite these differences, median leave entitlement is between 22.8 and 25 days for all types of sector. Roopal Shah/Nick Shasha related leave. IDS reveal that the highest number of average holiday entitlement days is in the mining and quarrying sector at 26.5 days, followed by 26.1 days in the energy and water sector. Interestingly, the IDS survey mentions that almost 6% of the organisations have a form of buying and selling holiday. This is usually part of a wider flexible benefits scheme. Findings from IRS Employment Review 817 - A survey of 161 organisations Similarities The IRS survey on annual leave reports back many similar findings to the IDS survey with little variation in the levels of holiday offered over the last year and an average entitlement of 24.7 days, compared to 24.6 days in the IDS survey. In addition, the IRS report that differences in holiday entitlements between manual and non-manual workers have largely disappeared. Most notable in this respect is Local Government where the Single Status agreement appears to have "all but wiped out the gap". Comparisons with other countries The IRS state that whilst levels of holiday in the UK are far above those offered in the US (that has an average of 9.8 days) they are still below those offered in much of Western Europe. Workers in the Netherlands have an average of 31.4 days, Germany an average of 29.2 and Italy an average of 28. Additional leave One trend that the survey reveals is that offering additional days leave is becoming less popular. 18 months ago the survey showed that 66% of participants offered this whilst the most recent survey shows this has dropped to 61%. It's unclear if this is a result of harmonisation or another trend. ## Range of basic weekly working hours Basic hours Manual Non-manual Harmonised Under 35 1.1% 0.3% - 35 5.6% 27.4% 8.5% 35.25 – 35.75 0.4% 0.3% 2.6% 36 3.3% 11.9% 3.9% 36.25 – 36.75 4.1% 6.3% 1.3% 37 14.1% 19.0% 39.2% 37.25 – 37.75 13.3% 20.2% 26.8% 38 10.7% 3.0% 2.6% 38.25 – 38.75 1.9% 0.9% 1.3% 39 – 39.75 31.1% 6.8% 11.1% 40 11.5% 3.3% 2.0% Over 40 3.0% 0.6% 0.7% Where all employees have the same basic hours Source: IDS hours and holidays database Range of basic holiday entitlement Basic holiday Manual Non-manual Harmonised 20/20.5 5.9% 8.3% 3.1% 21 10.4% 6.8% 1.3% 22/22.5 12.2% 13.7% 3.1% 23 6.3% 6.8% 3.8% 24/24.5 7.2% 6.3% 5.0% 25/25.5 41.6% 39.6% 60.6% 26 11.8% 10.4% 10.0% 27/27.5 1.4% 3.6% 5.0% 28 2.3% 1.8% 5.6% 29 0.5% 0.9% - 30 0.5% 1.2% 2.5% Over 30 - 0.6% - Where all employees have the same basic hours Source: IDS hours and holiday database Weighted average of basic holiday allowance across all groups – by organisation size \| \| No. of days \| No. of employees \| No. of organisations \| \|-----------------\|----------------\|---------------------\|-------------------------\| \| Mean \| Median \| Minimum \| Maximum \| \| 1-249 employees \| 65 \| 24.0 \| 24.0 \| \| 250-999 \| \| \| \| \| employees \| \| \| \| \| 48 \| 24.2 \| 24.5 \| 18.2 \| \| 1000+ employees \| 32 \| 25.0 \| 25.0 \| \| Total \| 145 \| 24.3 \| 24.5 \| Source: IRS Employment Review 817 Weighted average of basic holiday allowance across all groups – by broad sector \| \| No. of days \| Broad sector \| No. of organisations \| \|------------------\|----------------\|-----------------\|-------------------------\| \| Mean \| Median \| Minimum \| Maximum \| \| Public sector \| 32 \| 27.1 \| 25.0 \| \| Private manuf. \| 54 \| 24.4 \| 25.0 \| \| Private services \| 58 \| 22.7 \| 22.8 \| \| Total \| 144 \| 24.3 \| 24.7 \| Source: IRS Employment Review 817 A complete report of the IDS Hours and Holidays 2004, IDS HR Studies 784, can be obtained by contacting IDS Customer services on 020 7324 2599, 77 Bastwick Street, London, EC1V 3TT, or visiting their website: www.incomesdata.co.uk. IRS Employment Review 817 can be obtained through IRS, 2 Addiscombe Road, Croydon, Surrey, CR9 5AF. Customer Services: 020 8662 2000. Website: www.irsemploymentreview.com For more information about this article please contact Roopal Shah on 020 7296 6510 or via e-mail at roopal.shah@lg-employers.gov.uk or Nick Shasha on 020 7296 6765 or via e-mail at nick.shasha@lg-employers.gov.uk the only option for women who are raising children. She pointed to companies in the financial sector, including the nationwide building society, who are offering increased flexible working arrangements for women with childcare responsibilities. 35 - hour week under threat By Jon Henley, The Guardian, 1 st February 2005, P13. The 1998 law passed under the then Socialist Government in France, reducing working hours to 35 hours per week, is under threat of being dismantled this week by the current French Government. Under new proposals, workers will be allowed to work up to 48 hours per week. The Labour Relations minister, Gerard Larcher insisted the new proposals offered more freedoms for workers who want to work more hours, not an eradication of the previous law altogether. A CGT spokesman, Bernard Thibault argues however that it is an illusion to think employees will be able to choose their hours as they wish, stating all the power will be transferred to the employer if the new proposals become part of the statute. Jon Henley illustrates a conflict of interest within the French workforce, using two recent polls on the new proposed law. One shows 77% want to maintain the 35-hour week, but another shows 52% of white-collar employees and 1in3 blue-collar workers would like the option of working longer hours. One of the motives behind the new proposals, as highlighted by Jon Henley, may be the increased waiting lists within France's public sector, and the constraints put on businesses unable to increase their productivity. Press Summary This section in the Digest aims to provide an overview of recent stories that have featured in the national press that are likely to have a direct impact upon local government. Poor careers advice hits women in pay packet. By Jonathan Moules, The Financial Times, 3 rd February 2005, Pg 6. A variety of Gender bias and equality within employment has been uncovered by The Equal Opportunities commission (EOC) who have said that male part-time workers have earned 40 percent more then their female counterparts over the past 30 years. Caroline Slocock, the commission's chief executive told delegates from the Dept of Trade and Industry that gender bias starts off early in a woman's career, through lack of sufficient information when they originally choose their career path. Lack of flexible working arrangements in traditionally male-orientated jobs such as engineering, plumbing and construction have hindered woman's progression, she added. And an EOC survey of 1000 Women showed two-thirds would have re-considered their career path if they had been given the right information earlier. Ms Slocock said that with the oversupply of females taking part time work to fit around their childcare responsibilities, wages were subsequently being lowered. Jonathan Moules points to the Netherlands, as an example of a country with more enlightened attitudes to women in work. Companies assess the separation of part-time and fulltime work less critically, and the Government has a more profound support for women with childcare responsibility. Glenda Stone, Chief Executive of Aurora, a women's networking business argues that due to a lack of flexible working opportunities within many companies, part-time working is Budget 2005: The implications for the labour market and local government In the last budget before the general election, Gordon Brown delivered what many would describe as a fiscally balanced Budget. Bringing corporation tax payments forward and clamping down on tax avoidance will fund £2bn worth of tax cuts. Whilst there were no great giveaways, there was financial help for pensioners and a range of other initiatives designed to enhance the skills of the younger members of the labour market. The article finishes with an analysis of the Hampton review and considers it's potential upon local government. Introduction Most of the main proposals in this Budget appear to have little direct impact upon local government or the labour force. However, a closer look at the detail reveals that subtle changes to the labour market are likely to occur and that the thrust of modernisation and efficiency drives espoused in the last Budget are to continue. Moreover, the provisions for pensioners and increases in childcare payments could encourage these groups to participate more actively in the labour market. Pensioners Although the state pension has only been raised by the rate of inflation, pensioners benefit from a one-off £200 council tax refund, extension of free bus travel, increases to the pension credit system and the abolishing of hotel charges by the NHS. The council tax refund is a one-off whilst the effectiveness of the pension credit increases will depend on them being properly promoted and efficiently administered, criticisms which are currently levied at the system. Perhaps of most value to pensioners is the extension of free bus travel that will benefit those in England (Wales and Scotland already offer free bus travel). Free travel for pensioners could encourage them back into the labour market especially into part-time work as commuting costs may have taken a significant chunk out of their part-time earnings. It could be an effective way of mobilising this part of the labour market. Although there are restrictions on peak-time travel, the fact that pensioners may seek a return to part-time work could mean they have more flexibility to work non-peak hours. Education/Apprenticeships At the other end of the age range, measures were introduced to improve skill levels and training. A £9.4bn re-building programme is to develop primary schools and enable them to open from 8am to 6pm. The chancellor also said it was the government's aim that all children start their education in an early years setting at the age of three. This could have implications for the supply of teaching staff and support staff depending on how these measures are developed. A greater supply of part-time workers may be required to allow an expansion in the opening hours of schools. The increased funding and incentives to stay in education for those aged over 16 are likely to have a more immediate impact upon the labour market. One pilot scheme will offer financial support to 16 and 17 year olds who are not in education, training or employment in return for a commitment to move towards formal learning. Another will be a "learning agreement" for all 16 and 17 year olds in work with no training, developing the statutory right to time off to study or train. Both of these policies may take some young people out of the labour market but with the aim that skill levels are improved. To back these initiatives, there will also be an increase in the number of apprenticeship schemes on offer to 300,000 by 2008. Low income families and childcare A greater impact on the labour market is likely to come through the extension to childcare payments through the tax credit system that was announced in the pre-budget report in November. From April, the cost of childcare eligible for payments rises from £135 to £175 for a family with one child and from £200 to £300 for a family with two. This should lead to a greater use of childcare facilities enabling more parents to participate more actively in the labour market. Moreover, from 2006, the ceiling on household earnings for those receiving this allowance rises from £42,000 to £59,000. Low-income families are to receive up to £1bn over the next three years. These groups will receive extra money through the tax credit system providing their incomes are less than £22,000. By making childcare more affordable this could increase labour market participation. Lone parents are also likely to find it easier to re-enter the labour market as a pilot scheme that boosts their salaries by as much as £40 a week (to a maximum of £2,000) is to be expanded beyond its current usage in London, Bradford and Edinburgh. The scheme relates to their first year of work. Relocation of Civil service jobs A more measurable impact on local labour markets is likely to come from the fact that even more Civil service jobs are to be moved from London. DEFRA will be moving 300 staff from London to Yorkshire; the Department for Culture, Media and Sport will move 600 posts to Birmingham and Newcastle and the Foreign Office is also to shift 450 jobs to Milton Keynes. These moves may be good news for the economic vitality of the areas concerned, but could add pressure in local labour markets for administrative staff in particular. Stamp Duty and Taxation Unlikely to have any impact on London and the South-East, the doubling of the Stamp Duty exemption may go some way to reinvigorating the housing market in the North of England and will free up to 300,000 homebuyers from the duty each year. Regulatory services - perspective from the Hampton Review In a move to create a more open, transparent and robust regulatory system and develop a streamlined approach to regulation inspection activity, over the next four years, the government (after considering the Hampton Review) will seek to merge 31 national regulators into seven (thematic) bodies, establishing a joined up approach to the delivery of regulatory services in the public sector. Single agency "strategic" approach Amongst these, a single consumer and trading standards agency is proposed, incorporating the work of four existing regulators and co-ordinating the work on consumer protection and trading standards on a national stage. This body would have lead policy responsibility for TS nationally and help LAs co-ordinate their regulatory services and drive through a risk based approach to inspection activity. Partnership approach The review also endorsed a suggestion put forward by The Local Government Association, for the creation of a national group which would complement the work of the agency by sharing burdens and coordinate work on local regulation. Made up of various national bodies, the proposed National Regulatory Forum main remit would be to: • improve the coordination of local and national regulatory services; • secure agreement on common services, or central communication strategies, to be provided centrally or regionally; and • agree risk assessment arrangements, and monitor the extent to which local authority regulators apply them Impact upon LA regulatory services Although at this stage it cannot be stated for certain how the recommendations from the review (if followed through) will impact upon EH and TS staff , the review does concede that the merger (as outlined above) will affect a "significant number of local authority staff". In addition, it is likely that the move towards and focus on advice/business compliance (as a result of more effective inspection arrangements and freeing up of resources) may require a shift to new working practices and re-skilling in some areas of regulatory work Nick Shasha ## Pay Trends According to Incomes Data Services (IDS) their initial estimate for the median settlement for the three months to January 2005 of 3.2% has nudged up to 3.3%. The TUC report that in 2004 UK employees did unpaid overtime worth £23bn. Personneltoday report that according to Lloyds TSB's Business in Britain survey, skills shortages in the UK are at a 12- year peak. Settlement levels IDS report that for the three months to January 2005 the pay settlement level is 3.3% This is based on 108 settlements. According to IRS pay settlements in the private sector are also at 3.3%, for the three months to the end of January. Pay settlements in the public sector however remain stable at 3%. In the public sector pay reviews for doctors, teachers, prison officers and the armed forces, are set to be between 2.5% and 3% from April 2005. As part of the second stage in a three year deal local government employees are due to receive a 2.95% rise in April. For the three months to the end of February the median pay settlement in manufacturing was 2.7%, according to manufacturing and engineering organisation, EEF. This is based on settlements for over 350 manufacturers. Unpaid overtime worth £4,650 According to research carried out by the Trade Union Congress (TUC), in 2004 employers saved themselves £23 billion through employees working extra hours with no pay. Employees in London put in the longest hours. They put in an extra 7 hours and 54 minutes each week, which is just under an extra 8 hour day. The TUC claims that if employees in London were paid for these extra hours they would have earned an extra £7,008 a year. Employees in Wales worked an average of 7 hours and 42 minutes of unpaid overtime per week in 2004, worth £4,320. Employees in the South West worked the least number of average unpaid overtime hours per week at 6 hours 30 minutes, worth, £3,768. Brendan Barber, TUC General Secretary said, "We're not saying that we should turn into a nation of clock-watchers. Most people do not mind putting in some extra time when there's a crisis or an expected rush. But too many workplaces have come to depend on very long hours. They get taken for granted and staff have to do even more if there is an unexpected rush. "Worst of all is that many long hour workplaces are inefficient and unproductive. People are putting in the long hours to make up for poor organisation and planning in the workplace." Skills shortages IRS report findings from a salary survey carried out by recruitment group Angela Mortimer. They report that the demand for staff is at its highest in 4 years, but that salaries have not matched this. The reports key findings show that the salaries for employees working in London are significantly higher compared to those working in the Midlands. For example, a team secretary working in the commerce and industry sector in London can expect a salary between £23,000 and £27,000 pa, whilst the same role in the Midlands might only expect between £13,000 and £16,000. The report also shows that whilst there is a great demand for HR generalists, those available for work at a junior level often lack experience. Business in Britain Survey Personneltoday.com also reveal similar skills shortages from the Business in Britain survey. women said lack of training was the reason they moved to their next job. Only 3% of men said this was the reason they moved jobs. The survey revealed that men were more salary focused, and felt moving on to a job with a higher salary was the most effective form of moving up the career ladder. Roopal Shah 52% of British companies have over the past 12 months faced difficulties in recruiting skilled staff. 62% of companies in the East Midlands are experiencing a shortage of candidates with skills for jobs and 28% of businesses have reported problems finding unskilled staff. Women value training opportunities over salary Results from a survey carried out by career advice firm Hobsons show that 21% of Full details of Pay settlements and IDS pay databank can be found in IDS Pay Report 924, 77 Bastwick Street, London, EC1V 3TT, Tel: 020 7250 3434, website www.incomesdata.co.uk IRS Employment Review 819 features the latest data on pay settlements, for a complete report on skills shorts and unpaid overtime please visit, www.irsonline.co.uk. IRS, 2 Addiscombe Road, Croydon, Surrey, CR9 5AF. Tel: 020 8686 9141. For the complete articles on skills shortages and women value training opportunities over salary please visit www.personneltoday.com Full details of unpaid overtime and a regional breakdown can be found at www.tuc.org.uk Average Earnings Index The headline rate of average earnings growth has increased to 4.4% in January. The rates of earnings growth in the private and public sectors were 4.4% and 4.6% respectively. Earnings growth in the services has decreased to 4.4% and decreased to 3.2% in the manufacturing sector. Wages and salaries per unit output in the whole economy for the third quarter of 2004 showed a 1.0% increase on the same quarter a year ago. In manufacturing, wages and salaries per unit output have decreased by 1.2% over the last year. Whole economy Private sector Public sector Index Headline rate< Index* Headline rate< Index* Headline rate< 2004 Mar 115.3 5.1 114.7 5.4 118.3 4.3 Apr 115.6 4.2 115.0 4.3 118.5 4.3 May 115.8 4.3 115.1 4.3 119.0 4.3 June 116.1 4.2 115.3 4.2 119.8 4.4 July 116.3 3.8 115.5 3.7 119.9 4.2 Aug 116.9 3.8 116.0 3.7 120.7 4.2 Sep 117.3 3.8 116.3 3.7 121.2 4.2 Oct 117.8 4.1 117.0 4.0 121.6 4.6 Nov 118.9 4.2 118.1 4.1 121.9 4.7 Dec 118.6 4.4 117.7 4.3 122.2 4.7 2005 Jan 122.8 4.4 122.9 4.4 122.7 4.6 *Base Rate- 2000=100 < The headline rate is the average of annual change in the seasonally adjusted series over the last 3 months Ten independent forecasts for whole economy average earnings for the first quarter of 2005 range between 3.6 % and 5.0%, and have a mean of 4.3%. 2005 Qtr 1 2005 Qtr 2 2005 Qtr 3 2005 Qtr 4 Upper range 5.0% 4.9% 4.9% 4.8% Mean 4.3% 4.5% 4.5% 4.5% Lower range 3.6% 4.0% 4.1% 4.2% Source: Industrial Relations Services ## Recent Pay Settlements \| Group \| \| Progress \| Effective \| \|-----------------------------------\|-------------------\|-------------------------------\|--------------\| \| Date \| \| \| \| \| Changes to \| \| \| \| \| conditions of \| \| \| \| \| service \| \| \| \| \| \| \| \| \| \| Public sector \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Rother District Council \| \| 3% increase \| \| \| 01.09.04 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Private sector \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 01.01.05 \| \| \| \| \| Kodak \| \| 2.5% \| rise \| \| production, clerical, technical \| \| \| \| \| and secretarial staff. \| \| \| \| \| 01.01.05 \| \| \| \| \| Alcan Primary Metal- \| \| \| \| \| Europe \| \| \| \| \| \| 3% rise, the 2 \| \| \| \| nd \| \| \| \| \| year of a 3- \| \| \| \| \| year \| pay \| deal \| for \| \| employees. \| \| \| \| \| \| \| \| \| \| 01.01.05 \| \| \| \| \| LG Philips Displays \| \| 3.4% rise for manuals and \| \| \| staff at Durham (720), a 5.4% \| \| \| \| \| rise for production supervisors. \| \| \| \| \| \| \| \| \| Market Pay Service – Extract 5 Over the last year, we have been processing salary data from the LG Jobs & jobsgopublic websites in order to create a database on a range of key jobs. It is hoped that this will assist authorities by providing a reliable and timely source of compensation data for a number of core roles across the broad range of jobs that authorities offer. From Extract 4 onwards, we have also included data from the Sector1 website which can be accessed at www.sector1.net. This will enhance our coverage of roles in the North-East. Defining the jobs There are hundreds of different occupations within local government. We decided to concentrate on a selection of around 50, covering managerial, professional, administrative and manual roles. Many of these are jobs for which we frequently receive requests for pay data. The source which we use provides data on around 10,000 different jobs every quarter. This is a substantial sample, but two limitations of the data should be emphasised. The first is that the jobs can only be grouped according to title. We all know that this can sometimes be misleading: What one council calls an "administration officer" may be doing a different job to someone with the same title in another authority. Similarly, different councils use different titles for what is essentially the same job. To help address these problems we have reviewed the jobs carefully discarding those which look clearly out of line with others of the same title. Then we have grouped jobs with similar titles where pay levels are also similar. For instance, for the Health & Safety group of jobs we combined the following roles; Health & Safety Adviser, Health & Safety Officers and Health & Safety Managers. Similar breakdowns were made where applicable for all the other roles covered by the survey and a complete copy of all roles included, (by any group) can be obtained by calling Nick Shasha on 020 7296 6765. We can provide you with data for specific job titles within the broader group. We always use medians rather than means as a measure of average to minimise the effects of more extreme values. The second problem is that some regions, notably the North East and Wales, are poorly represented within the dataset. We are considering drawing in data from other sources to help remedy this. Sample sizes: In order to ensure that the data are as accurate as they can be, only jobs or groups showing 20 or more responses have been fully included in the analysis. Regional analysis: We have collected data from all the 10 standard regions. Where sample sizes are reliable this should indicate any regional differences and which local authorities may need to consider when researching market rates of pay. Two new services: In addition to publishing quarterly data in the Digest, we will also be offering local authorities the opportunity to call a member of the Pay research team to find out in more detail about the data behind the Market Pay Service. Where possible, we will give more detail about the composition of any regional data and provide an analysis of the data, taking seniority of the role into account. The data we collect is filtered using the terms trainee, junior, deputy or assistant to identify junior roles and supervisor, senior or principal for senior roles. In order to check if there is sufficient data to analyse by seniority, please call Nick Shasha on 020 7296 6765. It should be noted however that in many cases, sample sizes will become less reliable if the seniority analysis is used. Caution: Caution should be used when interpreting the results from the Market Pay Survey as there are a number of factors that may ultimately affect the rates of pay shown in the tables in Section 2 of the Digest. These are: - Size of sample - The location of jobs (we know that labour market pressures vary within as well as between regions) - Seniority analysis is not given in the Digest data On that last point, authorities should be aware that the data given in the Digest isn't broken down by levels of seniority and represents all the data for junior, standard and senior roles combined. In some cases where the group is large enough we do print separate data – for example for accounting assistants. In other instances, (for example planning officers and information officers) the data relate only to those described as "officers". However, the data should be viewed as a useful indicator of current market rates for specific groups of jobs. We are happy to answer enquiries for more precise data for specific job levels. Updating of new data: The data from LG Jobs is updated on a quarterly basis and the next batch of data will therefore be published in the November copy of the Digest. Other EO data: The EO also collects data for some of the job groups listed here through it's own surveys. We have recently covered a number of the social care and public protection jobs, for example. Where we have another source which will help answer a particular enquiry we will of course use it. Definitions: Group: This refers to which group of jobs the data relates to – please see table below for group title. Region: EE = East of England, EM = East Midlands, L = London, NE = North East, NW = North West, SE = South East, SW = South West, W = Wales, WM = West Midlands, YH = Yorkshire & Humberside Median Min: This is the median minimum salary from the given sample. The median is used instead of the mean as it gives us a more reliable indicator of what the typical salary for a given role is. It is calculated by distributing all the salaries from lowest to highest and choosing the salary that sits in the middle of this range. Median Max: This is the median maximum salary from the given sample. Count: This is the number of individuals that were matched to this role. A minimum of 20 is required in order to produce an analysis. Groups covered (jobs in Italics aren't covered by this Extract) 1 Accountant 20 Committee Officer 39 Legal Assistant 2 Accountancy Assistant 21 Conservation Officer 40 Leisure Assistant 3 Administrator 22 Contracts 41 Librarian 4 Admin Officer 23 Contract Manager 42 HR Assistant 5 Clerk 24 Customer Services Adviser 43 Planning Officer 6 Admin/WP 25 Development Control 44 Plumbers 7 Auditor 26 Economic Development Officer 45 Policy 8 Building Control Officer 27 Education Officer 46 Receptionist 9 Car Park Officer 28 Education Welfare 47 Research Officer 10 Care Manager 29 Enforcement Officer 48 Residential Care Assistant 11 Care Assistant 30 Environmental Health Officer 49 Residential Care Officer 12 Care Officer 31 Finance Assistant 50 Residential Carer - Nights 13 Care Assistant - Nights 32 Accountancy Officer 51 PA 14 Catering Assistant 33 Finance Manager 52 Secretary 15 Caretaker 34 Health & Safety Officer 53 Solicitor 16 Cleaner 35 Highways Officer 54 Classroom Assistant 17 Clerical Assistant 36 Benefits Officer 55 Tenant Participation Officer 18 Clerical Officer 37 Housing Officer 56 Training Assistant 19 Committee Administrator 38 Information Officer 57 Waste Management Officer ## Group Region Group Region Max Count Median Min Median 1 All 27,600 31,800 273 4 All 14,800 16,600 620 1 EM 24,700 29,100 26 4 EM 14,000 16,500 45 1 L 33,600 37,100 83 4 L 19,800 21,400 151 1 SE 28,500 32,900 33 4 NE 14,000 14,900 26 1 WM 25,200 29,800 21 4 NW 13,800 14,800 29 1 Y&H 23,400 27,400 21 4 SE 14,600 17,100 123 2 All 14,800 18,600 129 4 SW 13,700 15,400 25 2 WM 14,800 18,600 24 4 WM 14,800 16,500 41 2 Y&H 13,600 17,000 29 4 Y&H 14,800 16,500 124 3 All 13,600 14,900 2743 5 All 12,700 13,700 161 3 EE 13,200 14,500 169 5 NE 12,700 13,300 26 3 EM 13,600 14,500 427 5 SW 11,000 13,100 22 3 L 17,200 19,400 318 5 Y&H 10,600 14,500 43 3 NE 13,100 14,500 135 6 All 12,700 13,400 318 3 NW 12,700 14,500 65 6 EM 10,300 13,300 74 3 SE 14,000 15,600 621 6 NE 12,700 13,700 25 3 SW 13,600 14,500 150 6 WM 12,700 13,400 118 3 W 14,000 16,500 69 6 Y&H 11,600 13,300 58 3 WM 13,600 16,500 175 7 All 24,000 29,800 158 3 Y&H 13,100 14,500 457 7 L 27,500 33,100 34 Median Min Median Max Count \| Group Region \| Max \| Count \| \|------------------\|--------\|----------------\| \| Median \| \| \| \| Min \| \| \| \| Median \| \| \| \| Group Region \| \| \| \| 7 \| SE \| 25,200 30,600 \| \| 8 \| All \| 22,700 28,000 \| \| 8 \| EE \| 22,700 27,800 \| \| 8 \| L \| 30,300 35,600 \| \| 8 \| NE \| 21,900 26,600 \| \| 8 \| NW \| 20,500 26,600 \| \| 8 \| SE \| 22,000 30,000 \| \| 8 \| SW \| 22,000 26,600 \| \| 8 \| Y&H \| 18,300 24,700 \| \| 9 \| All \| 14,000 16,500 \| \| 9 \| SE \| 14,600 17,400 \| \| 10 \| All \| 21,000 27,600 \| \| 10 \| EM \| 19,800 27,400 \| \| 10 \| L \| 23,700 29,800 \| \| 10 \| SE \| 21,300 28,100 \| \| 10 \| SW \| 20,500 25,900 \| \| 10 \| Y&H \| 25,900 28,300 \| \| 11 \| All \| 5.86 \| \| 11 \| EE \| 5.87 \| \| 11 \| EM \| 5.70 \| \| 11 \| L \| 7.67 \| \| 11 \| NE \| 5.89 \| \| 11 \| SE \| 6.59 \| \| 11 \| SW \| 6.61 \| \| 11 \| W \| 5.71 \| \| 11 \| WM \| 5.71 \| \| 11 \| Y&H \| 5.86 \| \| 12 \| All \| 15,900 18,600 \| \| 12 \| SE \| 15,900 19,700 \| \| 12 \| Y&H \| 16,400 19,400 \| \| 13 \| All \| 5.88 \| \| 13 \| EM \| 5.88 \| \| 13 \| WM \| 5.88 \| \| 13 \| Y&H \| 5.86 \| \| 14 \| All \| 5.33 \| \| 14 \| EE \| 5.45 \| \| 14 \| EM \| 5.31 \| \| 14 \| SE \| 5.90 \| \| 14 \| Y&H \| 5.31 \| \| 15 \| All \| 11,300 11,600 \| \| 15 \| EM \| 11,000 11,600 \| \| 15 \| L \| 15,400 15,500 \| \| 15 \| SE \| 12,500 14,300 \| Median Min Median Max Count \| Max \| Count \| \|---------------\|----------\| \| \| \| \| Group Region \| \| \| Median \| \| \| Min \| \| \| Median \| \| \| Group Region \| \| \| 25 \| Y&H \| \| 26 \| All \| \| 27 \| All \| \| 28 \| All \| \| 28 \| L \| \| 28 \| SE \| \| 29 \| All \| \| 29 \| Y&H \| \| 30 \| All \| \| 30 \| L \| \| 30 \| NE \| \| 30 \| NW \| \| 30 \| SE \| \| 30 \| Y&H \| \| 31 \| All \| \| 31 \| EM \| \| 31 \| L \| \| 31 \| NE \| \| 31 \| SE \| \| 31 \| WM \| \| 31 \| Y&H \| \| 32 \| All \| \| 32 \| L \| \| 32 \| SE \| \| 32 \| Y&H \| \| 33 \| All \| \| 33 \| L \| \| 34 \| All \| \| 34 \| L \| \| 36 \| All \| \| 36 \| EE \| \| 36 \| EM \| \| 36 \| L \| \| 36 \| NE \| \| 36 \| NW \| \| 36 \| SE \| \| 36 \| Y&H \| \| 37 \| All \| \| 37 \| EE \| \| 37 \| L \| \| 37 \| SE \| \| 37 \| SW \| \| 37 \| Y&H \| \| 38 \| All \| Median Min Median Max Count Median Group Region Max Count Min Median Max Count Median Min Median Group Region 46 WM 12,700 13,400 21 52 EM 13,600 14,500 32 46 Y&H 10,900 13,300 71 52 L 16,700 18,500 37 47 All 20,400 22,600 83 52 SE 15,200 17,200 80 47 L 21,400 24,600 23 52 WM 14,800 16,500 40 47 SE 20,200 22,000 25 52 Y&H 13,600 14,900 33 48 All 14,200 17,400 34 53 All 29,800 33,600 217 49 All 16,900 19,200 84 53 L 32,200 37,400 46 49 Y&H 17,400 19,100 38 53 SE 28,500 34,100 47 51 All 17,000 19,700 279 55 All 20,900 22,600 22 51 EM 15,000 17,000 20 56 All 21,300 23,400 138 51 L 24,100 24,900 73 56 SE 23,400 26,900 27 51 SE 17,400 20,000 49 56 Y&H 17,400 20,500 23 51 Y&H 14,800 18,600 32 57 All 21,900 25,500 55 52 All 14,500 16,500 288 Retail Price Index The annual change in the Consumer prices index for February 2005 was 1.6%. The February 2005 all items headline RPI was 3.2%, higher than in February 2004. The underlying index (excluding mortgage interest) remained at 2.1%. The annual change in the tax price index, which includes the effects of changes to direct taxation and National Insurance, was 3.1 %. Over the same period RPIY, which measures inflation excluding the effect of indirect taxes as well as mortgage interest payments, stayed at 2.0%. Producer Prices Index (output) PPI Consumer Prices Index CPI (headline-all items) RPI Underlying Index (exc. mortgage interest payments) RPIX Annual Annual Annual Index Annual % % Index Jan Index Jan change change % change 2000= 100 % change Index 1996 =100 1987= 100 1987= 100 2004 Mar 110.6 1.1 184.6 2.6 182.5 2.1 102.3 1.6 Apr 111.0 1.2 185.7 2.5 183.6 2.0 102.7 1.4 May 111.4 1.5 186.5 2.8 184.3 2.3 103.5 2.5 June 111.3 1.6 186.8 3.0 184.2 2.3 103.6 2.6 July 111.0 1.4 186.8 3.0 183.8 2.2 104.8 2.6 Aug 111.3 1.3 187.4 3.2 184.3 2.2 104.2 2.8 Sep 111.4 1.1 188.1 3.1 184.7 1.9 104.5 3.1 Oct 111.7 1.2 188.6 3.3 185.1 2.1 105.2 3.5 Nov 111.9 1.5 189.0 3.4 185.4 2.2 105.3 3.5 Dec 112.5 1.6 189.9 3.5 186.4 2.5 104.9 2.9 2005 Jan 111.9 1.6 188.9 3.2 185.2 2.1 104.8 2.6 Feb 112.2 1.6 189.6 3.2 185.9 2.1 105.2 2.8 Ten independent forecasts of inflation for the first quarter of 2005 range between 3.1% and 3.5%, and have a mean of 3.3%. 2005 Qtr 1 2005 Qtr 2 2005 Qtr 3 2005 Qtr 4 Upper range 3.5% 3.5% 3.2% 3.0% Mean 3.3% 3.2% 2.8% 2.6% Lower range 3.1% 3.0% 2.7% 2.3% Source: Industrial Relations Services \| ODPM monthly \| Halifax \| Halifax monthly \| \|------------------------------------------------\|-----------\|-------------------\| \| \| \| \| \| Table 3.2.1: Percentage change in house prices \| \| \| \| Annual \| \| \| \| Mar - \| \| \| \| 04 \| \| \| \| Apr - \| \| \| \| 04 \| \| \| \| May \| \| \| \| -04 \| \| \| \| Jun - \| \| \| \| 04 \| \| \| \| Jul - \| \| \| \| 04 \| \| \| \| Aug- \| \| \| \| 04 \| \| \| \| Sep- \| \| \| \| 04 \| \| \| \| Oct - \| \| \| \| 04 \| \| \| \| Nov \| \| \| \| – 04 \| \| \| \| Dec \| \| \| \| – 04 \| \| \| \| Jan \| \| \| \| 05 \| \| \| \| Feb - \| \| \| \| 05 \| \| \| \| FT \| 15.5 \| 16.7 \| \| ODPM \| 7.0 \| 9.6 \| \| Halifax \| 18.5 \| 19.1 \| \| Monthly \| \| \| \| \| \| \| \| FT \| 1.1 \| 0.9 \| \| ODPM \| 0.1 \| 4.5 \| \| Halifax \| 2.2 \| 1.8 \| How house price inflation is measured. There are a number of indices which measure UK house price inflation. Each index provides a different perspective, at different times, of the huge and diverse housing market. Each helps to contribute, alongside the other indices, to an understanding of price movements in the market. Halifax index – Views of what is happening in their segment of the mortgage market, at the offer stage, are seen through the Halifax House price Index. The Halifax index is based on some 14% of mortgages made nationally. The data is adjusted for seasonal variations and the mix of properties sold in any particular period. ODPM index – The ODPM provides a view of mortgage completions, using some 20% of mortgages. These figures are mix-adjusted but not seasonally adjusted. FT index – The FT index is based on Land Registry data. Because the Land Registry publishes data per quarter the FT index uses forecasting and revises and updates its statistics with Land Registry results as they are released, normally around the end of the relevant quarter. By adopting this approach the FT index aims to aid significant timeliness to the Land Registry data. ILO unemployment ILO unemployment over the November to January 2005 quarter stood at 1,376,000 or 4.7% of the economically active population in Great Britain, a decrease of 23,000 over the same quarter a year ago. Breaking the figures down by gender shows that ILO unemployment levels are higher for men (802,000 or 5.1%) than for women (574,000 or 4.3%). Total ILO unemployment figures are higher than claimant count figures, mainly due to higher estimates of female unemployment. Great Britain (thousands) seasonally adjusted Total Men Women \| \| No. \| Rate ‡ \| No. \| Rate ‡ \| No. \| Rate ‡ \| \|--------------\|--------\|-----------\|---------\|-----------\|---------\|-----------\| \| \| \| \| \| \| \| \| \| Nov-Jan 2003 \| 1,431 \| 5.0 \| 847 \| 5.4 \| 584 \| 4.5 \| \| Nov-Jan 2004 \| 1,399 \| 4.8 \| 833 \| 5.3 \| 566 \| 4.3 \| \| Feb-Apr 2004 \| 1,394 \| 4.8 \| 814 \| 5.2 \| 580 \| 4.4 \| \| May-Jul 2004 \| 1,378 \| 4.7 \| 801 \| 5.1 \| 577 \| 4.3 \| \| Aug-Oct 2004 \| 1,352 \| 4.7 \| 774 \| 4.9 \| 577 \| 4.3 \| \| Nov-Jan 2005 \| 1,376 \| 4.7 \| 802 \| 5.1 \| 574 \| 4.3 \| * ILO unemployment counts as unemployed all those without work, who is actively seeking work and is available for work. Levels and rates are those aged 16 and over. ‡ ILO unemployment rate is the number of ILO unemployed as a percentage of economically active people. Source: Office for National Statistics The graph below shows the ILO Unemployment rate of the economically active population in Great Britain has remained the same since the May to July 2004 quarter. Figure 4.1.1: ILO unemployment rate Claimant count unemployment Claimants count unemployment remained the same over the month. Great Britain (thousands) seasonally adjusted Total Men Women No. Rate ‡ No. Rate ‡ No. Rate ‡ 2004 Feb 852.3 2.9 636.0 4.0 216.3 1.6 Mar 849.7 2.9 633.5 4.0 216.2 1.6 Apr 844.2 2.8 630.9 4.0 213.3 1.6 May 830.3 2.7 618.5 3.8 211.8 1.5 June 820.1 2.7 610.8 3.7 209.3 1.5 July 806.0 2.7 601.7 3.7 204.3 1.5 Aug 800.8 2.6 596.9 3.6 203.9 1.5 Sep 804.3 2.7 598.9 3.7 205.4 1.5 Oct 806.9 2.7 600.6 3.7 206.3 1.5 Nov 803.5 2.7 596.4 3.6 207.1 1.5 Dec 797.2 2.6 590.8 3.6 206.4 1.5 2005 Jan 784.3 2.6 580.2 3.5 204.1 1.5 Feb 784.3 2.6 580.6 3.5 203.7 1.5 ‡ The rate is the number of claimant unemployed as a percentage of the total workforce. Source: Office for National Statistics Claimant count, February 2005 Regional unemployment Claimant count rates range from 1.5% in the South East to 3.8% in the North East. ILO rates are lowest in the South West (3.6%) and highest in London (7.0%) (thousands) seasonally adjusted ILO unemployment November - January 2005 No. Rate No. Rate North East 65 5.5 43.7 3.8 North West & Merseyside 151 4.5 93.5 2.7 Yorkshire & the Humber 109 4.4 69.4 2.8 East Midlands 90 4.2 49.7 2.4 West Midlands 126 4.8 83.6 3.1 East 113 4.0 54.7 2.0 London 264 7.0 158.7 3.4 South East 161 3.8 67.0 1.5 South West 92 3.6 40.0 1.6 Wales 57 4.1 38.4 2.9 Scotland 147 5.7 85.6 3.3 Great Britain 1,376 4.7 784.3 2.6 Source: Office for National Statistics Employment The number of people in employment in the United Kingdom, using the LFS definition, increased by 127,000 between November to January 2005 compared with the previous quarter. During this period male employment increased by 63,000 and female full time employment increased by 111,000. Female part-time employment decreased by 46,000. Looking at figures over the year from November to January 2005 shows that employment increased by 220,000. Male employment over the year increased by 139,000, and female full time employment increased by 222,000. Female part-time employment decreased by 142,000. United Kingdom (thousands) seasonally adjusted Total Men Women \| \| \| \| \|--------------\|-----------\|--------\| \| Full-time \| Part-time \| \| \| \| \| \| \| Nov-Jan 2003 \| 28,067 \| 15,208 \| \| Nov-Jan 2004 \| 28,347 \| 15,302 \| \| Feb-Apr 2004 \| 28,382 \| 15,338 \| \| May-Jul 2004 \| 28,385 \| 15,347 \| \| Aug-Oct 2004 \| 28,440 \| 15,378 \| \| Nov-Jan 2005 \| 28,567 \| 15,441 \| * The LFS definition of employment covers those who did any paid work (even as little as one hour) in the week prior to the survey interview, and those who have a job, which they are temporarily away from. Source: Office for National Statistics As the graph below shows the LFS employment rate has risen to 60.2% of all economically active people aged 16 and over. ## Local Government Datafile Profiles Of Local Government Workforce And The Wider Economy, Autumn 2004 (Percentage Distributions) Local Government (%) Whole Economy (%) Age 16-24 7 16 25-39 30 36 40-49 31 24 50 plus 32 24 Gender Male 28 51 Female 72 49 Ethnicity White 93.3 92.1 Mixed 0.6 0.7 Asian 2.9 3.7 Black 2.4 2.2 Chinese 0.2 0.4 Other 0.5 0.9 Job type Permanent 91 94 Temporary 9 6 Type of temporary work Seasonal 0.1 0.4 Fixed contract/task 6.0 2.6 Agency 0.8 1.1 Casual 1.1 1.2 Other 1.0 0.7 Job-related training Any in 3 months 37 30 Any in 4 weeks 19 17 Long-term health problem Yes 25 22 No 75 78 Source: Labour Force Survey, September – November 2004 Note: Figures are for England and Wales only Whole economy figures are for employees only Local government figures exclude teachers, firefighters and police, but will include some elements beyond the LGS group, for example chief officers and craft workers Since this is a sample survey percentages are rounded to the nearest whole number. For ethnicity and types of temporary work first decimal place is given to provide more detail, but care should be taken in interpreting small differences. As percentages are rounded they do not necessarily add to 100. service but was unable to explain why this has occurred, or said that the 2003 figures were wrong but could not provide correct figures. The change figures for the remaining authorities were then grossed up (separately for each type of authority) to provide estimates relating to all authorities. Each figure presented in tables 5.2.5 and 5.2.6 are rounded to the nearest thousand to reflect their approximate nature. Please note that numbers may not add precisely to column and row totals because of rounding. Employee Jobs in Local Government, June 2004 The tables that follow show the provisional key results of the Employers Organisation's Local Government Employment Survey (LGES) for June 2004. A full report on the LGES 2004 was published in the November 2004 Digest. We must emphasise that the estimates of change (Tables 5.25 and 5.2.6) should be handled with caution. We have made considerable efforts, with the help of authorities, to check figures for 2003 as well as 2004. In constructing an estimate of change we have had to reach judgements on whether to include or exclude figures for particular authorities. Some data had to be excluded, usually where an authority reported substantial change in numbers for a particular Male Female \| \| Full-time \| Part-time \| Full-time \| Part-time \| \|------------------------\|--------------\|--------------\|--------------\|--------------\| \| Total \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Counties \| 107015 \| 46251 \| 213319 \| 416031 \| \| Metropolitan districts \| 119372 \| 28706 \| 173779 \| 224019 \| \| English unitaries \| 73800 \| 26673 \| 113756 \| 180677 \| \| London boroughs \| 58759 \| 13439 \| 91458 \| 89338 \| \| Welsh unitaries \| 35600 \| 11696 \| 49504 \| 67274 \| \| Shire districts \| 57880 \| 11090 \| 40990 \| 33823 \| \| \| \| \| \| \| \| Total \| 452425 \| 137855 \| 682805 \| 1011162 \| Table 5.2.2: Employee jobs in local government as at June 2004 by region Male Female Full-time Part-time Full-time Part-time Total South East 50254 17268 89638 141744 298904 North West 64187 18165 97702 130854 310908 Yorkshire and the Humberside 52727 13703 69039 119998 255467 London 58759 13439 91458 89338 252994 West Midlands 45996 15756 77249 116113 255115 South West 38559 14385 55766 101193 209905 East Midlands 37270 12999 53868 92788 196926 North East 33772 7662 41806 51740 134980 East 35302 12781 56774 100119 204975 England 416825 126159 633301 943888 2120174 Wales 35600 11696 49504 67274 164074 Total 452425 137855 682805 1011162 2284248 Table 5.2.3: Employee jobs in local government In England as at June 2004 by function Male Female Full-time Part-time Full-time Part-time Total Education – teachers 105340 23066 249168 138355 515930 Education – other employees 46921 47541 123137 509016 726615 Services direct to the public 165106 34283 86792 126791 412971 Social services 37547 13103 106495 130862 288006 Corporate functions 61911 8166 67709 38865 176652 Total 416825 126159 633301 943888 2120174 Male Female Fulltime Part-time Full-time Part-time Total Education – teachers 8085 2364 17414 9450 37313 Education – other employees 3078 3074 10910 30548 47611 Services direct to the public 17014 4507 7074 10949 39543 Social services 2990 1380 9260 14094 27724 Corporate functions 4433 371 4846 2234 11884 Total 35600 11696 49504 67274 164074 Male Female \| \| Full-time \| Part- \| \|-----------------------------------------------------------------------\|--------------\|---------\| \| time \| \| \| \| Full-time \| Part- \| \| \| time \| \| \| \| Total \| \| \| \| \| \| \| \| \| \| \| \| Counties \| 1000 \| 1000 \| \| Met districts \| 0 \| 0 \| \| English unitaries \| -1000 \| 0 \| \| London boroughs \| 0 \| -1000 \| \| Welsh unitaries \| 0 \| 1000 \| \| Shire districts \| 0 \| 0 \| \| Total \| \| \| \| -1000 \| 1000 \| 11000 \| \| \| \| \| \| Table 5.2.6: Change in numbers employed by function, June 2003 - 2004 \| \| \| \| \| \| \| \| \| Male \| Female \| \| \| Full-time \| Part- \| \| time \| \| \| \| Full-time \| Part- \| \| \| time \| \| \| \| Total \| \| \| \| \| \| \| \| \| \| \| \| Education – teachers \| -2000 \| 0 \| \| Education – other \| \| \| \| employees \| \| \| \| 2000 \| 1000 \| 8000 \| \| Services direct to the \| \| \| \| public \| \| \| \| -4000 \| -1000 \| -2000 \| \| Social services \| 0 \| 0 \| \| Corporate functions \| 3000 \| 0 \| \| \| \| \| Aggregate figures for each authority type broken down by function are available on the EO website at www.lg-employers.gov.uk. Total figures broken down by gender and full-time/part-time status for each authority on a named basis will be sent to all local authorities' Heads of Personnel, and are available to others on request. Authorities can also request employment figures by function for other authorities of the same type or within the same region. For further information please contact Roopal Shah (020-7296-6510, roopal.shah@lgemployers.gov.uk). Current Position of Negotiating Groups at 31/3/05 This summary of the pay negotiations across local government is provided for brief, background information only. On no account should it be used as authorisation of any changes in pay and conditions. The dates of the "next meetings" refer to known, planned meetings of the employers and/or both sides of a negotiating body. There is no implication that the meetings listed are necessarily discussing annual pay increases. Advice and detailed information to non-local authority bodies may be provided on a separate subscription. Please note that the contact names are for the use of local authorities only. Local Government Negotiating Groups Effective Date \| \| \|---------\| \| 1/04/04 \| Local Government Services (E&W) (Former APT&C and Manual employees) Contact: Harry Honnor Tel: 020 7296 6826 E-mail: harry.honnor@lg-employers.gov.uk Settlement: An equal increase on all spinal column points to cover the period to April 2007: 1 Apr 04 – 2.75%; 1 Apr 05 – 2.95%; 1 Apr 06 – 2.95% or the rate of RPI increase for October 2005, whichever is the higher. The pay settlement is at the upper limit of what councils could afford to pay but is attached to a six point reform plan. This includes completion of local pay reviews in all authorities by 31 st March 2007. For further details go to: http://www.lg-employers.gov.uk/press/2004_news/lgc_14_07.html 1/7/02 Chief Executives (E&W) Contact: Debbie Carvalho Tel: 020 7296 6762 E-mail: debbie.carvalho@lg-employers.gov.uk Claim: Negotiations are currently in progress. Chief Officers (E&W) Contact: Debbie Carvalho Tel: 020 7296 6762 E-mail: debbie.carvalho@lg-employers.gov.uk Claim: Trade unions are currently consulting with their members. In outline the officers side are seeking: a substantial increase on all salary points and associated allowances; increases to paid maternity leave; and urgent completion of investigation into the effects of new political structures on CO's posts - agreed as part of the 2002/03 settlement. Local Authority Craft and Associated Employees (E&W) Employees: 41,000 Contact: Harry Honnor Tel: 020 7296 6826 E-mail: harry.honnor@lg-employers.gov.uk Employers Revised Offer: Agreement has now been reached on a threeyear pay increase in the following three stages covering the period to 31 March 2007: 1 April 2004 – 2.75% 1 April 2005 – 2.95% 1 April 2006 – 2.95%* (or RPI at October 2005, whichever is the greater) Given that the rates of pay and allowances applicable from 1 April 2006 Local Authority Craft and Associated Employees (E&W) - Cont'd may be subject to the RPI figure at October 2005, those rates will be published nearer that time. Agreement has now been reached on a threeyear pay increase for tools allowances, together with the maximum liability for insurance purposes, in the following three stages covering the period to 31 March 2007: 1 April 2004 – 100% (based on Tools Allowances & Insurance rates at 31 March 2004) 1 April 2005 – a further 33% (also based on Tools Allowances & Insurance rates at 31 March 2004) 1 April 2006 – 2.95% (or RPI at October 2005, whichever is the greater) (based on Tools Allowances & Insurance rates at 31 March 2006) 1/4/04 to 31/8/06 Education Primary and Secondary Teachers (E&W) Contact: Andy Inett Tel: 020 7296 6725 E-mail: andy.inett@lg-employers.gov.uk Settlement: an increase of 2.5% from 1 April 2004, 2.5% from 1 April 2005 and a further 0.75% from 1 September to 31 August 2006 in the values of: the main pay scale and upper pay scale for qualified teachers; the pay spine for leadership groups; the pay spine for Advanced Skills Teachers; and the pay scale for unqualified teachers. 01/4/04 to 31/8/06 Teachers in Residential Establishments (E&W) Contact: Andy Inett Tel: 020 7296 6725 E-mail: andy.inett@lg-employers.gov.uk Settlement: The JNC agreed that the Main and Upper Pay Scales for qualified teachers in residential social services establishments should be subject to a general increase of 2.5% from 1 April 2004, 2.5% from 1 April 2005, and a further 0.75% from 1 September 2005 to 31 August 2006. All allowances applicable to teachers in social services establishments and Heads, deputies and Assistant heads in residential special schools were increased by the same percentage amounts as were the salaries. Youth & Community Workers (E&W) Employees estimated at between 30,000-35,000 Contact: James Mensah Tel: 020 7296 6727 E-mail: james.mensah@lg-employers.gov.uk Settlement. 2 year settlement: 1 st year – 2.75% from 1 st September 2004 to 31 st August 2005. 2 nd year – 2.95% from 1 st September 2005 to 31 st August 2006. There has also been an agreement to: Set up a JNC Advanced Practitioner Grade (Apg) Working Group to develop proposals for an APG for JNC Youth and Community Workers, work towards an implementation deadline of 1 September 2005. Soulbury Committee (E&W) Advisors / Psychologists / Youth Service Employees: 6,792 as at March 1 st 2002 Contact: Andy Inett Tel: 020 7296 6725 E-mail: andy.inett@lg-employers.gov.uk Settlement: 3 year settlement : 1 st year- a 2.75% increase on all salary points from 1 September 2004; rising to 2.95% from 1 April 2005 (based on 31 August 2004 figures) 2 nd year- a 2.95% increase on all salary points from 1 September 2005 3 rd year- a 2.95% increase on all salary points from 1 September 2006 or the RPI rate for April 2006 if higher. ## Police And Fire 1/11/02 Firefighters (UK) Contact: Gill Gittins Tel: 020 7296 6723 E-mail: gill.gittins@lg-employers.gov.uk Firefighters: 56,547 including 17,882 Retained firefighters Settlement date: 1 st July 2005. settlement to be reached by use of an agreed formula. 1/1/03 Chief Fire Officers (UK) Contact: Gill Gittins Tel: 020 7296 6723 E-mail: gill.gittins@lg-employers.gov.uk Settlement: Annual settlement date is 1 st January. Negotiations ## Police And Fire - Cont-D Incorporating A Review Of The Terms And Conditions Of Employment Of Principal Fire Officers Are Currently Taking Place. Police 1/9/04 Police Federated Ranks (UK) Employees: 148,000 Federated Rank Officers. Contact: Graham Baird Tel: 020 7296 6722 E-mail: graham.baird@lg-employers.gov.uk Settlement: Police Negotiating Board agreed a 3% uplift from 1 st Sept 04. 1/9/04 Police Staff (E&W) Employees: 66,000 Contact: Graham Baird Tel: 020 7296 6722 E-mail: graham.baird@lg-employers.gov.uk Settlement: The Police Staff Council (Eng & Wales) have agreed to increase pay and standby allowance by 3% with effect from 1 st Sept 04. Recent & Forthcoming Publications - Are you getting the most from the EO?* The EO offers a wide range of services to local authorities in all areas related to people-led improvement. We can offer you everything from free telephone advice to improvement tool kits, and consultancy work. To find out exactly how we can help your authority, please go to: http://www.lg-employers.gov.uk/about/order_booklet.html to order a copy of our new Corporate guide. - Just out of reach- The recent equal pay award at North Cumbria Acute Hospitals NHS Trust, which could lead to wage increases for thousands of female health workers, provides a glimmer of hope in an otherwise gloomy landscape (People Management 10 th March 2005, page 26. ISSN 1358 6297. Call CIPD 020 8971 9000 or www.peoplemanagement.co.uk) - Burden of proof- HR is responsible for both giving and receiving employee references. But in today's litigious society, how much information can you safely include? (People Management 24 th February 2005, page 30. ISSN 1358 6297. Call CIPD 020 8971 9000 or www.peoplemanagement.co.uk) - Outside chance- Too many companies leave recruitment processes to chance, gambling on the probability of hiring the right candidate. Surely a systematic business approach would be a better alternative? (People Management 10 th March 2005, page 38. ISSN 1358 6297. Call CIPD 020 8971 9000 or www.peoplemanagement.co.uk) - Survey- Money talks: annual leave (2) (IRS Employment Review 819 ISSN 1358-2216, available on subscription from Industrial Relations Services Ltd., tel. 020 8662 2000, website: www.irsemploymentreview.com/). - Feature– From brick walls to firewalls: developing skills agreements (IRS Employment Review 817 ISSN 1358-2216, available on subscription from Industrial Relations Services Ltd., tel. 020 8662 2000, website: www.irsemploymentreview.com/). - Labour Market Trends March 2005 - features this month include: - Labour market participation: the influence of social capital (Subscription enquiries for Labour Market Trends to: Subscriptions Department, The Stationery Office Publications Centre, PO BOX 276, London SW8 5DT, 020 7873 8499). Research & Intelligence Publications Councillors Surveys: Exit Survey of Local authority councillors in England 2003 Survey of newly elected Local authority councillors in England 2003 Second National census of Local authority councillors in England and Wales 2001 Link to all 3: http://www.lg-employers.gov.uk/diversity/councillors/index.html Recruitment and Retention Teacher Resignation and Recruitment Report No. 33, Main Report 2002 http://www.lg-employers.gov.uk/documents/publications/r&i/trr02.doc Local Government Recruitment and Retention Survey 2004 http://www.lg-employers.gov.uk/publications/fullpublications/randr.html Sickness Absence Surveys Local Government Sickness Absence Levels 2003/2004 http://www.lg-employers.gov.uk/publications/fullpublications/lgsa2000.html Local Government Sickness Absence Management Survey 2003 http://www.lg-employers.gov.uk/publications/fullpublications/lgsas.html Report on Sickness Absence Levels and Management 2004 http://www.lg-employers.gov.uk/health/manage/index.html Social Services Sickness Absence Survey 2001-2 http://www.lg-employers.gov.uk/publications/fullpublications/sssa.html Social Services: Social Services Workforce Survey Report No. 33, Main Report 2003 (http://www.lg-employers.gov.uk/recruit/workforce_surveys/social.html) Other Surveys: Care sector NVQ Take-up Survey 2003 http://www.lg-employers.gov.uk/recruit/workforce_surveys/shcwg/doing.html Quarterly Monitoring of Care Sector NVQs/SVQs - July - September 2004 http://www.lgemployers.gov.uk/recruit/workforce_surveys/shcwg/doing.html People Skills Scoreboard Survey 2004 http://www.lg-employers.gov.uk/skills/people/pss.html Local Government Employment Survey (Figures by Function) 2004 http://www.lg-employers.gov.uk/conditions/surveys/index.html Single Status/Local Pay Reviews survey Autumn 2004 http://www.lg-employers.gov.uk/conditions/lgs/index.html For details of the publications please go the listed web addresses or contact Roopal Shah, telephone 020-7296-6510 or visit our website at www.lg-employers.gov.uk Subject Month Page \| \| \| \| \|------------------------------------------------------------------\|--------------\|-------\| \| Sickness Absence \| \| \| \| Absence policies and absence levels: is there a correlation? \| August 04 \| 13-16 \| \| Managing Sickness Absence in the public sector \| December 04 \| 7-8 \| \| Sickness absence levels and causes survey 2003/2004 \| December 04 \| 13-15 \| \| Sickness Absence in Shire Districts- data from the BVPI \| January 05 \| 11-13 \| \| Causes of sickness absence amongst larger authorities in England \| \| \| \| and Wales \| \| \| \| February 05 \| 11-14 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Local Government Pay and Workforce \| \| \| \| \| \| \| \| \| \| \| \| The gender pay gap– levels, causes and strategy \| April 04 \| 9-12 \| \| Single Status Pay Survey – June 2003 \| May 04 \| 7-10 \| \| Flexible working – Methods and case studies \| June 04 \| 11-14 \| \| Key findings from the Social Services Workforce Survey 2003 \| July 04 \| 7-10 \| \| JNC Survey of Chief Executives and Chief Officers \| October 04 \| 10-11 \| \| Local Government Employment Survey 2004 \| November 04 \| 10-11 \| \| Market Pay Survey - Extract 4 \| November 04 \| 16 \| \| Single Status progress and pay levels from the IDS local \| \| \| \| Government pay benchmarking survey and EO surveys \| \| \| \| February 05 \| 8-10 \| \| \| \| \| \| \| External Economy Pay \| \| \| \| \| \| \| \| \| \| \| \| Graduate Employment Market \| March 04 \| 6-7 \| \| Managing Labour Turnover \| March 04 \| 8-9 \| \| Budget 2004 – Labour Market Implications \| March 04 \| 10-11 \| \| Hours and holidays 2003/2004 \| April 04 \| 7-8 \| \| Flexible working in the UK – Data from social trends \| June 04 \| 7-10 \| \| A Zonal Approach to pay modelling \| July 04 \| 11-13 \| \| National Management Salary Survey 2004 \| October 04 \| 12-14 \| \| Pay and Conditions in Call Centres 2004 - IDS \| November 04 \| 7-9 \| \| \| \| \| \| Training \| \| \| \| \| \| \| \| \| \| \| \| Summary of key data from the 2003 survey of care sector NVQ \| \| \| \| centres in England, Wales and Northern Ireland \| \| \| \| August 04 \| 6-9 \| \| \| Skills base in the planning system – Executive Summary \| December 04 \| 9-12 \| \| People Skills Scoreboard 2004 \| February 05 \| 15-18 \| \| \| \| \| \| Other Labour Market Issues \| \| \| \| \| \| \| \| \| \| \| \| Ageing and Gender: diversity and change \| May 04 \| 11-13 \| \| Recruitment hotspots – a critique of solutions \| May 04 \| 14-16 \| \| Summary of teacher resignation and recruitment 2003 \| August 04 \| 10-12 \| \| Internet Recruitment: benefits and approaches \| September 04 \| 6-9 \| \| The challenge of succession planning in Local Government \| September 04 \| \| \| 10-13 \| \| \| \| Recruitment and Retention Survey 2004 \| October 04 \| 6-9 \| \| Clerical operative report 2005 \| January 05 \| 8-10 \| \| \| \| \| The Employers' Organisation is an agency of the Local Government Association (LGA). We are the representative voice of local authority employers and help councils to maximise the capacity and performance of their employees and improve services. We provide strategic direction, advice, intelligence and support on all pay and workforce issues such as: pay and conditions, skills development, diversity, pensions and employment law. The Research & Intelligence unit focuses specifically on: - surveys and research on a range of employment issues to inform the national pay and conditions negotiations and also to meet the information requirements of the Local Government Association, Government Departments and other commissioning organisations. For further information, please contact: The Employers' Organisation, Layden House, 76-86 Turnmill Street, London EC1M 5LG. Telephone 020 7296 6600 Fax 020 7296 6660 www.lg-employers.gov.uk Enquiries to R&I: Executive Editor Nick Shasha Tel: 020 7296 6765 nick.shasha@lg-employers.gov.uk Editor Roopal Shah Tel: 020 7296 6510 roopal.shah@lg-employers.gov.uk ## Number 336 March 2005- Issn 0957-512X	en
3570-pdf	## Legal Aid Statistics Quarterly, England And Wales, October To December 2017 Main Points Crime Lower workload down 5% compared to the This continues the gradual downward trend of recent years. Expenditure on completed work was also down by 5%. same quarter last year Crown Court completed workload down 6% compared to the same quarter last year Expenditure on completed work has remained at the same level over this period. New orders for legal representation in the Crown Court continue to decline. 1% fewer legal help new The volume of completed claims also decreased, by 9%, and expenditure fell by 10%. matter starts than in the same period of 2016 Mediation Information and Assessment Meetings were 12% lower than in Mediation starts between October and December 2017 were down by 15% and currently stand at around 1,500, the lowest quarterly number of starts since the implementation of the LASPO Act. the same quarter of 2016 20% more certificates completed for public Expenditure on completed work in this category, which already accounts for more than half the total cost of civil legal aid, rose by 14% (£14m). family law than in the same quarter last year 709 applications for Exceptional Case This is the highest number of applications received in one quarter since the scheme began in April 2013 and a 60% increase from the same quarter last year. Funding received in the last quarter This edition comprises the first release of official statistics for the three-month period from October to December 2017 and the latest statement of all figures for previous periods. For more detailed commentary, and statistics on legal aid providers, Central Funds, appealing legal aid decisions and legal aid in the higher courts, please refer to the annual publication. For technical detail, please refer to the User guide to legal aid statistics. We have changed how our quarterly bulletins look, and would welcome any feedback using this quick survey. For other feedback related to the content of this publication, please let us know at statistics@legalaid.gsi.gov.uk ## Things You Need To Know These symbols are used throughout this release to navigate to other documents of interest: To understand trends in legal aid as a whole, it is best to begin by looking at annual expenditure figures and then look at trends in both workload and expenditure for each category of legal aid. Summarising activity across the legal aid system meaningfully within a single number is difficult because of the diversity of services included, from quicker, lowercost provision like pre-charge advice to representation in a complex, high-cost court case. Expenditure on legal aid is measured differently for different purposes. A measure that is best for analysing the costs of different services, for example, may not be practical for managing budgets or payments. The three most often-used measures, shown in Fig. 1, are: - Closed-case expenditure is the measure used for expenditure figures throughout these legal aid statistics. It represents the total value of payments made to legal aid providers in relation to pieces of work that are completed in the period. This basis is comparable to volumes of completed work to which it relates, and to the same fine level of detail. This does not include income received or expenditure in relation to debt write-offs. - The government budgeting measure known as RDEL (Resource Departmental Expenditure Limits) is the main measure used by government to control current spending, both to set budgets for future years and report on how much has been spent. It represents the value of work carried out in the period better than the closed-case measure but cannot be broken down to such a fine level of detail. This measure does incorporate income and expenditure in relation to debt. - Figure 1 shows this budgeting measure both in nominal and real terms. 'Nominal terms' means not adjusted for inflation; 'real terms' means adjusted for inflation to make the value of spending in previous years directly comparable with the specified year. These measures show a large reduction in legal aid expenditure from around 2010-11, which are mostly due to changes to the scope of civil legal aid introduced by the Legal Aid, Sentencing and Punishment of Offenders (LASPO) Act from 2013-14, reductions in criminal legal aid workloads and reductions in the fees payable to legal aid providers. 1.1 and 4.1 ## 1. Criminal Legal Aid Main Point Workload and expenditure fell in most areas of criminal legal aid between October and December 2017 and the same period of the previous year. Criminal legal aid can be categorised into Crime Lower and Crime Higher. Crime Lower work includes police station advice, magistrates' court and prison law. Crime Higher covers work in the Crown and Higher Courts. \| Workload \| Expenditure \| \|----------------------------------\|--------------------\| \| (% change compared \| (% change compared \| \| Claim category \| \| \| to the same quarter \| to the previous \| \| last year) \| quarter last year) \| \| Police station advice \| \| \| 150,000 ( \| \| \| 4 \| \| \| % \| \| \| ↓ \| \| \| ) \| £31m ( \| \| 4 \| \| \| % \| \| \| ↓ \| \| \| ) \| \| \| Magistrates' courts* \| \| \| 72,000 ( \| \| \| 9 \| \| \| % \| \| \| ↓ \| \| \| ) \| £30m ( \| \| 9 \| \| \| % \| \| \| ↓ \| \| \| ) \| \| \| Crime Lower \| \| \| Crime \| \| \| 227,000 ( \| \| \| 5 \| \| \| % \| \| \| ↓ \| \| \| ) \| \| \| Advice & assistance on appeals \| \| \| 306 ( \| \| \| 17 \| \| \| % \| \| \| ↓ \| \| \| ) \| £0.5m ( \| \| 11 \| \| \| % \| \| \| ↑ \| \| \| ) \| \| \| £66m ( \| \| \| 5 \| \| \| % \| \| \| ↓ \| \| \| ) \| \| \| Workload \| \| \| Prison Law \| \| \| 5,000 ( \| \| \| 2 \| \| \| % \| \| \| ↑ \| \| \| ) \| £4m ( \| \| 16 \| \| \| % \| \| \| ↑ \| \| \| ) \| \| \| 275,000 (5% \| \| \| ↓ \| \| \| ) \| \| \| Civil work associated with crime \| \| \| 42 ( \| \| \| 9 \| \| \| % \| \| \| ↓ \| \| \| ) \| £0.02m ( \| \| 19 \| \| \| % \| \| \| ↑ \| \| \| ) \| \| \| Expenditure \| \| \| Solicitor fee scheme \| \| \| 24,000 ( \| \| \| 7 \| \| \| % \| \| \| ↓ \| \| \| ) \| £84m ( \| \| 1 \| \| \| % \| \| \| ↑ \| \| \| ) \| \| \| Crime Higher \| \| \| £209m ( \| \| \| 2 \| \| \| % \| \| \| ↓ \| \| \| ) \| \| \| 48,000 ( \| \| \| 6 \| \| \| % \| \| \| ↓ \| \| \| ) \| \| \| Advocate fee scheme \| \| \| 24,000 ( \| \| \| 4 \| \| \| % \| \| \| ↓ \| \| \| ) \| £53m ( \| \| 2 \| \| \| % \| \| \| ↓ \| \| \| ) \| \| \| £143m ( \| \| \| 0 \| \| \| % \| \| \| ↔ \| \| \| ) \| \| \| High Cost crime cases \| \| \| 9 ( \| \| \| 25 \| \| \| % \| \| \| ↓ \| \| \| ) \| £6m ( \| \| 12 \| \| \| % \| \| \| ↓ \| \| \| ) \| \| \| \| \| includes court duty solicitor sessions and virtual courts Note: Advice and assistance on appeals and civil work associated with crime are excluded from these figures. Although Crown Court work comprises a relatively small portion of criminal legal aid in terms of volume, it consistently accounts for more than two-thirds of all criminal legal aid expenditure. Conversely, advice relating to the police station makes up the largest portion of workload but a much smaller proportion of expenditure. ## Police Station Advice Tables 2.1 And 2.2 This category made up two thirds of the Crime Lower workload between October and December 2017 but just less than half of the expenditure. The workload in this period has fallen compared to the previous year, down by 5%. This continues the downward trend of the last three years, although this trend has not been as steep as the decline for Crime Lower as a whole, or overall figures from the Crime Survey for England and Wales1. The majority of the police station advice workload, 86% in October to December 2017, consists of suspects receiving legal help with a solicitor in attendance at the police station, with the rest mainly consisting of legal advice over the telephone. ## Applications And Grants For Representation In The Criminal Courts Tables 3.1 and 3.2 While figures should be interpreted with caution as they may be revised in subsequent quarters as cases move into the Crown Court, the number of orders granted for legallyaided representation in the magistrates' court* fell by 8% in this quarter when compared to the same quarter of the previous year. This continues the downward trend of the last 3 years, which has been largely driven by Summary Only cases. The overall number of receipts in the magistrates' court2 (including those not involving legal aid) was 5% down over the same period. The proportion of these applications that are granted remains stable at around 95%. Orders granted for legally-aided representation in the Crown Court were also down, by 5% this quarter compared to last year, and this was mirrored by a 6% decrease in total Crown Court receipts2. Within this, orders relating to Either Way offences fell by 11%, while those relating to Indictable offences decreased by 2%. The proportion of Crown Court applications granted remains at almost 100%. ## Magistrates' Court Completed Work Tables 2.1 and 2.2 Legally-aided representation in the magistrates' court comprised almost one-third of the workload and just under half of expenditure in Crime Lower between October and December 2017. The volume of completed work in the magistrates' court fell 9% this quarter when compared to the same period of the previous year. Expenditure also fell by 9% (£3m). ## Crown Court Completed Work Tables 4.1 - 4.3 Volumes of cases completed in the Crown Court have declined over recent years but more gradually than new orders, due to longer-running cases still awaiting trial. Completed work volumes within the litigator (solicitor) fee scheme were 7% lower in October and December 2017 than in the same period of the previous year, driven mainly by a 13% fall in cases in which the defendant pleads guilty at their earliest opportunity in the Crown Court. This may be due to procedural reforms in the court system, with more defendants pleading earlier at the magistrates' court. In the advocate fee scheme there was a 4% fall compared to the same period last year; again, the largest fall was in the guilty plea category. Figures for expenditure on work completed in the Crown Court should be interpreted with caution as they may be revised in subsequent quarters as claims are assessed further on appeal and further payments added to the value of some completed claims. In the litigator fee scheme, expenditure was 1% higher in October to December 2017 than in the same period of the previous year. In the advocate fee scheme, the value of payments was 2% lower than in the same period of the previous year. ## Very High-Cost Cases In The Crown Court (Vhccs) As announced in the previous edition, we have changed our methodology for statistics on VHCCs so that they now report volumes and expenditure on a closed-case basis. This makes them more directly comparable with the statistics for other legal aid work in the Crown Court and elsewhere, and enables expenditure on the litigator and advocate work in VHCCs to be shown separately. More information on this change can be found in the Revisions section of the User guide to legal aid statistics. VHCCs are those Crown Court cases which, if the case were to proceed to trial, would likely last more than 60 days. These cases can span several years and, while they may involve small numbers of defendants, the associated expenditure is high in comparison. The threshold for cases to be handled as VHCCs has changed over time. Before 2008, an expected trial length of more than 25 days would bring a case into the scheme; in July 2010 this was raised to 40 days, before being raised to the current 60 days in October 2011. These changes have reduced the volume of cases handled as VHCCs over this period. As the left-hand chart of Figure 4 shows, the volume of VHCC starts fell quite rapidly in response to these changes, while completions declined more gradually due to the duration of these cases. Ten years ago, there were around 500 starts and completions each year; this fell by around half once the first change was implemented. The subsequent increase to the current 60-day level further reduced the workload to around 50 starts each year. The right-hand chart in Figure 4 presents expenditure on VHCCs on the closed-case basis, which shows the amount paid over the lifetime of a contract. For comparison, expenditure on the previous methodology, which shows the total payments made in the period for work on both closed and ongoing contracts (the 'cash' basis) is also shown. While the workload comprises a tiny proportion of legal aid in the Crown Court overall, the VHCC scheme currently represents around 4% of the cost, down from around 15% ten years ago. There were 9 defendants represented in the VHCC contracts that concluded in the October to December quarter 2017. Expenditure on this work over the duration of the contracts (i.e. on the closed-case basis) was £5.9 million. ## Tables 2.1 And 2.2 Prison Law Workload this quarter increased by 2% compared with the same period in the previous year, driven by an increase in advocacy at parole board hearings (up 15%). This category currently makes up just over one-third of prison law workload, but a much larger proportion of costs (74%). Expenditure on prison law rose by 16% over the same period, with all the increase due to the parole board rise. Despite these increases, prison law work comprised 2% of the volume and 2% of expenditure of total criminal legal aid work in October and December 2017; unchanged from previous years. ## 2. Civil Legal Aid Main Point There were 709 applications for ECF received between October and December 2017. This is the highest number of applications received in one quarter since the scheme began in April 2013 and a 60% increase from the same quarter last year. \| Workload \| Expenditure \| \|-------------------\|---------------------\| \| (% change \| (% change \| \| compared to the \| compared to the \| \| same quarter last \| same quarter last \| \| year) \| year) \| \| Family \| Family Public \| \| 11 \| \| \| % \| \| \| ↑ \| \| \| ) \| £115m ( \| \| 13 \| \| \| % \| \| \| ↑ \| \| \| ) \| \| \| Civil \| \| \| 31,000 ( \| \| \| 4 \| \| \| % \| \| \| ↑ \| \| \| ) \| \| \| Family Private \| 9,000 ( \| \| 8 \| \| \| % \| \| \| ↓ \| \| \| ) \| £24m ( \| \| 0% \| \| \| ↔ \| \| \| ) \| \| \| £139m ( \| \| \| 11% \| \| \| ↑ \| ) \| \| Workload 64,000 \| Mediation and MIAMS \| \| * \| \| \| 4,000 \| \| \| (13 \| \| \| % \| \| \| ↓ \| \| \| ) \| £1m ( \| \| 12 \| \| \| % \| \| \| ↓ \| \| \| ) \| \| \| ( \| \| \| 2% \| \| \| ↓ \| \| \| ) \| \| \| Immigration \| 10,000 ( \| \| 9 \| \| \| % \| \| \| ↓ \| \| \| ) \| £9m ( \| \| 12% \| \| \| ↓ \| \| \| ) \| \| \| Non-Family \| \| \| Mental Health \| 9,000 ( \| \| 2% \| \| \| ↓ \| \| \| ) \| £10m ( \| \| 5% \| \| \| ↑ \| \| \| ) \| \| \| Expenditure £172m \| \| \| Housing \| 11,000 ( \| \| 9 \| \| \| % \| \| \| ↓ \| \| \| ) \| £7m ( \| \| 4% \| \| \| ↑ \| \| \| ) \| \| \| 33,000 ( \| \| \| 6 \| \| \| % \| \| \| ↓ \| \| \| ) \| \| \| £33m ( \| \| \| 10% \| \| \| ↓ \| \| \| ) \| \| \| ( \| \| \| 6% \| \| \| ↑ \| \| \| ) \| \| \| Other Non-Family \| 3,000 ( \| \| 3 \| \| \| % \| \| \| ↓ \| \| \| ) \| £6m ( \| \| 35% \| \| \| ↓ \| \| \| ) \| \| * Not included in family total ## Tables 5.1 - 5.3 Legal Help And Controlled Legal Representation In the last quarter, there were 1% fewer legal help new matter starts than in the same period of 2016. The volume of completed claims decreased by 9% and expenditure by 10% in October to December 2017 compared to the same period in 2016 (figure 6). The implementation of the LASPO Act in April 2013 resulted in large reductions in legal help workload, with the overall trend falling to less than one-third of pre-LASPO levels. ## Family Legal Help In October to December 2017 family legal help starts increased by 2% compared to the same quarter last year. There were decreases in completed claims (16%) and expenditure (13%). There was a steep decline in new matters started immediately following the implementation of the LASPO Act in April 2013, with a more gradual decline over the last 2 to 3 years. In family mediation, Mediation Information and Assessment Meetings (MIAMs) were down by 12% in the last quarter compared to the previous year and currently stand at around a third of pre-LASPO levels. Mediation starts between October and December 2017 were down by 15% and currently stand at around 1,500, the lowest quarterly number of starts since the implementation of the LASPO Act. ## Non-Family Legal Help And Controlled Legal Representation Legal help and controlled legal representation makes up over 95% of both immigration and mental health cases. Controlled legal representation relates to representation at tribunal and so is often longer and more costly than legal help but, as with legal help, the decision on whether to grant legal aid is delegated to providers. The LASPO Act made changes to the scope of legal aid for immigration law, and the areas that remain in scope consist largely of asylum-related work. Having fallen by 40% over the 5 years to 2013-14, new matter starts in immigration stood 10% lower in the October to December 2017 quarter than in the same quarter of the previous year. Completed claims in immigration were down by 14% in the last quarter compared to the previous year and expenditure was also down by 14%. Within mental health most funding is spent on providing assistance to sectioned clients appealing the terms of their detention before a mental health tribunal. Mental health new matter starts fell 2% when comparing the latest quarter to the previous year. Completed claims fell by 6% and expenditure fell by 7% over the same period. Over 80% of housing work volume is made up of legal help. The volume of this work halved between July to September 2012 and April to June 2013. The trend then fluctuated for around 18 months but has been gradually falling since 2014. In October to December 2017 there was a 3% increase in housing work starts compared to the same quarter the previous year. There was no change in completed claims and a 3% decrease in expenditure. ## Civil Representation The number of civil representation certificates granted in the last quarter was up 5% compared to the same period of the previous year. The number of certificates completed increased by 16%, and the associated expenditure increased by 9% in the same period. Civil representation workloads fell following the implementation of the LASPO Act in April 2013 but by a smaller proportion than legal help and controlled legal representation. ## Family Civil Representation Certificates granted for family work increased by 5% in October to December 2017 compared to the previous year. There was an increase in certificates completed (17%) compared to the same quarter the previous year, however there has been a small fall compared to July to September 2017. The associated expenditure follows a similar pattern (11% increase compared to the same quarter the previous year and a 1% decrease compared to the previous quarter). This increase was largely due to public family law, which makes up around three quarters of family workload and over 80% of family expenditure. Certificates completed in public family law have fallen slightly after the peak in April to June 2017. In October to December 2017, applications for civil representation in private family law supported by evidence of domestic abuse increased by 3% compared to the same period of the previous year. The number granted also increased (up 4%) compared to the same period of 2016. The proportion of applications granted remained steady at around 70% from the inception of this type of application until the end of 2015, before increasing to around 80%. In the latest quarter it was 78%. ## Non-Family Civil Representation Non-family certificates completed make up just over 10% of the total civil representation workload and expenditure. There are only a small number of immigration and mental health cases in civil representation as most work in these areas consists of controlled legal representation. The majority of the certificates completed in this category are for housing work. There has been a gradual decline in housing certificates completed and in expenditure on this category since 2014, but in the latest period there were 8% more than in the same period of the previous year. ## Judicial Reviews Of all civil representation applications granted, around 3,000 a year relate to judicial review. The number granted in October to December 2017 was 10% higher than in the same quarter in 2016. A third of judicial reviews were for immigration cases and another third were for public law. ## Exceptional Case Funding (Ecf) There were 709 applications for ECF received from October to December 2017. This is the highest number of applications received in a single quarter since the scheme began in April 2013 and a 60% increase from the same quarter last year. 602 (85%) of these were new applications. Of the 709 ECF applications received between October and December 2017, 90% (635) had been determined by the LAA as of 20 February 2018. 54% (343) of these were granted, 26% (167) were refused and 17% (107) rejected (see figure 8). Among the ECF applications received between October and December 2017, immigration (60%), inquest (16%), and family (15%) remained the most requested categories of law (figure 8). The increase in ECF applications over the last two years is driven by an increase in immigration applications. ## 3. Further Information This publication presents quarterly data trends. For figures published annually, including those on providers of legal aid, appealing legal aid decisions, Central Funds, butterfly charts and legal aid in the higher courts, please refer to our annual publication. ## Accompanying Files As well as this bulletin, the following products are published as part of this release: - Tables: A set of tables, which give further detail and full timeseries for each area. - More detailed data: A detailed file to allow detailed analysis provided in both .csv (comma separated values) and .ods (OpenDocument Spreadsheet) formats - Data visualisation tool: A web-based tool allowing the user to view and customize charts and tables based on the published statistics. - Index of data in Legal aid statistics: An index to the more detailed data published in the .csv and .ods files, lists of available data from Legal Aid systems and guidance on how to work with the more detailed data using pivot tables. - User Guide to legal aid statistics: This provides comprehensive information about data sources and quality as well as key legislative changes. ## National Statistics Status National Statistics status means that official statistics meet the highest standards of trustworthiness, quality and public value. All official statistics should comply with all aspects of the Code of Practice for Official Statistics. They are awarded National Statistics status following an assessment by the Authority's regulatory arm. The Authority considers whether the statistics meet the highest standards of Code compliance, including the value they add to public decisions and debate. It is the Ministry of Justice's responsibility to maintain compliance with the standards expected for National Statistics. If we become concerned about whether these statistics are still meeting the appropriate standards, we will discuss any concerns with the Authority promptly. National Statistics status can be removed at any point when the highest standards are not maintained, and reinstated when standards are restored. ## Contact Press enquiries should be directed to the Ministry of Justice press office: Tel: 020 3334 3536 Email: newsdesk@justice.gsi.gov.uk Other enquiries about these statistics should be directed to the Justice Statistics Analytical Services division of the Ministry of Justice: Richard Field, Head of legal aid statistics Ministry of Justice, 7th Floor, 102 Petty France, London, SW1H 9AJ Email: statistics@legalaid.gsi.gov.uk Tel: 07469 579 287 ## Next Update: 28 June 2018 © Crown copyright Produced by the Ministry of Justice Alternative formats are available on request from statistics.enquiries@justice.gsi.gov.uk	en
3533-pdf	NORTHAMPTON BOROUGH COUNCIL HEAD OF PLANNING, TRANSPORTATION AND REGENERATION PLANNING COMMITTEE - 15 OCTOBER 2003 Application No: N/2003/1059 Location : Land/garages at Elizabeth Street Proposal : Demolition of 3 no. garages/stores and the erection of a single dwelling with integral garage Officer : Mrs Rita Bovey Recommendations: REFUSAL for the following reason: The proposed development, by reason of its position, height and massing, would appear overbearing and unduly dominant when seen from the rear of the properties at nos. 72 to 78 Lower Thrift Street and would result in the loss of outlook and openness from those properties. It is considered that the development would have a seriously detrimental effect upon the residential amenities of the occupiers at nos. 72 to 78 Lower Thrift Street for these reasons contrary to Policies H6, H19 and E20 of the Northampton Local Plan. Site Description and History: The application site is located on the east side of Elizabeth Street immediately adjoining the rear gardens of the properties along Lower Thrift Street. It contains a block of three lock-up garages. The proposal relates to the demolition of the garages and erection of a twostorey dwelling house with an integral garage. The proposed dwelling, with a height of 4.7 metres to the eaves level and 6.3 metres to the ridge, will front directly onto Elizabeth Street. Apart from three velux rooflights, no other window openings have been proposed at the side and rear elevations of the proposed dwelling. The applicant's agent has submitted a letter to support the application proposal (as appended to the report). Planning Policy: Northampton Local Plan Policies H6, H19 and E20. PPG3 (Housing). Consultations: Environmental Health - no objections. Representations: Thrifts Streets Residents Association - object to the proposal; do not object in principle to the idea of redevelopment of brownfield land in the area but should not include land that is or was previously the back gardens of Victorian housing; the overall nature and character of the proposed building is not compatible with and does not match the existing character of the wider area; the proposed dwelling is too close to houses and gardens of nos.70-80 Lower Thrift Street, the east facing windows in the upper storey will directly overlook these properties severely reducing their privacy and introducing an unreasonable level of intrusion; the new dwelling will significantly reduce the light and visual amenity of the houses on Lower Thrift Street; the dwelling is designed for single occupancy, as have a number of other units approved in the area in recent times, concerned that this trend will cause long term changes in the population structure and balance, with a decrease in the numbers of properties in family use. Also objected to the increase of housing density and traffic in the area. 72 Lower Thrift Street - object to the application; the proposed building will block off light to the house and garden; the proposed building, with only skylights in the roof, is unsightly; the two storey wall at the end of the gardens of 72 to 78 Lower Thrift Street would block these properties in like prison walls. 74 Lower Thrift Street - object to the application; the proposed building will enclose the top of the gardens of 72 to 78 Lower Thrift Street, together with the existing exterior walls of the R.A.O.B. Club at no.70 and the old bake house at no.80, the four gardens will be turned into a brick built compound. The outlook and the value of the property will be affected. 78 Lower Thrift Street - strongly object to the application; the new house would overlook gardens and invading on privacy; the building would create more shade in the garden and residents would have to look at a brick wall at the rear of the houses. Parking around the rear would be made more difficult, parents dropping off children for the school would have limited parking from the Elizabeth Street entrance meaning they would take up parking in Lower Thrift Street. Also objected to the noise and dirt resulting from the building works. Appraisal: The properties at nos. 72 to 78 Lower Thrift Street are currently bounded by the two relatively substantial brick built outriggers at nos. 70 and 80 on both sides. The rear elevation of the proposed dwelling, because of its height and design, would have an enclosing effect and create an overbearing and dominant effect upon these houses and gardens. Notwithstanding the advice contained in PPG3 (Housing) regarding infill dwellings in existing urban areas, the proposal is considered unacceptable and would detract from the living conditions currently enjoyed by the occupiers of those properties.	en
2454-pdf	HMRC takes the security of personal information very seriously. About the risks The main risks associated with using email that concern HMRC are:  confidentiality/privacy - there is a risk that emails sent over the internet may be intercepted  confirming your identity - it is crucial that we only communicate with established contacts at their correct email addresses  there is no guarantee that an email received over an insecure network, like the internet, has not been altered during transit  attachments could contain a virus or malicious code How we can reduce the risks We will desensitise information, for example by only quoting part of any unique reference numbers. We can also use encryption. We are happy to discuss how you may do the same but still provide the information we need. If you don't want to use email You may prefer that we don't respond to your enquiry by email, for example because other people have access to your email account. If so, we are happy to respond by an alternative method. We will agree this with you either by telephone, fax or in writing via post. If you do want to use email If you would like me to respond to your query by email, we will need you to confirm in writing by post, email or fax:  that you understand and accept the risks of using email  that you are content for financial information to be sent by email  that attachments can be used ## Contacting You Direct If You Would Like Us To Contact You Direct, We Will Need You To Confirm:  the names and email addresses of staff within your organisation with whom we may correspond by email  that you have ensured that your spam filters are not set to reject and/or automatically delete HMRC emails Contacting your agent If you would like us to contact authorised representatives of your organisation's agents, we will need you to confirm their names and email addresses. How we use your agreement Your confirmation will be held on file and will apply to future email correspondence. We will review the agreement at regular intervals to ensure there are no changes. If we receive email from someone we don't recognise If we receive email contact from someone we don't recognise from the information you gave us, we will verify the position with you before responding. Opting out You may opt out of using email at any time by letting us know. More information For more information on HMRC's privacy policy, visit http://www.hmrc.gov.uk/about/privacy.htm If you do want to use email to correspond with the HMRC VCRT, please confirm in writing by post, email or fax. You may find the following template helpful: I………………………………………………………………………………………………(Name) Of……………………………………………………………………………………………(Company Name) ………………………………………………………………………………………………(Company Address) ………………………………………………………………………………………………. Confirm that I have read the above guidance and:  I would like HMRC Venture Capital Reliefs Team to respond to my queries by email  I understand and accept the risks of using email.  I am content for financial information to be sent by email  I confirm that attachments can be used  I confirm that I have ensured that my organisation's spam filters are not set to reject and/or automatically delete HMRC emails The names and email addresses of staff within my organisation with whom the HMRC VCRT may correspond by email are as follows: Name Email address ……………………………………………………………………………………………………………………. ………………………………………………………………………………………………………….………… ……………………………………………………………………………………………………………….…… I also confirm that I am happy for HMRC VCRT to correspond by email with my authorised representatives of my organisation's agents, whose names and addresses are: Name Email address ………………………………………………………………………………………………………..…………. ……………………………………………………………………………………..……………………………. ………………………… (Signature) ………………………… (Date) ………………………… (Capacity in which signed, for example Director, Officer of the Company) ………………………… (Organisation Name) Your confirmation will be held on file with HMRC VCRT and will apply to future email correspondence with HMRC VCRT. HMRC VCRT will review the agreement at regular intervals to ensure there are no changes required.	en
3883-pdf	## Recommendation 1 The Ministry of Justice (MoJ) should ensure that it has established clear and integrated goals for knowledge and information management. Progress update - May 2017 Ref Status Priority High/Med/Low Target Completion Date H In progress 1.1 Completing work on the Knowledge and Information Management (KIM) Strategy and ensuring this is signed off at a senior level End Mar 2017 1.2 H End Mar 2017 Getting senior support for the strategy - for example, asking the Permanent Secretary to provide a foreword 1.3 M Ongoing In Continuing to liaise with Digital Technology to ensure that KIM and digital strategies are aligned progress 1.4 M Including deliverables from the strategy in the KIM and Records Management Service (RMS) business plans End Mar 2017 1.5 M End Jun 2017 Ensuring that there is a process for reporting on implementation to the senior team and an opportunity for the team to scrutinise progress, via the SIRO Board ## Recommendation 2 Moj Should Actively Work To Improve Its Culture Of Knowledge, Information And Records Management. Progress update - May 2017 Ref 2.1 Senior staff actively supporting and promoting KIM activities - for example by providing a foreword for the KIM Strategy, speaking at KIM events or blogging 2.2 Ensuring that the Knowledge & Information Management (KIM) Champion role is not delegated below Senior Civil Service (SCS) level 2.3 KIM Champions proactively promoting messages around knowledge, information and records management and ensuring that staff are complying with policy 2.4 Including more detail in the Information Management Policy on specific responsibilities of staff at all levels, but particularly middle management 2.5 Providing a method of monitoring compliance with information and records management policy using a maturity model and introducing an element of competition between business areas (see also recommendation 5) Increasing focus on knowledge transfer in the coming months because of the Voluntary Exit Status Priority High/Med/Low Target Completion Date M Ongoing M Ongoing M Ongoing M End Mar 2017 End Jun 2017 M 30 Sept 2.6 Scheme L 2016 Complete 2.7 H Ongoing Maintaining improvements in FOI performance and updating its publication scheme 2.8 M Ongoing Continuing to proactively identify information that can be published and improving its openness score by publishing datasets in a more usable format. ## Recommendation 3 Moj Should Continue To Embed Its Process For Information Asset Management And Information Risk. Progress update - May 2017 Ref Status Priority High/Med/Low Target Completion Date M Ongoing 3.1 Continuing to improve understanding of information assets through guidance, training and responsible roles such as Information Asset Owners (IAO) and Information Assurance Leads (IA Leads) 3.2 M Ongoing Increasing awareness of the existence and purpose of the various roles, such as IAOs, IA Leads and Information Assurance Co-ordinators, through communications, guidance and training 3.3 June 2017 H Reviewing and potentially streamlining the number of roles involved in the assurance process as part of a wider review of security and information governance which is planned in response to the Transforming Government Security review 3.4 L June 2017 Ensuring that there is no conflict of interest when staff carry out dual roles such as group level Senior Information Risk Owner (SIRO) and IAO 3.5 H Oct Closed 2016 Including risks around cyber security on the SIRO Board Risk Register or elsewhere in MoJ's risk framework and ensuring that it reflects the impact of IT change 3.6 Including mitigating actions on the role of KIM Champions and in promoting policy and compliance. Recommendation 4 MoJ should continue to ensure that it has a technology environment that supports the management, protection and exploitation of information and that this is used effectively by staff. Progress update - May 2017 Ref 4.1 Addressing the risk of staff not using Just Store (the replacement for the TRIM electronic records management system) through training, guidance and highlighting benefits of use to staff 4.2 Continuing to work collaboratively with Digital Technology, in particular on work around Just Store, Microsoft Office 365 and future plans for shared drives 4.3 Ensuring that roll-out of Microsoft Office 365 does not undermine use of Just Store through communications, policy, guidance and training Examining the experience of the Houses of M End Jun 2017 Status Priority High/Med/Low Target Completion Date H End Feb 2017 H In End 2017 progress H Mar2017 \| In \| M \| End \| \|--------------------------------------------------------\|----------\|---------\| \| 2016 \| progress \| \| \| 4.4 \| \| \| \| Parliament in rolling out Microsoft Office 365 and in \| \| \| \| working to address the issues \| \| \| \| \| \| \| \| 4.5 \| M \| April \| \| 2017 \| \| \| \| As part of considerations around the future \| \| \| \| approach to shared drives, MoJ ensuring that work \| \| \| \| is included to make information held there more \| \| \| \| discoverable as well as considering how it will better \| \| \| \| control access \| \| \| \| \| \| \| \| 4.6 \| H \| \| \| Restricting access to shared drives once Just Store \| \| \| \| has been rolled out to maximise its use \| \| \| \| Sep \| \| \| \| 2017 \| \| \| \| \| \| \| \| 4.7 \| M \| End Mar \| \| 2017 \| \| \| \| Exploring the work that the Department for Business \| \| \| \| Innovation and Skills (now known as Department for \| \| \| \| Business, Energy & Industrial Strategy) has done on \| \| \| \| moving away from shared drives \| \| \| \| \| \| \| \| 4.8 \| H \| \| \| Encouraging staff to save emails of value into \| \| \| \| corporate systems \| \| \| \| Mar \| \| \| \| 2017 \| \| \| \| \| \| \| \| 4.9 \| H \| Ongoing \| \| Putting plans in place to dispose from Enterprise \| \| \| \| Vault (bearing in mind the requirements of the \| \| \| \| Independent Inquiry into Child Sexual Abuse) and \| \| \| \| draw on the experience of Welsh Government \| \| \| \| \| \| \| \| 4.9a \| M \| End Mar \| \| 2017 \| \| \| \| KIM Champions and Information Managers \| \| \| \| encouraging staff to follow policy around email and \| \| \| \| personal drives, and ensuring that they do so \| \| \| \| \| \| \| \| 4.9b \| M \| In \| \| Ensuring that Information Managers have the right \| \| \| \| skills to support staff in the move to Just Store \| \| \| \| Mar \| \| \| \| 2017 \| progress \| \| \| 4.9c \| \| \| \| M \| End Mar \| \| \| 2017 \| \| \| \| Updating the Information Management Policy and \| \| \| \| other policy and guidance to reflect the roll-out to \| \| \| \| Just Store \| \| \| \| 4.9d \| \| \| \| L \| Ongoing \| \| \| Reminding staff of what-to-keep policy and related \| \| \| \| guidance. \| \| \| \| \| \| \| ## Recommendation 5 Moj Should Explore How It Can Better Monitor Compliance With Knowledge And Information Management Policy. Progress update - May 2017 Ref 5.1 Exploring the work that Home Office and HMT Treasury have done to monitor compliance through their One3M and the Knowledge Management Benchmarking processes considering how Information Managers and KIM Champions can play a role in any compliance monitoring process. 5.2 Drawing up a maturity model and developing a process to monitor business areas against this 5.3 Considering how Information Managers and KIM Champions can play a role in any compliance monitoring process. Status Priority High/Med/Low Target Completion Date End Jun L 2017 End Jun L 2017 End Jun L 2017 ## Recommendation 6 Moj Should Build On The Good Work It Has Already Done In Developing A Successful Approach To The Appraisal, Selection, Sensitivity Review And Transfer Of Its Paper And Digital Records. Progress update - May 2017 Ref Status Priority High/Med/Low Target Completion Date L End 2017 6.1 Exploring ways of speeding up the process of paper review, using macro methods where possible, in order to keep pace with the transition to the 20-year rule 6.2 M End 2017 Developing a process for appraisal, selection, sensitivity review and transfer of digital records on the shared drives 6.3 L End 2017 Using the experience of developing a process for the appraisal and selection of records on TRIM (MoJ's electronic records management system) to inform work on shared drives Applying disposal to the shared drives 6.4 M End 2017 6.5 M Ongoing Continuing to participate in the work that The National Archives and other departments are doing in this area \| \| \| \| \| \|----------------------------------------------------------\|-----\|-----\|-----\| \| 6.6 \| L \| End \| \| \| Considering the possibility of joining with other \| \| \| \| \| departments to share a solution for sensitivity review \| \| \| \| \| 2017 \| \| \| \| \| \| \| \| \| \| 6.7 \| M \| Dec \| \| \| 2016 \| \| \| \| \| Acquiring DROID (The National Archives' file profiling \| \| \| \| \| tool) to help gain an overview of the information on the \| \| \| \| \| shared drives and to enable digital transfer. \| \| \| \| \| \| \| \| \|	en
3962-pdf	# Monthly Report: Surveillance Project Sb4008 Ifng Tests For Bovine Tuberculosis (Tc0651 And Tc0751) Number 152 # Report Period 1St - 30Th April 2019 ## Operational Notes On Terminology, Definitions, Re-Test And Re-Samples Test Outcomes: - "Samples" refers to an individual tube of blood taken from an individual animal which is subsequently submitted for testing. It is generally assumed that the number of samples and the number of animals are analogous as any duplicate sample blood tube from the same animal will not be tested. However, minor discrepancies may occur where the same animal is tested more than once due to a request for a resample or the animal is tested twice under different categories (for example, as a PAR-RAPID and then as part of a PAR-HERD-S). - "Submissions" refers to an individual batch or set of samples received for testing. Submissions may comprise 1 or more samples (for example, if an entire herd is being tested it is usually sent as 1 submission). It is generally assumed that the number of submissions and the number of herds are analogous. - Retests are samples where the first ELISA assay fails and the same sample is retested on a new ELISA plate. Each sample can be retested only once. A retest is not a reportable test outcome. - Resamples are where a sample has been retested and failed a second time, so that the lab requests a new sample. This is a reportable test outcome. - Rejects are samples that are not tested by the lab for one of the following reasons: blood collected into wrong type of vacutainer, samples that have not been maintained at the appropriate temperature range (22±5C), unlabelled samples, broken or cracked tubes, blood that is extensively clotted (small clots are OK), samples received after 4pm on the day after sample collection. Such samples are reported separately in the tables and in figure 5. - POS (pokeweed mitogen) is a sample positive control reagent which provides a measure of the quality/viability of the blood sample. A POS fail (< 0.45 optical density reading) may indicate compromised blood quality as a result of collection/transportation conditions or due the animal having an unusually low/suppressed cellular immune response. - NEG (no-antigen control) is a sample negative control which provides a measure of the background antigen-independent IFN- responses. A NEG fail (> 0.3 optical density reading) may indicate a laboratory procedures problem (normally resolved during re-test) or that an animal has unusually high background levels of IFN-g. ## Test Criteria \| Submission Reason \| Explanation \| \|-----------------------------------------------------\|----------------------\| \| Possible Herd Slaughter \| \| \| (PAR-HERD-S) \| \| \| Parallel interferon-gamma blood testing of skin \| \| \| test negative cattle to inform whole or partial \| \| \| herd slaughters decisions \| \| \| Parallel blood testing of skin test-negative cattle \| \| \| in persistently infected herds that have failed to \| \| \| resolve by repeated short-interval skin testing \| \| \| and fulfill a minimum of biosecurity standards. \| \| \| Persistent TB breakdowns \| \| \| (OTF status withdrawn) \| \| \| (PAR-P-CONF) N.B. \| \| \| PAR-PERSIS from 1st April \| \| \| 2017 \| \| \| Parallel - Low Incidence \| \| \| (PAR-LOW-IN) N.B. \| \| \| PAR-NEW-IN from 1st April \| \| \| 2017 \| \| \| Parallel blood testing to maximise the \| \| \| probability of removing all infected cattle in a \| \| \| new herd breakdown as soon as possible after \| \| \| confirmation of TB. \| \| \| Rapid Testing of twice IR's \| \| \| (PAR-RAPID) \| \| \| Parallel blood testing of two-times IRs identified \| \| \| under the severe interpretation of the skin test \| \| \| used in Wales. \| \| \| PAR-CUL-N \| \| \| Parallel blood testing to maximise the \| \| \| probability of removing all infected cattle in a \| \| \| new breakdown as soon as possible after \| \| \| confirmation of TB where herd is situated in \| \| \| badger control areas of England that have \| \| \| completed at least 2 effective culls. \| \| \| PAR-CUL-P \| \| \| Parallel blood testing to maximise the \| \| \| probability of removing all infected cattle in a \| \| \| persistent confirmed breakdown where herd is \| \| \| situated within badger control areas of England \| \| \| that have completed at least 2 effective culls \| \| \| Parallel Other \| \| \| (PAR-OTHER) \| \| \| Other parallel blood testing not covered in any \| \| \| of the other scenarios \| \| \| NO (APHA discretion) \| \| \| 'NSR' Herds (SER-NSR) \| \| \| Modified serial blood testing of individual skin \| \| \| test reactors and/or IRs in unconfirmed TB \| \| \| breakdown herds to clarify their infection status \| \| \| where there is evidence of non-specific \| \| \| sensitisation to bovine tuberculin (the \| \| \| "non-specific reactor" procedure) \| \| \| Suspected Fraud \| \| \| (SER-FRAUD) \| \| \| Modified serial blood test of suspected \| \| \| fraudulent reactors to the skin test (animals with \| \| \| abnormal skin swellings), in confirmed or \| \| \| unconfirmed TB incidents. \| \| \| Serial Other \| \| \| (SER-OTHER) \| \| \| Serial test - other reasons \| NO (APHA Discretion) \| \| SER-FLEXI \| \| \| Extended blood test to provide flexible test \| \| \| readout in a confirmed M. bovis-infected herd \| \| \| where Johne's (M. a. paratuberculosis) infection \| \| \| or vaccination is suspected to be interferring \| \| \| with M. bovis infection detection \| \| \| YES, if APHA are \| \| \| contemplating a herd \| \| \| slaughter \| \| \| NO (APHA discretion) \| \| \| YES in Area of Low \| \| \| Incidence \| \| \| YES (Wales only) \| \| \| YES (in eligible badger \| \| \| control areas of England) \| \| \| NO (APHA discretion) \| \| \| NO (APHA discretion) \| \| \| NO (APHA discretion to \| \| \| firm up or rule out any \| \| \| suspicion of fraud and \| \| \| support any \| \| \| investigations) \| \| \| NO (APHA discretion) \| \| ## Table 1. Monthly Totals For April 2019 \| % \| Total 2019 \| % \| \|-------------------------\|--------------------------\|----------\| \| Num \| \| \| \| samples \| \| \| \| April 2019 \| \| \| \| Submissions \| 269 \| 1193 \| \| Samples \| Total (%) \| 30298 \| \| England \| 23776 \| 78.47 % \| \| Wales \| 6522 \| 21.53 % \| \| Scotland \| 366 \| 0.32 % \| \| Parallel Tests \| PAR-CUL-N \| 5965 \| \| PAR-CUL-P \| 199 \| 0.66 % \| \| PAR-HERD-S \| 412 \| 1.36 % \| \| PAR-NEW-IN \| 15543 \| 51.30 % \| \| PAR-OTHER \| 47 \| 0.16 % \| \| PAR-PERSIS \| 6785 \| 22.39 % \| \| PAR-RAPID \| 70 \| 0.23 % \| \| Total(% of all samples) \| 29021 \| 95.79 % \| \| Serial/Extended Tests \| SER-FLEXI \| 1276 \| \| SER-FRAUD \| 0 \| 0.00 % \| \| SER-NSR \| 1 \| 0.00 % \| \| SER-OTHER \| 0 \| 0.00 % \| \| Total(% of all samples) \| 1277 \| 4.21 % \| \| Total \| 30298 \| 100.00 % \| \| Retests \| Total (% of all samples) \| 1897 \| \| England \| 1432 \| 4.73 % \| \| Wales \| 465 \| 1.53 % \| \| Scotland \| 20 \| 0.02 % \| \| Resamples \| Total (% of all samples) \| 1511 \| \| England \| 1139 \| 3.76 % \| \| Wales \| 372 \| 1.23 % \| \| Scotland \| 17 \| 0.01 % \| \| Rejects \| Total (% of all samples) \| 316 \| \| England \| 264 \| 0.87 % \| \| Wales \| 52 \| 0.17 % \| \| Scotland \| 0 \| 0.00 % \| PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other \| PAR-CUL-N \| 5965 \| 19.7 % \| \|-------------\|--------\|----------\| \| PAR-CUL-P \| 199 \| 0.7 % \| \| PAR-HERD-S \| 412 \| 1.4 % \| \| PAR-NEW-IN \| 15543 \| 51.3 % \| \| PAR-OTHER \| 47 \| 0.2 % \| \| PAR-PERSIS \| 6785 \| 22.4 % \| \| PAR-RAPID \| 70 \| 0.2 % \| \| SER-FLEXI \| 1276 \| 4.2 % \| \| SER-NSR \| 1 \| 0.0 % \| \| Total \| 30298 \| 100.00 % \| submitted by County ## Table 2A. Summary By County For April 2019 \| Country \| County \| \|-----------------\|----------------\| \| Submission \| \| \| Reasons* \| \| \| No. \| \| \| subs \| \| \| Samples \| Gamma Positive \| \| n \| % of total \| \| England - HRA \| Avon \| \| Corn & Scilly \| PAR-CUL-N \| \| PAR-PERSIS \| 4 \| \| Devon \| PAR-CUL-N \| \| PAR-CUL-P \| 3 \| \| PAR-OTHER \| 2 \| \| PAR-PERSIS \| 3 \| \| Dorset \| PAR-CUL-N \| \| PAR-CUL-P \| 1 \| \| PAR-NEW-IN \| 1 \| \| SER-FLEXI \| 1 \| \| Gloucs \| PAR-CUL-N \| \| PAR-CUL-P \| 1 \| \| Heref \| PAR-PERSIS \| \| Shropshire \| PAR-CUL-P \| \| PAR-PERSIS \| 1 \| \| SER-FLEXI \| 3 \| \| Somerset excl N \| PAR-CUL-N \| \| PAR-PERSIS \| 3 \| \| Staffs \| PAR-PERSIS \| \| Wiltshire \| PAR-CUL-N \| \| England - Edge \| Berks \| \| PAR-PERSIS \| 2 \| \| Bucks \| PAR-NEW-IN \| \| Cheshire \| PAR-NEW-IN \| \| PAR-PERSIS \| 1 \| * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other \| Country \| County \| \|-----------------\|----------------\| \| Submission \| \| \| Reasons* \| \| \| No. \| \| \| subs \| \| \| Samples \| Gamma Positive \| \| n \| % of total \| \| Derbyshire \| PAR-NEW-IN \| \| E Sussex \| PAR-NEW-IN \| \| Hampshire \| PAR-NEW-IN \| \| SER-NSR \| 1 \| \| Leics & Rut \| PAR-NEW-IN \| \| Northants \| PAR-NEW-IN \| \| Notts \| PAR-NEW-IN \| \| Oxon \| PAR-NEW-IN \| \| Warks \| PAR-NEW-IN \| \| England - LRA \| Cambs \| \| Cumbria \| PAR-NEW-IN \| \| Essex \| PAR-NEW-IN \| \| Gr Manchester \| PAR-NEW-IN \| \| Herts \| PAR-NEW-IN \| \| Lancashire \| PAR-NEW-IN \| \| Lincs \| PAR-NEW-IN \| \| N Yorks \| SER-FLEXI \| \| England \| \| \| 187 \| 23776 \| \| Wales - High TB \| Carms \| \| PAR-PERSIS \| 3 \| \| PAR-RAPID \| 3 \| \| SER-FLEXI \| 2 \| \| Ceredigion \| PAR-HERD-S \| \| PAR-NEW-IN \| 1 \| \| PAR-PERSIS \| 1 \| \| PAR-RAPID \| 1 \| \| SER-FLEXI \| 1 \| \| Gwent \| PAR-HERD-S \| * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other \| Country \| County \| \|-------------------------\|----------------\| \| Submission \| \| \| Reasons* \| \| \| No. \| \| \| subs \| \| \| Samples \| Gamma Positive \| \| n \| % of total \| \| PAR-RAPID \| 3 \| \| Pembs \| PAR-HERD-S \| \| PAR-PERSIS \| 15 \| \| PAR-RAPID \| 5 \| \| SER-FLEXI \| 4 \| \| Powys \| PAR-HERD-S \| \| PAR-NEW-IN \| 2 \| \| PAR-PERSIS \| 4 \| \| PAR-RAPID \| 7 \| \| SER-FLEXI \| 1 \| \| S Wales \| PAR-OTHER \| \| PAR-PERSIS \| 1 \| \| SER-FLEXI \| 1 \| \| Wales - Intermediate TB \| Carms \| \| PAR-PERSIS \| 1 \| \| PAR-RAPID \| 1 \| \| NE Wales \| PAR-NEW-IN \| \| PAR-RAPID \| 1 \| \| SER-FLEXI \| 1 \| \| Powys \| PAR-NEW-IN \| \| S Glamorgan \| PAR-RAPID \| \| Wales \| \| \| 82 \| 6522 \| \| Grand Total \| Sum: \| For test criteria please refer to Operational notes. Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other ## Table 2B. Summary By County For 2019 \| Country \| County \| \|---------------\|----------------\| \| Submission \| \| \| Reasons* \| \| \| No. \| \| \| subs \| \| \| Samples \| Gamma Positive \| \| n \| % of total \| \| England - HRA \| Avon \| \| SER-FRAUD \| 1 \| \| Corn & Scilly \| PAR-CUL-N \| \| PAR-CUL-P \| 4 \| \| PAR-PERSIS \| 10 \| \| SER-FLEXI \| 2 \| \| Devon \| PAR-CUL-N \| \| PAR-CUL-P \| 17 \| \| PAR-NEW-IN \| 3 \| \| PAR-OTHER \| 5 \| \| PAR-PERSIS \| 15 \| \| SER-FLEXI \| 4 \| \| Dorset \| PAR-CUL-N \| \| PAR-CUL-P \| 6 \| \| PAR-NEW-IN \| 1 \| \| SER-FLEXI \| 1 \| \| Gloucs \| PAR-CUL-N \| \| PAR-CUL-P \| 3 \| \| Heref \| PAR-CUL-N \| \| PAR-CUL-P \| 1 \| \| PAR-PERSIS \| 9 \| \| Shropshire \| PAR-CUL-P \| \| PAR-NEW-IN \| 1 \| \| PAR-OTHER \| 4 \| \| PAR-PERSIS \| 5 \| \| SER-FLEXI \| 3 \| * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other \| Country \| County \| \|-----------------\|----------------\| \| Submission \| \| \| Reasons* \| \| \| No. \| \| \| subs \| \| \| Samples \| Gamma Positive \| \| n \| % of total \| \| Somerset excl N \| PAR-CUL-N \| \| PAR-OTHER \| 2 \| \| PAR-PERSIS \| 3 \| \| Staffs \| PAR-PERSIS \| \| Wiltshire \| PAR-CUL-N \| \| PAR-CUL-P \| 3 \| \| PAR-NEW-IN \| 1 \| \| PAR-OTHER \| 1 \| \| PAR-PERSIS \| 1 \| \| SER-FLEXI \| 1 \| \| England - Edge \| Berks \| \| PAR-PERSIS \| 3 \| \| Bucks \| PAR-NEW-IN \| \| Cheshire \| PAR-CUL-N \| \| PAR-NEW-IN \| 97 \| \| PAR-PERSIS \| 3 \| \| Derbyshire \| PAR-NEW-IN \| \| E Sussex \| PAR-NEW-IN \| \| Hampshire \| PAR-NEW-IN \| \| SER-NSR \| 2 \| \| Leics & Rut \| PAR-NEW-IN \| \| Northants \| PAR-NEW-IN \| \| Notts \| PAR-NEW-IN \| \| Oxon \| PAR-NEW-IN \| \| Warks \| PAR-NEW-IN \| \| PAR-PERSIS \| 2 \| \| England - LRA \| Cambs \| \| Cumbria \| PAR-NEW-IN \| * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other \| Country \| County \| \|-----------------\|----------------\| \| Submission \| \| \| Reasons* \| \| \| No. \| \| \| subs \| \| \| Samples \| Gamma Positive \| \| n \| % of total \| \| Essex \| PAR-NEW-IN \| \| Gr Manchester \| PAR-NEW-IN \| \| Herts \| PAR-NEW-IN \| \| I of Wight \| PAR-NEW-IN \| \| Lancashire \| PAR-NEW-IN \| \| Lincs \| PAR-NEW-IN \| \| N Yorks \| PAR-NEW-IN \| \| SER-FLEXI \| 1 \| \| S Yorks \| PAR-NEW-IN \| \| England \| \| \| 718 \| 91395 \| \| Wales - High TB \| Carms \| \| PAR-NEW-IN \| 1 \| \| PAR-OTHER \| 4 \| \| PAR-PERSIS \| 36 \| \| PAR-RAPID \| 30 \| \| SER-FLEXI \| 17 \| \| Ceredigion \| PAR-HERD-S \| \| PAR-NEW-IN \| 1 \| \| PAR-OTHER \| 1 \| \| PAR-PERSIS \| 9 \| \| PAR-RAPID \| 15 \| \| SER-FLEXI \| 2 \| \| Gwent \| PAR-HERD-S \| \| PAR-PERSIS \| 8 \| \| PAR-RAPID \| 17 \| \| Pembrokeshire \| PAR-RAPID \| \| Pembs \| PAR-HERD-S \| \| PAR-OTHER \| 10 \| * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other \| Country \| County \| \|-------------------------\|----------------\| \| Submission \| \| \| Reasons* \| \| \| No. \| \| \| subs \| \| \| Samples \| Gamma Positive \| \| n \| % of total \| \| PAR-PERSIS \| 40 \| \| PAR-RAPID \| 47 \| \| SER-FLEXI \| 9 \| \| Powys \| PAR-HERD-S \| \| PAR-NEW-IN \| 7 \| \| PAR-PERSIS \| 13 \| \| PAR-RAPID \| 26 \| \| SER-FLEXI \| 3 \| \| S Wales \| PAR-HERD-S \| \| PAR-OTHER \| 1 \| \| PAR-PERSIS \| 2 \| \| SER-FLEXI \| 2 \| \| W Glamorgan \| PAR-HERD-S \| \| PAR-PERSIS \| 1 \| \| PAR-RAPID \| 1 \| \| Wales - Intermediate TB \| Carms \| \| PAR-PERSIS \| 1 \| \| PAR-RAPID \| 2 \| \| Ceredigion \| PAR-HERD-S \| \| PAR-OTHER \| 1 \| \| NE Wales \| PAR-NEW-IN \| \| PAR-OTHER \| 2 \| \| PAR-PERSIS \| 1 \| \| PAR-RAPID \| 8 \| \| SER-FLEXI \| 19 \| \| Powys \| PAR-NEW-IN \| \| S Glamorgan \| PAR-RAPID \| \| W Glamorgan \| PAR-HERD-S \| * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. ## Par-Herd-S: Potential Herd Slaughter, Par-P-Conf (Par-Persis From 1 April 2017): Persistent Tb Breakdown Otfw, Par-Low-In (Par-New-In From 1 April 2017): Parallel Low Incidence, Par-Rapid: Rapid Testing Of Twice Irs, Par-Cul-N: New Infection In Cull Area, Par-Cul-P: Persistent Infection In Cull Area, Par-Other: Parallel Other, Ser-Flexi: Flexible Extended Test In Confirmed Herds With Concurrent Johne'S Infection/Vaccination, Ser-Nsr: Serial Non-Specific Reactor, Ser-Fraud: Serial Potential Fraud, Ser-Other: Serial Other Table 2B. Summary By County For 2019 Cont. \| Country \| County \| \|---------------------\|----------------\| \| Submission \| \| \| Reasons* \| \| \| No. \| \| \| subs \| \| \| Samples \| Gamma Positive \| \| n \| % of total \| \| PAR-OTHER \| 1 \| \| PAR-RAPID \| 1 \| \| Wales - Low TB \| Gwynedd \| \| NE Wales \| PAR-NEW-IN \| \| Wales \| \| \| 472 \| 23718 \| \| Scotland - Scotland \| Ayrshire \| \| Scotland \| \| \| 3 \| 366 \| \| Grand Total \| Sum: \| For test criteria please refer to Operational notes. Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. ## Par-Herd-S: Potential Herd Slaughter, Par-P-Conf (Par-Persis From 1 April 2017): Persistent Tb Breakdown Otfw, Par-Low-In (Par-New-In From 1 April 2017): Parallel Low Incidence, Par-Rapid: Rapid Testing Of Twice Irs, Par-Cul-N: New Infection In Cull Area, Par-Cul-P: Persistent Infection In Cull Area, Par-Other: Parallel Other, Ser-Flexi: Flexible Extended Test In Confirmed Herds With Concurrent Johne'S Infection/Vaccination, Ser-Nsr: Serial Non-Specific Reactor, Ser-Fraud: Serial Potential Fraud, Ser-Other: Serial Other Table 3A. Summary Of Ifn Gamma Results By Country And Protocol April 2019 \| Country \| Protocol \| \|-----------------\|--------------\| \| No \| \| \| submissions \| Samples \| \| n \| % of total n \| \| England \| Parallel \| \| Serial/Extended \| 6 \| \| Total \| 187 \| \| Scotland \| Parallel \| \| Serial/Extended \| 0 \| \| Total \| 0 \| \| Wales \| Parallel \| \| Serial/Extended \| 10 \| \| Total \| 82 \| \| GB \| Parallel \| \| Serial/Extended \| 16 \| \| Total \| 269 \| \| 187.00 \| \| \| 82.00 \| \| * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. ## Table 3B. Summary Of Ifn Gamma Results By Country And Protocol (Total 2019) \| Country \| Protocol \| \|-----------------\|--------------\| \| No \| \| \| submissions \| Samples \| \| n \| % of total n \| \| England \| Parallel \| \| Serial/Extended \| 15 \| \| Total \| 718 \| \| Scotland \| Parallel \| \| Serial/Extended \| 0 \| \| Total \| 3 \| \| Wales \| Parallel \| \| Serial/Extended \| 52 \| \| Total \| 472 \| \| GB \| Parallel \| \| Serial/Extended \| 67 \| \| Total \| 1193 115479 \| \| 718.00 \| \| \| 472.00 \| \| \| 3.00 \| \| * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. Submission Reason No submissions Samples Gamma Positive Gamma Negatives Retest Resample Reject n % of total n % n % n % n % n % GB Extended Flexible IFN-GAMMA test 15 1276 4.2% 49 3.8% 1176 92.2% 61 4.8 % 49 3.8 % 2 0.2 % Parallel - Herd or Group Slaughter 10 412 1.4% 21 5.1% 362 87.9% 40 9.7 % 29 7.0 % 0 Parallel New Infection 109 15543 51.3% 538 3.5% 14181 91.2% 969 6.2 % 768 4.9 % 56 0.4 % Parallel - new infection cull area 55 5965 19.7% 277 4.6% 5279 88.5% 358 6.0 % 278 4.7 % 131 2.2 % Parallel - Other 4 47 0.2% 5 10.6% 40 85.1% 2 4.3 % 2 4.3 % 0 Parallel Persistent Infection 47 6785 22.4% 217 3.2% 6082 89.6% 448 6.6 % 369 5.4 % 119 1.8 % Parallel - persistent infection cull area 6 199 0.7% 14 7.0% 169 84.9% 17 8.5 % 16 8.0 % 0 Parallel - Rapid Testing Two-times IRs 22 70 0.2% 12 17.1% 50 71.4% 2 2.9 % 0 8 11.4 % Serial - Suspected NSR Herd 1 1 0.0% 0 0.0 % 1 100.0% 0 0 0 Total 269 30298 100.0% 1133 3.7% 27340 90.2% 1897 6.3 % 1511 5.0 % 316 1.0 % England - HRA Extended Flexible IFN-GAMMA test 4 639 2.1% 24 3.8% 583 91.2% 40 6.3 % 32 5.0 % 0 Parallel New Infection 1 23 0.1% 1 4.3% 17 73.9% 5 21.7 % 5 21.7 % 0 Parallel - new infection cull area 55 5965 19.7% 277 4.6% 5279 88.5% 358 6.0 % 278 4.7 % 131 2.2 % Parallel - Other 2 28 0.1% 3 10.7% 23 82.1% 2 7.1 % 2 7.1 % 0 Parallel Persistent Infection 19 2773 9.2% 120 4.3% 2391 86.2% 176 6.3 % 144 5.2 % 118 4.3 % Parallel - persistent infection cull area 6 199 0.7% 14 7.0% 169 84.9% 17 8.5 % 16 8.0 % 0 England - HRA 87 9627 31.8% 439 4.6% 8462 87.9% 598 6.2 % 477 5.0 % 249 2.6 % England - Edge Parallel New Infection 79 11539 38.1% 387 3.4% 10631 92.1% 647 5.6 % 506 4.4 % 15 0.1 % Parallel Persistent Infection 3 324 1.1% 2 0.6% 317 97.8% 6 1.9 % 5 1.5 % 0 Serial - Suspected NSR Herd 1 1 0.0% 0 0.0 % 1 100.0% 0 0 0 England - Edge 83 11864 39.2% 389 3.3% 10949 92.3% 653 5.5 % 511 4.3 % 15 0.1 % England - LRA Extended Flexible IFN-GAMMA test 1 49 0.2% 1 2.0% 47 95.9% 3 6.1 % 1 2.0 % 0 Parallel New Infection 16 2236 7.4% 89 4.0% 1997 89.3% 178 8.0 % 150 6.7 % 0 England - LRA 17 2285 7.5% 90 3.9% 2044 89.5% 181 7.9 % 151 6.6 % 0 Wales - High TB Extended Flexible IFN-GAMMA test 9 571 1.9% 24 4.2% 532 93.2% 15 2.6 % 13 2.3 % 2 0.4 % Parallel - Herd or Group Slaughter 10 412 1.4% 21 5.1% 362 87.9% 40 9.7 % 29 7.0 % 0 Parallel New Infection 3 288 1.0% 13 4.5% 265 92.0% 10 3.5 % 10 3.5 % 0 Parallel - Other 1 11 0.0% 0 0.0 % 11 100.0% 0 0 0 Parallel Persistent Infection 24 3573 11.8% 83 2.3% 3274 91.6% 263 7.4 % 217 6.1 % 1 0.0 % Parallel - Rapid Testing Two-times IRs 19 57 0.2% 8 14.0% 41 71.9% 2 3.5 % 0 8 14.0 % Wales - High TB 66 4912 16.2% 149 3.0% 4485 91.3% 330 6.7 % 269 5.5 % 11 0.2 % Wales - Intermediate TB Extended Flexible IFN-GAMMA test 1 17 0.1% 0 0.0 % 14 82.4% 3 17.6 % 3 17.6 % 0 Parallel New Infection 10 1457 4.8% 48 3.3% 1271 87.2% 129 8.9 % 97 6.7 % 41 2.8 % Parallel - Other 1 8 0.0% 2 25.0% 6 75.0% 0 0 0 Parallel Persistent Infection 1 115 0.4% 12 10.4% 100 87.0% 3 2.6 % 3 2.6 % 0 Parallel - Rapid Testing Two-times IRs 3 13 0.0% 4 30.8% 9 69.2% 0 0 0 Wales - Intermediate TB 16 1610 5.3% 66 4.1% 1400 87.0% 135 8.4 % 103 6.4 % 41 2.5 % Submission Reason No submissions Samples Gamma Positive Gamma Negatives Retest Resample Reject n % of total n % n % n % n % n % GB Extended Flexible IFN-GAMMA test 64 2706 2.3% 186 6.9% 2299 85.0% 161 5.9 % 121 4.5 % 100 3.7 % Parallel - Herd or Group Slaughter 72 2941 2.5% 212 7.2% 2507 85.2% 260 8.8 % 218 7.4 % 5 0.2 % Parallel New Infection 492 58328 50.5% 2392 4.1% 51647 88.5% 4226 7.2 % 3500 6.0 % 789 1.4 % Parallel - new infection cull area 171 20692 17.9% 1161 5.6% 18010 87.0% 1411 6.8 % 1158 5.6 % 363 1.8 % Parallel - Other 36 2460 2.1% 193 7.8% 2071 84.2% 188 7.6 % 154 6.3 % 42 1.7 % Parallel Persistent Infection 171 20470 17.7% 1157 5.7% 17900 87.4% 1437 7.0 % 1176 5.7 % 240 1.2 % Parallel - persistent infection cull area 35 7375 6.4% 445 6.0% 6495 88.1% 511 6.9 % 428 5.8 % 7 0.1 % Parallel - Rapid Testing Two-times IRs 149 490 0.4% 123 25.1% 310 63.3% 41 8.4 % 31 6.3 % 26 5.3 % Serial - Anomalous Reaction 1 9 0.0% 0 0.0 % 9 100.0% 0 0 0 Serial - Suspected NSR Herd 2 8 0.0% 0 0.0 % 8 100.0% 0 0 0 Total 1193 115479 100.0% 5869 5.1% 101256 87.7% 8235 7.1 % 6786 5.9 % 1572 1.4 % England - HRA Extended Flexible IFN-GAMMA test 11 968 0.8% 60 6.2% 824 85.1% 63 6.5 % 39 4.0 % 45 4.6 % Parallel New Infection 6 814 0.7% 108 13.3% 617 75.8% 109 13.4 % 89 10.9 % 0 Parallel - new infection cull area 170 20432 17.7% 1142 5.6% 17781 87.0% 1399 6.8 % 1146 5.6 % 363 1.8 % Parallel - Other 12 834 0.7% 77 9.2% 663 79.5% 61 7.3 % 52 6.2 % 42 5.0 % Parallel Persistent Infection 52 7165 6.2% 545 7.6% 5957 83.1% 542 7.6 % 443 6.2 % 221 3.1 % Parallel - persistent infection cull area 35 7375 6.4% 445 6.0% 6495 88.1% 511 6.9 % 428 5.8 % 7 0.1 % Serial - Anomalous Reaction 1 9 0.0% 0 0.0 % 9 100.0% 0 0 0 England - Edge Parallel New Infection 384 48617 42.1% 1956 4.0% 43138 88.7% 3436 7.1 % 2840 5.8 % 683 1.4 % Parallel - new infection cull area 1 260 0.2% 19 7.3% 229 88.1% 12 4.6 % 12 4.6 % 0 Parallel Persistent Infection 8 837 0.7% 17 2.0% 791 94.5% 33 3.9 % 29 3.5 % 0 Serial - Suspected NSR Herd 2 8 0.0% 0 0.0 % 8 100.0% 0 0 0 England - LRA Extended Flexible IFN-GAMMA test 1 49 0.0% 1 2.0% 47 95.9% 3 6.1 % 1 2.0 % 0 Parallel New Infection 35 4027 3.5% 149 3.7% 3553 88.2% 337 8.4 % 287 7.1 % 38 0.9 % England 718 91395 79.1% 4519 4.9% 80112 87.7% 6506 7.1 % 5366 5.9 % 1399 1.5 % Wales - High TB Extended Flexible IFN-GAMMA test 33 1127 1.0% 71 6.3% 1001 88.8% 61 5.4 % 53 4.7 % 2 0.2 % ## Table 4B. Summaryof Ifn Gamma Results By Submission Reason (Total 2019) Cont. Parallel - Herd or Group Slaughter 68 2915 2.5% 209 7.2% 2494 85.6% 250 8.6 % 208 7.1 % 5 0.2 % Parallel New Infection 9 441 0.4% 37 8.4% 379 85.9% 27 6.1 % 25 5.7 % 0 Parallel - Other 16 1386 1.2% 75 5.4% 1230 88.7% 103 7.4 % 81 5.8 % 0 Parallel Persistent Infection 109 12347 10.7% 583 4.7% 11046 89.5% 859 7.0 % 701 5.7 % 19 0.2 % Parallel - Rapid Testing Two-times IRs 137 447 0.4% 114 25.5% 277 62.0% 40 8.9 % 30 6.7 % 26 5.8 % Wales - Intermediate TB Extended Flexible IFN-GAMMA test 19 562 0.5% 54 9.6% 427 76.0% 34 6.0 % 28 5.0 % 53 9.4 % Parallel - Herd or Group Slaughter 4 26 0.0% 3 11.5% 13 50.0% 10 38.5 % 10 38.5 % 0 Parallel New Infection 43 3851 3.3% 130 3.4% 3432 89.1% 289 7.5 % 237 6.2 % 52 1.4 % Parallel - Other 8 240 0.2% 41 17.1% 178 74.2% 24 10.0 % 21 8.8 % 0 Parallel Persistent Infection 2 121 0.1% 12 9.9% 106 87.6% 3 2.5 % 3 2.5 % 0 Parallel - Rapid Testing Two-times IRs 12 43 0.0% 9 20.9% 33 76.7% 1 2.3 % 1 2.3 % 0 Wales - Low TB Parallel New Infection 12 212 0.2% 8 3.8% 183 86.3% 8 3.8 % 5 2.4 % 16 7.5 % Wales 472 23718 20.5% 1346 5.7% 20799 87.7% 1709 7.2 % 1403 5.9 % 173 0.7 % Scotland - Scotland Parallel New Infection 3 366 0.3% 4 1.1% 345 94.3% 20 5.5 % 17 4.6 % 0 Scotland 3 366 0.3% 4 1.1% 345 94.3% 20 5.5 % 17 4.6 % 0 \| Year \| Month \| \|--------------\|---------\| \| Herds \| \| \| sampled \| \| \| Samples \| \| \| tested \| \| \| IFNg+ \| \| \| samples \| \| \| Wrong \| \| \| Eartags \| \| \| VL No \| \| \| Cult \| \| \| Herds \| \| \| with \| \| \| positives \| \| \| No PM \| \| \| No \| \| \| Cult \| \| \| No PM \| \| \| Cult \| \| \| Pend \| \| \| No PM \| \| \| Cult \| \| \| Neg \| \| \| No PM \| \| \| Cult \| \| \| Mb \| \| \| VL \| \| \| Cult \| \| \| Neg \| \| \| VL \| \| \| Cult \| \| \| Pend \| \| \| VL \| \| \| Cult \| \| \| Mb \| \| \| VL \| \| \| Cult \| \| \| Other \| \| \| NVL \| \| \| No \| \| \| Cult \| \| \| NVL \| \| \| Cult \| \| \| Pend \| \| \| NVL \| \| \| Cult \| \| \| Neg \| \| \| NVL \| \| \| Cult \| \| \| Mb \| \| \| NVL \| \| \| Cult \| \| \| Other \| \| \| No \| \| \| PM \| \| \| Cult \| \| \| Other \| \| \| 2018 \| May \| \| June \| 187 \| \| July \| 207 \| \| August \| 228 \| \| September \| 216 \| \| October \| 274 \| \| November \| 282 \| \| December \| 228 \| \| 2019 \| January \| \| February \| 320 \| \| March \| 315 \| \| April \| 269 \| \| Totals (last \| \| \| 12 months) \| \| \| 3065 \| 290687 \| Country Herds sampled Samples tested IFNg+ samples VL No Cult Herds with positives No PM No Cult No PM Cult Pend No PM Cult Neg No PM Cult Mb VL Cult Neg VL Cult Pend VL Cult Mb VL Cult Other NVL No Cult NVL Cult Pend NVL Cult Neg NVL Cult Mb NVL Cult Other No PM Cult Other England 1757 227265 1198 10769 549 0 0 0 0 815 12 7 35 6 8784 4 80 1 3 Scotland 17 1354 11 51 0 0 0 0 0 0 0 1 0 0 47 3 0 0 0 Wales 1291 62068 655 3369 92 0 0 0 0 161 5 1 22 5 2284 137 479 2 31 Totals 3065 290687 1864 14189 641 0 0 0 0 976 17 9 57 11 11115 144 559 3 34 Includes all animals with IFNg test negative, resample and reject outcomes \| \| County \| %Resampled %Retested \| \|---------------\|----------\|------------------------\| \| Avon \| 2.22 % \| 2.84 % \| \| Berks \| 5.32 % \| 6.38 % \| \| Bucks \| 7.06 % \| 5.37 % \| \| Cambs \| 7.27 % \| 10.91 % \| \| Carms \| 4.10 % \| 5.51 % \| \| Ceredigion \| 2.70 % \| 3.70 % \| \| Cheshire \| 3.63 % \| 5.05 % \| \| Corn & Scilly \| 4.66 % \| 6.48 % \| \| Cumbria \| 12.64 % \| 14.08 % \| \| Derbyshire \| 7.03 % \| 7.67 % \| \| Devon \| 4.58 % \| 5.89 % \| \| Dorset \| 5.06 % \| 6.64 % \| \| Essex \| 2.17 % \| 2.17 % \| \| E Sussex \| 3.18 % \| 3.18 % \| \| Gloucs \| 9.06 % \| 10.24 % \| \| Gr Manchester \| 40.00 % \| 53.33 % \| \| Gwent \| 9.80 % \| 9.80 % \| \| Hampshire \| 5.45 % \| 6.52 % \| \| Heref \| 6.86 % \| 8.52 % \| \| Herts \| 6.68 % \| 8.04 % \| \| Lancashire \| 3.57 % \| 4.76 % \| \| Leics & Rut \| 3.69 % \| 5.13 % \| \| Lincs \| 3.95 % \| 4.68 % \| \| NE Wales \| 6.96 % \| 9.58 % \| \|------------\|----------\|----------\| \| Northants \| 5.99 % \| 7.89 % \| \|-----------------\|----------\|----------\| \| Notts \| 9.09 % \| 9.09 % \| \| N Yorks \| 2.04 % \| 6.12 % \| \| Oxon \| 4.99 % \| 5.91 % \| \| Pembs \| 6.46 % \| 7.70 % \| \| Powys \| 6.42 % \| 7.53 % \| \| S Glamorgan \| \| \| \| Shropshire \| 5.60 % \| 6.72 % \| \| Somerset excl N \| 4.49 % \| 5.49 % \| \| Staffs \| 25.81 % \| 29.03 % \| \| S Wales \| 5.00 % \| 5.00 % \| \| Warks \| 4.34 % \| 5.67 % \| \|-----------\|----------\|----------\| \| Wiltshire \| 4.77 % \| 5.42 % \| Country No. animals No of IFHg+ animals % Positive animals No. samples No of IFHg+ samples England 23352 916 3.9% 23776 918 3.9% Wales 6513 215 3.3% 6522 215 3.3% GB 29865 1131 3.8% 30298 1133 3.7% Country No. animals No of IFHg+ animals % Positive animals No. samples No of IFHg+ samples England 14120 750 5.3% 14251 750 5.3% Wales 5538 162 2.9% 6195 162 2.6% Scotland 71 41 57.7% 71 41 57.7% GB 19729 953 4.8% 20517 953 4.6% Country No. animals No of IFHg+ animals % Positive animals No. samples No of IFHg+ samples England 86644 4517 5.2% 91395 4519 4.9% Wales 22256 1346 6.0% 23718 1346 5.7% Scotland 366 4 1.1% 366 4 1.1% GB 109266 5867 5.4% 115479 5869 5.1% Country No. animals No of IFHg+ animals % Positive animals No. samples No of IFHg+ samples England 53944 3370 6.2% 57768 3370 5.8% Wales 17758 846 4.8% 19257 846 4.4% Scotland 1167 134 11.5% 1253 134 10.7% GB 72868 4350 6.0% 78278 4350 5.6% % Positive samples % Positive samples % Positive samples % Positive samples Test type Num Submissions Num Samples Num Positives Private % Positive Total 0 0 0 Isle of Man SER-IOM 1 1 0 0 \| % Positive \| * Test type \| \|---------------------\|---------------\| \| Num \| \| \| Submissions \| \| \| Num \| \| \| Samples \| \| \| Num \| \| \| Positives \| \| \| Private \| \| \| Gloucestershire \| PRV-SP \| \| Somerset excl North \| PRV-SE \| \| Wiltshire \| PRV-SP \| \| Worcestershire \| SER-OTHER \| \| Total \| \| \| 7 \| \| \| 53 \| \| \| 15 \| 28.30 % \| \| Isle of Man \| SER-IOM \| *SER-IOM: Serial High Specificity test - Isle of Man; PRV-SE: Private High Sensitivity test - England; PRV-SP: Private High Specificity test - England \| \| Test \| County \| Num Submissions \| Num Samples Tested \| Num Positive Samples % Positive \| \|---------------\|------------------\|----------\|-------------------\|----------------------\|-----------------------------------\| \| TC0077 \| North East Wales \| 3 \| 110 \| 23 \| 20.9% \| \| Pembrokeshire \| 1 \| 32 \| 1 \| 3.1% \| \| \| South Wales \| 1 \| 112 \| 12 \| 10.7% \| \| \| TC0077 \| Sum: \| 254 \| 36 \| 14.2 % \| \| \| \| Test \| County \| Num Submissions \| Num Samples Tested \| Num Positive Samples % Positive \| \|------------------\|-----------------\|----------\|-------------------\|----------------------\|-----------------------------------\| \| TC0077 \| Carmarthenshire \| 2 \| 125 \| 4 \| 3.2% \| \| North East Wales \| 11 \| 383 \| 63 \| 16.4% \| \| \| Pembrokeshire \| 2 \| 64 \| 1 \| 1.6% \| \| \| South Wales \| 2 \| 118 \| 13 \| 11.0% \| \| \| TC0077 \| Sum: \| 690 \| 81 \| 11.7 % \| \|	en
1071-pdf	# Monthly Report: Surveillance Project Sb4008 Ifng Tests For Bovine Tuberculosis (Tc0651 And Tc0751) Number 147 # Report Period 1St - 30Th November 2018 ## Operational Notes On Terminology, Definitions, Re-Test And Re-Samples Test Outcomes: - "Samples" refers to an individual tube of blood taken from an individual animal which is subsequently submitted for testing. It is generally assumed that the number of samples and the number of animals are analogous as any duplicate sample blood tube from the same animal will not be tested. However, minor discrepancies may occur where the same animal is tested more than once due to a request for a resample or the animal is tested twice under different categories (for example, as a PAR-RAPID and then as part of a PAR-HERD-S). - "Submissions" refers to an individual batch or set of samples received for testing. Submissions may comprise 1 or more samples (for example, if an entire herd is being tested it is usually sent as 1 submission). It is generally assumed that the number of submissions and the number of herds are analogous. - Retests are samples where the first ELISA assay fails and the same sample is retested on a new ELISA plate. Each sample can be retested only once. A retest is not a reportable test outcome. - Resamples are where a sample has been retested and failed a second time, so that the lab requests a new sample. This is a reportable test outcome. - Rejects are samples that are not tested by the lab for one of the following reasons: blood collected into wrong type of vacutainer, samples that have not been maintained at the appropriate temperature range (22±5C), unlabelled samples, broken or cracked tubes, blood that is extensively clotted (small clots are OK), samples received after 4pm on the day after sample collection. Such samples are reported separately in the tables and in figure 5. - POS (pokeweed mitogen) is a sample positive control reagent which provides a measure of the quality/viability of the blood sample. A POS fail (< 0.45 optical density reading) may indicate compromised blood quality as a result of collection/transportation conditions or due the animal having an unusually low/suppressed cellular immune response. - NEG (no-antigen control) is a sample negative control which provides a measure of the background antigen-independent IFN- responses. A NEG fail (> 0.3 optical density reading) may indicate a laboratory procedures problem (normally resolved during re-test) or that an animal has unusually high background levels of IFN-g. ## Test Criteria \| Submission Reason \| Explanation \| \|-----------------------------------------------------\|----------------------\| \| Possible Herd Slaughter \| \| \| (PAR-HERD-S) \| \| \| Parallel interferon-gamma blood testing of skin \| \| \| test negative cattle to inform whole or partial \| \| \| herd slaughters decisions \| \| \| Parallel blood testing of skin test-negative cattle \| \| \| in persistently infected herds that have failed to \| \| \| resolve by repeated short-interval skin testing \| \| \| and fulfill a minimum of biosecurity standards. \| \| \| Persistent TB breakdowns \| \| \| (OTF status withdrawn) \| \| \| (PAR-P-CONF) N.B. \| \| \| PAR-PERSIS from 1st April \| \| \| 2017 \| \| \| Parallel - Low Incidence \| \| \| (PAR-LOW-IN) N.B. \| \| \| PAR-NEW-IN from 1st April \| \| \| 2017 \| \| \| Parallel blood testing to maximise the \| \| \| probability of removing all infected cattle in a \| \| \| new herd breakdown as soon as possible after \| \| \| confirmation of TB. \| \| \| Rapid Testing of twice IR's \| \| \| (PAR-RAPID) \| \| \| Parallel blood testing of two-times IRs identified \| \| \| under the severe interpretation of the skin test \| \| \| used in Wales. \| \| \| PAR-CUL-N \| \| \| Parallel blood testing to maximise the \| \| \| probability of removing all infected cattle in a \| \| \| new breakdown as soon as possible after \| \| \| confirmation of TB where herd is situated in \| \| \| badger control areas of England that have \| \| \| completed at least 2 effective culls. \| \| \| PAR-CUL-P \| \| \| Parallel blood testing to maximise the \| \| \| probability of removing all infected cattle in a \| \| \| persistent confirmed breakdown where herd is \| \| \| situated within badger control areas of England \| \| \| that have completed at least 2 effective culls \| \| \| Parallel Other \| \| \| (PAR-OTHER) \| \| \| Other parallel blood testing not covered in any \| \| \| of the other scenarios \| \| \| NO (APHA discretion) \| \| \| 'NSR' Herds (SER-NSR) \| \| \| Modified serial blood testing of individual skin \| \| \| test reactors and/or IRs in unconfirmed TB \| \| \| breakdown herds to clarify their infection status \| \| \| where there is evidence of non-specific \| \| \| sensitisation to bovine tuberculin (the \| \| \| "non-specific reactor" procedure) \| \| \| Suspected Fraud \| \| \| (SER-FRAUD) \| \| \| Modified serial blood test of suspected \| \| \| fraudulent reactors to the skin test (animals with \| \| \| abnormal skin swellings), in confirmed or \| \| \| unconfirmed TB incidents. \| \| \| Serial Other \| \| \| (SER-OTHER) \| \| \| Serial test - other reasons \| NO (APHA Discretion) \| \| SER-FLEXI \| \| \| Extended blood test to provide flexible test \| \| \| readout in a confirmed M. bovis-infected herd \| \| \| where Johne's (M. a. paratuberculosis) infection \| \| \| or vaccination is suspected to be interferring \| \| \| with M. bovis infection detection \| \| \| YES, if APHA are \| \| \| contemplating a herd \| \| \| slaughter \| \| \| NO (APHA discretion) \| \| \| YES in Area of Low \| \| \| Incidence \| \| \| YES (Wales only) \| \| \| YES (in eligible badger \| \| \| control areas of England) \| \| \| NO (APHA discretion) \| \| \| NO (APHA discretion) \| \| \| NO (APHA discretion to \| \| \| firm up or rule out any \| \| \| suspicion of fraud and \| \| \| support any \| \| \| investigations) \| \| \| NO (APHA discretion) \| \| \| % \| Total 2018 \| % \| \|-------------------------\|--------------------------\|----------\| \| Num \| \| \| \| samples \| \| \| \| November \| \| \| \| 2018 \| \| \| \| Submissions \| 282 \| 2441 \| \| Samples \| Total (%) \| 24570 \| \| England \| 18356 \| 74.71 % \| \| Wales \| 6214 \| 25.29 % \| \| Scotland \| 2241 \| 0.97 % \| \| Parallel Tests \| PAR-CUL-N \| 4069 \| \| PAR-CUL-P \| 131 \| 0.53 % \| \| PAR-HERD-S \| 805 \| 3.28 % \| \| PAR-NEW-IN \| 10843 \| 44.13 % \| \| PAR-OTHER \| 1421 \| 5.78 % \| \| PAR-PERSIS \| 6047 \| 24.61 % \| \| PAR-RAPID \| 192 \| 0.78 % \| \| Total(% of all samples) \| 23508 \| 95.68 % \| \| Serial/Extended Tests \| SER-FLEXI \| 1062 \| \| SER-FRAUD \| 0 \| 0.00 % \| \| SER-NSR \| 0 \| 0.00 % \| \| SER-OTHER \| 0 \| 0.00 % \| \| Total(% of all samples) \| 1062 \| 4.32 % \| \| Total \| 24570 \| 100.00 % \| \| Retests \| Total (% of all samples) \| 2538 \| \| England \| 1992 \| 8.11 % \| \| Wales \| 546 \| 2.22 % \| \| Scotland \| 201 \| 0.09 % \| \| Resamples \| Total (% of all samples) \| 1626 \| \| England \| 1264 \| 5.14 % \| \| Wales \| 362 \| 1.47 % \| \| Scotland \| 139 \| 0.06 % \| \| Rejects \| Total (% of all samples) \| 320 \| \| England \| 249 \| 1.01 % \| \| Wales \| 71 \| 0.29 % \| \| Scotland \| 0 \| 0.00 % \| PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other \| PAR-CUL-N \| 4069 \| 16.6 % \| \|-------------\|--------\|----------\| \| PAR-CUL-P \| 131 \| 0.5 % \| \| PAR-HERD-S \| 805 \| 3.3 % \| \| PAR-NEW-IN \| 10843 \| 44.1 % \| \| PAR-OTHER \| 1421 \| 5.8 % \| \| PAR-PERSIS \| 6047 \| 24.6 % \| \| PAR-RAPID \| 192 \| 0.8 % \| \| SER-FLEXI \| 1062 \| 4.3 % \| \| Total \| 24570 \| 100.00 % \| Breakdown of Samples submitted by County \| Country \| County \| \|----------------\|----------------\| \| Submission \| \| \| Reasons* \| \| \| No. \| \| \| subs \| \| \| Samples \| Gamma Positive \| \| n \| % of total \| \| England - HRA \| Corn & Scilly \| \| Devon \| PAR-CUL-N \| \| PAR-OTHER \| 1 \| \| PAR-PERSIS \| 1 \| \| Dorset \| PAR-CUL-N \| \| PAR-PERSIS \| 5 \| \| Gloucs \| PAR-CUL-N \| \| PAR-PERSIS \| 1 \| \| Heref \| PAR-CUL-N \| \| Shropshire \| PAR-NEW-IN \| \| PAR-OTHER \| 1 \| \| PAR-PERSIS \| 1 \| \| Somerset \| PAR-CUL-P \| \| PAR-OTHER \| 1 \| \| Staffs \| SER-FLEXI \| \| Wiltshire \| PAR-NEW-IN \| \| PAR-OTHER \| 3 \| \| PAR-PERSIS \| 1 \| \| SER-FLEXI \| 4 \| \| England - Edge \| Cheshire \| \| Derbyshire \| PAR-NEW-IN \| \| E Sussex \| PAR-NEW-IN \| \| PAR-PERSIS \| 2 \| \| Leics & Rut \| PAR-NEW-IN \| \| PAR-OTHER \| 2 \| \| Notts \| PAR-NEW-IN \| \| Oxon \| PAR-NEW-IN \| \| PAR-PERSIS \| 6 \| * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other ## Table 2A. Summary By County For November 2018 Cont. \| Country \| County \| \|-------------------------\|----------------\| \| Submission \| \| \| Reasons* \| \| \| No. \| \| \| subs \| \| \| Samples \| Gamma Positive \| \| n \| % of total \| \| Warks \| PAR-NEW-IN \| \| England - LRA \| Cumbria \| \| PAR-OTHER \| 3 \| \| Isle of wight \| PAR-NEW-IN \| \| Lincs \| PAR-NEW-IN \| \| England \| \| \| 159 \| 18356 \| \| Wales - High TB \| Carms \| \| PAR-OTHER \| 1 \| \| PAR-PERSIS \| 10 \| \| PAR-RAPID \| 7 \| \| SER-FLEXI \| 2 \| \| Ceredigion \| PAR-PERSIS \| \| PAR-RAPID \| 4 \| \| SER-FLEXI \| 2 \| \| Gwent \| PAR-PERSIS \| \| PAR-RAPID \| 5 \| \| Pembs \| PAR-HERD-S \| \| PAR-OTHER \| 1 \| \| PAR-PERSIS \| 10 \| \| PAR-RAPID \| 12 \| \| SER-FLEXI \| 5 \| \| Powys \| PAR-HERD-S \| \| PAR-PERSIS \| 5 \| \| PAR-RAPID \| 4 \| \| S Wales \| PAR-PERSIS \| \| Wales - Intermediate TB \| Carms \| \| PAR-PERSIS \| 1 \| \| PAR-RAPID \| 2 \| * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other ## Table 2A. Summary By County For November 2018 Cont. \| Country \| County \| \|----------------\|----------------\| \| Submission \| \| \| Reasons* \| \| \| No. \| \| \| subs \| \| \| Samples \| Gamma Positive \| \| n \| % of total \| \| Ceredigion \| PAR-HERD-S \| \| PAR-RAPID \| 2 \| \| SER-FLEXI \| 1 \| \| NE Wales \| PAR-NEW-IN \| \| PAR-PERSIS \| 2 \| \| PAR-RAPID \| 1 \| \| SER-FLEXI \| 5 \| \| Powys \| PAR-RAPID \| \| Shropshire \| PAR-NEW-IN \| \| W Glamorgan \| PAR-OTHER \| \| Wales - Low TB \| Gwynedd \| \| NE Wales \| PAR-NEW-IN \| \| Wales \| \| \| 123 \| 6214 \| \| Grand Total \| Sum: \| For test criteria please refer to Operational notes. Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other \| Country \| County \| \|---------------\|----------------\| \| Submission \| \| \| Reasons* \| \| \| No. \| \| \| subs \| \| \| Samples \| Gamma Positive \| \| n \| % of total \| \| England - HRA \| Avon \| \| PAR-PERSIS \| 8 \| \| SER-FLEXI \| 2 \| \| SER-FRAUD \| 1 \| \| Corn & Scilly \| PAR-CUL-N \| \| PAR-CUL-P \| 1 \| \| PAR-NEW-IN \| 1 \| \| PAR-OTHER \| 3 \| \| PAR-PERSIS \| 22 \| \| SER-FLEXI \| 9 \| \| Devon \| PAR-CUL-N \| \| PAR-CUL-P \| 18 \| \| PAR-NEW-IN \| 9 \| \| PAR-OTHER \| 6 \| \| PAR-PERSIS \| 35 \| \| SER-FLEXI \| 14 \| \| Dorset \| PAR-CUL-N \| \| PAR-CUL-P \| 1 \| \| PAR-NEW-IN \| 2 \| \| PAR-OTHER \| 2 \| \| PAR-PERSIS \| 18 \| \| SER-FLEXI \| 1 \| \| Gloucs \| PAR-CUL-N \| \| PAR-CUL-P \| 9 \| \| PAR-NEW-IN \| 2 \| \| PAR-OTHER \| 2 \| \| PAR-PERSIS \| 5 \| \| SER-FLEXI \| 5 \| * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other ## Table 2B. Summary By County For 2018 Cont. \| Country \| County \| \|----------------\|----------------\| \| Submission \| \| \| Reasons* \| \| \| No. \| \| \| subs \| \| \| Samples \| Gamma Positive \| \| n \| % of total \| \| Heref \| PAR-CUL-N \| \| PAR-CUL-P \| 2 \| \| PAR-NEW-IN \| 3 \| \| PAR-PERSIS \| 4 \| \| SER-FLEXI \| 2 \| \| SER-FRAUD \| 2 \| \| Shropshire \| PAR-NEW-IN \| \| PAR-OTHER \| 8 \| \| PAR-PERSIS \| 13 \| \| Somerset \| PAR-CUL-N \| \| PAR-CUL-P \| 4 \| \| PAR-NEW-IN \| 1 \| \| PAR-OTHER \| 6 \| \| PAR-PERSIS \| 21 \| \| Staffs \| PAR-PERSIS \| \| SER-FLEXI \| 4 \| \| Wiltshire \| PAR-NEW-IN \| \| PAR-OTHER \| 5 \| \| PAR-PERSIS \| 12 \| \| SER-FLEXI \| 6 \| \| SER-FRAUD \| 2 \| \| W Midlands \| PAR-PERSIS \| \| SER-FRAUD \| 3 \| \| England - Edge \| Berks \| \| PAR-PERSIS \| 6 \| \| Bucks \| PAR-NEW-IN \| \| Cheshire \| PAR-NEW-IN \| \| PAR-PERSIS \| 10 \| * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other \| Country \| County \| \|---------------\|----------------\| \| Submission \| \| \| Reasons* \| \| \| No. \| \| \| subs \| \| \| Samples \| Gamma Positive \| \| n \| % of total \| \| Derbyshire \| PAR-NEW-IN \| \| E Sussex \| PAR-NEW-IN \| \| PAR-PERSIS \| 2 \| \| Hampshire \| PAR-NEW-IN \| \| PAR-OTHER \| 1 \| \| PAR-PERSIS \| 1 \| \| SER-NSR \| 3 \| \| Leics & Rut \| PAR-NEW-IN \| \| PAR-OTHER \| 2 \| \| SER-NSR \| 1 \| \| Northants \| PAR-NEW-IN \| \| Notts \| PAR-NEW-IN \| \| PAR-OTHER \| 1 \| \| Oxon \| PAR-NEW-IN \| \| PAR-PERSIS \| 14 \| \| Warks \| PAR-NEW-IN \| \| PAR-PERSIS \| 2 \| \| England - LRA \| Beds \| \| Cumbria \| PAR-NEW-IN \| \| PAR-OTHER \| 3 \| \| PAR-PERSIS \| 1 \| \| Essex \| PAR-NEW-IN \| \| Herts \| PAR-NEW-IN \| \| Humberside \| PAR-NEW-IN \| \| Isle of wight \| PAR-NEW-IN \| \| Kent \| PAR-NEW-IN \| \| Lincs \| PAR-NEW-IN \| \| Merseyside \| PAR-NEW-IN \| * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other ## Table 2B. Summary By County For 2018 Cont. \| Country \| County \| \|-----------------\|----------------\| \| Submission \| \| \| Reasons* \| \| \| No. \| \| \| subs \| \| \| Samples \| Gamma Positive \| \| n \| % of total \| \| Norfolk \| PAR-NEW-IN \| \| N Yorks \| PAR-NEW-IN \| \| S Yorks \| PAR-NEW-IN \| \| W Sussex \| PAR-NEW-IN \| \| PAR-PERSIS \| 2 \| \| England \| \| \| 1347 \| 178364 \| \| Wales - High TB \| Carms \| \| PAR-OTHER \| 7 \| \| PAR-PERSIS \| 52 \| \| PAR-RAPID \| 92 \| \| SER-FLEXI \| 12 \| \| Ceredigion \| PAR-HERD-S \| \| PAR-OTHER \| 1 \| \| PAR-PERSIS \| 17 \| \| PAR-RAPID \| 32 \| \| SER-FLEXI \| 10 \| \| Gwent \| PAR-HERD-S \| \| PAR-NEW-IN \| 2 \| \| PAR-OTHER \| 2 \| \| PAR-PERSIS \| 38 \| \| PAR-RAPID \| 37 \| \| SER-FLEXI \| 6 \| \| Pembrokshire \| PAR-OTHER \| \| Pembs \| PAR-HERD-S \| \| PAR-OTHER \| 5 \| \| PAR-PERSIS \| 87 \| \| PAR-RAPID \| 133 \| \| SER-FLEXI \| 29 \| * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. ## Par-Herd-S: Potential Herd Slaughter, Par-P-Conf (Par-Persis From 1 April 2017): Persistent Tb Breakdown Otfw, Par-Low-In (Par-New-In From 1 April 2017): Parallel Low Incidence, Par-Rapid: Rapid Testing Of Twice Irs, Par-Cul-N: New Infection In Cull Area, Par-Cul-P: Persistent Infection In Cull Area, Par-Other: Parallel Other, Ser-Flexi: Flexible Extended Test In Confirmed Herds With Concurrent Johne'S Infection/Vaccination, Ser-Nsr: Serial Non-Specific Reactor, Ser-Fraud: Serial Potential Fraud, Ser-Other: Serial Other Table 2B. Summary By County For 2018 Cont. \| Country \| County \| \|-------------------------\|----------------\| \| Submission \| \| \| Reasons* \| \| \| No. \| \| \| subs \| \| \| Samples \| Gamma Positive \| \| n \| % of total \| \| SER-FRAUD \| 2 \| \| Powys \| PAR-HERD-S \| \| PAR-NEW-IN \| 22 \| \| PAR-OTHER \| 5 \| \| PAR-PERSIS \| 48 \| \| PAR-RAPID \| 35 \| \| SER-FLEXI \| 6 \| \| S Wales \| PAR-PERSIS \| \| PAR-RAPID \| 3 \| \| W Glamorgan \| PAR-RAPID \| \| Wales - Intermediate TB \| Carms \| \| PAR-PERSIS \| 2 \| \| PAR-RAPID \| 4 \| \| Ceredigion \| PAR-HERD-S \| \| PAR-NEW-IN \| 1 \| \| PAR-PERSIS \| 3 \| \| PAR-RAPID \| 21 \| \| SER-FLEXI \| 5 \| \| Mid glamorgan \| PAR-PERSIS \| \| NE Wales \| PAR-HERD-S \| \| PAR-NEW-IN \| 124 \| \| PAR-PERSIS \| 3 \| \| PAR-RAPID \| 10 \| \| SER-FLEXI \| 9 \| \| Powys \| PAR-HERD-S \| \| PAR-NEW-IN \| 8 \| \| PAR-RAPID \| 3 \| \| Shropshire \| PAR-NEW-IN \| * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. ## Par-Herd-S: Potential Herd Slaughter, Par-P-Conf (Par-Persis From 1 April 2017): Persistent Tb Breakdown Otfw, Par-Low-In (Par-New-In From 1 April 2017): Parallel Low Incidence, Par-Rapid: Rapid Testing Of Twice Irs, Par-Cul-N: New Infection In Cull Area, Par-Cul-P: Persistent Infection In Cull Area, Par-Other: Parallel Other, Ser-Flexi: Flexible Extended Test In Confirmed Herds With Concurrent Johne'S Infection/Vaccination, Ser-Nsr: Serial Non-Specific Reactor, Ser-Fraud: Serial Potential Fraud, Ser-Other: Serial Other Table 2B. Summary By County For 2018 Cont. \| Country \| County \| \|---------------------\|----------------\| \| Submission \| \| \| Reasons* \| \| \| No. \| \| \| subs \| \| \| Samples \| Gamma Positive \| \| n \| % of total \| \| W Glamorgan \| PAR-OTHER \| \| SER-FLEXI \| 2 \| \| Wales - Low TB \| Gwynedd \| \| PAR-RAPID \| 1 \| \| NE Wales \| PAR-NEW-IN \| \| PAR-OTHER \| 1 \| \| PAR-PERSIS \| 1 \| \| PAR-RAPID \| 3 \| \| SER-FLEXI \| 2 \| \| Wales \| \| \| 1063 \| 51327 \| \| Scotland - Scotland \| Aberdeenshire \| \| Argyll & Bute \| PAR-NEW-IN \| \| SER-FLEXI \| 1 \| \| Ayrshire \| PAR-NEW-IN \| \| PAR-OTHER \| 1 \| \| Perthshire \| PAR-NEW-IN \| \| West lothian \| PAR-NEW-IN \| \| Wigtown \| PAR-NEW-IN \| \| Scotland \| \| \| 31 \| 2241 \| \| Grand Total \| Sum: \| For test criteria please refer to Operational notes. Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. ## Of Twice Irs, Par-Cul-N: New Infection In Cull Area, Par-Cul-P: Persistent Infection In Cull Area, Par-Other: Parallel Other, Ser-Flexi: Flexible Extended Test In Confirmed Herds With Concurrent Johne'S Infection/Vaccination, Ser-Nsr: Serial Non-Specific Reactor, Ser-Fraud: Serial Potential Fraud, Ser-Other: Serial Other Table 3A. Summary Of Ifn Gamma Results By Country And Protocol November 2018 \| Country \| Protocol \| \|-----------------\|--------------\| \| No \| \| \| submissions \| Samples \| \| n \| % of total n \| \| England \| Parallel \| \| Serial/Extended \| 6 \| \| Total \| 159 \| \| Scotland \| Parallel \| \| Serial/Extended \| 0 \| \| Total \| 0 \| \| Wales \| Parallel \| \| Serial/Extended \| 15 \| \| Total \| 123 \| \| GB \| Parallel \| \| Serial/Extended \| 21 \| \| Total \| 282 \| \| 159.00 \| \| \| 123.00 \| \| * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. ## Table 3B. Summary Of Ifn Gamma Results By Country And Protocol (Total 2018) \| Country \| Protocol \| \|-----------------\|--------------\| \| No \| \| \| submissions \| Samples \| \| n \| % of total n \| \| England \| Parallel \| \| Serial/Extended \| 55 \| \| Total \| 1347 178364 \| \| Scotland \| Parallel \| \| Serial/Extended \| 1 \| \| Total \| 31 \| \| Wales \| Parallel \| \| Serial/Extended \| 83 \| \| Total \| 1063 \| \| GB \| Parallel \| \| Serial/Extended \| 139 \| \| Total \| 2441 231932 \| ####### ####### 31.00 * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. Submission Reason No submissions Samples Gamma Positive Gamma Negatives Retest Resample Reject n % of total n % n % n % n % n % GB Extended Flexible IFN-GAMMA test 21 1062 4.3% 127 12.0% 823 77.5% 161 15.2 % 110 10.4 % 2 0.2 % Parallel - Herd or Group Slaughter 17 805 3.3% 67 8.3% 682 84.7% 76 9.4 % 53 6.6 % 3 0.4 % Parallel New Infection 105 10843 44.1% 491 4.5% 9278 85.6% 1197 11.0 % 811 7.5 % 263 2.4 % Parallel - new infection cull area 34 4069 16.6% 281 6.9% 3587 88.2% 345 8.5 % 182 4.5 % 19 0.5 % Parallel - Other 16 1421 5.8% 102 7.2% 1215 85.5% 142 10.0 % 86 6.1 % 18 1.3 % Parallel Persistent Infection 48 6047 24.6% 440 7.3% 5221 86.3% 571 9.4 % 371 6.1 % 15 0.2 % Parallel - persistent infection cull area 3 131 0.5% 13 9.9% 113 86.3% 31 23.7 % 5 3.8 % 0 Parallel - Rapid Testing Two-times IRs 38 192 0.8% 59 30.7% 125 65.1% 15 7.8 % 8 4.2 % 0 Total 282 24570 100.0% 1580 6.4% 21044 85.6% 2538 10.3 % 1626 6.6 % 320 1.3 % England - HRA Extended Flexible IFN-GAMMA test 6 674 2.7% 76 11.3% 509 75.5% 131 19.4 % 88 13.1 % 1 0.1 % Parallel New Infection 3 64 0.3% 1 1.6% 60 93.8% 3 4.7 % 3 4.7 % 0 Parallel - new infection cull area 34 4069 16.6% 281 6.9% 3587 88.2% 345 8.5 % 182 4.5 % 19 0.5 % Parallel - Other 6 838 3.4% 45 5.4% 748 89.3% 72 8.6 % 28 3.3 % 17 2.0 % Parallel Persistent Infection 9 2667 10.9% 161 6.0% 2367 88.8% 223 8.4 % 134 5.0 % 5 0.2 % Parallel - persistent infection cull area 3 131 0.5% 13 9.9% 113 86.3% 31 23.7 % 5 3.8 % 0 England - HRA 61 8443 34.4% 577 6.8% 7384 87.5% 805 9.5 % 440 5.2 % 42 0.5 % England - Edge Parallel New Infection 76 6641 27.0% 310 4.7% 5739 86.4% 808 12.2 % 585 8.8 % 7 0.1 % Parallel - Other 2 27 0.1% 1 3.7% 26 96.3% 1 3.7 % 0 0 Parallel Persistent Infection 8 569 2.3% 43 7.6% 495 87.0% 55 9.7 % 31 5.4 % 0 England - Edge 86 7237 29.5% 354 4.9% 6260 86.5% 864 11.9 % 616 8.5 % 7 0.1 % England - LRA Parallel New Infection 9 2400 9.8% 117 4.9% 1916 79.8% 273 11.4 % 167 7.0 % 200 8.3 % Parallel - Other 3 276 1.1% 30 10.9% 205 74.3% 50 18.1 % 41 14.9 % 0 England - LRA 12 2676 10.9% 147 5.5% 2121 79.3% 323 12.1 % 208 7.8 % 200 7.5 % Wales - High TB Extended Flexible IFN-GAMMA test 9 223 0.9% 37 16.6% 177 79.4% 15 6.7 % 8 3.6 % 1 0.4 % Parallel - Herd or Group Slaughter 16 695 2.8% 47 6.8% 607 87.3% 59 8.5 % 39 5.6 % 2 0.3 % Parallel - Other 2 92 0.4% 10 10.9% 77 83.7% 5 5.4 % 5 5.4 % 0 Parallel Persistent Infection 28 2523 10.3% 189 7.5% 2140 84.8% 268 10.6 % 184 7.3 % 10 0.4 % Parallel - Rapid Testing Two-times IRs 32 162 0.7% 54 33.3% 104 64.2% 10 6.2 % 4 2.5 % 0 Wales - High TB 87 3695 15.0% 337 9.1% 3105 84.0% 357 9.7 % 240 6.5 % 13 0.4 % Wales - Intermediate TB Extended Flexible IFN-GAMMA test 6 165 0.7% 14 8.5% 137 83.0% 15 9.1 % 14 8.5 % 0 Parallel - Herd or Group Slaughter 1 110 0.4% 20 18.2% 75 68.2% 17 15.5 % 14 12.7 % 1 0.9 % Parallel New Infection 10 646 2.6% 20 3.1% 599 92.7% 49 7.6 % 25 3.9 % 2 0.3 % Parallel - Other 3 188 0.8% 16 8.5% 159 84.6% 14 7.4 % 12 6.4 % 1 0.5 % Parallel Persistent Infection 3 288 1.2% 47 16.3% 219 76.0% 25 8.7 % 22 7.6 % 0 Parallel - Rapid Testing Two-times IRs 6 30 0.1% 5 16.7% 21 70.0% 5 16.7 % 4 13.3 % 0 Wales - Intermediate TB 29 1427 5.8% 122 8.5% 1210 84.8% 125 8.8 % 91 6.4 % 4 0.3 % Wales - Low TB Parallel New Infection 7 1092 4.4% 43 3.9% 964 88.3% 64 5.9 % 31 2.8 % 54 4.9 % Wales - Low TB 7 1092 4.4% 43 3.9% 964 88.3% 64 5.9 % 31 2.8 % 54 4.9 % ## Table 4B. Summary Of Ifn Gamma Results By Submission Reason (Total 2018) Submission Reason No submissions Samples Gamma Positive Gamma Negatives Retest Resample Reject n % of total n % n % n % n % n % GB Extended Flexible IFN-GAMMA test 125 8863 3.8% 687 7.8% 7584 85.6% 765 8.6 % 506 5.7 % 86 1.0 % Parallel - Herd or Group Slaughter 106 6501 2.8% 291 4.5% 5393 83.0% 620 9.5 % 444 6.8 % 373 5.7 % Parallel New Infection 1044 120352 51.9% 4609 3.8% 107924 89.7% 10342 8.6 % 7096 5.9 % 723 0.6 % Parallel - new infection cull area 238 28707 12.4% 1610 5.6% 25362 88.3% 2385 8.3 % 1549 5.4 % 186 0.6 % Parallel - Other 67 4006 1.7% 327 8.2% 3358 83.8% 289 7.2 % 194 4.8 % 127 3.2 % Parallel Persistent Infection 436 55411 23.9% 3157 5.7% 48601 87.7% 4258 7.7 % 3036 5.5 % 617 1.1 % Parallel - persistent infection cull area 35 6286 2.7% 352 5.6% 5541 88.1% 450 7.2 % 293 4.7 % 100 1.6 % Parallel - Rapid Testing Two-times IRs 376 1507 0.6% 338 22.4% 1065 70.7% 98 6.5 % 73 4.8 % 31 2.1 % Serial - Anomalous Reaction 10 270 0.1% 58 21.5% 204 75.6% 13 4.8 % 8 3.0 % 0 Serial - Suspected NSR Herd 4 29 0.0% 0 0.0 % 29 100.0% 0 0 0 Total 2441 231932 100.0% 11429 4.9% 205061 88.4% 19220 8.3 % 13199 5.7 % 2243 1.0 % England - HRA Extended Flexible IFN-GAMMA test 43 6550 2.8% 517 7.9% 5699 87.0% 522 8.0 % 321 4.9 % 13 0.2 % Parallel New Infection 22 2742 1.2% 158 5.8% 2406 87.7% 248 9.0 % 166 6.1 % 12 0.4 % Parallel - new infection cull area 238 28707 12.4% 1610 5.6% 25362 88.3% 2385 8.3 % 1549 5.4 % 186 0.6 % Parallel - Other 33 3153 1.4% 206 6.5% 2691 85.3% 210 6.7 % 130 4.1 % 126 4.0 % Parallel Persistent Infection 142 29519 12.7% 1733 5.9% 26300 89.1% 2066 7.0 % 1425 4.8 % 61 0.2 % Parallel - persistent infection cull area 35 6286 2.7% 352 5.6% 5541 88.1% 450 7.2 % 293 4.7 % 100 1.6 % Serial - Anomalous Reaction 8 170 0.1% 3 1.8% 159 93.5% 12 7.1 % 8 4.7 % 0 England - Edge Parallel New Infection 687 84291 36.3% 3474 4.1% 75591 89.7% 7328 8.7 % 4993 5.9 % 233 0.3 % Parallel - Other 4 29 0.0% 1 3.4% 27 93.1% 2 6.9 % 1 3.4 % 0 Parallel Persistent Infection 35 4577 2.0% 253 5.5% 3903 85.3% 389 8.5 % 319 7.0 % 102 2.2 % Serial - Suspected NSR Herd 4 29 0.0% 0 0.0 % 29 100.0% 0 0 0 England - LRA Parallel New Infection 90 11408 4.9% 442 3.9% 10051 88.1% 1053 9.2 % 712 6.2 % 203 1.8 % Parallel - Other 3 276 0.1% 30 10.9% 205 74.3% 50 18.1 % 41 14.9 % 0 Parallel Persistent Infection 3 627 0.3% 17 2.7% 581 92.7% 33 5.3 % 29 4.6 % 0 England 1347 178364 76.9% 8796 4.9% 158545 88.9% 14748 8.3 % 9987 5.6 % 1036 0.6 % ## Table 4B. Summaryof Ifn Gamma Results By Submission Reason (Total 2018) Cont. Wales - High TB Extended Flexible IFN-GAMMA test 63 1888 0.8% 145 7.7% 1513 80.1% 211 11.2 % 157 8.3 % 73 3.9 % Parallel - Herd or Group Slaughter 95 5482 2.4% 265 4.8% 4583 83.6% 383 7.0 % 263 4.8 % 371 6.8 % Parallel New Infection 24 869 0.4% 21 2.4% 810 93.2% 52 6.0 % 36 4.1 % 2 0.2 % Parallel - Other 21 301 0.1% 29 9.6% 262 87.0% 12 4.0 % 10 3.3 % 0 Parallel Persistent Infection 245 20027 8.6% 1079 5.4% 17302 86.4% 1680 8.4 % 1192 6.0 % 454 2.3 % Parallel - Rapid Testing Two-times IRs 334 1337 0.6% 302 22.6% 939 70.2% 89 6.7 % 66 4.9 % 30 2.2 % Serial - Anomalous Reaction 2 100 0.0% 55 55.0% 45 45.0% 1 1.0 % 0 0 Wales - Intermediate TB Extended Flexible IFN-GAMMA test 16 369 0.2% 24 6.5% 319 86.4% 29 7.9 % 26 7.0 % 0 Parallel - Herd or Group Slaughter 11 1019 0.4% 26 2.6% 810 79.5% 237 23.3 % 181 17.8 % 2 0.2 % Parallel New Infection 136 12467 5.4% 230 1.8% 11480 92.1% 965 7.7 % 697 5.6 % 60 0.5 % Parallel - Other 4 199 0.1% 21 10.6% 165 82.9% 14 7.0 % 12 6.0 % 1 0.5 % Parallel Persistent Infection 10 656 0.3% 75 11.4% 513 78.2% 87 13.3 % 68 10.4 % 0 Parallel - Rapid Testing Two-times IRs 38 155 0.1% 34 21.9% 113 72.9% 9 5.8 % 7 4.5 % 1 0.6 % Wales - Low TB Extended Flexible IFN-GAMMA test 2 46 0.0% 0 0.0 % 45 97.8% 2 4.3 % 1 2.2 % 0 Parallel New Infection 56 6390 2.8% 143 2.2% 5680 88.9% 497 7.8 % 354 5.5 % 213 3.3 % Parallel - Other 1 2 0.0% 1 50.0% 1 50.0% 0 0 0 Parallel Persistent Infection 1 5 0.0% 0 0.0 % 2 40.0% 3 60.0 % 3 60.0 % 0 Parallel - Rapid Testing Two-times IRs 4 15 0.0% 2 13.3% 13 86.7% 0 0 0 Wales 1063 51327 22.1% 2452 4.8% 44595 86.9% 4271 8.3 % 3073 6.0 % 1207 2.4 % Scotland - Scotland Extended Flexible IFN-GAMMA test 1 10 0.0% 1 10.0% 8 80.0% 1 10.0 % 1 10.0 % 0 Parallel New Infection 29 2185 0.9% 141 6.5% 1906 87.2% 199 9.1 % 138 6.3 % 0 Parallel - Other 1 46 0.0% 39 84.8% 7 15.2% 1 2.2 % 0 0 Scotland 31 2241 1.0% 181 8.1% 1921 85.7% 201 9.0 % 139 6.2 % 0 \| Year \| Month \| \|--------------\|----------\| \| Herds \| \| \| sampled \| \| \| Samples \| \| \| tested \| \| \| IFNg+ \| \| \| samples \| \| \| Wrong \| \| \| Eartags \| \| \| VL No \| \| \| Cult \| \| \| Herds \| \| \| with \| \| \| positives \| \| \| No PM \| \| \| No \| \| \| Cult \| \| \| No PM \| \| \| Cult \| \| \| Pend \| \| \| No PM \| \| \| Cult \| \| \| Neg \| \| \| No PM \| \| \| Cult \| \| \| Mb \| \| \| VL \| \| \| Cult \| \| \| Neg \| \| \| VL \| \| \| Cult \| \| \| Pend \| \| \| VL \| \| \| Cult \| \| \| Mb \| \| \| VL \| \| \| Cult \| \| \| Other \| \| \| NVL \| \| \| No \| \| \| Cult \| \| \| NVL \| \| \| Cult \| \| \| Pend \| \| \| NVL \| \| \| Cult \| \| \| Neg \| \| \| NVL \| \| \| Cult \| \| \| Mb \| \| \| NVL \| \| \| Cult \| \| \| Other \| \| \| No \| \| \| PM \| \| \| Cult \| \| \| Other \| \| \| 2017 \| December \| \| 2018 \| January \| \| February \| 206 \| \| March \| 189 \| \| April \| 195 \| \| May \| 250 \| \| June \| 187 \| \| July \| 207 \| \| August \| 228 \| \| September \| 216 \| \| October \| 274 \| \| November \| 282 \| \| Totals (last \| \| \| 12 months) \| \| \| 2555 \| 241410 \| Country Herds sampled Samples tested IFNg+ samples VL No Cult Herds with positives No PM No Cult No PM Cult Pend No PM Cult Neg No PM Cult Mb VL Cult Neg VL Cult Pend VL Cult Mb VL Cult Other NVL No Cult NVL Cult Pend NVL Cult Neg NVL Cult Mb NVL Cult Other No PM Cult Other England 1393 185563 966 9240 491 0 0 0 0 769 16 11 26 0 7644 20 41 1 2 Scotland 33 2727 22 240 30 0 0 0 0 25 4 0 0 8 105 0 37 0 27 Wales 1129 53120 573 2617 250 0 0 0 0 109 8 2 18 2 1625 114 382 4 11 Totals 2555 241410 1561 12097 771 0 0 0 0 903 28 13 44 10 9374 134 460 5 40 Includes all animals with IFNg test negative, resample and reject outcomes County %Resampled %Retested \| Carms \| 7.70 % \| 11.40 % \| \|---------------\|----------\|-----------\| \| Ceredigion \| 9.09 % \| 10.96 % \| \| Cheshire \| 9.56 % \| 12.51 % \| \| Corn & Scilly \| 4.63 % \| 8.26 % \| \| Cumbria \| 8.64 % \| 13.52 % \| \| Derbyshire \| 8.47 % \| 14.16 % \| \| Devon \| 3.27 % \| 9.80 % \| \| Dorset \| 4.21 % \| 6.92 % \| \| E Sussex \| 10.88 % \| 15.09 % \| \| Gloucs \| 13.48 % \| 18.09 % \| \| Gwent \| 9.38 % \| 9.38 % \| \| Gwynedd \| 2.32 % \| 5.70 % \| \| Heref \| 6.25 % \| 8.33 % \| \| Isle of wight \| 3.42 % \| 5.38 % \| \| Leics & Rut \| 1.89 % \| 7.55 % \| \| Lincs \| 7.02 % \| 8.77 % \| \| NE Wales \| 4.31 % \| 6.82 % \| \| Notts \| 40.00 % \| 40.00 % \| \| Oxon \| 7.86 % \| 10.61 % \| \| Pembs \| 4.74 % \| 7.24 % \| \| Powys \| 9.32 % \| 11.18 % \| \| Shropshire \| 7.66 % \| 16.86 % \| \| Somerset \| 3.42 % \| 21.23 % \| \| Staffs \| 15.47 % \| 23.02 % \| \|-------------\|-----------\|-----------\| \| S Wales \| \| \| \| Warks \| 6.33 % \| 8.65 % \| \| W Glamorgan \| 5.71 % \| 5.71 % \| \| Wiltshire \| 3.37 % \| 7.49 % \| Country No. animals No of IFHg+ animals % Positive animals No. samples No of IFHg+ samples England 17996 1078 6.0% 18356 1078 5.9% Wales 6081 502 8.3% 6214 502 8.1% GB 24076 1580 6.6% 24570 1580 6.4% Country No. animals No of IFHg+ animals % Positive animals No. samples No of IFHg+ samples England 8519 666 7.8% 8696 666 7.7% Wales 1592 183 11.5% 1615 183 11.3% Scotland 342 112 32.7% 355 112 31.5% GB 10453 961 9.2% 10666 961 9.0% Country No. animals No of IFHg+ animals % Positive animals No. samples No of IFHg+ samples England 154045 8796 5.7% 178364 8796 4.9% Wales 44614 2443 5.5% 51327 2452 4.8% Scotland 2080 181 8.7% 2241 181 8.1% GB 200719 11420 5.7% 231932 11429 4.9% Country No. animals No of IFHg+ animals % Positive animals No. samples No of IFHg+ samples England 72323 4650 6.4% 91330 4650 5.1% Wales 30793 2149 7.0% 33867 2149 6.3% Scotland 2707 169 6.2% 2781 169 6.1% GB 105820 6968 6.6% 127978 6968 5.4% % Positive samples % Positive samples % Positive samples % Positive samples Test type Num Submissions Num Samples Num Positives Cheshire PRV-SP 1 1 0 Hampshire PRV-SP 1 3 0 West Sussex PRV-SP 1 1 0 Total 3 5 0 * Test type Num Submissions Berkshire PRV-SP 1 2 0 Buckinghamshire PRV-SE 1 1 0 Cheshire PRV-SP 3 3 1 33.33 % Cornwall and Isles of Scilly PRV-SE 1 3 0 PRV-SP 1 1 0 Devon PRV-SE 1 2 1 50.00 % PRV-SP 1 2 0 Dorset PRV-SE 4 25 6 24.00 % PRV-SP 1 1 0 East Sussex PRV-SE 1 1 0 PRV-SP 1 1 0 Hampshire PRV-SE 2 6 1 16.67 % PRV-SP 1 3 0 Northern Somerset & South Glou PRV-SE 2 46 8 17.39 % Oxfordshire PRV-SE 1 38 4 10.53 % Somerset excl North PRV-SE 3 46 3 6.52 % PRV-SP 1 1 0 Suffolk PRV-SP 2 11 0 West Sussex PRV-SP 1 1 0 Total 29 194 24 12.37 % Isle of Man SER-IOM 16 49 1 2.04 % *SER-IOM: Serial High Specificity test - Isle of Man; PRV-SE: Private High Sensitivity test - England; PRV-SP: Private High Specificity test - England Private % Positive % Positive Num Samples Num Positives Private \| \| Test \| County \| Num Submissions \| Num Samples Tested \| Num Positive Samples % Positive \| \|------------------\|-----------------\|----------\|-------------------\|----------------------\|-----------------------------------\| \| TC0077 \| Carmarthenshire \| 1 \| 12 \| 1 \| 8.3 % \| \| North East Wales \| 2 \| 66 \| 4 \| 6.1 % \| \| \| Powys \| 1 \| 16 \| 1 \| 6.3 % \| \| \| TC0077 \| Sum: \| 94 \| 6 \| 6.4 % \| \| \| \| Test \| County \| Num Submissions \| Num Samples Tested \| Num Positive Samples % Positive \| \|------------------\|-----------------\|----------\|-------------------\|----------------------\|-----------------------------------\| \| TC0077 \| Argyll and Bute \| 1 \| 3 \| 3 \| 100.0 % \| \| Carmarthenshire \| 3 \| 182 \| 5 \| 2.7 % \| \| \| Ceredigion \| 1 \| 85 \| 4 \| 4.7 % \| \| \| North East Wales \| 2 \| 66 \| 4 \| 6.1 % \| \| \| Pembrokeshire \| 3 \| 201 \| 10 \| 5.0 % \| \| \| Powys \| 2 \| 361 \| 4 \| 1.1 % \| \| \| South Wales \| 5 \| 199 \| 17 \| 8.5 % \| \| \| TC0077 \| Sum: \| 1,097 \| 47 \| 4.3 % \| \|	en
1357-pdf	BIS ATTENDANCE MANAGEMENT Equality Impact Analysis FEBRUARY 2014 ## Contents BIS ATTENDANCE MANAGEMENT ............................................................................................... 1 Contents .......................................................................................................................................... 2 Introduction..................................................................................................................................... 3 Scope of this assessment.............................................................................................................. 3 Brief outline of the policy............................................................................................................... 4 Main differences between the new policy and the legacy policies ............................................ 5 Consultation and involvement....................................................................................................... 6 Impact of the Attendance Management policy............................................................................. 6 Age................................................................................................................................................ 7 Disability........................................................................................................................................ 8 Race.............................................................................................................................................. 8 Gender Reassignment .................................................................................................................. 9 Marriage and Civil Partnership...................................................................................................... 9 Pregnancy and Maternity .............................................................................................................. 9 Religion or Belief........................................................................................................................... 9 Sex (Gender)............................................................................................................................... 10 Sexual Orientation....................................................................................................................... 10 Monitoring and Evaluation........................................................................................................... 11 Next Steps ..................................................................................................................................... 11 Contact Details.............................................................................................................................. 11 ANNEX A: Workforce Diversity Data........................................................................................... 12 Diversity data for total staff in BIS:.......................................................................................... 12 ## Introduction BIS has carried out an equality analysis as part of the introduction of the new Attendance Management policy, which is being implemented from November 2013 onwards, assessing the proposals in line with the current public sector equality duties. This process will help to ensure that:  the Department complies with its duties under the Equality Act 2010 to: o eliminate unlawful discrimination, harassment, victimisation and any other conduct prohibited by the Act from its strategies policies and services o advance equality of opportunity and foster good relations between people who share a particular protected characteristic and people who do not share it  due regard is given to equality in decision making and subsequent processes ## Scope Of This Assessment The equality impact assessment will show how BIS has demonstrated it has paid due regard when developing new policies or processes to protected characteristics. These are; race, disability, gender, age, gender reassignment, sexual orientation, pregnancy and maternity, religion or belief and marriage and civil partnerships (in terms of eliminating unlawful discrimination only). ## Brief Outline Of The Policy The objectives of the Attendance Management policy are to:  set out a clear end to end process from reporting sickness to managing unsatisfactory attendance so that: o attendance is managed fairly and effectively in a clear and transparent way and o action is taken in a supportive and sensitive way when health and wellbeing are at risk or when absence levels are unsatisfactory  promote a culture where employees feel valued, supported and committed to the business and their colleagues  place the focus of attendance discussions on what the employee can do rather than what they cannot, enabling them to remain at work wherever possible instead of taking sickness absence  clarify individual roles and responsibilities  improve line manager capability and confidence to enable them to consistently and effectively manage sickness absence  allow employees a reasonable length of time and help to improve their attendance  bring consistency by having a single BIS policy where currently we have 2 legacy policies which treat people differently dependent on their terms and conditions of employment  allow flexibility in considering action based on individual circumstances The proposed policy will affect all employees within the department. ## Main Differences Between The New Policy And The Legacy Policies \| New Policy \| \|-----------------------------------------\| \| Separate policies (in different areas \| \| of the Intranet) for managing \| \| sickness and separate for managing \| \| unsatisfactory attendance \| \| One end to end process for sickness \| \| management and unsatisfactory \| \| attendance, with all supporting \| \| documents on one Intranet page \| \| Ex DIUS 14 days in a rolling 12 \| \| month period \| \| One set of simplified trigger points \| \| (the point when absence becomes \| \| unsatisfactory) of: \| \| Ex Berr: \| \| 14 days or, \| \| 14 days of self-certificated absence in \| \| the preceding 12 months. \| \| 7 spells of absence in a rolling 12 \| \| month period \| \| 22 days total absence (self- \| \| certificated or certificated) in the \| \| preceding 12 months. \| \| 7 or more separate occasions (self- \| \| certificated or certificated) in the \| \| preceding 12 months. \| \| 42 days total absence in the \| \| preceding 24 months. \| \| 60 days total absence in the \| \| preceding 36 months. \| \| Structured keep in touch process for \| \| continuous absence \| \| No structured approach to keeping in \| \| touch for continuous absence \| \| Hospital appointments treated as \| \| sickness absence. \| \| All day hospital appointments (where \| \| an employee otherwise fit for work) \| \| treated as special leave with pay, \| \| part day as flexi leave \| \| \| All other aspects of the new policy compared with legacy policies can be considered the same or comparable. ## Consultation And Involvement CSEP developed the end to end process and their consultation and involvement as part of this development phase is captured in the CSEP high level EIA (July 2012). The HR policy team have led the implementation of the CSEP policy in BIS. HR Business Advisers have presented the views of case practitioners. The policy team has been involved in cross-government workshops to ensure consistency of approach with other departments where appropriate. The policy team has engaged with CSEP to develop products and documents, and seek clarifications. DTUS has been consulted while developing the policy. TUS and the diversity networks will be consulted about the equality impact assessment and this document will be updated accordingly. Supplementary BIS policies on Disability Leave, Stress management and Injury leave have been drafted to replace legacy policies and to complement the new Attendance Management policy, DAG and DTUS has been consulted on the Disability Leave policy (this was not a new policy but a refresh of existing policy). DTUS have been consulted on the Injury Leave policy (this was not a new policy but a refresh of existing policy). DTUS are being consulted on the stress management policy. We will also consult DAG on this. ## Impact Of The Attendance Management Policy Workforce diversity data has been included at Annex A. The new Attendance Management policy will apply to all staff. To ensure that the process is free from discrimination there will be;  Clear intranet guidance and supporting documents available to all employees  A transparent decision making and appeals process  Up-skilling workshops for HR Business Partners and line managers  Central collation of MI and scrutiny of data Having considered the policy before, and throughout, its development, BIS does not anticipate any negative impact on the protected characteristic groups set out below: ## Age BIS data on sickness absence does mirror the general Civil Service trend in that older workers tend to take more sickness absence than younger workers and it tends to be slightly longer term. \| SUMMARY \| AWDL \| \|-------------\|---------\| \| TOTAL \| \| \| STAFF \| \| \| YEARS \| \| \| DAYS \| \| \| LOST \| \| \| (SHORT \| \| \| TERM) \| \| \| DAYS \| \| \| LOST \| \| \| (LONG \| \| \| TERM) \| \| \| TOTAL STAFF \| \| \| EMPLOYED IN \| \| \| PERIOD \| \| \| (HEADCOUNT) \| \| \| TOTAL STAFF \| \| \| EMPLOYED IN \| \| \| PERIOD WITH \| \| \| NO ABSENCE \| \| \| (HEADCOUNT) \| \| \| % \| \| \| STAFF \| \| \| WITH \| \| \| NO \| \| \| SICK \| \| \| LEAVE \| \| \| TOTAL \| \| \| DAYS \| \| \| LOST \| \| \| (12 \| \| \| month \| \| \| period) \| \| \| AGE \| \| \| 16-24 \| 26 \| \| 25-29 \| 240 \| \| 30-34 \| 618 \| \| 35-39 \| 569 \| \| 40-44 \| 934 \| \| 45-49 \| 1538 \| \| 50-54 \| 1058 \| \| 55-59 \| 853 \| \| 60-64 \| 280 \| \| 65+ \| 173 \| \| Unknown \| 0 \| \| TOTAL \| 6289 \| ## In terms of age breakdown of the department BIS tends to have a slightly lower percentage of staff in the 50-59 year old bracket and a slightly higher percentage in the under 40s age groups than the civil service as a whole. The new policy will help managers manage sickness absence in a fairer and consistent manner and encourages an approach which focuses on supporting employees to remain at work where possible and back to work as soon as they are able through the use of reasonable adjustments or temporary adaptations. Flexibility in the policy allows managers discretion in how to handle unsatisfactory attendance depending on circumstances. Therefore introduction of the policy should not have a detrimental effect on older workers. BIS will assess the impact of the policy and procedure on older workers following implementation. ## Disability BIS has the following arrangements in place to support the management of sickness absence for disabled staff:  Disability leave policy  Flexitime working and special leave policies which allow paid credit for hospital treatment and doctors appointments  Guidance on making temporary adaptations and reasonable adjustments (including adjustments to trigger points) for disabled employees  Guidance on planning for a return to work  Refreshed guidance on stress management ## The policy highlights a manager's responsibility to take reasonable adjustments into account throughout the Attendance Management procedures. Flexibility in the policy allows managers discretion in how to handle unsatisfactory attendance depending on circumstances. Therefore introduction of the policy should not have a detrimental impact on disabled employees. BIS will assess the impact of the policy and procedures on disabled employees following implementation. MI should be available through the reports from the new HR System. ## Race Although it is appreciated that some illnesses are more prevalent through genetic disposition we have no statistical evidence to suggest that race has an impact on absence levels in the department. Flexibility in the policy allows managers discretion in how to handle unsatisfactory attendance depending on circumstances. Therefore this Attendance Management policy is unlikely to have any adverse impact relating to race. BIS will assess the impact of the policy and procedures following implementation. MI should be available through the reports from the new HR System. ## Gender Reassignment Absences for gender reassignment operations and treatment are covered by the special leave with pay policy. This Attendance Management policy is therefore unlikely to have an equality impact relating to gender reassignment. ## Marriage And Civil Partnership We have no evidence to suggest that marriage or civil partner ship has an impact on sickness levels. Therefore this attendance management policy is unlikely to have any specific impact relating to marriage or civil partnership. ## Pregnancy And Maternity Pregnancy related sickness absences do not count for attendance management purposes or towards sick pay calculations, therefore we do not anticipate that the attendance management policy will have an impact on pregnancy or maternity related absence. ## Religion Or Belief We have no evidence to suggest that religion or belief has any specific impact on sickness absence levels. Therefore the attendance management policy is not likely to have an equality impact relating specifically to religion or belief. ## Sex (Gender) The gender breakdown of the department shows an almost even ratio of men to women, however sickness absence statistics from BIS show that women are more likely to take sickness absence than men. \| SUMMARY \| AWDL \| \|-------------\|---------\| \| TOTAL \| \| \| STAFF \| \| \| YEARS \| \| \| DAYS \| \| \| LOST \| \| \| (SHORT \| \| \| TERM) \| \| \| DAYS \| \| \| LOST \| \| \| (LONG \| \| \| TERM) \| \| \| TOTAL STAFF \| \| \| EMPLOYED IN \| \| \| PERIOD \| \| \| (HEADCOUNT) \| \| \| TOTAL STAFF \| \| \| EMPLOYED IN \| \| \| PERIOD WITH \| \| \| NO ABSENCE \| \| \| (HEADCOUNT) \| \| \| % \| \| \| STAFF \| \| \| WITH \| \| \| NO \| \| \| SICK \| \| \| LEAVE \| \| \| TOTAL \| \| \| DAYS \| \| \| LOST \| \| \| (12 \| \| \| month \| \| \| period) \| \| \| GENDER \| \| \| Male \| 2412 \| \| Female \| 3877 \| \| Unknown \| \| \| TOTAL \| 6289 \| ## The Attendance Management policy and procedures will help managers manage sickness absence in a fairer and consistent manner and encourages an approach of working together with employees and supporting them to remain at work where possible and back to work as soon as they are able through the use of reasonable adjustments or temporary adaptations. Flexibility in the policy allows managers discretion in how to handle unsatisfactory attendance depending on circumstances. In addition the department does have a wealth of family friendly policies (flexible working, special leave, parental leave) to enable working families to manage their work-life balance. The policy encourages increased emphasis on managers and employees working together to discuss options in reducing sickness absence. Therefore the attendance management policy is not likely to have an equality impact relating specifically to gender. BIS will assess the impact of the policy on gender following its implementation. ## Sexual Orientation We have no evidence to suggest that sexual orientation has any specific impact on sickness levels. Therefore the attendance management policy is not likely to have an equality impact relating specifically to sexual orientation. ## Monitoring And Evaluation Formal evaluation of this policy will be undertaken in due course. If the MI shows that specific groups are being disadvantaged by the changes, the HR Policy team and Groups/Directorates will be responsible for ensuring that necessary adjustments resulting from local factors are undertaken. Data currently prepared for Cabinet Office on sickness absence does not include an analysis of race or disability. Date for the CO report is compiled from several separate legacy reports and it is not possible to re-interrogate this information to include race or disability. In future as we move to a new HR system we plan to include race and disability in our sickness absence analysis. ## Next Steps The equality analysis has formed part of the design of the policy and will inform the implementation and evaluation of the changes to the Attendance Management policy. ## Contact Details If you require further information, please contact: Jane Asher, HR Policy Team: jane.asher@bis.gsi.gov.uk ## Annex A: Workforce Diversity Data Diversity data for total staff in BIS BIS total staff count: 3104 \| Diversity strand \| \| \|--------------------------\|--------------\| \| Departmental headcount \| \| \| figure against diversity \| \| \| strand \| \| \| % of staff \| \| \| Working pattern \| Full time \| \| \| \| \| Part time \| 352 \| \| Gender \| Male \| \| \| \| \| Female \| 1506 \| \| Age \| 25 and under \| \| \| \| \| 26 - 35 \| 675 \| \| \| \| \| 36 - 45 \| 818 \| \| \| \| \| 46 - 55 \| 1098 \| \| \| \| \| 56 - 65 \| 355 \| \| \| \| \| over 65 \| 34 \| \| Disability \| Yes \| \| \| \| \| No \| 1942 \| \| \| \| \| Not declared \| 972 \| \| Ethnicity \| BME \| \| \| \| \| White \| 1190 \| \| \| \| \| Not Declared \| 1577 \| \| Sexual orientation \| Heterosexual \| \| \| LGB \| \| \| Not declared \| \| Religion \| Declared \| \| \| \| \| Not declared \| 2306 \| © Crown copyright 2014 You may re-use this information (not including logos) free of charge in any format or medium, under the terms of the Open Government Licence. Visit www.nationalarchives.gov.uk/doc/open-government-licence, write to the Information Policy Team, The National Archives, Kew, London TW9 4DU, or email: psi@nationalarchives.gsi.gov.uk. This publication available from www.gov.uk/bis Any enquiries regarding this publication should be sent to: Department for Business, Innovation and Skills 1 Victoria Street London SW1H 0ET Tel: 020 7215 5000 If you require this publication in an alternative format, email enquiries@bis.gsi.gov.uk, or call 020 7215 5000.	en
0471-pdf	## Reducing The Spread Of Covid-19 Current R (Uk) Source: Scientific Advisory Group for Emergencies, COVID-19 Infection Survey, Office for National Statistics. Further details on data sources can be found here: https://www.gov.uk/government/collections/slides-and-datasets-toaccompany-coronavirus-press-conferences ## Testing And New Cases (Uk) Testing Includes tests carried out and posted out. Some people are tested more than once. tests as of 5 June ## Confirmed Cases Only includes cases tested positive. There are more cases than confirmed here. cases confirmed as of 5 June Source: NHS England and devolved administrations. Further details on data sources can be found here: https://www.gov.uk/government/collections/slides-and-datasets-toaccompany-coronavirus-press-conferences ## Data From Hospitals Definitions vary across the devolved administrations. See statistical notes for more information. Source: NHS England and devolved administrations. Further details on data sources can be found here: https://www.gov.uk/government/collections/slides-and-datasetsto-accompany-coronavirus-press-conferences ## People In Hospital With Covid-19 (Uk) 7,080 people are in hospital with COVID-19, down from 8,285 this time last week. Source: NHS England and devolved administrations. Further details on data sources can be found here: https://www.gov.uk/government/collections/slides-and-datasets-toaccompany-coronavirus-press-conferences ## Daily Covid-19 Deaths Confirmed With A Positive Test (Uk) The numbers presented here from the Department for Health and Social Care relate to deaths where COVID-19 was confirmed with a positive test. Weekly registered deaths from the Office for National Statistics include cases where COVID-19 is mentioned on the death certificate but was not confirmed with a test. On 22 May, ONS reported 48,106 cumulative registered deaths from COVID-19. This was 11,713 more than the DHSC figure for the same date. Source: DHSC, sourced from NHSE, PHE, devolved administrations. Further details on data sources can be found here: https://www.gov.uk/government/collections/slides-and-datasets-toaccompany-coronavirus-press-conferences ## Annex: Statistical Notes Current R (UK): R is not usually a useful measure on its own and needs to be considered alongside the number of new cases. R is the average number of secondary cases directly generated by an individual case. The R number does not estimate how many people are currently infected. R is estimated from multiple data sources, including ICU/hospital admissions, ONS/CQC death figures, behavioural contact surveys, and others. COVID-19 Infection Survey (England): The Office for National Statistics (ONS) is initially conducting a pilot survey aiming to achieve data from 10,000 households in England. All individuals aged two years and over in sampled households were invited to provide samples for testing. This means approximately 25,000 people will be involved in the pilot study. Following completion of the pilot survey, the full survey will expand the size of the sample over the next 12 months and look to cover people across all four UK nations. This study addresses an important clinical priority: finding out how many people across the UK have a COVID-19 infection at a given point in time, or at least test positive for it, either with or without symptoms; how many new cases have occurred in a given time period; and how many people are ever likely to have had the infection. It will also enable estimates of the rate of transmission of the infection, often referred to as 'R'. All estimates are subject to uncertainty, given that a sample is only part of the wider population. The 95% confidence intervals are calculated so that, if we were to repeat this study many times, with many different samples of households, then 95% of the time the confidence intervals would contain the true value that we are seeking to estimate. The estimated new COVID-19 infections per week is based on results of people tested throughout the study period, which began 26 April. Research partners at the University of Oxford and the University of Manchester use a more complex regression modelling approach to estimate the percentage of the population in England testing positive for the coronavirus by week since the start of the study (26 April). Therefore the other Infection Survey results cannot be directly compared with these infection estimates. Testing and new cases (UK) Tests: The number of tests includes; (i) tests processed through our laboratories, and (ii) tests sent to individuals at home or to satellite testing locations. Tests processed through laboratories are counted at the time of processing in the laboratory and not when they are issued to people. Tests sent to individuals at home or to satellite testing locations are counted when tests are dispatched and not at the time of processing in the laboratory. Testing under Pillar 3 has been included from 1 June. Cases: Cases are reported when lab tests are completed. This may be a few days after initial testing. Chart date corresponds to the date tests were reported as of the 24 hours before 9am that day. Only includes cases tested positive. There are more cases than confirmed here. There may be a small percentage of cases where the same person has had more than one positive test result for COVID-19. For more information please see: https://www.gov.uk/guidance/coronavirus-covid-19-information-for-the-public ## Annex: Statistical Notes Data from hospitals Estimated daily admissions with COVID-19 (UK): England data captures people admitted to hospital who already had a confirmed COVID-19 status at point of admission, and adds those who tested positive in the previous 24 hours whilst in hospital. Inpatients diagnosed with COVID-19 after admission are assumed to have been admitted on the day prior to their diagnosis. Northern Ireland data includes suspected and confirmed COVID-19 admissions by admission date. Wales data includes confirmed and suspected cases, and is the number of admissions to the hospital in the previous 24 hour period up to 9am. The status of COVID/non-COVID is as at the time of reporting not at time of admission. Data for Scotland provides the profile of admissions into hospital for patients who tested positive for COVID-19 in the 14 days prior to admission to hospital, on the day of their admission or during their stay in hospital. The data are published weekly by Public Health Scotland: https://beta.isdscotland.org/find-publications-and-data/population-health/covid-19/covid-19-statistical-report/ Ventilator beds with COVID-19 patients (UK): Reporting on bed capacity has shifted from ventilator bed capacity to the number of ventilator beds occupied with COVID- 19 patients. The data shows the overall number of Mechanical Ventilation beds that are occupied by COVID patients, by nation. This measure includes both Nightingale hospitals and Dragon's Heart/Ysbyty Calon y Ddraig field hospital. The trends in these graphs are impacted by both reserved and devolved policies. For Wales mechanical ventilator beds cover invasive ventilated beds in a critical care setting, plus those outside of a critical care environment. Scottish figures include people in ICU with confirmed or suspected COVID-19, and may include a small number of patients who are not on mechanical ventilation. England figures include the number of COVID patients in beds which are capable of delivering mechanical ventilation. Northern Ireland figures include the number of COVID patients in beds which are capable of delivering mechanical ventilation. People in hospital with COVID-19 (UK) Community hospitals are included in figures for Wales from 23 April onwards. England and Scottish data includes confirmed cases, Northern Ireland and Welsh data includes confirmed and suspected cases. Due to the way Northern Ireland report, the UK figure is calculated by taking the most recent day for Great Britain plus the previous day for Northern Ireland. National data may not be directly comparable as data about COVID-19 patients in hospitals is collected differently across nations. From 22 May, a change in reporting resulted in some patients in Wales being reclassified as COVID patients. Prior to this date, some COVID positive patients who had been in hospital for 14 days and recovered were reported as non COVID patients. Northern Ireland data were revised on 30 May to reflect a methodology change for calculating the number of COVID inpatients. Daily COVID-19 deaths confirmed with a positive test (UK) Figures on deaths relate to those who have tested positive for COVID-19. The 7-day rolling average (mean) of daily deaths is plotted on the last day of each seven day period. UK deaths are reported when paperwork is filed, rather than time of death. Deaths are reported in the 24 hours up to 5pm on the previous day. On 1 June the deaths data have been revised to include an additional 445 deaths in England from the period 26 April - 31 May. The published daily series has been revised to show when these deaths were reported. For more information please see: https://www.gov.uk/guidance/coronavirus-covid-19-information-for-the-public	en
1487-pdf	## "Self-Sufficient Local Government: 100% Business Rates Retention" A Joint Consultation Response By London Councils And The Greater London Authority About This Response 1. This is a joint response on behalf of London Councils (representing the 32 boroughs and the City of London) and the Greater London Authority (GLA). It has been agreed by the 33 Leaders of London's local authorities and the Mayor of London. 2. It firstly sets out a joint position on how we believe the reforms should be implemented in London in order to benefit not just the capital but the local government sector - and the UK economy - as a whole. This develops a set of key principles that were agreed by London Councils Leaders' Committee and the Mayor of London in June, and formally submitted to the Chancellor of the Exchequer and the Secretary of State for Communities and Local Government on 1st July. 3. Appendix 1 then includes detailed responses to the consultation questions. Introduction 4. Since the Chancellor's announcement that local government would retain 100 per cent of business rates by 2020 in October 2015, London Government has been working collaboratively to develop a strategic pan-London response to the reforms. We welcome the consultation on the reforms to the business rates retention system required in order to make local government "self-sufficient" by 2020, and its commitment to "explore with London [along with Greater Manchester and Liverpool combined authorities] options for moving to 100% business rates retention ahead of the full roll-out of the business rate reforms." 5. London Government has long held the view that it should be granted control of a wide range of local taxes, including business rates. The re-convened London Finance Commission (reporting in autumn 2016) is likely to recommend greater fiscal devolution and tax raising powers for London. London's continued economic growth is vital to the country as a whole; maintaining that growth during a period of uncertainty in which the UK will leave the EU - and managing a rapid increase in population - will be a huge challenge. Devolving business rates (and other revenue streams) will help build a joint, city-wide approach that can incentivise, prioritise and manage the public services and infrastructure investment London needs to continue its contribution to the public life and economic success of the UK. 6. However, there are two major threats to the Government's policy objective of promoting growth and self-sufficiency: 1) the issue of business rates appeals - which is now widely recognised across the sector; and 2) the fact that there is an overall "fixed quantum" of business rates - which, as a result of its interaction with the revaluation process, distorts incentives and undermines the economic credibility of the tax. A devolved approach would give London Government the opportunity to address both issues - even without the power to increase the rates bills for individual taxpayers. 7. Furthermore, London's population will continue to grow much more rapidly than that of the rest of the country. This brings opportunities and challenges not only in the successful management of the capital's economic growth, but also in securing a sustainable financial future for its public services. In considering the future assessment of relative needs and the services to be transferred, it will be essential that any London deal secures genuinely devolved control over a level of resources sufficient to manage the financial risks involved. 8. In June 2016, London Government collectively agreed a set of principles that would inform the design of each of the key elements of a devolved business rates retention system for the capital. This response expands on those principles and sets out a clear vision for how a London business rates retention system would operate. ## Issues With The Current Local Government Finance System 9. London Government believes there are issues with the current local government finance system that must be addressed if local government is to be put on a sustainable financial footing over the long term, in a world where business rates and council tax will fund virtually all local government services from 2020. The current funding system breeds uncertainty; is too complex and lacks transparency; and is too centralised with a lack of local control. ## Uncertainty 10. London Government believes the current local government finance system does not provide local authorities with the stability needed to budget effectively over the medium to long term. We welcome the 4 year settlement which will give some degree of certainty over one element of local government funding - Revenue Support Grant (RSG) - until 2019-20, however uncertainty exists over other funding streams. Ring-fenced grants often have their own complex funding formulae that are frequently recalculated. The extent to which local authorities can benefit from Council Tax varies widely because of historic decisions and out of date valuations. And, most importantly, the level of retained business rates varies across the country and bears little correlation with economic growth. The four year settlement sets out targets for retained business rates - but there is no guarantee local authorities will meet them, in large part due to the impact of business rates appeals, and the failure of the current retention system to incentivise growth. 11. The uncertainty caused by business rates appeals is the biggest issue government must resolve with the current retention scheme. It disproportionately affects London boroughs, which receive more appeals, and where appeals are generally of higher value and take longer to clear than elsewhere. The aggregate provision for appeals across all 33 London billing authorities as at 31 March 2016 exceeds £925 million. The current backlog of appeals on the 2010 rating list in London is proportionately much higher than the rest of the country and progress on reducing this backlog also appears to have been much slower in the capital particularly in central London. 12. The unpredictability of appeals meant the Government underestimated the call on the safety net in the first three years of the retention system. As a consequence, an additional £195 million was top-sliced nationally from RSG: funding that would otherwise have benefited all authorities. The GLA incurred a deficit against its baseline of £120 million in the first two years of the scheme due to the impact of provisions for appeals but was ineligible for a safety net payment. 13. More broadly, the 50 per cent scheme has failed to incentivise growth sufficiently. Analysis of publicly available data on business rates confirms this - with negative growth in the first three years of the system despite strong economic growth across London. Aside from the uncertainty caused by appeals, the growth incentive is weak for several reasons:  the 50 per cent growth retention rate is too low (we believe should have been 100 per cent from outset);  there is a levy on disproportionate growth for tariff authorities;  the definition of growth only applies to physical rather than revaluation growth - this makes it difficult for local authorities in built-up areas, like London, to benefit financially from the current system any additional physical growth often requires the demolition of existing buildings first; and  growth is lost when the system is reset, which acts as a disincentive for developments as the "cliff edge" of the reset draws closer. ## Transparency And Complexity 14. Uncertainty is compounded by the second main issue with the local government finance system: its sheer complexity, which leads to a real (and perceived) lack of transparency. 15. This begins with the Spending Review process whereby HM Treasury agrees departmental spending allocations behind closed doors, and DCLG is left with a Departmental Expenditure Limit from which RSG is calculated. Existing funding burdens, such as pressures caused by people with No Recourse to Public Funds or those claiming Council Tax Support, are reportedly taken into account when agreeing the overall funding control total for the DCLG (and thereby the overall level of RSG), however, it is not clear how. 16. The needs assessment which drove the original funding baselines in the business rates retention system, and to a large extent the distribution of RSG, is incredibly complex and opaque making the original funding distribution at the start of the current retention system difficult to understand. By seeking to account for differences between such a diverse range of organisations, with budgets ranging from £2 million to well over £1 billion, the current needs assessment has evolved to be unavoidably complex. This has resulted in different parts of the sector being forced into competition to argue for the factors that matter most to their areas. 17. Continual tweaking of the methodology for calculating RSG has meant that changes to the distribution of funding since 2013-14 have often been difficult to understand. "Rolling in" certain grants and responsibilities (such as Council Tax Support and Local Welfare Provision), while keeping others as visible lines within RSG, has further added to the confusion, impeding the ability of local authorities to understand whether there is a fair level of funding for the services they are required to deliver. The confusion over the calculation of the "transition grant" in the 2016-17 LGF Settlement is the latest example of how this lack of transparency permits central manipulation without appropriate accountability. 18. Finally, the business rates retention scheme architecture is too complex. The scheme was supposed to be simpler than the previous system of formula grant and specific grants. Due to the fact that it is a partial retention system involving different shares for different tiers of government, there are complex accounting arrangements and there have been a growing number of reliefs with differing qualification criteria often requiring compensation via section 31 grant the system has become increasingly opaque and difficult to understand even for Finance professionals. In addition because there is an overly complex way of forecasting and accounting for appeals, this has resulted in a scheme in which it is difficult to assess accurately whether there has been growth against a baseline or not, let alone one in which business rates growth follows wider economic growth. ## Lack Of Local Control 19. The third main issue with the current system of local government finance is that there is too much central control by government. London Government believes that decisions over funding of, and expenditure on, local public services should be taken as close as possible to the tiers of government delivering those services. The current finance system remains overly-centralised. Compared with other developed countries, the UK is an outlier in the level of tax raised and spent locally1. 20. Ring-fencing certain government departments, while others bear greater proportionate cuts, has an impact in funding available to local authorities. This not only impacts on the overall level of core funding, but affects the way in which local government is able to use its financial resources. Despite government attempts to rationalise grant funding streams following the 2010 Spending Review, there has been a gradual increase in the number of ring-fenced and targeted grants. These often have their own complex formulae, such as the Public Health Grant, which have their own bureaucratic and timeconsuming machinery to administer. 21. In addition, there are many services that local government has a statutory duty to deliver, but is required to charge for at a level determined by central government rather than local councillors. The result is that there are a number of services which leave councils with an overall net deficit each year. We believe the government should reduce the number of nationally set charges; make locally determined charges the norm; allow local authorities to recover full costs, even for charges set at the national level; and remove central controls on planning application fees, building control charges, land searches and licencing fees. 22. Finally, there has been too much central control over council tax which has restricted long term sustainable financial planning. Apart from business rate supplements which are also levied by local authorities, it is the only tax that requires a referendum to increase tax rates above a threshold and reinforces central control over local government. The current council tax system also means local government has little freedom and flexibility to fund existing unfunded burdens, like NRPF, or underfunded services, like Temporary Accommodation, or services that see a sudden large increase in demand because it has limited fiscal options. We believe that local government should be permitted greater control over the funding of the services it delivers - this would not only ensure local public services are adequately funded but would, ultimately, strengthen local democratic accountability. ## Rationale For A London Retention System 23. London Government believes an effective local government finance system must address these issues. We believe the best solution for London - and for the country as a whole - would be to establish a devolved business rates retention system run by London Government with only minimal ongoing input from central government. Successful, self-reliant local government will help drive economic success as well as providing effective and responsive public services. 24. London drives economic growth of the whole country; has a unique property tax base; and has some unique public service pressures because of its population density, demographic profile and levels of migration. London's circumstances may, therefore, require different solutions to other parts of the country in implementing 100 per cent business rates retention. ## London'S Economy Economic Argument 1) Allowing London Control Over Business Rates Will Encourage Wider Economic Growth For London And Therefore The Rest Of The Uk Economy. 25. London's role as a financial and business centre has helped it lead the economic recovery. It is a centre for high productivity growth industries, such as professional and financial services, and the information and communications sector. London's international competitiveness in these markets is evidenced by the significant level of service exports (over £100 billion) that it achieves and its trade surplus with the rest of the world. This economic activity results in significant fiscal surpluses to the country as a whole. 26. London generates significant levels of taxation, contributing £140 billion (over 20 per cent) of the UK's tax revenues in 2014-152, well in excess of the public expenditure devoted to London (£95 billion), leaving a net fiscal contribution of £45 billion3. 27. London is a global city competing with other global cities. Maintaining London's international competitiveness, particularly once the UK leave the European Union, is therefore crucial to economic activity and the fiscal stability of the country as a whole. The nature of many of the businesses in London is such that if they were to look to relocate elsewhere the choice would be another international city rather than another city or location in the UK. It is therefore in the best interests of the whole country for London's economy to remain strong. 28. London Government believes that a locally controlled business rates system for London would help deliver this, ensuring greater economic growth for London as a whole than one in which the parameters were controlled by central government. Freedom and flexibility to design a more responsive and sustainable business rates system in London, alongside other property taxes, will not only benefit public services in London but will encourage wider economic growth that will benefit whole UK economy. 29. Arguments in favour of re-balancing the economy by enhancing one area at the expense of others are misleading. Economic growth is not a zero sum game. Rather, London must be given the tools to unlock even greater growth for the rest of the country. The Crossrail project (for which almost a third of the funding comes from a supplement on business rates) for example, is forecast to add an estimated £42 billion to the UK economy. Its supply chain has supported the equivalent of around 55,000 jobs across the country with two thirds of its suppliers being located outside London - the majority of which are SMEs. 30. It should be noted that London's economy is interlinked with the greater South East and that business rates growth depends, to some extent, on housing and transporting that workforce. Any significant devolution of business rates to the capital therefore would require a recognition of this by London's leaders and ongoing dialogue with areas outside of the capital. ## Economic Argument 2) Decoupling London'S Rates System From The Rest Of The Country Would Prevent The Perverse Impact Of London'S Property Market Holding Down Values (And Rates Yields) In The Rest Of The Country. 31. London accounted for 42 per cent of the national growth in RV in 2010: a trend that has persisted since the late 1990s. Chart 1 below shows that London as a region has consistently experienced far greater revaluation growth than other regions in the last 18 years. It is likely that this will continue for the 2017 revaluation with rating agents forecasting a significant increase in London (possibly over £1 billion) but with rateable values expected to drop overall in England. If London's business rates yield did rise by £1 billion in 2017, rates yield in the rest of the country would reduce by that amount (around 2 per cent). 32. If these trends continue, under the current valuation system and assuming the current 5 year revaluations continue, we estimate that by 2040 almost 60% of all business rates income will be generated in London - double the current proportion. This is, arguably unsustainable, as an ever increasing proportion of the national business yield will come from a, relatively, small number of properties in central London, thereby increasing the exposure of the entire country's business rates values to the volatility of that unique property market. 33. In addition, with the incidence of business rates likely to continue to fall on an increasingly small number of London businesses, the risk of these businesses appealing their rates valuations - and the consequential impact on the entire system of those appeals - becomes larger, further adding to the unsustainability of the current system. ## Chart 1 - Rateable Value By Region - 1998-99 To 2016-17 Source: VOA 34. Under the current system of revaluation, London's disproportionately high valuation growth leads to a corresponding reduction in business rates payable elsewhere in the country at each revaluation. When business rates were only used to fund local government indirectly, the distributional effect of revaluations had no impact on councils. Under a national retention system, however, a relative increase in London's rateable values would lead to an increase in London's aggregate tariff and a corresponding reduction in the growth rewards and incentives available to the rest of the country. 35. This is exemplified by looking at what the impact of 2010 revaluation would have been had London boroughs been taken out of the system. The overall national average growth in RV was 21% across England; this included an increase of 34% for London's RV. Excluding London, the average growth across England was 16%. The resultant impact of London's disproportionate growth was that 70 local authorities, whose growth was between 16% and 21%, saw their gross yield of rates decline when, had London been excluded, their rateable value and, therefore gross yield, would have grown. Table 1 below shows that London's disproportionate growth held the multiplier down by around 2p, saving ratepayers outside London a collective £633 million. London boroughs included Total RV (£m) 40,270 40,270 0 Total Gross rates (£m) 16,390 17,023 633 Multiplier (£) 0.407 0.423 0.016 No. of LAs increasing gross yield: 117 187 70 No. of LAs decreasing gross yield: 176 106 -70 Source: London Councils' analysis of DCLG data 36. Table 2 below shows the impact at the regional level. Rather than reducing by £294 million the overall business rates yield would have been £339 million higher (a net difference of £633 million or 3.9 per cent). Each region would have benefitted by 3.9 per cent compared with what actually happened in 2010-11, with the South East and North West standing to gain the most in net terms (as a result of their higher starting base position). Actual values Values if London had 2009-10 Change in (£m) 2010-11 gross rates (£m) Rest of England 16,684 16,390 -294 17,023 339 633 North East 835 855 20 888 53 33 North West 2,673 2,671 -2 2,775 101 103 Yorks & Humber 1,899 1,911 12 1,985 86 74 East Midlands 1,568 1,426 -142 1,482 -87 55 West Midlands 2,088 1,971 -116 2,047 -40 76 East of England 2,268 2,248 -20 2,335 67 87 South East 3,552 3,416 -136 3,548 -4 132 South West 1,800 1,889 89 1,962 162 73 Source: London Councils modelling based on VOA data 37. This shows how the current relative system of valuation, whereby London's underlying economic growth continues to outstrip the rest of the country, has the perverse effect of keeping rate payers' bills lower (and therefore local authority business rates yields lower) in the rest of the country. If the same happens in 2017 (as is likely), business rates baselines will fall around the country outside London - ultimately making those local authorities more reliant on top-up grant, less selfsufficient and less able to benefit from growth in their areas. This clearly undermines the government's policy aim of using business rate retention to incentivise growth across the country as a whole. London boroughs excluded Difference been excluded Net difference Change in 2010-11 gross rates (£m) 38. London Government believes the tax base should be allowed to rise or fall in response to changes in the economy rather than to fit a pre-defined total. Whether local government then chooses to maximise income against that tax base, or to cut rates as RV rises, should be a matter of (local) political discretion and accountability. 39. "De-coupling" London's business rates system from the rest of the country would prevent the capital's robust property market from continuing to distort the operation of the national system and to allow business rates baselines to increase outside of London at a rate which reflects local authorities' own economic investment and growth. ## London'S Business Rates Tax Base 40. Given the nature of London's economy, its business rates tax base is very different to that of the rest of England. London has 16 per cent of the rateable properties in England but these represent 28 per cent of the rateable value (likely to increase to over 30 per cent after the 2017 revaluation). Chart 2 below shows almost half of the Rateable Value (RV) of London's business rates tax base is accounted for by offices compared with just 15 per cent for rest of England; while industrial properties account for a much smaller proportion of London's RV than the rest of England (just 9 per cent compared with 27 per cent nationally). 41. Within London, just four authorities (Westminster, the City of London, Camden and Tower Hamlets) account for 50 per cent of London's total RV; and a third of London's total RV is accounted for just by offices in these four authorities (£5.4 billion in 2015). This different make-up in RV, and the relative concentration of RV in offices in only a few boroughs, suggests that different tools and solutions may be more appropriate for London than for elsewhere in the country. ## Chart 2 - Business Rates Tax Base By Sector - London Compared With Rest Of England Source: VOA, 'NNDR Stock of Properties', at 31 March 20154 London's unique public service pressures 42. London's demographic profile is notably different to the rest of the country, creating pressures on public services in the capital that are manifestly different from elsewhere. With some of the most deprived areas of the country sitting alongside the most affluent, London has some of the most complex social problems that come with being Europe's largest and most diverse city. 43. It is the most ethnically diverse region in the country with more than a third of residents born outside the UK, and the highest proportion of households where English is not the first language (26 per cent). Its population is also more transient and mobile than the rest of England, meaning boroughs are serving populations with increasingly complex needs. 44. Overall, London continues to show significant relative deprivation: nearly two thirds of London's lower super output areas (LSOAs) have above average levels of deprivation (according to the 2015 Index of Multiple Deprivation). Just under a quarter of London's LSOAs fall within the most deprived 20 per cent of England. 45. Despite being the smallest region by area, London has the second largest population of the UK's 12 regions (estimated to be 8.8 billion in 20165). By 2020 it will have overtaken the South East to become the most populous region of the country, and by 2040 more people will live in London than Scotland, Wales and Northern Ireland combined. This population density creates unique challenges for public services in the capital, most notably in housing, transport and healthcare. 46. However, it is London's disproportionate levels of population growth that really set it apart from the rest of the country when it comes to demand for public services. Over the period to 2039, London's population is forecast to increase by 24% (to over 11 million), double the rate (12%) of the rest of England (see Chart 3 below). ## Chart 3 - Estimated Change In Population By Region - 2016 To 2039 Source: ONS, 2014-based Sub-National Population Projections 47. Any new system of local government funding must therefore be able to respond to such changes, and the consequent increase in demand for services, in order to ensure sustainability over the long term. 48. In the more immediate future, the latest projection estimates forecast London's population will rise from 8.8 million in 2015 to 9.3 million by 2020 (an increase of 5.4 per cent). This is more than twice the anticipated rate of increase for the rest of England (2.5 per cent) over the same period. London will account for 30 per cent of all population growth in England over that period. This disproportionate growth is across the board: Chart 4 (below) shows above average growth in every demographic cohort. ## Chart 4 - Projected Population Growth - London V Rest Of England 2016-2020 Sources: Ons, 2014-Based Snpp; Projecting Adult Needs And Service Information (Pansi) Data 49. London's larger relative working age population means that growth in adults aged 18-64 will have a particularly disproportionate impact in London (accounting for 56 per cent of the national growth in that demographic by 2020) compared with other areas. This will put pressure on services related to the working population such as skills, employment support and transport, but in particular will drive greater demand for social care for adults with physical and learning disabilities and mental health issues. 50. Within London, in relative terms, larger than average growth in the 0-18 and the over 65 population will place noticeably bigger demands on London Government to deliver children's services and schools places, as well as health and adult social care for the elderly. Adults and Children's social care are by far the biggest areas of expenditure for local authorities - with some London boroughs spending over 70 per cent of their budget on social care. The far greater than average growth of adults with learning and physical disabilities, and those with mental health problems, will place huge cost pressures on the capital's social care budgets. 51. London Government believes it is imperative that London has stable and sustainable funding mechanisms that have the capacity to grow sufficiently to meet such rising demand. ## London Government'S Vision For A London Retention System 52. London's unique position as the driver of the UK economy and the very different demand drivers for public services means there is a strong case for delivering 100 per cent business rates retention differently in the capital. Government has recognised this by naming London as a pilot area to trial certain elements of the new system prior to the start of the full retention system. London Government will work closely with government to develop the London pilot from April 2017 onwards, however London Government wishes to go further than this and develop an autonomous business rates retention system. Our vision for how this would operate is set out below. While we will continue to explore opportunities to pilot early reforms of the system, we recognize that our vision for business rates within London represents fundamental change that would have to be implemented alongside the wider national reforms ## A. Retention Level 53. London Government has consistently called for the full devolution of business rates to the capital. This was one of the recommendations of the 2013 London Finance Commission (along with further control of the full suite of property taxes), and is likely to be advocated in the 2016 London Finance Commission, as part of a push for broader fiscal devolution. It was also a central ask in London Councils' 2015 Spending Review submission. 54. In 2016-17 the government expects London boroughs to collect £6.7 billion in business rates6, retaining half £3.4 billion, and paying a tariff of £345 million. London Government therefore retains around £3 billion - or 90 per cent of its local share of rates (45 per cent of the overall total business rates). By 2019-20 inflation alone would see the overall quantum rise to £7.3 billion and, with an estimated increase of around £1 billion due to the 2017 Revaluation7, the total by 2019-20 would be £8.4 billion. 55. Table 3, below, shows that London is likely to have headroom of around £4.0 billion by 2019-20: that is the amount by which business rates would exceed current spending responsibilities. Full retention in 2019-20 would, therefore, require London Government to finance additional responsibilities from business rates (beyond TfL grant already announced) for around £4.0 billion of services to match the available resources in order to be "fiscally neutral". 2019-20 (post 2016-17 2017-18 2018-19 2019-20 transfer of central share) Total business rates 6.735 7.867 8.099 8.358 8.358 Central share 3.368 2.596 2.673 2.758 0.000 Retained share (BRB) 3.357 5.271 5.426 5.600 8.358 Baseline Funding 3.012 4.179 4.274 4.383 4.383 Tariff or "headroom" -0.345 -1.092 -1.153 -1.217 -3.975 % of total rates retained 45% 53% 53% 52% 52% 56. It is important to reiterate that full retention of business rates would not result in London having extra money to spend on the same services being delivered elsewhere, but in London being required to deliver additional services that are currently delivered by central government departments and funded through other means (mainly by general taxation). 57. The issue of the percentage retained is inextricably linked with the question of the responsibilities that are transferred (see section B below). It is possible (without disadvantaging the rest of the country) to fund all of the services and grants proposed for transfer within the anticipated business rates to be collected in London with (see Table 4 in section B below). 58. However, if the national approach to transfers requires a continued contribution from London to support services elsewhere, London Government would prefer one overall aggregate tariff to be paid to government each year, combined with the freedom for London to set its own tariffs and top-ups to distribute the remaining retained sum (see section D below). The aggregate tariff, would be calculated using a funding and business rates baseline for London as a whole (determined by a national reset by central government), and would be a share deducted from every London billing authority's business rates take (in a similar way to the central share currently), and then London Government would set top-ups and tariffs to balance to zero within London. This would effectively disentangle London from the national system except for an overall aggregate needs assessment (funding baseline) and enable funding and business rates baselines to be set within London. Ask 1 - London Government seeks to explore full retention of the business rates collected in the capital by 2020; if London does not retain 100 per cent of its business rates, we ask that the tariff is one single payment at the aggregate London level ## B. Additional Responsibilities 59. London Government believes, when determining the existing grants and new responsibilities that should be funded by business rates, priority should be given to responsibilities that maximise London Government's ability to improve the life of Londoners, the effectiveness and efficiency of its public services, and the future economic success of the capital. 60. We would therefore wish to prioritise the transfer of grants and responsibilities that:  have a direct relationship to business;  help tackle key infrastructure challenges, including housing and transport; and  have a compelling public service reform case to be delivered more efficiently and effectively by local government. 61. We believe the government should first consider the outcomes the sector is aiming to achieve, and then design local public services around them. This will require greater exploration of the funding necessary to deliver those outcomes. However, the list set out in the consultation document is a helpful starting point, which we have used to identifying grants and responsibilities we feel are suitable candidates to be transferred in Table 4. 62. The grants and responsibilities listed below are grouped by whether they are a new responsibility or existing grant, and then by which of the three principles set out above they meet. Estimated values for London in 2019-20 are set out in the fourth column. In determining the levels of funding to be devolved in relation to new responsibilities the Government should take into account the costs of administration as well as any initial set up costs including relating to the transfers of assets and staffing. Estimated Existing grant or London value in responsibility Reason(s) 2019-20 (£bn) Skills - 16-19 funding New responsibility Business link/PSR 0.499 Adult Education Budget New responsibility Business link/PSR 0.400 Careers Service New responsibility Business link/PSR 0.097 Work and health programme New responsibility Business link/PSR 0.014 Youth Justice New responsibility PSR 0.054 Valuation Office Agency New responsibility PSR 0.032 Affordable Housing capital funding Grant Infrastructure 0.417 Transport capital (outside London) Grant Infrastructure n/a Early Years funding within DSG Grant PSR 0.748 Public Health Grant Grant PSR 0.628 Revenue Support Grant Grant PSR 0.538 Improved Better Care Fund Grant PSR 0.247 Housing Benefit Admin Subsidy Grant PSR 0.033 Independent Living Fund Grant PSR 0.019 CT Support Admin Subsidy Grant PSR 0.015 Rural Service Delivery Grant Grant PSR n/a Total grants & responsibilities 3.741 Total "headroom" in 2019-20 3.975 Remaining capacity 0.234 NB: The RSG figure here is net of the GLA's RSG which will be funded from business rates from April 2017. TfL Capital grant is also excluded as this will be transferred in 2017-18. The estimated figure for 16-19 skills funding excludes 6th form and academy providers at this stage. 63. Table 4 includes all of the grants listed in the consultation document (with the exception of Attendance Allowance). In addition, (and in line with Adult Education Budgets which is mentioned as a devolved responsibility in Devolution Deal areas), we believe there is a strong argument for devolution of 16-19 skills funding, and National Careers Service funding, which have clear links to business and growth, and could be delivered more efficiently by local government. 64. The transfer of TfL capital funding in 2017-18 sets a precedent for other similar transfers under 100 per cent retention. The need to build more homes is the biggest issue facing London's public services in the medium term. We believe there is a strong argument, therefore, for using business rates - as a relatively stable income stream - to fund affordable housing rather than relying upon grant funding from government. 65. We believe the government is right to consider the responsibilities already transferred to areas with devolution deals. Those areas have been able to show why they warrant the additional responsibility and have negotiated bespoke packages for their own areas. We expect to see (and would support) devolution of a common core package of services funded from bus rates across the whole sector - but would want to see flexibility for additional transfers beyond that where feasible and appropriate. Some of the more universal elements of the existing devolution deals, which have a clear link to business and economic growth, lend themselves to being transferred to the whole sector for example Adult Education Budget and transport capital grants. 66. Table 4 shows London is likely to have more than enough business rates headroom to fund all of these responsibilities from 2019-20, however if a national solution requires an on-going London tariff, London's priorities would be to transfer those responsibilities which best support its ability to promote growth and implement local public sector reform. Ask 2 - London Government would prioritise the transfer (over and above what has already been decided) of: - Skills - 16-19 funding - Adult Education Budgets - Careers service - Work and health programme - Capital funding for Affordable Housing; and - Early Years funding. ## Local Control 67. London Government does not be believe it is appropriate or acceptable to transfer the risk of future spending commitments that London Government is unable effectively to influence. Any transfer of responsibility must therefore be based on a realistic assessment of its in-built spending pressures and be accompanied by a corresponding devolution of policy control. 68. As such, we are united with colleagues across the sector in our opposition to the responsibility for providing Attendance Allowance (or a similar such welfare benefit) being transferred to local government. We firmly believe this should remain centrally administered by the Department for Work & Pensions and should not therefore be transferred to local government. The government has provided no detail about how any new Attendance Allowance administration arrangements would work if devolved to local government or the levels of control and influence the sector would have over the scheme, or any evidence that the in-built spending pressures this would bring has been considered. This is disappointing given the size of the funding involved (£5 billion nationally), and the likely increase in demand for this benefit that will result from an aging population. There is no reason to suggest business rates as a funding stream, and local government as a sector, would be better placed to deliver this benefit than central government through general taxation. ## Beyond 2020 69. In support of broader ambitions for devolution and public service reform, London would also wish to continue exploring approaches that transferred service responsibilities - and appropriate revenue sources - above and beyond those that could be financed entirely by retained business rates beyond 2020. We believe this should be through devolution of further tax raising powers (in line with the likely recommendations of the 2016 London Finance Commission). ## Ask 3 - London Government Would Wish To Agree Prior To The Start Of The 100 Per Cent Retention System A Robust Mechanism For Negotiating And Agreeing With Central Government Any New Responsibilities That Are To Be Delivered In The Capital Beyond 2020 C. Revaluations De-Coupling London 70. As set out in paragraphs 31-39 (above), there is a strong argument for de-coupling London's business rates valuations from the rest of the country in order to provide a closer link to economic conditions throughout the whole country and enable all areas to benefit from growth. 71. The 2017 revaluation is likely to lead to an overall increase in business rates in London - based on past trends and current information from rating agents' - whose forecasts have suggested underlying business rates liabilities for London ratepayers could increase by up to £1.1 billion in 2017-18 compared to 2016-17, due to the combined effect of the revaluation and the RPI uplift in the multiplier based on the assumption rateable values in London will increase by an average of 8% compared to a forecast reduction nationally. If such an outcome materialises once the valuations are published on 30 September, this will have the perverse effect of keeping rate payers' bills lower (and therefore local authority business rates yields lower) in the rest of the country - ultimately making those local authorities more reliant on the top-up grant and less self-sufficient. 72. London Government would urge the Government to ensure that a fair transitional relief scheme is introduced to phase in the changes in bills arising from the 2017 revaluation over five years - ideally with very limited increases in 2017-18. This is necessary because of the significant volatility in rates bills which result from the expected relative increases in rateable values in London and is not conducive to delivering a robust and sustainable taxbase across the whole of England. This is not in the interests of London ratepayers or indeed those in the rest of the country and could be avoided in future if the capital operated its own revaluation arrangements. This is also a further illustration as to how the current arrangements undermine the government's policy aim of using business rate retention to promote growth across the country as a whole. 73. London Government believes sub-national areas that can show to government they are willing and capable of delivering devolved control of business rates should be allowed to retain the benefit of increases in their taxbase. The principal underpinning this argument is that the tax base should be allowed to rise or fall in response to changes in the economy rather than to fit a pre-defined total. Where RVs increase, local government could either (a) leave the multiplier untouched, and therefore raise greater resources to meet local needs; or (b) reduce the multiplier while maintaining spending; or (c) some combination/trade-off between the two. Whether local government then chooses to maximise income against that tax base, or to cut rates as RV rises, should be a matter of (local) political discretion and accountability, taking into account the views of the local business community. 74. Breaking the link between revaluation and the fixed quantum of tax yield benefits both those areas where commercial property markets are strong and those where they are not. In each of these cases set out above - without increasing the burden on individual taxpayers - accountability and the relationship between local business and politicians will be significantly improved. It would also prevent the capital's robust property market from continuing to distort the operation of the national system and to allow business rates baselines to increase outside of London at a rate which reflects local authorities' own economic investment and growth. ## Ask 4 - London Government Asks That The Government Considers Ending The Principle Of "Fixed Yield" Revaluations, And That London'S Business Rates Be "De-Coupled" From The National Valuation System. Keeping Revaluation Growth 75. Whether London's valuations can be decoupled from a national system or not, London Government would at least want to see a system in which it was possible to retain some element of revaluation growth in order to correct one of the major defects in the current arrangements: the fact that growth is measured as physical rather than revaluation (underlying economic) growth. 76. One of the biggest reasons why there is a weak growth incentive in the current system is that growth is measured purely in terms of physical growth rather than taking into account any underlying revaluation or economic growth, even though the latter is likely to reflect increased profitability and therefore additional tax revenues for central government. This limits the ability of local authorities to benefit from the growth in rental values derived, in part, from their investment in making their local areas more attractive as a business destination, for example through incentivising businesses to locate there, improving the public realm and transport links. It also has the strange (in purely economic terms) impact of incentivising growth of businesses with large physical floor space and not necessarily businesses that generate high GVA. 77. While the estimated business rates tax take in London could increase by over £1 billion in April 2017, the government's commitment to redistribution means that the GLA/Mayor and boroughs will derive no additional financial benefit (although they are likely to bear the brunt of any complaints from ratepayers). Meanwhile local authorities outside the capital have even less incentive to invest in their local business environment as any gains are stripped out by the redistributive impact of the national revaluation. ## A London Valuation System 78. As set out above (paragraph 11), the impact of incorrect valuations leading to ratepayers challenging their rates bills through appeals is the biggest issue with the current retention system. This has significantly eclipsed any incentives local authorities have had to grow business rates and clouded any measurement of actual business rates growth. 79. London, with around 16% of the national business rates hereditaments, has seen a disproportionate level of total appeals against the 2010 ratings list (22%) and a £960 million provision for appeals at the end of March 2016 (32% of the national total). 80. There are structural weaknesses in the appeals process, which the "Check Challenge Appeal" reforms are trying to address. However there are more fundamental issues with the performance of the Valuation Office Agency that stem firstly from the valuation basis (meaning a high level of incorrect calculations to start with); and, secondly, in failing to deal with the backlog of appeals efficiently. Analysis of VOA data based on the position at 31 March 2016 shows the number of unresolved appeals as a percentage of the number of properties in the local rating list across the 33 London billing authorities ranged from just over 10% to as much as 40% compared to the England average of about 15%. The relative backlog is notably higher in those London boroughs with the highest business rates taxbases in England such as the City of London, Hillingdon, Tower Hamlets and Westminster, where the materiality of any appeals will tend to be greater in financial terms as a result. By contrast in Wales which has its own devolved arrangements the relative backlog was only 9%. A differential rate of appeals clearance means some local authorities have lost out financially relative to others - both in terms of higher appeals provisions and higher safety net payments until these appeals are cleared. 81. To address these issues, a more efficient and effective system could be established if London Government was given the ability to determine the basis of valuation and to administer the system through the establishment of separate London Valuation Office Agency. The exact process of valuation would be for London Government to determine collectively; however, this could include a system of self-assessment or a formula based system which could enable more frequent - ideally annual - valuations that would be more responsive to underlying economic conditions. ## Ask 5 - London Government Calls For The Ability To Determine Its Own Valuation System To Be Administered By A Regional Valuation Office For London. D. Resets: Balancing Needs And Resources 82. Finding The Appropriate Balance Between Risk And Reward - Meeting Need And incentivising growth - is perhaps the biggest challenge in setting up the 100 per cent retention system. London Government recognises the need to have sufficiently long periods between resets of the business rates baselines to incentivise growth, whilst also ensuring that changing needs are recognised in the funding baselines on a regular basis. The government has proposed 'partial' resets of both funding and business rates baselines on the same timetable. Emerging consensus from the "systems design" working group is that 5 yearly partial resets (of both funding and business rates baselines) requires further exploration, but could form a suitable solution at the national level. 83. We believe that, within a London retention system, the frequency of resets should be determined locally by London Government. As such, we would seek to manage future resets of business rate and funding baselines taking into account the overall balance between spending need, council tax base, the speed of change and the desire to maintain incentives within a devolved system. We think that it may be possible to reset funding and business rates on different timetables, for example with business rates baselines being set over a longer period (10-15 years for example) and funding baselines being reset more frequently (every 3 years for example), and would explore options around this. 84. How resets within London relate to national resets will ultimately depend on the degree of autonomy a London retention system has. ## Ask 6 - London Government Calls For The Ability To Manage Future Resets Of Business Rate And Funding Baselines, And Their Impact, Within London. 85. London Government would advocate a system of equalisation continuing through tariffs and top ups but, as set out earlier (Ask 1), one where they balance to zero within London. If London was required by government to pay a tariff at the outset of the system, this would be paid collectively as a share rather than having individual business rates and funding baselines being directly set by the national assessments. 86. There is common agreement across the sector that any new needs assessment system should be less complex and more responsive to changes than the current system. A potential solution could involve a two-stage approach to assessing need. The first stage would be an assessment of needs at a suitable sub-national level, followed by a more local/sub-regional approach to allocate within these areas. London Councils has undertaken some initial analysis of how a two stage system could work in practice finding evidence to support the conclusion made by the Independent Commission on Local Government Finance that there is greater divergence within regions/sub-national areas than between them. The modelling suggests it is possible to allocate resources in a much more simplified and transparent way to these areas based primarily on population and deprivation variables. 87. In setting funding baselines within a London system, London government would not seek to invent a needs formula from scratch, but to be able to vary the individual assessments for London's local authorities from the national needs formula over time to reflect London's rapidly-changing circumstances, including significant issues such as housing need, population growth/churn and specific London cost pressures; a future London needs assessment would continue to reflect the unique circumstances of the City of London. 88. We would also wish to be able to determine locally the extent to which wider resource capacity (council tax raising ability) is taken into account and the extent to which any transitional arrangements may be necessary by, for example, providing a degree of transitional protection for boroughs and the GLA in both the transition from a national needs assessment to a local one, and indeed following local resets. 89. London Government believes a local solution for distributing funding would:  be less complex and therefore more transparent;  be more responsive to population changes; and  give London boroughs and the GLA more collective ownership over the process and therefore would build trust that the system is fair. ## Ask 7 - London Government Proposes A Two-Stage Process In Which A Regional Needs Assessment For The Capital Would Be Combined With The Ability To Vary A Needs Formula Within London Over Time To Reflect Local Circumstances. E. Determining Allocation Of Resources Between Tiers Of London Government 90. The Reforms To 100% Business Rates Retention Raise Some Important Issues And questions for two tier areas. It is important for the reforms to be equitable, and for all tiers to work together to find the best possible solution. 91. In principle, it is our view that the allocation of resources in London should follow the responsibilities to be funded - as is proposed for 2017-18 where the GLA share is forecast to increase to 37% following the agreed transfer of TfL capital funding and the proposed transfer of the GLA's RSG. The final split of rate income between the Boroughs and the GLA should, as a starting point, reflect the agreed package of responsibilities undertaken by each. Any future revision of that split should be periodically agreed and managed by London Government, in line with changes in responsibility over time and any "resets" of the system. ## Ask 8 - London Government Asks For The Ability To Decide Collectively For Itself How Business Rates Are Shared Between The Boroughs And The Gla. F. Setting Business Rates - Flexibilities Control Over Setting The Multiplier(S) 92. London Government would wish to explore options for either a collectively agreed single multiplier across London, or two separate multipliers with the Mayor of London being granted the ability to set a proportion of the rate on a London wide basis, and boroughs collectively setting the rest of the multiplier. These two shares of the overall multiplier would be determined by the funding and retention split as set out above. We would want to explore the relative advantages and disadvantages of options for either a defined, periodically-reviewed split of income between the boroughs and the GLA, or for the establishing a separate Mayoral rate. Northern Ireland already operates a system incorporating a multiplier set province-wide and a separate one set locally, and we believe a similar arrangement would be possible in London and in two tier areas in the rest of England. ## Ask 9 - London Government Initially Seeks The Flexibility To Determine The Business Rates Multiplier(S) In London, Agreed Collectively Between The Mayor And London'S Borough Leaders Over A Defined Period. 93. Following successful implementation of a London scheme, however, we would want to return to the issues of full control of rate setting - including the safeguards that would be required to prevent a disproportionate tax burden on business - along with a broader range of fiscal devolution as envisaged by the London Finance Commission. ## The Infrastructure Levy 94. Short of being given powers to raise the overall multiplier, London Government - despite not being a Combined Authority area - would, at the very least, wish to be able to raise the 2% infrastructure levy offered to other areas. London's infrastructure needs are different from those of the rest of the country London government considers that the Mayor of London should have the power to introduce an infrastructure levy in addition to the existing business rate supplement which is committed to fund Crossrail 1 until the mid-2030s. The legislation should provide for this to be possible even if this is not the Government's current default policy position. If necessary, the Secretary of State could be given specific powers to approve the introduction of new levies for authorities not automatically eligible to fund specific projects - subject to appropriate consideration by the local LEP. The Business Rates Supplement (BRS) that funds Crossrail has been a large success, and shows how London's property market can sustain additional taxation when the benefits of infrastructure development are made clear to businesses. 95. In addition, we believe there should be a broadly defined definition of "infrastructure" that includes affordable housing. The Government will also need to give consideration as to the mechanism by which the LEP should approve the introduction of a new infrastructure levy. Subject to the proposals being in compliance with the final prospectus approved by the LEP the annual tax setting responsibilities should in our view lie with the directly elected Mayor in the context of London's governance arrangements. ## Ask 10 - London Government Asks That The 2% Infrastructure Levy Is Made Available To The Mayor Of London. Reliefs And Discounts 96. Mandatory reliefs awarded in London amounted to around £650 million in 2016-17, and are currently set by central government. London Government believes these could be used more constructively to improve local economies if devolved to London Government. 97. We believe London Government should have the collective ability to set the qualification criteria and thresholds of the existing mandatory reliefs currently set by central government (and the discretionary elements of those schemes), as well as determining new mandatory relief schemes periodically when deemed necessary. This would include the small business rates relief threshold. Where individual boroughs or the Mayor wished to offer additional discounts over and above a collective scheme agreement, this could be achieved through adjustments to their retained rates. We therefore believe the power to offer business rates discounts directly should be extended to the Mayor of London, where these were more generous than those being offered by billing authorities, although these would be paid for from the GLA share of retained rates. 98. Locally determined reliefs and discounts would encourage greater dialogue and engagement between London Government and businesses and empower local authorities to respond to the specific needs of their local economies, for example leading the regeneration of high streets and town centres by incentivising cafes, arts and culture spaces, workspace or civic uses. Collective control over reliefs would also facilitate more strategic planning to meet other statutory duties for example, by tailoring reliefs to incentivise the provision of healthy food retailers (rather than fast food outlets) they could help promote better public health outcomes. 99. These reforms could create a far stronger platform on which to increase incentives to support economic growth, promote broader policy objectives and link councils more closely to their business communities. ## Ask 11 - London Government Seeks The Flexibility For All Parts Of London Government To Determine All Business Rates Discounts And Reliefs, Including Scheme Parameters And Thresholds G. Distributing The Benefits Of Growth 100. Under the current 50% retention system, boroughs in theory benefit from 30% of growth in rates in their area above the assumed baseline: 20% goes to the GLA and 50% to Government. In practice, the impact of appeals and the timing of the initial baseline calculations have meant that there has, to date, been no real correlation between boroughs' economic growth and business rates growth, and similarly between this overall business rates growth and retained business rate income. 101. These problems should, as far as possible, be designed out of the system in the transition from 50% to 100% retention. In the longer run, the retention and distribution system must be capable of delivering greater and more certain rewards if it is genuinely to incentivise growth. 102. The first, and most basic, option would simply distribute growth according to the retention shares between the boroughs and the GLA. Under a London system that continued, for instance, to have a 60:40 split between the boroughs and the GLA, any growth would continue to be retained in those proportions. However, were the Mayor and the boroughs to have separate multipliers which changed at different rates each year, the growth retention split between the boroughs and the GLA would vary each year depending on how their respective multipliers changed. 103. However, London's economy is a complicated system in which different parts of the capital will have different, but inter-related, roles to play. For the economy to keep growing in a sustainable manner, we need to expand the overall business premises capacity, but also to find ways to house, train, transport and provide access to leisure and culture for millions of people around the capital. We may therefore want to use some of the proceeds of growth to facilitate additional investment, and to create targeted rewards that incentivise contributions to the capital's overall success beyond hosting new business properties. 104. An alternative option could, therefore, see retained rates split into 3 shares:  one for the individual borough;  one for the GLA; and  a third for an overall central pool to be distributed according to collective priorities. 105. The relative shares would be for the boroughs and the GLA to agree at the outset of the new system, and could be reviewed periodically in line with collective priorities. So if, for instance, London Government collectively agreed a pool share of 10%, again assuming a 60:40 starting split the remaining 90% would be split 60:40 between the individual borough and the GLA. The overall shares of any growth would therefore be 54:36:10 (boroughs:GLA:pool). A separate Mayoral rate, varied at a different rate to a borough rate, would again have an impact on the borough:GLA part of this split. 106. London Government would establish a robust governance arrangement prior to the start of the system to:  agree the size of the pool share;  decide priorities for how it is used; and  decide mechanisms for its distribution. 107. Once the system is up and running, an ongoing governance/decision making forum would be required regarding the pool. ## Ask 12 - London Government Asks For The Ability To Determine Collectively How The Proceeds Of Growth Are Shared Within London H. Managing Risk: Safety Nets And The Central List Safety Net Mechanism 108. If the move to 100% retention is to be successful then the need to share and manage risk effectively will be essential. London Government is supportive of introducing a devolved London pooling arrangement to manage risk and uncertainty and ensure resources are allocated in the most efficient way. 109. We support the Government's intention to end the system of levies on growth; however, it is important to ensure that authorities experiencing one off shocks to their rates base have the support of an appropriate safety net mechanism. If the issue of appeals could be addressed by managing a proportion of these centrally this would also serve to reduce the call on the safety net mechanism in future. Were London to establish a devolved business rates retention system, significant consideration would be given to how this safety net mechanism would work and, importantly, to how it should be funded. Options include earmarking a proportion of a collective growth distribution pool or retaining an element of the rates income from a regional "London list" of infrastructure assets within the capital (see para 111). 110. However, we believe London's future approach to managing risk should not be separated from the questions of the overall proportion of rates retained (see section A) or the degree of devolved control over the business rate taxbase (sections E to G). In essence, the greater the degree of autonomy, the more reasonable it will be to expect London to manage its collective risk for itself. Conversely, the more London remains part of a national system, and the more limited its control of the taxbase, the more London should expect to look to Government to share some of that risk. Of particular significance here would be if Government retained levers over the setting of the tax such as the method of indexation or the thresholds for reliefs. Under these circumstances London Government would expect government to provide a degree of support in managing the impact of changes to these central levers that could impact on London's business rates take. 111. Under a fully devolved London retention system, therefore, in which 100 per cent of the rates were retained in the capital, London Government would expect to manage and fund the safety net mechanism. Under a system whereby London continued to pay a tariff to fund the rest of the sector, we would expect to share the funding of a London safety net with the rest of the sector. ## Ask 13 - Under A Devolved Retention System, London Government Asks That The Safety Net Mechanism And Thresholds Are Determined Locally By London Government Reducing The Size Of The Central List As Far As Possible 112. The central list has been identified as a potential source of funding for future safety net arrangements. Where responsibility for such arrangements is devolved, it would be appropriate also to maximise local access to the rates derived from properties currently held on the central list. London Government considers that, unless there is a clear case for an assessment to be on the central list, it should therefore sit on a local list. This would also increase opportunities and incentives to maximise the value and use of such assets where possible. 113. For example, the central list currently includes a large proportion of Transport for London's network and rail infrastructure, including the London Underground, DLR and TfL station carparks, which could be transferred to the local rating list, so that London could retain the full benefits of the investment it makes to improve the capital's transport infrastructure. 114. Alternatively it TfL's assessments could be moved to an area or London regional list in order that the capital can benefit from all of the business rates growth arising from transport investment. TfL also considers there would be operational efficiencies from combining these onto a single assessment. Responsibility for collecting any rates due from the London area list including the TfL assessments could be given to a single London billing authority but the entire proceeds should be made available London wide, potentially via the London redistribution pool. 115. There may also be an argument for separating out those parts of the Network Rail assessment which are now administered by TfL - for example the TfL rail and London Overground assessments - to be transferred over as well. This is an option which we would be keen to explore, at least in relation to station infrastructure including car parks even if it is not practical to transfer the actual rail network elements. ## Ask 14 - London Government Would Seek To Transfer Central List Properties To Either A Local Or Regional List Wherever Possible, Including The Transfer Of Tfl'S Separately Identifiable Assessments Potentially As A Single Tfl Operational Assessment. I. Governance 116. A regional approach to managing business rates in London will require appropriate mechanisms to ensure that robust, timely and accountable decisions can be taken to raise and distribute tax revenues. In return for the level of devolution and autonomy London Government is asking for, central government will require reassurance that London is capable of governing such a system collectively. The governance structures and decision making mechanisms will, therefore, be vital. ## Building On Existing Structures 117. London Government is well placed to develop a collective governance model to enable a devolved business rates retention system. London is the only region in England with a regional tier of government. London's 33 local authorities and the Mayor of London have developed a mature relationship that has gradually evolved since 2000. 118. London Councils is the representative body for the 32 London boroughs and the City of London Corporation. Its Leaders' Committee is its main decision-making body. The Committee includes the Leaders of each London borough council and is chaired by the Chair of London Councils. Meeting eight times a year, Leaders' Committee sets policy and takes decisions on the latest developments affecting London local government. There is also a smaller cross-party Executive Committee which guides the organisation's day-to-day work. 119. In 2010 the Mayor of London and Chair of London Councils agreed the London City Charter, which called on Government to "recognise the maturity, efficiency and accountability of London's unique system of self-government and to take decisive steps to devolve further powers, responsibilities and fiscal capacity to London's elected governments"8. The Charter established the regular meetings of the Congress of Leaders, which currently meets at least twice a year, whose membership consists of the Mayor of London, the Leaders of each London Borough and the Chairman of the Policy & Resources Committee of the City of London Corporation. This has formed the basis of joint decision making between the two tiers of government ever since. 120. Deputy Mayors from the Greater London Authority attend as observers and to support the Mayor. The Congress of Leaders therefore consists of thirty four members who represent their own mandate but also consider both the city-wide and local interests of London. The Congress is chaired by the Mayor, with the Chairman of London Councils as the Deputy Chair of the Congress. The London Assembly also provides scrutiny over the decisions of the Mayor of London and has the ability to amend his annual budget subject to securing a two third majority. ## Decisions Required To Set Up And Run A Devolved Retention System 121. The proposals set out in this paper generate three classes of decisions for London to Government address:  Initial set-up: decisions and agreement with Government on the scheme design, including the level of retention, responsibilities transferred, the basis and frequency of revaluations, and resets, the allocation of resources between GLA and boroughs, the multiplier(s), the framework for discounts and reliefs, the distribution of growth proceeds, the operation of a regional safety net and a regional list. Such decisions would need to be taken collectively - and unanimously - by the Mayor of London and Leaders.  On-going tax-setting and resource allocation: annual decisions such as setting the multiplier(s) and allocating the collective growth pool; periodic decisions such as agreeing revised baselines and changes to the needs formula. These decisions would need to be taken collectively by the Mayor and Leaders, building on the existing Congress arrangements, with appropriate voting and other principles consistent with the London Finance Commission in 2013, built in to ensure the appropriate protection of minority interests within London.  Technical underpinning and review: it may require two independent technical commissions to manage on-going work around valuation (including the performance of a regional VOA) and the operation of the tax, and around maintaining the needs formula and distribution model. Political oversight of these commissions could be undertaken by the Governance structures described above. ## Existing Principles 122. The London Finance Commission identified a set of principles upon which such governance could be based. These were expanded in evidence submitted to the CLG Committee inquiry into fiscal devolution in April 2014. These governing principles are as follows9:  Each element of London government should have a stake: Elected leaders of all London local authorities and the Mayor of London must be able to feel confident about the governance arrangements for the new finance system  No exclusion: No one borough or group of boroughs can be excluded from the benefits of London's success or become disempowered from addressing local needs.  No over-riding: Interests of the Mayor cannot be overridden by the boroughs or vice versa.  No deadlock: Arrangements must prevent or break deadlock. We believe that this can be achieved through suitable voting arrangements and clarity about which tier of government is responsible for decision-making, as reflected in the principles below.  Enforcement: The system must enforce binding decisions and these decisions must reflect a clear initial consensus - even if there are disagreements from time to time about individual decisions.  Simplicity and clarity: The reformed system should be as simple as possible. It should avoid the need for annual decision-making between different sections of London government. It should seek to distinguish clearly the responsibilities of the GLA, Boroughs and London Assembly.  Stability… Existing responsibilities should be maintained where possible.  … But potential for reform. Provisions in the 'devolution settlement' should enable, by agreement, periodic property tax reform and changes to any within- London distribution arrangements. Such reforms would be distinct from the 'Day 1' operation of a devolved system. There should also be a presumption that the more significant reforms were proposed, the longer they would be phased in.  Practical operations: decisions would be taken by the Mayor or Borough politicians as appropriate. However, a joint GLA and London Councils Officer Group would provide standing technical advice and support for politicians to decide matters where there is significant joint interest under the above arrangements. This might be independently chaired.  Decision rules: Any new system would require a set of decision rules, some of which would be reflected in legislation. For instance, Parliament might legislate for periodic property revaluations to be carried out by devolved authorities. There are various options for the rulebook governing changes within London following devolution but here is one example: o Mayor would need to agree any decision and by converse would have a veto o Boroughs would need to agree to any decision by their own rules (e.g. twothirds majority) o The London Assembly would retain its existing powers to amend or reject the Mayor's tax and spending decisions, which would be enhanced commensurate with the increase in the Mayor's powers. 123. The Mayor of London has re-formed the London Finance Commission to review, refresh and revise its original recommendations in light of the changed circumstances, following the UK's vote to leave the European Union. It will report by the end of 2016. We will follow the work of the commission closely, and anticipate that it will re-visit the governance principles outlined above in the context of recommendations on broader fiscal devolution. ## London Government Will Work With Government Collectively Build On These Principles To Define And Establish Appropriate Governance Arrangements To Manage A Devolved Business Rates System. ## Appendix 1 - Detailed Responses To The Consultation Questions Question 1: Which Of These Identified Grants / Responsibilities Do You Think Are The Best Candidates To Be Funded From Retained Business Rates? 124. London Government favours prioritising the transfer of responsibilities that maximise its ability to improve the life of Londoners, the effectiveness and efficiency of its public services, and the future economic success of the capital. We therefore favour transferring in grants and responsibilities that:  have a direct relationship to business;  help tackle key infrastructure challenges, including housing and transport; and  have a compelling public service reform case to be delivered more efficient and effectively by local government. 125. As stated above (section B), we believe the government should first consider the outcomes the sector is aiming to achieve, and then design local public services around them. This will require greater exploration of the funding necessary to deliver those outcomes. London Government supports the grants and responsibilities listed in Table 4 being transferred to local government. Of the existing grants listed in the consultation, this includes:  Revenue Support Grant  Rural Services Delivery Grant  Transport for London Capital Grant  Public Health Grant  Improved Better Care Fund  Independent Living Fund  Early Years funding  Youth Justice funding  Local Council Tax Support Admin Subsidy & Housing Benefit Pensioner Admin Subsidy 126. London Government does not believe it is appropriate or acceptable to transfer the risk of future spending commitments that we are unable effectively to influence. Any transfer of responsibility must therefore be based on a realistic assessment of its inbuilt spending pressures and be accompanied by the corresponding devolution of policy control. As such, we are united with colleagues across the sector in our opposition to the responsibility for providing Attendance Allowance (or a similar such welfare benefit) being transferred to local government. We firmly believe this should remain centrally administered by the Department for Work & Pensions. 127. The government has provided no detail about how the new Attendance Allowance administration arrangements would work if devolved to local government or the levels of control and influence the sector would have over the scheme, or any evidence that the in-built spending pressures this would bring has been considered. This is disappointing given the size of the funding involved (£5 billion nationally), and the likely increase in demand for this benefit that will result from an aging population. There is therefore no reason to suggest business rates as a funding stream, and local government as a sector, would be better placed to deliver this benefit than central government through general taxation. 128. In relation to the transfer of TfL's capital grant, which has already been agreed by government, it is important that the funding allocations set out in its 2015 Spending Review letter until at least 2020-21 are honoured. Within the rates retention system, the agreed annual increases to the capital grant should, therefore, be achieved by an offsetting reduction in the tariff payment made by the GLA and, under any future London governance model in which London pays continues to pay a tariff, through the aggregate tariff payment. It is also essential that the design of the new system should seek to minimise any adverse impacts on the credit ratings, funding stability or funding relationships of local authorities, the GLA and TfL. ## Question 2: Are There Other Grants / Responsibilities That You Consider Should Be Devolved Instead Of Or Alongside Those Identified Above? 129. London Government believes the following grants and responsibilities should be devolved to those areas that are ready and willing to take them on (subject to sufficiently robust governance arrangements being in place) as part of the business rates reforms:  Capital funding for Affordable housing;  Careers Service;  Skills funding for 16-19 year olds;  funding for the Work and Health programme; and  the Valuation Office Agency. 130. We would, therefore, welcome further discussions with government regarding the practicalities of delivering these. 131. London Government is aware the Valuation Office Agency (VOA) is currently partly funded from the Local Government Resource DEL (£161 million nationally in 2016- 17). In order that the VOA is made more responsive and accountable to London Government for decisions and performance that directly affect the income and financial risk of boroughs and the GLA, we would favour the creation of a devolved Valuation Office for London - either as a separate administrative body or a regional office - which would focus solely on business rates and council tax valuations and appeals within London. This would ensure that the VOA was directly accountable to London Government (see section C above for further details) for its performance particularly in relation to the administration of appeals. As such, we believe the grant funding provided to the VOA from within the Local Government Resource DEL should be considered for transfer under the 100 per cent retention system. London's share of the £161 million would be roughly £50 million - which equates to less than 6% of the provisions set aside for appeals refunds by London billing authorities in their 2015-16 accounts. ## Question 3: Do You Have Any Views On The Range Of Associated Budgets That Could Be Pooled At The Combined Authority Level? 132. London has a unique governance and administrative structure within England, being the only region with a regional tier of government. As such there are no combined authorities in the capital. 133. However, as set in section D above, London Government would favour moving to managing the distribution of business rates revenues on a regional basis in the capital alongside whatever package of devolved funding and responsibilities is ultimately agreed. This would facilitate closer co-operation between the capital's local authorities and ensure that resources are targeted more effectively taking into account local circumstances. ## Question 4: Do You Have Views On Whether Some Or All Of The Commitments In Existing And Future Deals Could Be Funded Through Retained Business Rates? 134. We believe the transfer process should prioritise those things local government as a whole has already said it wants. These are inevitably reflected in existing devo deals. For example, all existing deals include elements of skills and employment: it would be perverse not to fund these through business rates more widely. 135. We agree that the Adult Education Budget and transport capital grants should be included as they both have clear links to business and economic growth. TfL capital funding and bus services operators funding are already (or will be by April 2017) funded through business rates in London. However, we do not believe Local Growth Fund money should be included, as this is a finite resource for one off projects rather than funding for ongoing services. We believe the same principle applies to investment funds, which should therefore also be excluded. 136. London Government renews our ask for the devolution of the Adult Education Budget, as well as funding for the Careers Service and 16-19 skills, with agreement to be reached by the end of 2016-17 (ideally with a commitment made in the 2016 Autumn Statement). We envisage 2018-19 would be a shadow year with full devolution secured from 2019-20. This is subject to a resolution of our outstanding concerns in relation to the proposed changes to the Adult Education Budget funding formula which may be disadvantageous to London. Although limited detail has been shared on this to date by central government, we understand that the new funding formula for allocating locality budgets will redistribute funding across localities, resulting in a change to the average funding per head for the 19+ working population with a skills or employment need. We would therefore welcome dialogue with DCLG and the DfE as to how this budget might be devolved and what restrictions may be put in place in relation to the future use of this funding. ## Question 5: Do You Agree That We Should Continue With The New Burdens Doctrine Post- 2020? 137. London Government agrees that the new burdens doctrine should continue beyond 2020. Local government should be given access to adequate resources - either through central government funding or through additional tax-raising capacity - to deliver any new responsibilities or deal with changes of circumstance resulting in increased funding pressure on existing responsibilities (that would also constitute new burdens). We would envisage that these would initially be funded through s.31 grants, having been assessed as new burdens in the same way as now. 138. Whether these grants continue as separate funding streams or "rolled in" to funding baselines at future resets will be an important decision for any future government. London Government believes that, any new burdens that are rolled in to the system should be transferred with corresponding freedoms and flexibilities to raise the equivalent levels of funding, for example the power to vary the multiplier, or (if this is already permitted), further tax raising powers (in line with the recommendations of the London Finance Commission). 139. As set out above (Ask 4), London Government would wish to agree prior to the start of the 100 per cent retention system a process for negotiating and agreeing with central government any new responsibilities that are to be delivered in the capital. ## Chapter 4 Growth And Redistribution Question 6: Do You Agree That We Should Fix Reset Periods For The System? Question 7: What Is The Right Balance In The System Between Rewarding Growth And Redistributing To Meet Changing Need? Question 8: Having Regard To The Balance Between Rewarding Growth And Protecting Authorities With Declining Resources, How Would You Like To See A Partial Reset Work? 140. As set out above (section D), London Government recognises that a balance must be struck between incentivising growth - by ensuring that growth (including revaluation growth) is retained for a meaningful length of time - and providing a sustainable level of resource for all local authorities to deliver services - by updating needs assessments regularly. We believe London Government should be able to determine that balance between risk and reward in London by being able to reset business rates and funding baselines for the authorities in the capital. 141. If government retains control over national resets, London Government agrees with the principle that reset periods should be fixed prior to the start of the 100 per cent retention system. Any alternative, whereby government changed the reset periods on an ad hoc basis, would cause too much uncertainty for local authority funding. 142. We believe that it is desirable, and should be possible, to reset needs (funding baselines) and resources (business rates baselines) on different timescales. On the funding side of the equation, it is desirable that baselines reflect changing levels of need on a regular basis - this is particularly relevant in London where population growth and churn is far higher than many other parts of the country. However, on the resources side of the equation, it is preferable to reset business rates baselines less frequently - in order to retain a strong growth incentive. The government should, therefore, explore resetting funding and business rates baselines on different timescales (and any devolved London system would explore these options). 143. However, within the resources side of the equation, we recognise that overly long reset periods could be problematic. Since developments can take a number of years to be agreed and built - often requiring existing buildings to be demolished - a long reset period (10-15 years for example) is logical. At the same time, we recognise the need to protect authorities that, through no fault of their own, see their business rates base altered significantly through the impact of a single large ratepayer or a one off economic shock, by resetting their business rates baselines within a reasonable time period so that they can regain the financial incentive to grow their rates income. We believe the government's suggestion of partial resets should therefore be explored further, and would welcome further detailed modelling to show how this could work, and the potential impact that different degrees of "partiality" would have on the system (i.e. varying the percentage from 50% proposed in the consultation). Again, any devolved London system would explore options around partial resets. 144. We would also favour business rates resets being aligned with revaluations, so that local authorities are able to predict revenues over a set period without further turbulence being introduced into the system. 145. Certainty and stability of funding is critical in relation to the delivery of transport and other major infrastructure schemes. For example, TfL modelling suggests that a 'steady state' level of c. £1 billion per annum of capital funding in real terms is likely to be required for renewals of the TfL network, together with c. £1.4 billion per annum for "normal" new capital investment to respond to anticipated increases in demand. It is therefore desirable that any system reset takes into account the impact on investment in infrastructure. ## Redistribution Between Local Authorities Question 9: Is The Current System Of Tariffs And Top-Ups The Right One For Redistribution Between Local Authorities? 146. London Government agrees that the current system of tariffs and top ups should be maintained. The arrangements work relatively well and are broadly understood across the sector. 147. As set out above (section C), we believe a devolved London business rates retention system would benefit London and the rest of the country. Within such a system we would continue to equalise through tariffs and top-ups in the same way as the national system, however we would control to set business rates and funding baselines within London so that tariffs and top-ups balance to zero within London and, if London were to continue to pay an aggregate tariff, this would be paid as a share by all boroughs. ## Impact Of Revaluations Question 10: Should We Continue To Adjust Retained Incomes For Individual Local Authorities To Cancel Out The Effect Of Future Revaluations? 148. There is an inherent difficulty with the current system of revaluation in that it acts as a redistributive mechanism rather than being one which is responsive to changing absolute level rental values. In effect the total business rate take for England is fixed at whatever level the Government determines it should be rather than being a buoyant tax where revenues move proportionately in line with the growth in property values. A notable exception to this is the Crossrail Business Rate Supplement where revenues rise in direct proportion to the increase in rateable values - ensuring that those ratepayers benefitting from increases in property values as a result of infrastructure investment make a greater contribution towards its financing over time. 149. As set out in section C above, London Government believes the tax base should be allowed to rise or fall in response to changes in the economy, rather than to fit a predefined total. Breaking the link between revaluation and the fixed quantum of tax yield benefits both those areas where commercial property markets are strong and those where they are not. It would also prevent the capital's robust property market from continuing to distort the operation of the national system and to allow business rates baselines to increase outside of London at a rate which reflects local authorities' own economic investment and growth. As a result, the accountability and the relationship between local business and politicians will be significantly improved. 150. However, in the event that the current national arrangements are maintained, including the fixed quantum, London Government agrees that there should be an adjustment to retained incomes for individual authorities to cancel out the effect of future revaluations. 151. However, as set out above (section C, paragraph 77), because growth does not include revaluation growth local authorities see no benefit from investing in making their local areas more attractive as a business destination. London Government believes a proportion of revaluation growth should be retained at revaluations. This would reflect the fact that rising relative rental values and business rates income are also likely to be matched by relative increases in revenues from central government taxes - including stamp duty, income tax, corporation tax and VAT. In effect the Treasury sees the gains in tax revenue - but the relevant local authorities do not see the additional benefit in respect of business rates income. 152. This could be financed either using a proportion of central list revenues or via a top slice within the overall local government finance settlement. ## Combined Authority Mayoral Areas - Additional Powers Question 11: Should Mayoral Combined Authority Areas Have The Opportunity To Be Given Additional Powers And Incentives, As Set Out Above? 153. As set out at length in the first half of this response, London Government would favour moving to a fully devolved system with the Mayor and the leaders of the 33 local authorities taking over responsibility for the allocation and distribution of resources within an appropriate governance structure. It would be odd for the nature of the existing devolution arrangement in London to result in the Mayor and Leaders of London not having the same flexibilities (e.g. infrastructure levy) available to other mayoral areas. We therefore consider that London should receive at least the same additional incentives as will be offered to combined authorities outside London whether or not they have a Mayoral structure. ## Tier Splits Question 12: What Has Your Experience Been Of The Tier Splits Under The Current 50% Rates Retention Scheme? What Changes Would You Want To See Under 100% Rates Retention System? 154. As set out above (section E, Ask 8) we believe the final split of responsibilities should determine the retention shares between the GLA and the boroughs within London. 155. The current 50% local share of business rates income is apportioned between the GLA and the 33 London billing authorities on a 40% to 60% ratio. This was subject to a local agreement between the GLA and London Councils acting on behalf of the 33 billing authorities. Indeed London was the only part of the country where a different tier split was negotiated and agreed with central government. 156. At the time of negotiation it wasn't known what the final balance of funding would be between the two tiers, which ultimately ended up at around 67%:33%. The GLA therefore became a tariff authority taking a higher share of London's rates income (40%) than the GLA's share of baseline funding within the system (approximately 33%). This has meant the GLA has taken on a greater level of risk if rates income falls albeit for greater potential reward if there is growth against its baseline - in recognition of its ability to spread upsides and downsides across all 33 billing authorities. 157. London Government considers that the tier split in the capital has worked relatively well - and provides a suitable starting point on which to build up to 100% retention, subject to addressing issues such as business rates appeals. 158. With effect from April 2017 - following the rolling in of the £960 million TfL capital grant and £148 million of the GLA's RSG - London Government supports the consequential 17% increase in the GLA's share to 37% and a reduction in the central share to 33%. The final tier split following 100% retention will be agreed by London Government taking into account the funding and responsibilities devolved to each tier. ## Fire Funding Question 13: Do You Consider That Fire Funding Should Be Removed From The Business Rates Retention Scheme And What Might Be The Advantages And Disadvantages Of This Approach? 159. London Government opposes transferring London's fire and rescue funding out of the business rates retention system in London. This need not prevent a different treatment in the rest of England, where responsibility for this function is being transferred to Police and Crime Commissioners in 2017. 160. It is our understanding from Government officials that any transfer in of the GLA's RSG in 2017-18 to the rates retention system would be subject to the proviso that this would not preclude any fire and rescue and policing elements being moved out of the retained rates system and paid for instead via Home Office grant in light of the transfer of responsibility for fire services to Police and Crime Commissioners outside London. The GLA is also unique in having an element of police funding within the rates retention system relating to MOPAC's notional share of the Mayor's council tax freeze grant allocations from 2011-12 onwards. 161. It is the Mayor of London's strong preference, however, that fire and rescue funding in the capital should continue to be paid through the rates retention system in recognition of the different administrative arrangements which will exist compared to the rest of England - even if fire funding in the rest of England is paid via Home Office direct grant. This would also facilitate better joint working across London Government including with MOPAC, TfL and the GLA if fire funding formed part of a wider Mayoral resource. 162. This different treatment would not in our view prevent the Home Office making redistributive changes to needs allocations for fire services as these could simply be adjusted for in the case of the GLA annually through a revision to its tariff payment either upwards or downwards with a corresponding transfer of funds between Government departments. Similarly the element of resources for London policing - approximately £35 million should in our view remain within the rates retention system - on the expectation that the Mayor would continue to pass this onto the Mayor's Office for Policing and Crime as is set out in the Mayor's proposed budget for the next three years. This relates to prior year council tax freeze grant revenues - and it is the Mayor who is responsible for setting council tax levels for policing in London outside the City of London. ## Lessons Learned From Enterprise Zones Question 14: What Are Your Views On How We Could Further Incentivise Growth Under A 100% Retention Scheme? Are There Additional Incentives For Growth That We Should Consider? 163. London Government is supportive of the principle of using enterprise zones and designated areas to provide the certainty of funding required to support large-scale infrastructure and transport projects. Such designations are being used effectively in London to date to finance the infrastructure needs of the Croydon Growth zone, the proposed new Thameslink station at Brent Cross in Barnet, the Royal Docks in Newham and the Northern line extension to Battersea Power station. The Government should continue to operate these areas outside the retention system in line with the statutory designations already approved by Parliament and ensure that no changes are made which might undermine those schemes already in place. 164. However, it is important to recognise that EZs hypothecate income that is therefore not available to be redistributed to meet needs. Under a devolved London retention system, London Government would expect to be able to decide collectively any future EZ-type arrangements to support specific infrastructure investment or other growth-promotion schemes - via the London growth redistribution pool if appropriate. 165. As mentioned above (Q10), we would also support the Government introducing a mechanism whereby local authorities were able to retain part of the growth in rates income at a revaluation while continuing to provide protection to areas seeing reductions in bills via the tariff and top up mechanism. Under the regulations in place enterprise zones and other designated areas are able to retain any revaluation related growth. 166. If a fully devolved London approach were not agreed, we would nonetheless encourage the Government to consider how the business rates retention arrangements for Enterprise Zones and other designated areas could be enhanced to allow full retention of stock as well as revaluation growth. This could include examining options facilitating the full capture and recycling of any land value uplift from transport and other infrastructure projects, which often cause significant increases to rateable values in their catchment areas. The Mayor is currently preparing proposals on land value capture for HM Treasury to consider for the 2016 Autumn Statement, and one of the principal reforms required to ensure the capturing of value uplifts from commercial property is full retention of revaluation growth. This could be piloted in designated areas and potentially rolled out more widely over time. ## Sharing Risk, Appeals And Future Position Of Central List Question 15: Would It Be Helpful To Move Some Of The 'Riskier' Hereditaments Off Local Lists? If So, What Type Of Hereditaments Should Be Moved? 167. London Government considers that unless there is a clear and evident case for an assessment to be on the central list it should be on a local or regional list (as set out in section H, ask 14). This would improve local accountability with businesses and enhance the capacity and responsibility of local government to promote all types of economic growth within its area - and, within a devolved regional system - to share the risk of economic decline. 168. We would, therefore, oppose proposals that would, for example, move airport assessments such as Heathrow Airport onto the central list or indeed local power stations or other complex assessments. Planning functions will continue to reside locally and such assessments are also important sources of local employment linked to other supplies and the wider economic base of a locality. 169. We also note that in London requests for transfers to the central list were submitted in London in 2010 following the introduction of the Crossrail BRS - as business rate supplements and the proposed new infrastructure levy can only be charged on assessments on the local list. This strengthens the case for minimising the size of the central list to ensure ratepayers benefitting from infrastructure and transport projects locally are required to contribute towards their costs. ## Question 16: Would You Support The Idea Of Introducing Area-Level Lists In Combined Authority Areas? If So, What Type Of Properties Could Sit On These Lists, And How Should Income Be Used? Could This Approach Work For Other Authorities? 170. As set out above (Ask 14), we believe a regional or area-level list could be appropriate in London. This clearly supports regional devolution, for which we are in favour, and would promote greater collaboration between TfL and the boroughs to incentivise growth for which the whole of London could gain if this was linked to a London wide pool. It could also, potentially, provide some capacity to manage collective risk through a regional safety net. 171. At present TfL's rail infrastructure network (e.g. London Underground, DLR, London Overground and in due course Crossrail) and stations (including station car parks) are on the central rating list either independently (LU and the DLR) or as part of the Network Rail cumulo. This means that all rates income and related growth is paid to the Government - rather than to London local authorities. Given TfL's capital investment grant is to be moved into rates retention, it would be logical for all TfL's assessments to be moved either to the local rating lists of the 33 London billing authorities or to a regional London list, so London can benefit from all of the business rates growth arising from the transport investment it makes. 172. There may also be an argument for separating out those parts of the Network Rail operational assessment which are now administered by TfL - for example TfL rail which will in due course become the Elizabeth (Crossrail) line and London Overground assessments - to be disaggregated and moved to a regional list. ## Question 17: At What Level Should Risk Associated With Successful Business Rates Appeals Be Managed? Do You Have A Preference For Local, Area Level (Including Combined Authority), Or Across All Local Authorities As Set Out In The Options Above? Question 18: What Would Help Your Local Authority Better Manage Risks Associated With Successful Business Rates Appeals? 173. As set out above (section H), London Government believes risk should be managed at regional level for the capital - provided sufficient control over the system to manage the risk is devolved: if it were not, then some of the risk would have to be shared with central government. In a devolved London retention system, whereby London Government had control over setting business rates - administered by a regional VOA for London - we would expect to manage the appeals risk within the capital. 174. However, under a continued national system, we consider that appeals relating to errors made by the VOA - so called "tone of the list" appeals with an adjustment date going back to the commencement date of the list - should be funded centrally by the Government. 'Tone of the rating list' amendments to property valuations have nothing to do with physical changes on the ground and do not arise from local decision making - and the associated costs should not, in our view, be borne locally while central government retains oversight and responsibility for the VOA. 175. As part of its long term review of business rates the Government highlighted the difficulties which can arise when large numbers of appeals are lodged by ratepayers resulting in there being a large backlog. Ratepayers face delays in having their appeals assessed and local authorities face significant uncertainty under the rates retention system as a result of having to set aside significant sums in provisions in order to meet potential refunds to ratepayers which may not ultimately materialise. 176. The aggregate provision for appeals across all 33 London billing authorities as at 31 March 2016 exceeds £925 million. We remain very concerned that the current backlog of appeals on the 2010 rating list in London is significantly higher than the national average in both absolute and relative terms. Progress on reducing this backlog also appears to have been much slower in the capital particularly in central London. 177. As illustrated in Figure A1 below, the number of unresolved challenges at 31 March 2016 equated to 22 per cent of all hereditaments on the rating list in London - more than 50 per cent higher than the national average and nearly 250% higher than in Wales which operates its own revaluation and tax setting arrangements. In the City of London the number of outstanding challenges to the rating list at 31 March 2016 equated to 40 per cent and in five other boroughs (Harrow, Hillingdon, Tower Hamlets and Westminster) exceeded 30 per cent respectively of the total number of hereditaments in those areas (Figure A2). While there have been some reductions since that date, the refocusing of VOA resources onto the 2017 revaluation has meant that the backlog has barely moved in some billing authorities as further appeals have been lodged subsequently. Source: VOA Statistics https://www.gov.uk/government/statistics/non-domestic-rating-challenges-and-changes-england-andwales-march-2016-experimental 178. This backlog has both local and national implications given that the Corporation of London, the London boroughs of Tower Hamlets and Hillingdon and Westminster City Council - which continue to have amongst the largest backlogs in England as a proportion of their rating lists - account for nearly 15 per cent of the national business rates tax take. Indeed at current levels of progress it is unlikely that the backlog in those billing authorities will be cleared before 2019-20 or later. 179. In advance of the introduction of the new 2017 rating list, we would urge CLG and HM Treasury as the sponsoring departments to ensure that the Valuation Office - working closely with the Valuation Tribunal and rating agents - seeks to prioritise clearing the outstanding rating appeals across London as at 31 March 2016 as soon as possible. This is essential in order to provide certainty both for the businesses appealing and for local authorities in setting their future budgets and determining realistic forecasts of rating income. 180. Similarly we consider that, for the 2017 revaluation period, the clearance rates for appeals should be consistent across all English regions and billing authority areas in the interest of fairness to ratepayers and local authorities. This means that any new targets set for the VOA must focus not just on the number of appeals outstanding but the materiality of the assessments under appeal i.e. any clearance targets should take into account the scale of rateable value being appealed. Any separate target relating to reductions in number of appeals outstanding should also have to be delivered in every local authority area rather than just nationally - with the Valuation Office Agency being required to publish the performance data at a local level 181. We trust that the Government will monitor the success of the new 'Check Challenge Appeal' system and consider making further reforms if it does not result in a reduction in the volume of appeals for the 2017 rating list. ## Question 19: Would Pooling Risk, Including A Pool-Area Safety Net, Be Attractive To Local Authorities? Question 20: What Level Of Income Protection Should A System Aim To Provide? Should This Be Nationally Set, Or Defined At Area Levels? 182. London Government would favour introducing a devolved system and managing such risks as a regional level. However, as set out above, this is dependent on the level of devolution of control over the parameters of the system. In essence, the greater the degree of autonomy, the more reasonable it will be to expect London to manage its collective risk for itself. Conversely, the more London remains part of a national system, and the more limited its control of the taxbase, the more London should expect to look to Government to share some of that risk. 183. Under a fully devolved London retention system, therefore, in which 100 per cent of the rates were retained in the capital, London Government would expect to manage and fund the safety net mechanism. Under a system whereby London continued to pay a tariff to fund the rest of the sector, or where a national valuation system remained, we would expect to share the funding of a London safety net with the rest of the sector. 184. Within a devolved system, the level of income protection should be a matter for local determination. However, if a national system remained, we would support the retention of a national safety net mechanism set at a percentage of baseline funding. We believe the government should consider options whereby different tiers of authority may have different safety net thresholds depending on their gearing and service responsibilities, with protections to avoid authorities reducing rates income via changes to provisions deliberately to go into a safety net situation. 185. In the interim (before the start of the 100 per cent retention system), there is a strong argument for the safety net threshold (currently 92.5% of baseline funding) to be reassessed. As RSG reduces towards 2020, Baseline Funding will become a larger proportion of a local authority's Settlement Funding Assessment. Government should therefore consider whether the safety net threshold should be changed to 95% or another figure. ## Chapter 5 Altering The Multiplier - Decision Making And Scope Of Powers Question 21: What Are Your Views On Which Authority Should Be Able To Reduce The Multiplier And How The Costs Should Be Met? 186. London Government would want to explore the relative advantages and disadvantages of options for establishing a separate Mayoral rate alongside one for the 33 billing authorities (see section F, ask 9, above). The choice between such approaches should, ultimately, be a matter for London Government, but we believe the basic principle should be that the costs should align with accountability for the decision. 187. The Government should, therefore, design primary legislation which permits flexible local approaches with any detailed arrangements being a matter for secondary legislation which can evolve and be amended more easily over time. ## Question 22: What Are Your Views On The Interaction Between The Power To Reduce The Multiplier And The Local Discount Powers? 188. London Government believes the powers to reduce the multiplier and to offer discounts are both potentially valuable, but as tools to address different issues. 189. Reducing the multiplier could (subject to tax competition concerns) be a way to address the overall attractiveness of the business environment in a given area - in a world where local government was retaining revaluation growth it could also offer a way in which business in general could share in the benefit of overall growth in business efficiency and success. 190. Discounts, on the other hand, offer more targeted tools to support particular sectors (for example to small businesses or charities) or local areas (for example high streets) - or to incentivise broader policy objectives such as promoting public health or environmental sustainability). 191. London Government would wish to explore options for either a collectively agreed single multiplier across London, or two separate multipliers with the Mayor of London being granted the ability to set a proportion of the rate on a London wide basis, and boroughs collectively setting the rest of the multiplier. These two shares of the overall multiplier would be determined by the funding and retention split as set out above. We would want to explore the relative advantages and disadvantages of options for either a defined, periodically-reviewed split of income between the boroughs and the GLA, or for the establishing a separate Mayoral rate. 192. We believe London Government should have the collective ability to set the qualification criteria and thresholds of the existing mandatory reliefs currently set by central government (and the discretionary elements of those schemes), as well as determining new mandatory relief schemes periodically when deemed necessary. This would include the small business rates relief threshold. Where individual boroughs or the Mayor wished to offer additional discounts over and above a collective scheme agreement, this could be achieved through adjustments to their retained rates ## Question 23: What Are Your Views On Increasing The Multiplier After A Reduction? 193. Under the proposals as currently set out, in order for local authorities to have the power to lower the multiplier, the Government will presumably need to set a baseline national non domestic multiplier, which authorities will vary their local rates against, to be uprated annually (presumably by RPI until 2019-20 and by CPI from 2020-21 onwards). 194. The consultation paper highlights the challenges that might arise were a local authority to decide to reduce its multiplier below the notional national multiplier but then determine at a later date that it wished to reverse this in full or in part. It is the view of London Government that this should be a matter for local decision and that authorities should be permitted to revert back to the national multiplier in a single financial year - irrespective of the reduction made in prior years. ## Question 24: Do You Have Views On The Above Issues Or On Any Other Aspects Of The Power To Reduce The Multiplier? 195. As set out above, London Government would also wish to explore options for either a collectively agreed single multiplier across London, or two separate multipliers with the Mayor of London being granted the ability to set a proportion of the rate on a London wide basis, and boroughs collectively setting the rest of the multiplier. A similar arrangement already operates successfully in Northern Ireland. These two shares of the overall multiplier would be determined by the funding and retention split as set out above. We recognise delivering this this would pose administrative challenges, but consider it desirable that there should be a legislative mechanism which facilitates a London wide approach to setting all or part of the multiplier agreed collectively by the Mayor and boroughs. We would want to explore the relative advantages and disadvantages of options for either a defined, periodicallyreviewed split of income between the boroughs and the GLA, or for the establishing a separate Mayoral rate. 196. The Government will also need to consider whether the Secretary of State should have intervention powers in exceptional circumstances - recognising that any safety net payment mechanism could be used to mitigate the effect of local decisions and that authorities would still need to meet their fixed tariff payments as now. 197. The Government will also need to consider what the implications the new system would have for NNDR reporting, accounting and budgeting - for example would there need to be a review of the NNDR 1 reporting timetable to facilitate an earlier tax setting process and, under a multi-tier approach, would preceptors with tax setting powers be able to determine their own business rates appeals provisions (as an example) and other deductions? ## Infrastructure Levy For Mayoral Combined Authorities Question 25: What Are Your Views On What Flexibility Levying Authorities Should Have To Set A Rateable Value Threshold For The Levy? 198. London Government believes the levying authority should have the power to set the threshold - which may well vary dependent on the nature of the infrastructure project being funded. In practice, we consider that a £50,000 threshold in the current BRS legislation is appropriate in the capital for any levy introduced, however we would want to reserve the right to review this for future levy proposals. 199. To date only the Greater London Authority has used the BRS Act powers to finance £4.1 billion of the costs of the Crossrail project - £800 million as a direct contribution and £3.3 billion of borrowing which will be financed and repaid by the mid-2030s using BRS revenues. The Crossrail BRS has been set at a rate of 2p since April 2010 with a qualifying rateable value threshold of £55,000. 200. We recognise that, were there to be a similar blanket £50,000 threshold for the infrastructure premium, the sums that could be generated in BRS in areas with lower tax bases than London would inevitably be much lower. Lower thresholds may therefore be appropriate for other parts of England to ensure that the tax base is sufficient to raise an adequate level of revenues. ## Question 26: What Are Your Views On How The Infrastructure Levy Should Interact With Existing Brs Powers? 201. London Government considers - subject to the support of the business community - that the Mayor of London should have the ability to introduce a levy to fund a specific project in addition to the Business rate supplement which is committed for Crossrail until the mid-2030s. 202. We consider that the areas eligible to introduce the levy should be determined via secondary legislation so that the tax can evolve over time to changing local government structures. 203. In our view the BRS Act should be retained and expanded to include the ability to levy both supplements - where supported by business and, if necessary, the Secretary of State to fund a specific major project. This would, in our view, provide sufficient flexibility to allow the Mayor of London to operate both supplements where there was clear support. 204. We would have reservations about introducing a wholly new piece of legislation to deliver what is likely to be a similar tax in structure - the only practical difference being the mechanism by which the introduction of the supplement must be approved. There are also several pieces of existing secondary legislation which were required for the BRS relating to the accounting, administration and collection arrangements - which could equally be applied to the new levy. 205. If the Government decides to develop separate legislative arrangements for the new levy, there is a risk that there could be difficulties in maintaining and updating two separate legislative processes. London Government has, for example, experienced difficulties in securing amendments to the existing BRS regulations on a timely basis. 206. In our view, there should be a single piece of legislation building on the BRS Act 2009 and associated regulations with the proviso that no amendments are made which would undermine the existing Crossrail BRS, which is required to finance the repayment of £3.3 billion of GLA debt. 207. We would also support an amendment to section 10 of the BRS Act (http://www.legislation.gov.uk/ukpga/2009/7/section/10) to ensure that, where a levying authority opts to make a variation to the policies not set out in the final prospectus which merely result in a reduction in the tax rate or number of ratepayers liable to the BRS, this should not automatically trigger a ballot of ratepayers. The current wording has prevented the GLA from raising its £55,000 threshold for the BRS between revaluations as it did not foresee in 2010 that the Government would delay the next revaluation until 2017. Tax reductions should not trigger automatic ballots in our view. ## Question 27: What Are Your Views On The Process For Obtaining Approval For A Levy From The Lep? 208. London Government believes business rates devolution provides a real opportunity to promote greater accountability of local politicians for business rates decisions and build more meaningful engagement with the business community. The Government will also need to give consideration as to the mechanism by which the LEP should approve the introduction of a new levy. Subject to the proposals complying with the final prospectus approved by the LEP, the annual tax setting responsibilities should in our view lie with the directly elected Mayor working in the context of London's governance arrangements ## Question 28: What Are Your Views On Arrangements For The Duration And Review Of Levies? 209. We consider that the arrangements should operate on a consistent basis with the BRS - once the decision has been agreed by the LEP (subject to a review of LEP governance structures). The levying authority/Mayor should be required to report annually to the LEP and ratepayers - as applies to the BRS - but, unless there are any fundamental changes which are inconsistent with any final prospectus introduced before implementation, the annual review and approval of the levy should be a matter for the elected Mayor to determine. 210. In terms of the duration of any levy the Business Rate Supplements (Accounting) (England) Regulations 2010 as currently worded prevent a BRS being used for projects such as Crossrail where the payback/debt repayment period exceeds ten years. This needs to be amended for the BRS and reflected in the regulations for the new levy to ensure that longer term schemes can be funded via the new levy as well as the GLA's Crossrail BRS which have a debt repayment date of 25 years or longer. Mayors should also have the ability to extend the length of any levy if necessary through the publication of a revised prospectus subject to this extension being approved by the LEP. ## Question 29: What Are Your Views On How Infrastructure Should Be Defined For The Purposes Of The Levy? 211. The Government has stated that the new premium must be applied to fund 'new infrastructure'. The 2009 BRS Act requires that business rate supplement revenues must be used to support economic development priorities (i.e. revenue or capital) but explicitly excludes expenditure on:  Education and children's services  Social services  Delivering planning functions and  Housing 212. The legislation for the levy will need to be clear what authorities may use the infrastructure premium for. London Government would favour extending the 'infrastructure' definition to include projects which fund the provision of affordable housing in areas of high cost/high demand where there is support for this from the business community. It should also be able to be used to upgrade existing infrastructure as well as deliver 'new' infrastructure. 213. In relation to the need for medium and longer term certainty in relation to infrastructure funding the GLA and Transport for London would welcome a discussion as to how the future capital funding of London's transport network will operate in future and how resources might be made available to support specific projects such as Crossrail 2. 214. If central government concludes that it is desirable to maintain the ability to reset the system at periodic intervals, then London and central government will need to agree a method of deriving the funding need for new capital investment in transport infrastructure across London's transport network. This will also need to include an agreement on how to fund the capital requirements for any future extensions of the existing network which cannot be covered through business rates as transport investment is by nature lumpy, discontinuous and significant in scale. For example, it would not be sensible to treat Crossrail 2 as part of the normal local government needs. And there are other examples of projects which are large or involve both local responsibilities in London and the national rail system ## Question 30: What Are Your Views On Charging Multiple Levies, Or Using A Single Levy To Fund Multiple Infrastructure Projects? 215. We believe it should be possible to have multiple levies funding different projects across the combined authority and/or London area, providing that the appropriate prospectuses have been consulted on and approved for each scheme. 216. A BRS must be levied on a consistent basis across the levying authority area and, therefore, it is not possible to apply a higher rate in billing authorities (or other defined localities) where ratepayers were most likely to benefit from the proposed investment (e.g. they have stations on the proposed rail, metro or tram link). This differs from the community infrastructure levy where differential rates are permitted within a billing authority and in the case of the Mayor of London's CIL between London boroughs. 217. There may also be a case to permit levying authorities to apply different rates for the levy across their area in proportion to the estimated benefits from the infrastructure projects being funded from the levy (e.g. for a transport project ratepayers in areas on the rail/tram route would pay a higher rate) as applies for the Community infrastructure levy. 218. This would need to be agreed collectively through London Governance/combined authority arrangements, but would ensure that those ratepayers who benefit most from any investment pay the largest contribution. This might also be a mechanism which could facilitate multiple projects being funded from the levy across an area - as otherwise it will only be practical to use it to fund very large regional schemes where there is a clear benefit right across London or the combined authority area. ## Question 31: Do You Have Views On The Above Issues Or On Any Other Aspects Of The Power To Introduce An Infrastructure Levy? 219. We would welcome a dialogue with Government to see what lessons can be learned from the success of the Crossrail BRS in London before the new levy is introduced. We would also be keen to review the BRS Act and associated regulations to ensure they remain fit for purpose and provide a solid basis to 'bolt on' the proposed new levy. 220. Other questions which the Government will need to consider include:  Does the initial prospectus, consultation and final prospectus model for introducing a BRS provide a suitable model for the infrastructure premium?  Should the levying authority be able to depart from its final prospectus variation powers without recourse to a further consultation process where it is simply proposing reducing the tax rate or the number of ratepayers liable?  Should reliefs operate in parallel to NNDR on a pro rata basis and should empty properties and BID areas be eligible for a more generous treatment subject to the determination of the levying authority as applies for the BRS? 221. London Government considers that the BRS has worked well in London and the Government should seek to replicate similar arrangements for the new infrastructure levy - via a bolt on to the existing BRS Act rather than a completely separate piece of legislation. We endorse the initial prospectus, consultation and final prospectus model used for the BRS as a basis for the development of any future levies. 222. Before levying a BRS, levying authorities are required to prepare an initial prospectus - which prior to the localism act merely had to be consulted upon but thereafter had to be put to a ballot of eligible ratepayers - and a final prospectus. The items required to be included in the prospectus are set out in schedule I of the Act. A copy of the Crossrail BRS final prospectus is available at https://www.london.gov.uk/file/5474/download?token=oCSh_HNt 223. We also favour a consistent approach on reliefs between NNDR, BRS and the new levy. Reliefs for the BRS operate on a consistent and pro rata basis with ratepayers' national non-domestic rating bills with two exceptions. Firstly, the levying authority may exempt all empty properties as a class from paying the BRS - irrespective of their eligibility for empty rate reliefs - and, secondly, it may apply an offset to reduce the BRS liability for ratepayers in business improvement districts (BIDs). 224. The Act also permitted business improvement districts to charge property owners a levy subject to a ballot where local ratepayers were subject to a BRS (so called 'BRS-BID' levies under Schedule II). This latter policy has not been adopted so far in practice given the difficulty of identifying property owners although two BIDs in central London have expressed an interest in introducing such a scheme. 225. We would also support an amendment to section 10 of the BRS Act (http://www.legislation.gov.uk/ukpga/2009/7/section/10) to ensure that, where a levying authority opts to make a variation to the policies not set out in the final prospectus which merely result in a reduction in the tax rate or number of ratepayers liable to the BRS, this should not automatically trigger a ballot of ratepayers. London Government would also support a review of the accounting and year end reporting arrangements for the BRS set out in the current secondary legislation as well as given local areas to agree different arrangements for apportioning cost of collection allowances to reflect the fixed costs which many smaller billing authorities incur. Details on these proposals have already been submitted by the GLA with the support of billing authorities. 226. Section 18 of the BRS Act requires the levying authority to give written notice to each billing authority in its area prior to the financial year for which it intends to impose a business rate supplement. Levying authorities are also required to provide an annual update to ratepayers for annual billing. This should be maintained and required for the new levy as well. ## Ch.6 Accounting And Accountability Balance Of Local And Central Accountability Question 32: Do You Have Any Views On How To Increase Certainty And Strengthen Local Accountability For Councils In Setting Their Budgets? 227. London Government firmly believes that devolution of funding and tax raising powers to fund the services local authorities deliver will improve local accountability - provided it comes with genuine devolution over control of those powers and of the services and responsibilities that will be transferred. Specifically in relation to business rates, a devolved London retention system would, in our view, strengthen the relationship between London government, businesses and local communities, and improve accountability of locally elected politicians to their electorates. 228. As set out in paragraphs 9-22, the current funding system breeds uncertainty; is too complex and lacks transparency; and is too centralised with a lack of local control. These issues must be addressed if local government is to be put on a sustainable financial footing over the long term, in a world where business rates and council tax will fund almost all local government services from 2020. 229. We welcome the recent multiyear settlement, and the degree of certainty this brings (although it is really only RSG that is guaranteed over the next 4 years, which is a diminishing part of the overall funding of local government). True multiyear, medium term financial planning will only be possible under the 100 per cent business rates retention system if reset and revaluation periods are set over time periods that provide funding certainty, and if local authorities are given greater freedom over other elements of the finance system such as the setting of fees and charges and council tax. The annual capping of council tax constrains one of the levers local authorities have over their ability to raise resources and restricts council tax setting policy to an annual timeframe. 230. The timing of settlements under the current system has proved a particular barrier to certainty. For the last four years, the settlement has been announced extremely late in December. While there may be reasons for this, and it may be helpful for central government, it creates significant uncertainty for local government over funding assurance needed to set their budgets and council tax levels for the following financial year. We believe the new finance system should be set up to give local authorities as much time as possible in order to deliver robust budgets that have been through thorough scrutiny processes. 231. Specifically in relation to the timetable of the business rates retention system, the government should review the arrangements for completing NNDR1 (budget) forms (or their equivalent under the new system), which aren't sent out until January giving a very short time period for completion. In addition, deadlines for completing the NNDR3 (outturn) returns should be brought forward to late April/early May - the latter being essential to deliver on the earlier accounts closure timetable from 2017- 18. 232. Greater certainty can only be achieved by less interference from central government. The recent legislation impacting on the Housing Revenue Account is an example of significant changes in government policy creating huge uncertainty in local authority budgets. Authorities had established long term (30 year) plans under the "self-financing" reforms, which were subsequently rendered meaningless as a result of the mandated social rent reduction and 'higher value void' levy. Genuine devolution must mean genuine relinquishing of central control. ## Question 33: Do You Have Views On Where The Balance Between National And Local Accountability Should Fall, And How Best To Minimise Any Overlaps In Accountability? 233. London Government believes that the current imbalance of power between local and central government in control over local public services must be redressed. The London Finance Commission (2013) concluded that "London's government needs to be given greater freedom to determine and use the resources raised from taxpayers"10. It set out a vision of more accountable and sustainable way of funding public services. London (and, indeed, England as a whole) is an extreme outlier compared with other cities and countries, with only 7 per cent the taxes raised determined by the city's government: the equivalent figure in New York is over 50 per cent. 234. We believe the current default assumption, that Central Government must retain a high degree of control in the name of accountability, must be reversed and move instead to a world where local government is responsible for determining the level of spending and investment it needs to meet local priorities, and for raising the funding to meet that need. The primary accountability should be between local government and its electors and taxpayers. In short, decisions should be made as close as possible to residents and service users, and should be local by default. 235. The balance between national and local accountability should reflect the extent of devolution in each case. Greater devolution of powers will of course need to accompanied by stronger governance and accountability arrangements to ensure that money is well spent, and the best value is obtained for the ratepayer. ## Accounting For Local Tax Income Question 34: Do You Have Views On Whether The Requirement To Prepare A Collection Fund Account Should Remain In The New System? 236. London Government believes the requirement to prepare a Collection Fund Account should be maintained. The Collection Fund Account brings transparency to the different payments that are made to distribute the rates collected by authorities. However, we consider that authorities should be able to use the collection fund adjustment account to manage variations in income including safety net payments to ensure that authorities do not end up building up artificially large reserves to meet future sums owed. 237. Under the current arrangement, any Collection Fund loss (or surplus) does not impact on the General Fund outturn until one or two years after they are incurred. Although this may be partly beneficial for authorities, as it allows them longer time to deal with the losses, it is not aligned with the system of levies and safety net payments, which are accounted for in the year of the loss/ surplus. This is then likely to mean that the authority has a high level of reserves set aside to fund the loss in future years as it impact on the General Fund bottom line. 238. We believe that the timing differences between the revenue and CFAA accounting treatments for unexpected variations in NNDR yield should therefore be harmonised. ## Calculation Of Balanced Budget Requirement Question 35: Do You Have Views On How The Calculation Of A Balanced Budget May Be Altered To Be Better Aligned With The Way Local Authorities Run Their Business? 239. There is an argument for requiring local authorities to approve a financing requirement - including retained rates income - rather than council tax requirement, as this better reflects the reality of setting local council budgets, in which overall spending it set at a level to meet the resources available, rather than council tax being set at a level to meet desired spending. This would partially reverse the changes made through Part 5 Chapter 1 of the Localism Act 2011 - prior to that Act local authorities agreed a budget requirement including general government grants. This change would require consequential changes to the GLA Act and the London Assembly's amendment powers in relation to the Mayors budget. ## Collection Of Business Rates Data Question 36: Do You Have Views On How The Business Rates Data Collection Activities Could Be Altered To Collect And Record Information In A More Timely, Efficient And Transparent Manner? 240. London Government supports retaining the current NNDR1 and NNDR3 reporting arrangements - albeit the timetables for both should be earlier than now. The detail as to how this will operate should be considered further by the Accounting working group in consultation with CIPFA and the IRRV.	en
1111-pdf	## Applying For Approval Of A Food Establishment How to apply for approval for meat, dairy, egg, fish, shellfish and animal produce establishments. If your food business makes, prepares or handles meat, dairy, egg, fish, shellfish or animal produce for supply to other businesses, it may require approval by the local authority. If you think you may need approval, please contact your local authority before applying. ## When You Don'T Need To Apply For Approval There are some exemptions from the requirement to be approved, including: you only sell direct to the public you are a retail business supplying products of animal origin to other businesses (including caterers) on a marginalised, localised and restricted basis Additionally, there may be an exemption available depending on the extent to which you wish to supply food of animal origin to other businesses. You should contact your local authority to determine whether you could claim such an exemption from the need for approval. If a food business is exempted from the requirement to be approved, you must register your food business with the local authority at least 28 days before opening. If you are already trading and have not registered, you need to do so as soon as possible. You must still follow the rules for controlling the temperature and storage of any food you transport. ## Establishments Approved By Local Authorities General Establishments These are: cold stores re-wrapping and re-packaging establishments ## Meat Establishments These are: minced meat establishments meat preparations establishments mechanically separated meat establishments meat products processing plants rendered animal fats and greaves processing plants treated stomachs, bladders and intestines processing plants gelatine processing plants collagen processing plants ## Fish And Shellfish Establishments These are: live bivalve molluscs (LBMs) establishments including dispatch centres and purification centres establishments working with fishery products using factory and freezing vessels, processing plants, fresh fishery products, auction halls, wholesale markets ## Dairy Establishments These are: collection centres of raw milk where it is cooled and filtered processing plants treating, processing and/or wrapping of dairy products (milk or any milkbased product) ## Animal Produce Establishments These are: packing centres - packing and grading of eggs by quality and weight processing plants - processing of egg products liquid egg plants - handling of unprocessed egg contents after removal of shell You need to apply for approval from the Food Standards Agency if you run: slaughterhouses cutting plants game handling establishments wholesale meat market ## Apply For Approval Food premises approval (England) Food premises approval (Wales) Food premises approval (Northern Ireland) ## Approval Assessment To obtain approval strict hygiene standards, both structurally and procedurally are required. Approval will not be given unless the required standards are met before any food is sold for consumption. The standards are defined in Regulation 853/2004. You cannot start trading before receiving approval. You must not commence any business activity which requires approval unless you have received conditional or full approval for your proposed activity from the local authority. If you start trading without approval, it is an offence which may lead to prosecution. Once approved, details of the premises together with information relating to types of foods produced are added to the list of approved Great Britain food establishments and approved establishments with special EU arrangements if in Northern Ireland registers. ## Right Of Appeal You have a right to appeal a decision made by the local authority that has refused to grant an approval. You can appeal against that decision to a Magistrates Court and must submit an appeal one month from the date when you were notified of the decision. ## List Of Approved Food Establishments Approved UK food establishments Approved EU food establishments	en
1851-pdf	# Guidance On Complaints Handling Procedures For Licence Holders, 2015 "Improving the passengers' experience" ## Contents 1. Introduction 3 Summary 3 Background and ORR's approach 4 Contents of the guidance 6 2. Purpose and scope 7 Summary 7 Purpose 7 Scope 7 Definition of a complaint 8 Ownership of complaints 9 The role of Transport Focus and London TravelWatch 11 3. Complaints handling core standards 13 Summary 13 Approving CHPs 13 Core Standard 1: Feedback mechanisms and response 14 Core Standard 2: Structures, people, and processes 26 Core standard 3: Organisational culture 30 4. Compliance monitoring 33 Summary 33 ORR's monitoring approach 33 Annex A: Licence condition 6: Complaint Handling 36 Annex B: Glossary 38 ## 1. Introduction Summary This chapter explains Office of Rail and Road's1 approach and what we think a good complaints handling procedure should achieve and why. We also summarise what is contained in the following chapters of the guidance. ## Aims Of The Guidance Train and station licence holders are required, by their operating licence, to have Complaints Handling Procedures (CHPs) which have been approved by the ORR. This document provides guidance on what ORR will look for when exercising this approval role and when monitoring for continuing compliance. The guidance is designed to support licence holders in: • providing an easily accessible complaints handling service to customers; • developing and maintaining sound customer-centric complaints handling protocols and practices; • using empirical data and evidence relating to complaints to drive through service improvements; and • understanding how we will regulate in this area. ## Background And Orr'S Approach 1.1 Rail users - passengers and freight - are paying a growing share of the cost of running and investing in the network and services. They have rising expectations of services, and expect the industry to give them value for their money and to respond to their needs. When problems arise it is important that there are appropriate means to make complaints and seek compensation and redress for poor service. We also believe that it is essential that management information and insight from complaints is used to identify systemic and recurring problems and to identify areas when services should be improved. 1.2 Train and station licence holders are required, by their operating licence, to have Complaints Handling Procedures (CHPs) which have been approved by ORR. This document provides guidance on what ORR will look for when exercising this approval role and when monitoring for continuing compliance. The licence condition is included at Annex A to this guidance. 1.3 ORR has a number of duties set out in section 4 of the Railways Act 19932, which we must balance when exercising our functions. These include: "to protect the interests of users of railway services", and "to promote the use of the railway network in Great Britain for the carriage of railway passengers". 1.4 The industry recognises the importance of a good complaints handling procedure. It is a means by which licence holders deliver protection for consumers and gain insight into how their business is working from the perspective of those who use their services. An easily accessible complaints system empowers consumers to seek answers or redress when things go wrong. The information provided by complaints, as well as passenger feedback more generally, enables licence holders to identify root causes of dissatisfaction and take action to improve the customer experience. 1.5 We have seen that a number of licence holders make significant efforts to ensure that they have an effective framework in place to understand and improve the experience of their customers. It has been encouraging to see complaints handling being recognised more broadly as being part of the approach to improving customer experience, and not just a process. 1.6 We want to support these initiatives through our regulatory approach. 1.7 A good complaints handling procedure should:  resolve individual complaints promptly and fairly, taking account of the reasonable interests of the complainant, including providing compensation as appropriate; and  lead to continuous improvement, so that in the medium term the root causes of complaints are addressed and systemic solutions are put in place. 1.8 We want to see organisational cultures that support and encourage these objectives and embedded arrangements that effectively regulate themselves, minimising the need for our direct involvement. We are committed to working with the industry to achieve this outcome, but will take action where we need to. "To promote continuous improvements in passengers' experience of rail, through licence holders acting on feedback through complaints" ORR's policy approach - Regulatory statement, July 2014 ## The Core Standards 1.9 Our expectations of licence holders are centred on three core service standards which are intended to assist licence holders in understanding what we will look for in a good CHP. The three core standards cover:  feedback mechanisms and response;  people, process and structure; and  organisational culture. 1.10 The core standards have been drafted at a sufficiently high level to enable licence holders to develop approaches that suit their own particular business models and the needs of their passengers. 1.11 We consider there to be significant benefits to an approach that focuses more on how an organisation is structured and managed around complaints handling, in order to deliver outcomes for the passenger and less on detailed commitments. Such an approach should enable licence holders to respond to the needs of their own particular markets whilst enabling change in line with evolving technological developments and passenger expectations. ## Contents Of The Guidance 1.12 Below, we provide a summary of what is contained in the guidance. Chapter 2 - provides guidance on what we mean by a complaint and who is responsible for handling a complaint. Chapter 3 - provides detail on the three core standards that are intended to help licence holders understand what we would look for in approving a CHP. Chapter 4 - describes our approach to the on-going monitoring of CHPs. Annex A - Contains a copy of Condition 6 of the licence. Annex B - Glossary of terms and abbreviations ## 2. Purpose And Scope Summary This chapter provides guidance on the purpose of these guidelines and who they apply to. It sets out what we mean by a complaint and who is responsible for handling a complaint. It provides specific guidance on the position of Network Rail and the role of Transport Focus (TF) and London TravelWatch (LTW). ## Purpose 2.1 This guidance provides licence holders with a best practice framework for handling passenger complaints. The guidance is designed to support licence holders in:  providing an easily accessible complaints handling service to customers;  developing and maintaining sound customer-centric complaints handling protocols and practices;  using empirical data and evidence relating to complaints to drive through service improvements; and  understanding how we will regulate in this area. 2.2 Licence holders may propose whatever procedure best suits the needs and expectations of their customers and the requirements of their business. This document provides high level guidance on what ORR will expect to see reflected in any complaints handling procedure submitted to it for approval, set out in the form of a set of core standards. We also set out how we will monitor for continuing compliance. 2.3 Licence holders are, therefore, asked to ensure that they familiarise themselves with the contents of this document. ## Scope 2.4 This guidance applies to all licence holders who have a complaints handling obligation in their licence (see Annex A). 2.5 Relevant licence holders should ensure that all complaints handling staff (including outsourced staff) are made fully aware of the contents of the licence holder's CHP and that there are processes in place to monitor continuing staff awareness and compliance. ## Welsh Language 2.6 In line with existing legal obligations, licence holders that provide rail services in Wales should ensure that information on complaints is provided in both English and Welsh. ## Definition Of A Complaint 2.7 For the purposes of these guidelines a complaint is defined as: "Any expression of dissatisfaction by a customer or potential customer about service delivery or company or industry policy" 2.8 Although all expressions of dissatisfaction are deserving of a response, we recognise that a distinction should be drawn between a complaint and feedback for the purpose of establishing clarity around what is within the scope of regulation. 2.9 Feedback can take the form of comments which are neutral, positive or negative, about services provided by a licence holder or representatives without necessarily requiring corrective action, change of services or formal review of a decision. Feedback may, however:  adversely affect the reputation of a licence holder; and  influence future service reviews and delivery methods. 2.10 Feedback can take many forms, including the use of social media platforms, online forums or dedicated consumer websites. Sometimes complainants will use feedback to make what could be characterised as a complaint. It is important that licence holders have mechanisms by which such communications can be identified and dealt with in accordance with this guidance. We will look for evidence of how this will be achieved when approving CHPs. 2.11 Licence holders should also give discretion to customer-facing staff to resolve certain types of complaint on the spot, without reference to senior management. Sensitive and swift on-the-spot handling of difficult situations may help to avoid a large number of written complaints, but at the same time deliver satisfaction to the passenger. We do not expect such face-to-face on-the-spot resolution to be considered as a complaint for compliance or data recording purposes. ## Claims Allocation And Handling Agreement 2.12 The Claims Allocation and Handling Agreement3 (CAHA) requires the approval of arrangements for publicising information on how to make an insurance claim against an operator. CAHA is not within the scope of this guidance. ## Ownership Of Complaints 2.13 A complaint about a specific train, ticket office or station shall be owned by the licence holder responsible for that train, ticket office or station. A complaint about a delay will be owned by the licence holder on whose train the passenger was travelling when the delay occurred. This holds true even where the impact of the delay arises on another part of the journey i.e. where a delay leads to a missed connection or results in a dispute over ticket validity on a later train. 2.14 On a multi-leg journey where delays occur on more than one train service the complaint should be handled in accordance with the guidance on complaints relating to multiple-licence holders below. 2.15 A complaint about a ticket sale will be owned by the licence holder which sold the ticket. A complaint against a third party ticket retailer should be handled by the third party retailer. 2.16 The licence holder that owns a complaint will be responsible for responding to the passenger and for paying any compensation and/or gestures of goodwill in respect of that complaint, in line with that licence holder's CHP. The licence holder which owns a complaint about a delay or cancellation will be responsible for the payment of any compensation under their Passenger Charter or National Rail Conditions of Carriage (NRCoC), as appropriate. ## Complaints Relating To Third Party Suppliers 2.17 Third party supplier relationships are an integral aspect of service delivery and provision for licence holders. From time to time licence holders may receive complaints which relate to a third party supplier on matters such as security personnel; cleaning and catering staff; revenue protection services; suppliers of rail replacement services; or car parking providers. In circumstances where licence holders receive such a complaint, they should work with their supplier to coordinate a response. The complainant should not be required to contact the third party supplier, though are free to do so should they prefer to have their complaint answered directly. 2.18 Licence holders would not be expected to intervene in relation to substantive issues in appeals processed by the Independent Penalty Fares Appeals Service, although licence holders are expected to have oversight of how the service is operating and to deal appropriately with any trends identified. British Transport Police have their own complaints handling mechanism and are therefore excluded from the scope of this guidance. 2.19 In coordinating a response the licence holder should be aware of their responsibilities under the Data Protection Act 1998 (DPA). More detail on confidentiality and data protection are contained in chapter 3. ## Complaints Relating To Multiple Licence Holders 2.20 The national rail system is an integrated network and it is important that network benefits are maintained for passengers. Passengers with a complaint may not know which train company to contact, or they may have a complaint which involves more than one licence holder. In these circumstances, it is essential that the complaint is handled in a coherent and coordinated manner. We cover this in more detail in chapter 3 below. ## Complaints Relating To Network Rail 2.21 Network Rail has a unique role as the infrastructure provider all licence holders need to work constructively and collaboratively with Network Rail in the resolution of passenger complaints. 2.22 Network Rail customer relations will handle complaints relating to:  services provided by Network Rail at the stations which it operates (Managed Stations); and  Network Rail as infrastructure operator (for example, complaints from local residents about line-side fencing, or complaints from car users about a level crossing). 2.23 Complaints about Network Rail as a supplier (for example, where a signal failure causes delay) will be handled by the receiving licence holder in line with their own CHP. ## The Role Of Transport Focus And London Travelwatch 2.24 As a condition of their licence, licence holders must consult with Transport Focus (TF) and London TravelWatch (LTW) when they establish or make any material change to their CHPs. Changes can be made at the initiative of the licence holder or where ORR has required the licence holder to carry out a review and has determined a change needs to be made. ## Appeals Transport Focus 2.25 Rail passengers, who are unhappy with the outcome of their complaint to a licence holder, can contact TF4 which may be able to pursue the complaint on the passenger's behalf. TF is able to deal with complaints about rail journeys anywhere in Great Britain, with the exception of services handled by LTW. ## London Travelwatch 2.26 LTW5 deals with all services operated or licensed by Transport for London (TfL), which includes London Underground Limited (LUL). In addition, LTW deals with:  journeys wholly within the London railway area; and  complaints about incidents that occur at specific stations within the London railway area. 2.27 LTW also manages complaints regarding Eurostar and will manage Crossrail services as they open. 2.28 More detail about how appeals should be dealt with by licence holders is contained in chapter 3. ## 3. Complaints Handling Core Standards Summary This chapter provides more detail on the core standards that we would look to see within a good complaints handling framework. The guidance and examples we provide are intended to assist licence holders in submitting a CHP to us for approval. ## Approving Chps 3.1 Licence holder's CHPs should be constructed around the three core standards that we describe within this chapter. Each core standard is drafted at a sufficiently high level to enable licence holders to develop approaches that suit their own particular business models. They, however, contain some best practice principles including those that derive from legal obligation, for example licence holders' responsibilities toward data protection. When approving CHPs we will look for ways in which the licence holder intends to adopt these best practice principles into its complaints handling procedures. 3.2 The three core standards cover:  feedback mechanisms and response (for individual complaints and system wide);  people, process and structure; and  organisational culture. 3.3 The diagram below summarises what we would expect to see covered within a CHP under each core standard. •Accessibility and reach - The means available to passengers to provide feedback and the ease of doing so, taking into account the needs of all customers including those with different types of disabilities. Feedback mechanisms and response •Putting things right - How a licence holder demonstrates that it is listening, responding and is flexible to passengers' needs for individual complaints and systemic issues. •Acting fairly and proportionately - How a licence holder ensures objectivity, consistency and fairness. - How the organisation is structured to put its CHPs into place, including identified roles and chains of accountability. Structure, people and processes - Training programmes and communication strategies - Published service standards in respect of complaint handling - Reporting and reviewing arrangements - how the licence holder assures itself of and measures the ongoing effectiveness of its arrangements including internal criteria for assessing this and audit arrangements. - Governance, policy and leadership - including the degree to which the top team are engaged with complaints handling. \| - How the top team ensures \| feedback is acted upon and \| \|------------------------------------------------\|----------------------------------------------------\| \| embedded \| into the organisation's strategies and approach as \| \| part of a commitment to continous improvement. \| \| \| •The extent to which \| the customer experience sits at the heart \| \| of the organisation's vision \| . \| ## Core Standard 1: Feedback Mechanisms And Response 3.4 Effective complaint handling demonstrates that licence holders have customers at the heart of what they do. A good customer-focused CHP takes into account the needs and expectations of the complainant. ## Promoting Awareness 3.5 Details on how and to whom a passenger should complain should be made available in the licence holder's major publications, be prominently displayed at stations on websites and via social media. At multi-operator stations, publicity should make clear the different contact points for complaints about different services. Complaint forms should also be made available on the request of a passenger, for example, on trains which carry guards or conductors. 3.6 Material relating to the promotion of complaints handling should be free from any industry-jargon and be presented in plain English. 3.7 Publicity material must contain details of where a complainant should go to if not satisfied with the response provided by the licence holder currently and as appropriate:  TF;  LTW; and  Any relevant Alternative Dispute Resolution (ADR) bodies6. ## Easily Accessible To All 3.8 The complaints handling process should be simple to understand and easy for the passenger to use. It should be clear how a complaint can be made, to whom it should be addressed, and what the essential information is that a complainant needs to provide. 3.9 We discuss below the requirement on licence holders to publish complaints service standards. These should be easy for the passenger to understand and should give the passenger a clear explanation of what to expect from the complaints handling process. ## Access Routes 3.10 There should be a choice of access routes for complainants, for example, those illustrated in the diagram below. ## In Person 3.11 Designated customer contact points are a useful access route for the passenger. All customer-facing rail staff, including sub-contracted staff, should be trained to receive and pass on complaints. ## Websites 3.12 As a minimum, ORR would expect to see the following:  The complaints page should be accessible within 2 clicks of the landing/home page and contain clear details about how to contact the licence holder.  Provision for those who are visually or hearing impaired.  A link to the licence holder's complaint handling service quality standards (see core standard 2 below). 3.13 Licence holders are encouraged to include Frequently Asked Questions (FAQs) on a complaints page as this can often be a useful reference point for complainants and may satisfy the needs of the passenger and other general website users. Where FAQs are present on a website, the passenger should still be able to make a complaint about the same matter. ## Social Media Platforms 3.14 The emergence of social media creates a number of challenges for licence holders, most notably in relation to the manner in which they manage their online presence. Many licence holders have a social media presence and regularly engage with followers. 3.15 Many passengers use social media platforms such as Twitter to make a complaint or indicate their frustrations or dissatisfaction. 3.16 We expect licence holders to have a social media policy in place to ensure that passengers are fully aware of:  the licence holder's approach to social media;  the scope and opportunity for passengers to make a complaint via social media platforms; and  the extent to which the licence holder engages with its social media followers. 3.17 Where the circumstances of the complaint on social media lend themselves to an investigation, the licence holder should assist the complainant in making a formal complaint, which will then be dealt with in accordance with the licence holder's CHP. The complainant should be asked whether their feedback should be treated as a formal complaint and be advised of what that means in terms of processes and timescales. ## Call Centres Or Customer Relations Teams 3.18 Licence holders should ensure that they publish and adhere to minimum opening hours for their customer service departments, during which passengers should be able to speak to a member of staff by telephone. Licence holders should, as a minimum, accept telephone complaints between the hours of 9am and 5pm Monday to Friday. At all other times licence holders should ensure that callers are met with a recorded message which clearly sets out opening times. ## Respecting Equality And Diversity 3.19 It is essential that no one is excluded from lodging a complaint. A flexible approach is likely to be necessary to meet the needs of a diverse customer base and we will look for provision, within a licence holder's CHP, for those with particular needs. This could include elements such as staff training or provision of complaints information and responses in accessible formats, for example. 3.20 Licence holders should also ensure that carers, support workers and guardians are able to act/advocate on behalf of a passenger with the passenger's permission/authority (see also section immediately below relating to data protection and privacy). 3.21 The examples provided above are for guidance purposes only. All licence holders should ensure that they obtain independent legal advice in relation to their general duties under the Equality Act 2010 (the Equalities Act) and the Disability Discrimination Act 1995 (the DDA)7 respectively, as to their impact on licence holders' CHPs. ## Respecting Complainant Confidentiality Privacy Policy 3.22 We expect all licence holders to have a customer-facing privacy policy which should be available on the website of the licence holder and upon request from a complainant. Areas we would expect to see covered in a privacy policy are set out in the diagram below. ## Adherence To The Data Protection Act 1998 (Dpa) 3.23 Licence holders should ensure that complainants' confidentiality is protected. Personal details or details about complaints should not be divulged to third parties, except with the written consent of the complainant. 3.24 All licence holders should ensure that they have written processes and procedures in place which fully adhere to the DPA. Licence holders are expected to carefully consider the manner in which complainant details, including sensitive details, are collected, used and stored. This is particularly relevant in relation to: (a) complaints involving more than one licence holder; (b) the sharing of information with TF and LTW; and (c) the sharing of information with third party suppliers. 3.25 Licence holders cannot pass on a complainant's personal details (or any details which would allow the complainant to be identified) to anyone else, without the complainant's permission. 3.26 The ORR may wish to conduct research with complainants to learn more about their experiences. Data protection concerns must be properly addressed to allow this. Licence holders should consider ways in which the complainant could be advised of this eventuality, for example by informing complainants that they could be contacted by the regulator and providing a tick-box option to opt-out if the complainant does not wish to be contacted. 3.27 Data protection provisions should not act against the timeliness of being able to respond to a passenger's concerns. We therefore expect licence holders to consider ways in which the complainant can be asked to provide that permission at initial contact perhaps by way of a question on, for example, web-based forms. 3.28 The information above is for guidance purposes only. All licence holders should ensure that they obtain independent legal advice in relation to their duties under the DPA and should also be guided by the Information Commissioner's Office (ICO)8. ## Complaints Relating To Multiple Licence Holders 3.29 A complainant should not have to submit a complaint to more than one party in circumstances where a complaint involves more than one licence holder. 3.30 The receiving licence holder should (where reasonably practical) coordinate a single response on behalf of all of the licence holders involved. Sometimes this may not be sensible if the bulk of the issues rest with another licence holder. In this instance, it may be in the best interest of the complainant to receive a response directly from the party primarily responsible. In this case it is acceptable for the receiving licence holder to make arrangements to have the complaint passed to the more appropriate party in line with the licence holder's obligations under the DPA. The complainant should be informed when their complaint is transferred to another party. ## Response Times 3.31 Licence holders must provide all complainants with an acknowledgement and complaint reference/tracking number as appropriate and to make a full response to 95% of all complaints within 20 working days. 3.32 Where licence holders have set themselves and then published more challenging targets, they should aim to provide full responses to at least 90% of complaints within that published target. 3.33 Licence holders should give discretion to customer-facing staff to resolve certain types of complaint immediately, without reference to senior management. Sensitive and swift on- the- spot handling of difficult situations may help to avoid a large number of written complaints, but at the same time deliver satisfaction to the passenger. ORR does not expect face-to-face on-the-spot resolution to be recorded for data management purposes. 3.34 Where a licence holder receives a sudden or unexpectedly large increase in the volume of complaints, the above timeframes may be replaced with an obligation to use reasonable endeavours to comply with them. The licence holder should set out in its CHPs the circumstances in which it would put these emergency timescales in place and the steps it will take to advise affected complainants. The licence holder must inform ORR, TF and LTW when such a circumstance occurs; including the reason; the expected duration of the emergency timescales; the plans in place to remedy the situation; the procedures in place to ensure that the quality of responses is maintained; and any steps taken to advise affected complainants. 3.35 This enables TF and LTW to advise passengers accordingly and for ORR to effectively carry out its role in monitoring for compliance. 3.36 Speed is clearly not the only determinant of an effective response. We discuss what we mean by a 'fair and full investigation' and 'effective resolution' below. ## Keeps Complainant Informed Of Progress 3.37 Communication with the complainant is an important on-going process whilst the complaint is under investigation. At the outset, the complainant should be advised of the complaints process and the target timescales for a response. 3.38 Where complaints cannot be answered fully within published timescales, licence holders must ensure that the complainant is made aware of any potential delays and provide regular updates to the complainant after the target response time has elapsed. These updates should provide meaningful information about progress being made with the complaint and should give the complainant the option to speak to someone directly should they so choose. Licence holders should aim to agree new timescales with the complainant as appropriate. ## A Full And Fair Investigation 3.39 In approving licence holders' CHPs we will expect to see investigative processes which are tailored and proportionate to the issues raised. We set out below the six steps that we would expect to see in an investigatory process although acknowledge that some complaints can be resolved immediately or on-the-spot and the full investigative process would not, in those instances, be appropriate or necessary. ## An Effective Response And Resolution 3.40 Licence holders should provide a full written response to all complaints in plain English and free of rail industry jargon, initials or acronyms. Licence holders remain free to make their own judgements on what is appropriate to the circumstances of the complaint and the complainant, for example, in the tone and the level of formality adopted. It is possible that, for example, a response could be appropriately dealt with by telephone (even if the original contact was in writing). 3.41 The passenger should be signposted to TF or LTW and ADR after they have received the second substantive response from the licence holder, even if the licence holder continues to engage with the complainant with the objective of resolving the complaint itself. 3.42 Licence holders must ensure that all complaints are resolved by which we mean there are no outstanding actions required on the part of the licence holder. ## Dealing With Frivolous Or Vexatious Complaints 3.43 At times, licence holders may wish to terminate correspondence with a particular complainant before full resolution has been reached. This should be a decision of last resort, only taken if the licence holder believes the complainant's on-going communication to be frivolous or vexatious. 3.44 A complaint can be treated as frivolous or vexatious even where the complainant may not be satisfied with the licence holder's response. The decision as to whether a complaint is frivolous or vexatious should only be taken by a senior manager within the organisation and should be well documented. The complainant should also be advised of the contact details of LTW or TF and ADR, as appropriate. 3.45 Licence holders should have internal procedures that clearly define the circumstances in which correspondence will be terminated and provide guidance to staff on the authorisation required. Licence holders should record complaints that have been terminated in a way which allows them to monitor and examine the number of complaints terminated and the reasons why. ## Compensation 3.46 Where the complaint is about a train delay or cancellation, licence holders should, as a minimum, provide compensation in line with the NRCoC or, on terms agreed within their franchise. Licence holders should ensure that complainants are given compensation as a form of remedy if this is an appropriate option and equally have the autonomy/discretion to go beyond the compensation thresholds should they wish to do so. 3.47 Our research9 found that almost three quarters (72%) of passenger respondents to a survey had little or no awareness of their rights to compensation. Licence holders must promote and raise awareness of compensation rights amongst passengers and we look for ways in which licence holders are doing this as part of our routine work and also when approving CHPs. ## Escalation Of Complaints 3.48 We will look for a licence holder to demonstrate how it identifies and deals with complaints that require escalation through the management chain, including where a passenger has asked for their complaint to be escalated. Licence holders are expected to set out in their procedures: (a) the criteria for escalation; (b) how the complaint escalation process works; (c) the associated timescales; and (d) the relationship between the escalation process and the complainant's right of appeal by way of TF and LTW (see below). ## Appeals To Tf And Ltw - Handling Protocols 3.49 Licence holders must establish an appeals handling protocol with TF or LTW where TF or LTW require a protocol. This should include a commitment to review the protocol in the light of experience and/or at agreed intervals. This protocol should include the speed of response and how the appeal will be managed within the organisation. Both of these areas are set out in more detail below. ## Management Of The Appeal 3.50 The protocols should, as a minimum, include the:  main point of contact (member of staff) and an alternative point of contact (member of staff);  agreed channels for escalating appeals within the respective bodies;  arrangements for the supply of additional/updated information; and  arrangements for timeframe slippages / backlogs. ## Speed Of Response 3.51 The licence holder should undertake to:  provide acknowledgement to TF and LTW within 3 working days of notification of the appeal;  respond to a request for copies of case correspondence from TF or LTW within 5 working days of the request; and  respond to TF and LTW appeal submissions within 10 working days or a maximum of 20 working days where an appeal is complex. 3.52 Where the above requirements cannot be met, licence holders must agree a reasonable alternative timeframe with TF or LTW. All reasonable steps should be taken to ensure that the above timescales are honoured. 3.53 Licence holders should also ensure that the above appeal timescale apply to third parties acting on their behalf, for example, outsourced contact centres. ## Core Standard 2: Structures, People, And Processes 3.54 The following core standard provides an overview of what a well-managed complaint handling operational model should cover. It contains guidance on what we would expect to see around staffing, training and processes, including the engagement of senior staff and the implementation of quality assurance protocols. It also identifies the importance of transparency, including the establishing and publication of complaints service standards. are aware of frameworks standards ## Organisational Structure And People 3.55 Central to the efficient and effective management of complaints is an appropriate organisational structure and staffing. 3.56 Some licence holders may use third parties to handle their complaints. Licence holders remain responsible for compliance with their CHPs even where that function is outsourced. Licence holders should, therefore, ensure that all outsourced service providers are capable of delivering a good complaints handling service and that this is fully reflected in any service level agreement. Licence holders should, for example, seek assurance that all relevant staff have received complaints handling training and ensure that they consistently uphold complaint handling service standards as determined by the licence holder. ## Training And Development 3.57 Licence holders must have comprehensive staff training programmes and training plans in place for all customer facing staff. For complaint handling staff and managers this should include a commitment to provide staff with complaints handling training that covers: customer service, complaints investigation and resolution skills. There should also be a commitment to retrain at periodic intervals or in response to evidence that complaints are not being dealt with effectively. 3.58 Licence holders must ensure that complaint handling staff have the capabilities and competencies (knowledge, skills, experience and abilities) needed to deliver a good complaint handling service. This should be embedded in the organisation's overall recruitment and training strategies respectively. ## Processes And Protocols Record Keeping 3.59 All licence holders should have in place written procedures relating to the management of complaint records, including;  the types of complaint/complainant records that will be kept;  the format in which records will be kept e.g. in hard copy or electronic form; and  the length of time records will be kept. 3.60 Licence holders should ensure that there is a process for recording all complaints on a customer complaints database or Customer Relationship Management system (CRM), whether complaints are handled by themselves or third party suppliers. Licence holders should ensure that they have appropriate access to third party supplier systems for the purposes of monitoring passenger satisfaction with the service provided. 3.61 All complaints should be recorded in such a way that the information can also be analysed for service improvement opportunities. It should be accessible for regulatory monitoring purposes, for example, as part of an on-going compliance discussion with the licence holder. Data should also be maintained in a format capable of conforming with ORR's core data requirements. ## Quality Assurance Framework/Quality Controls 3.62 All licence holders should have quality controls relating to complaints handling. This should include quality checks to ensure all customer communications are of a high standard. ## The Identification Of Systemic Weaknesses 3.63 Customer complaints should be collated centrally and used as a source of intelligence. This can help identify the scale and trends in dissatisfaction which could escalate into something more serious. 3.64 Complaints about individual staff members should always be carefully looked at to identify the wider context surrounding the particular instance. For example, the individual's working pattern should be investigated to see if there are fatigue issues and where an individual has been working alone, the health and safety implications both to the individual and the customer should be considered. 3.65 Where complainants allege they have sustained an injury as a result of the licence holder's operations, consideration should be given to whether the incident is reportable to ORR under the Reporting of Injuries Diseases and Dangerous Occurrences Regulations 2013 (RIDDOR). ## Complaint Handling Service Standards 3.66 All licence holders should establish and publish service standards in relation to complaints handling. Service standards should be written with the customer in mind and should be free of industry jargon. These provide a statement of what the complainant can expect from the complaints process and provide licence holders with a metric by which success can be measured. The following illustration indicates the sort of components we would expect to see in a published service level commitment. 3.67 A number of these commitments may already be adopted by licence holders and published in their Passenger Charters. 3.68 Licence holders may also wish to promote other types of insight they gather, and how this information is used to make improvements to the passenger experience, in their passenger facing documents. ## Core Standard 3: Organisational Culture 3.69 This core standard provides an overview of what we will wish to see in terms of overall organisational culture, in particular the mechanisms by which complaints data is used to shape and inform service improvements and address root causes of complaints. ## Organisational Ownership And Commitment 3.70 An organisation which values complaints as a way to deliver insight on the performance of its business and a way to increase passenger satisfaction is likely to gain reputational and commercial advantage. Complaints handling processes should be subject to high level governance and accountability with an overarching shared vision for complaints handling forming part of the culture of the organisation. As part of this, management information on complaint volumes, trends and underlying causes should be regularly viewed at Board level so that systemic issues can be identified and addressed. 3.71 Learning from complaints is a powerful way of increasing trust and confidence amongst passengers. If a passenger knows that their complaint has helped to improve service delivery, it will encourage repeat engagement to the benefit of the business. 3.72 We are keen to see that licence holders adopt values which in turn shape behaviour in relation to complaints handling. 3.73 A licence holder could demonstrate such a commitment by, for example, showing:  a link between strategic, service and team plans that help all staff to understand the central importance of complaints handling and the cycle of continuous improvement; and/or  having commitments to include complaints handling in key strategies or operational plans. 3.74 We give some non-exhaustive examples of how this could be demonstrated below. ## Example 1: Complaints handling could be a key proposition within marketing and publicity plans which detail the importance of listening to passengers and using complaints themes and trends to improve the quality of service offered. ## Example 2: Customer engagement plans could include introducing a service improvement panel made up of, for example, a cross section of past complainants including those with special needs or English as a second language. ## Example 3: Contingency plans could take into account the need to ensure that sufficient resources are directed to complaints handling and complaint prevention where there have been major timetable delays due to overrunning engineering works or weather. ## 4. Compliance Monitoring Summary This chapter sets out how ORR expects to monitor on-going compliance with licence holders' CHPs and the steps that ORR might take when concerned that individual CHPs may not be supporting our objective of continuous improvements in passengers' experience of rail. ## Orr'S Monitoring Approach 4.1 We do not intend to carry out detailed annual reviews of licence holders' CHPs, but we reserve the right to do this where there is evidence of systemic issues not being addressed or a significant decrease in service performance. In addition, we will continue to monitor for compliance and the effectiveness of individual CHPs by the scrutiny of evidence such as:  Core data sets, including information on the number, type, and underlying cause of complaints.  The ease with which passengers can make complaints, for example the accessibility of website information, passenger information leaflets provided at stations and information made available through social media.  Other relevant information published by licence holders such as the level of proactivity around communicating entitlements to compensation.  Feedback from TF and LTW and other third parties including, for example, the results of mystery shopping exercises.  Bespoke research conducted by ORR or in conjunction with TF and LTW.  Consumer insight gained by way of individual consumer complaints made to ORR, TF and LTW. 4.2 Where there is evidence to suggest that a licence holder is not achieving compliance and/or a CHP is not supporting our objective of continuous improvements in passengers' experience of rail, we may:  Request additional information.  Require a licence holder to conduct a review of its CHP and report findings to ORR.  Carry out an independent audit as described below. 4.3 An independent audit could cover:  A representative sample of complaints received including those not resolved by the licence holder and taken up by TF or LTW.  Complaints that have required licence holders to seek legal advice.  The complaints handling management system including how complaints are recorded and tracked from initiation to completion.  Evidence that robust feedback mechanisms exist to both identify and address systemic issues and improve company policies and processes.  Evidence that the Board is aware of and understands the volume, type and reasons for passenger complaints and is taking sufficient action to address issues.  How the licence holder satisfies itself that its staff are competent to carry out complaint handling, including any training material and guidance provided to staff.  Details of quality control and internal audit processes.  Evidence of how a licence holder monitors the sensitivity of its staff to equality and diversity issues and how shortfalls are addressed.  The commissioning of independent research to further investigate evidence of potential non-compliance. 4.4 As a matter of standard practice, we will raise our concerns with the licence holder prior to taking any of these measures. 4.5 Where (following engagement with the licence holder) we continue to have concerns, we will consider taking action in accordance with our enforcement policy10. 4.6 We intend to publish CHPs approval letters on our website, highlighting what we consider to be good practice and innovation amongst licence holders to encourage shared learning and insight across industry. The development of new complaints handling datasets provides us with an opportunity to present meaningful data which, when combined with narrative, will present a more representative picture of complaints handling across the sector. ## Annex A - Licence Condition 6: Complaint Handling The licence holder shall establish and thereafter comply with a procedure for handling complaints relating to Licenced activities from its customers and potential customers (the "Complaints Procedure"). The licence holder shall not establish, or make any material change (save in respect of paragraph 3(b)), to the Complaints Procedure unless and until: (a) Transport Focus and, where appropriate, London TravelWatch has been consulted; and (b) The licence holder has submitted the Complaints Procedure, or (as the case may be) the proposed change, to ORR and ORR has approved it. Where ORR requires the licence holder to carry out a review of the Complaints Procedure or any part of it or the manner in which it has been implemented, with a view to determining whether any change should be made to it, the licence holder shall: (a) promptly carry out a review and submit a written report to ORR setting out the results or conclusions; and (b) make such changes to the Complaints Procedure, or the manner in which it is implemented, as ORR may reasonably require after ORR has received a report under paragraph (a) above and consulted the licence holder, Transport Focus and, where appropriate, London Travel Watch. The licence holder shall: (a) send a copy of the Complaints Procedure and of any change to it to ORR and Transport Focus and, where appropriate, London Travel Watch; (b) in a place of reasonable prominence at each station at which trains operated by the licence holder are scheduled to call, display or procure the display of a notice giving the address from which a current copy of the Complaints Procedure may be obtained; and (c) Make available free of charge a current copy of the Complaints Procedure to any person who requests it. ## Annex B: Glossary ADR Directive - Alternative Dispute Resolution Directive CAHA - Claims Allocation and Handling Agreement CHPs - Complaints Handling Procedures CRMs - Customer Relationship Management Systems DDA - Disabilities Discrimination Act 1995 DPA - Data Protection Act 1998 Equality Act - The Equality Act 2010 ICO - Information Commissioner's Office LTW - London TravelWatch LUL - London Underground Limited NRCoC –National Rail Conditions of Carriage ORR - Office of Rail and Road TF - Transport Focus RIDDOR - Reporting of Injuries Diseases and Dangerous Occurrences TfL –Transport for London For a detailed glossary of terms access the following link http://orr.gov.uk/glossary	en
2975-pdf	# إرﺷﺎدات ﺣﻮل ﺗﺪرﯾﻊ وﺣﻤﺎﻳﺔ اﻷﺷﺨﺎص اﻟﻤﻌﺮﺿﯿﻦ ﻟﻺﺻﺎﺑﺔ ﺑﻔﯿﺮوس Covid-19 ﺗﻢ اﻟﺘﺤﺪﻳﺚ ﻓﻲ7 ﯾﻨﺎﯾﺮ2021 ## ﻟﻤﻦ ھﺬا اﻟﺪﻟﯿﻞ # ھﺬا اﻟﺪﻟﯿﻞ ﻣﺨﺼﺺ ﻟﻜﻞ ﺷﺨﺺ ﻓﻲ إﻧﺠﻠﺘﺮا ﻣﻤﻦ ﺗﻢ ﺗﺤﺪﻳﺪھﻢ ﻋﻠﻰ أﻧﮭﻢ ﺳﺮﻳﺮﻳًﺎ ﻣﻌﺮﺿﯿﻮن ﻟﻠﺨﻄﺮ ﺑﺸﺪة . إذا ﻛﻨﺖ ﻓﻲ ھﺬه اﻟﻤﺠﻤﻮﻋﺔ ، ﻓﺴﺘﻜﻮن ﻗﺪ ﺗﻠﻘﯿﺖ ﺳﺎﺑﻘًﺎ ﺧﻄﺎﺑًﺎ ﻣﻦ اﻟـNHS أو ﻣﻦ طﺒﯿﺒﻚ اﻟﻌﺎم ﻳﺨﺒﺮك ﺑﺬﻟﻚ. رﺑﻤﺎ ﺗﻢ .ﻧﺼﺤﻚ ﺑﺎﻟﺘﺪرﯾﻊ ﻓﻲ اﻟﻤﺎﺿﻲ ﺗﻨﻄﺒﻖ ھﺬه اﻹرﺷﺎدات ﻋﻠﻰ اﻷﻓﺮاد اﻟﻤﻌﺮﺿﯿﻦ ﻟﻠﺨﻄﺮ ﺳﺮﻳﺮﻳًﺎ ﻓﻘﻂ. ﻻ ﻳُﻨﺼﺢ اﻵﺧﺮون اﻟﺬﻳﻦ ﻳﻌﯿﺸﻮن ﻓﻲ ﻣﻨﺰل ﻣﻊ ﺷﺨﺺ ﻣﻌﺮض ﻟﻠﺨﻄﺮ اﻟﺸﺪﻳﺪ ﺳﺮﻳ ﺮﻳًﺎ .ﺑﺎﺗﺒﺎع ھﺬه اﻹرﺷﺎدات ﺑﺪﻻً ﻣﻦ ذﻟﻚ، ﻳﺠﺐ ﻋﻠﯿﮭﻢ اﻻﺳﺘﻤﺮار ﻓﻲ ﺣﻀﻮر اﻟﻌﻤﻞ واﻟﻤﺪرﺳﺔ وﻓﻘًﺎ ﻟﻠﻨﺼﺎﺋﺢ اﻟﻌﺎﻣﺔ واﻟﻠﻮاﺋﺢ اﻟﻤﻨﺼﻮص ﻋﻠﯿﮭﺎ ﻓﻲ إرﺷﺎدات اﻟﻘﯿﻮد اﻟﻮطﻨﯿﺔ اﻋﺘﺒﺎرًا ﻣﻦ 5 ﯾﻨﺎﯾﺮ 2021 . ﺳﯿﺤﺼﻞ اﻷﺷﺨﺎص اﻟﻤﻌﺮﺿﻮن ﻟﻠﺨﻄﺮ ﺳﺮﻳﺮﻳًﺎ ﻋﻠﻰ أوﻟﻮﻳﺔ اﻟﺤﺼﻮل ﻋﻠﻰ اﻟﺘﻄﻌﯿﻢ ﺿﺪCOVID-19 ﻗﺒﻞ ﻋﺎﻣﺔ اﻟﺴﻜﺎن وﺑﻤﺎ ﻳﺘﻤﺎﺷﻰ ﻣﻊ ﺗﺮﺗﯿﺐ اﻷوﻟﻮﻳﺎت ) اﻟﺬي ﺣﺪدﺗﻪ اﻟﻠﺠﻨﺔ اﻟﻤﺸﺘﺮﻛﺔ ﻟﻠﺘﻠﻘﯿﺢ واﻟﺘﺤﺼﯿﻦJCVI (. ﺳﯿﺘﻢ اﻻﺗﺼﺎل ﺑﻚ ﻣﺮة أﺧﺮى ﻣﻦ ﻗﺒﻞNHS ﻟﺘﺰوﻳﺪك ﺑﻤﺰﻳﺪ ﻣﻦ اﻟﻤﻌﻠﻮﻣﺎت ﺣﻮل ﻣﺘﻰ وﻛﯿﻒ ﺳﺘﺘﻢ .دﻋﻮﺗﻚ ﻟﻠﺤﺼﻮل ﻋﻠﻰ اﻟﻠﻘﺎح ﻣﻦ اﻟﻤﺤﺘﻤﻞ أن ﻳﻘﺪم اﻟﻠﻘﺎح ﻣﺴﺎھﻤﺔ ﻣﮭﻤﺔ ﻓﻲ ﺣﻤﺎﻳﺘﻚ ﻣﻦCOVID-19 . ﻣﻦ اﻟﻤﺘﻮﻗﻊ أن ﻳﺘﻠﻘﻰ اﻷﺷﺨﺎص اﻟﻤﻌﺮﺿﻮن ﻟﻠﺨﻄﺮ ﺳﺮﻳﺮﻳًﺎ ﻟﻘﺎﺣًﺎ ﺿﺪCOVID-19 ﻗﺒﻞ ﻋﺎﻣﺔ اﻟﺴﻜﺎن. ﺳﺘﻀﻤﻦNHS اﻟﻤﺤﻠﯿﺔ اﻟﺨﺎﺻﺔ ﺑﻚ أﻧﻪ ﻳﻤﻜﻨﻚ اﻟﺤﺼﻮل ﻋﻠﻰ اﻟﻠﻘﺎح ﺑﺄﻣﺎن ﻗﺪر اﻹﻣﻜﺎن ، ﺑﺎﻹﺿﺎﻓﺔ إﻟﻰ أﻳ ﺔ رﻋﺎﻳﺔ ودﻋﻢ ﻣﻄﻠﻮﺑﯿﻦ. ﺣﺘﻰ إذا ﻛﻨﺖ ﻗﺪ ﺗﻨﺎوﻟﺖ ﺟﺮﻋﺘﯿﻦ ﻣﻦ اﻟﻠﻘﺎح ، ﻓﯿﺠﺐ ﻋﻠﯿﻚ اﻻﺳﺘﻤﺮار ﻓﻲ اﺗﺒﺎع ﻧﺼﯿﺤﺔ اﻟﺤﻤﺎﻳﺔ ھﺬه ﺣﺘﻰ إﺷﻌﺎر آﺧﺮ ، ﺣﯿﺚ ﻧﻮاﺻﻞ ﺗﻘﯿﯿﻢ ﺗﺄﺛﯿﺮ اﻟﺘﻄﻌﯿﻢ ﺑﯿﻦ ﺟﻤﯿﻊ اﻟﻔﺌﺎت. ﻳﺠﺐ أن ﻳﺴﺘﻤﺮ اﻷﺷﺨﺎص اﻟﺬﻳﻦ ﺗﻌﯿﺶ ﻣﻌﮭﻢ ﻓﻲ اﺗﺒﺎع ﻗﻮاﻋﺪ وإرﺷﺎدات اﻟﺼﺤﺔ اﻟﻌﺎﻣﺔ طﺎﻟﻤﺎ ﻛﺎﻧﺖ ﻣﻮﺟﻮدة ، ﺑﻤﺎ ﻓﻲ ذﻟﻚ ﻣﺎ إذا ﻛﻨﺖ ﻗﺪ .ﺗﻠﻘﯿﺖ اﻟﻠﻘﺎح وأﻳﻀًﺎ ﻣﺎ إذا ﻛﺎﻧﻮا ﻗﺪ ﺗﻠﻘﻮا اﻟﻠﻘﺎح ## ﻣﺎ اﻟﺬي ﺗﻐﯿﺮ أﺻﺒﺤﺖ أﻋﺪاد ﺣﺎﻻتCOVID-19 ﻣﺮﺗﻔﻌﺔ ﻟﻠﻐﺎﻳﺔ اﻵن وﺗﺘﺰاﻳﺪ ﺑﺴﺮﻋﺔ ﻓﻲ ﺟﻤﯿﻊ أﻧﺤﺎء اﻟﺒﻼد ، ﻣﺪﻓﻮﻋﺔ ﺑﺎﻟﺴﻼﻟﺔ ا ﻟﺠﺪﻳﺪة ﻟـ COVID-19 . ﻳﺘﻌﯿﻦ ﻋﻠﻰ اﻟﺠﻤﯿﻊ ﻓﻲ إﻧﺠﻠﺘﺮا ، ﺑﻤﺎ ﻓﻲ ذﻟﻚ أوﻟﺌﻚ اﻟﺬﻳﻦ ﻳﻌﺎﻧﻮن ﻣﻦ ﺿﻌﻒ ﺷﺪﻳﺪ ﻣﻦ اﻟﻨﺎﺣﯿﺔ اﻟﺴﺮﻳﺮﻳﺔ ، اﺗﺒﺎع إرﺷﺎدات اﻹﻏﻼق اﻟﻮطﻨﯿﺔ اﻟﺠﺪﻳﺪة ، اﻟﺘﻲ وﺿﻌﺘﮭﺎ اﻟﺤﻜﻮﻣﺔ و ﻳﻨﻄﺒﻖ ﻋﻠﻰ ﺟﻤﯿﻊ اﻟﺴﻜﺎن. ھﺬه اﻟﻘﯿﻮد: 1 . ﺗﻄﻠﺐ ﻣﻦ اﻟﻨﺎس اﻟﺒﻘﺎء ﻓﻲ اﻟﻤﻨﺰل، ﺑﺎﺳﺘﺜﻨﺎء اﻟﺨﺮوج ﻷﻏﺮاض ﻣﺤﺪدة 2 . .ﻣﻨﻊ اﻟﻨﺎس ﻣﻦ اﻟﺘﺠﻤﻊ ﻣﻊ ﻣﻦ ﻻ ﻳﻌﯿﺸﻮن ﻣﻌﮭﻢ، إﻻ ﻷﻏﺮاض ﻣﺤﺪدة 3 . .إﻏﻼق ﺑﻌﺾ اﻟﺸﺮﻛﺎت واﻷﻣﺎﻛﻦ 4 . دﻋﻢ اﻷطﻔﺎل واﻟﺸﺒﺎب ﻟﻠﺘﻌﻠﻢ ﻋﻦ ﺑﻌﺪ ﺣﺘﻰ ﻧﺼﻒ اﻟﻔﺼﻞ اﻟﺪراﺳﻲ ﻓﻲ ﻓﺒﺮاﻳﺮ ، ﺑﺎﺳﺘﺜﻨﺎء اﻷطﻔﺎل اﻟﻤﻌﺮﺿﯿﻦ ﻟﻠﺨﻄﺮ وأطﻔﺎل اﻟﻌﺎﻣﻠﯿﻦ اﻟﻤﮭﻤﯿﻦ اﻟﺬﻳﻦ ﻗﺪ .ﻳﺴﺘﻤﺮون ﻓﻲ اﻟﺬھﺎب إﻟﻰ اﻟﻤﺪرﺳﺔ ﺗﺘﻀﻤﻦ اﻟﻤﻌﻠﻮﻣﺎت اﻟﺠﺪﻳﺪة أدﻧﺎه إرﺷﺎدات إﺿﺎﻓﯿﺔ ﻟﻸﺷﺨﺎص اﻟﻤﻌﺮﺿﯿﻦ ﻟﻠﺨﻄﺮ ﺳﺮﻳﺮﻳًﺎ ، ﻟﻠﻤﺴﺎﻋﺪة ﻓﻲ ﺣﻤﺎﻳﺘﻚ ﻣﻦCOVID-19 . ﺳﻨﻜﺘﺐ ﻟﻚ أﻳﻀًﺎ ﻣﻊ ﻧﺴﺨﺔ .ﻣﻦ ھﺬا اﻟﺪﻟﯿﻞ ﺳﯿﺘﻢ ﺗﻄﺒﯿﻖ ﺗ ﺪاﺑﯿﺮ اﻟﺤﻤﺎﻳﺔ اﻟﺮﺳﻤﯿﺔ اﻟﺠﺪﻳﺪة ھﺬه ﻓﻲ ﺟﻤﯿﻊ أﻧﺤﺎء إﻧﺠﻠﺘﺮا .ﺧﻼل ﻓﺘﺮة اﻹﻏﻼق اﻟﻮطﻨﻲ اﻟﺘﻨﺸﺌﺔ اﻻﺟﺘﻤﺎﻋﯿﺔ ﺗﻌﻨﻲ اﻟﻘﯿﻮد اﻟﻮطﻨﯿﺔ اﻟﺠﺪﻳﺪة ، واﻟﺘﻲ ﺗﺴﺮي ﻋﻠﻰ اﻟﺠﻤﯿﻊ، أﻧﻪ ﻳﺠﺐ ﻋﻠﯿﻚ ﻋﺪم ﻣﻐﺎدرة ﻣﻨﺰﻟﻚ أو اﻟﺘﻮاﺟﺪ ﺧﺎرﺟﻪ، ﺑﺎﺳﺘﺜﻨﺎء ﻷﻏﺮاض ﻣﺤﺪودة واﻟﻤﻨﺼﻮص ﻋﻠﯿﮭﺎ ﻓﻲ ھﺬا اﻟﺪﻟﯿﻞ. ﻧﺤﻦ ﻧﻨﺼﺢ اﻷﺷﺨﺎص اﻟﻤﻌﺮﺿﯿﻦ ﻟﻠﺨﻄﺮ ﺳﺮﻳﺮﻳًﺎ ﺑﺸﺪة ﺑﺎﻟﺒﻘﺎء ﻓﻲ اﻟﻤﻨﺰل ﻗﺪر .اﻹﻣﻜﺎن ﻳﻤﻜﻨﻚ اﻟﺨﺮوج ﻣﻦ اﻟﻤﻨﺰل ، وﻟﻜﻦ ﺣﺎول اﻟﺤﻔﺎظ ﻋﻠﻰ ﻛﻞ اﻻﺗﺼﺎﻻت ﻣﻊ اﻵﺧﺮﻳﻦ .ﺧﺎرج أﺳﺮﺗﻚ ﻋﻨﺪ اﻟﺤﺪ اﻷدﻧﻰ ، وﺗﺠﻨﺐ اﻟﻤﻨﺎطﻖ اﻟﻤﺰدﺣﻤﺔ ﻻ ﻳﺰال ﺑﺈﻣﻜﺎﻧﻚ ﻣﻘﺎﺑﻠﺔ ﻓﻘﺎﻋﺔ اﻟﺪﻋﻢ اﻟﺨﺎﺻﺔ ﺑﻚ ، ﻟﻜﻦ ﻻ ﻳﻤﻜﻨﻚ ﻣﻘﺎﺑﻠﺔ اﻷﺻﺪﻗﺎء واﻟﻌﺎﺋﻠﺔ اﻟﺬﻳﻦ ﻻ ﺗﻌﯿﺶ ﻣﻌﮭﻢ إﻻ إذا ﻛﺎﻧﻮا ﺟﺰءًا ﻣﻦ ﻓﻘﺎﻋﺔ اﻟﺪﻋﻢ اﻟﺨﺎﺻﺔ ﺑﻚ. ﻓﻲ اﻟﮭﻮاء اﻟﻄﻠﻖ ، ﻳﻤﻜﻨﻚ ﻣﻘﺎﺑﻠﺔ ﺷﺨﺺ ﻣﻦ ﻣﻨﺰل آﺧﺮ ﻟﻤﻤﺎرﺳﺔ .اﻟﺮﻳﺎﺿﺔ. ھﺬا ﺟﺰء ﻣﻦ اﻟﻠﻮاﺋﺢ اﻟﻮطﻨﯿﺔ اﻷوﺳﻊ اﻟﺘﻲ ﺗﻨﻄﺒﻖ ﻋﻠﻰ اﻟﺠﻤﯿﻊ ﺣﺎول اﻟﺒﻘﺎء ﻋﻠﻰ ﺑﻌﺪ2 ﻣﺘﺮ ﻣﻦ اﻷﺷﺨﺎص اﻵﺧﺮﻳﻦ داﺧﻞ أﺳﺮﺗﻚ ، ﺧﺎﺻﺔً إذا .ظﮭﺮت ﻋﻠﯿﮭﻢ أﻋﺮاض اﻟﻔﯿﺮوس أو ﺗﻢ ﻧﺼﺤﮭﻢ ﺑﺎﻟﻌﺰل اﻟﺬاﺗﻲ اﻟﻌﻤﻞ ﻳُﻨﺼﺢ ﺑﺸﺪة ﺑﺎﻟﻌﻤﻞ ﻣﻦ اﻟﻤﻨﺰل ﻷن ﺧﻄﺮ اﻟﺘﻌﺮض ﻟﻠﻔﯿ ﺮوس ﻓﻲ ﻣﻨﻄﻘﺘﻚ ﻣﻦ اﻟﻤﻤﻜﻦ أن ﻳﻜﻮن أﻋﻠﻰ ﺑﻜﺜﯿﺮ ﺣﺎﻟﯿًﺎ. إذا ﻟﻢ ﺗﺘﻤﻜﻦ ﻣﻦ اﻟﻌﻤﻞ ﻣﻦ اﻟﻤﻨﺰل ، ﻓﻼ .ﻳﺠﺐ ﻋﻠﯿﻚ اﻟﺬھﺎب إﻟﻰ اﻟﻌﻤﻞ ﻗﺪ ﺗﺮﻏﺐ ﻓﻲ اﻟﺘﺤﺪث إﻟﻰ ﺻﺎﺣﺐ اﻟﻌﻤﻞ ﺣﻮل ﺗﻮﻟﻲ دور ﺑﺪﻳﻞ أو ﺗﻐﯿﯿﺮ أﻧﻤﺎط .ﻋﻤﻠﻚ ﻣﺆﻗﺘًﺎ ﻟﺘﻤﻜﯿﻨﻚ ﻣﻦ اﻟﻌﻤﻞ ﻣﻦ اﻟﻤﻨﺰل ﺣﯿﺜﻤﺎ أﻣﻜﻦ ذﻟﻚ إذا ﻛﻨﺖ ﺑﺤﺎﺟﺔ إﻟﻰ د ﻋﻢ ﻟﻠﻌﻤﻞ ﻓﻲ اﻟﻤﻨﺰل أو ﻓﻲ ﻣﻜﺎن اﻟﻌﻤﻞ ، ﻳﻤﻜﻨﻚ اﻟﺘﻘﺪم ﺑﻄﻠﺐ ﻟﻠﺤﺼﻮل ﻋﻠﻰ اﻟﻮﺻﻮل إﻟﻰ اﻟﻌﻤﻞ . ﺳﯿﻮﻓﺮ اﻟﻮﺻﻮل إﻟﻰ اﻟﻌﻤﻞ اﻟﺪﻋﻢ ﻟﺘﻜﺎﻟﯿﻒ اﻟﻌﻤﻞ اﻹﺿﺎﻓﯿﺔ اﻟﻤﺘﻌﻠﻘﺔ ﺑﺎﻹﻋﺎﻗﺔ واﻟﺘﻲ ﺗﺘﺠﺎوز اﻟﺘﻌﺪﻳﻼت اﻟﻘﯿﺎﺳﯿﺔ اﻟﻤﻌﻘﻮﻟﺔ اﻟﺘﻲ ﻳﺠﺐ ﻋ ﻠﻰ ﺻﺎﺣﺐ اﻟﻌﻤﻞ ﺗﻮﻓﯿﺮھﺎ. إذا ﻟﻢ ﺗﺘﻤﻜﻦ ﻣﻦ اﺗﺨﺎذ ﺗﺮﺗﯿﺒﺎت ﺑﺪﻳﻠﺔ ، ﻓﻘﺪ ﻳﻜﻮن ﺻﺎﺣﺐ اﻟﻌﻤﻞ ﻗﺎدرًا ﻋﻠﻰ ﻣﻨﺤﻚ ﻋﻄﻠﺔ ﺑﻤﻮﺟﺐ ﺧﻄﺔ اﻻﺣﺘﻔﺎظ ﺑﺎﻟﻮظﺎﺋﻒ ﺑﺴﺒﺐ ﻓﯿﺮوس ﻛﻮروﻧﺎ ) Scheme Retention Job Coronavirus ( ، اﻟﺬي ﺗﻢ ﺗﻤﺪﻳﺪه ﺣﺘﻰ ﻧﮭﺎﻳﺔ اﺑﺮﯾﻞ 2021 .. ﻳﺠﺐ أن ﺗﺘﺤﺪث ﻣﻊ ﺻﺎﺣﺐ اﻟﻌﻤﻞ ﺣﻮل إﻣﻜﺎﻧﯿﺔ ذﻟﻚ إذا ﻟﻢ ﺗﺘﻤﻜﻦ ﻣﻦ ﺣﻀﻮر اﻟﻌﻤﻞ ﻟﮭﺬا اﻟﺴﺒﺐ ، ﻓﻘﺪ ﺗﻜﻮن ﻣﺆھﻼً ﻟﻠﺤﺼﻮل ﻋﻠﻰ ) أﺟﺮ اﻟﻤﺮض اﻟﻘﺎﻧﻮﻧﻲSSP ) ( أو ﺑﺪل دﻋﻢ اﻟﺘﻮظﯿﻒESA (. ﺳﯿﻜﻮن إﺧﻄﺎر اﻟﺘﺪرﻳﻊ اﻟﺮﺳﻤﻲ اﻟﺬي ﺗﺘﻠﻘﺎه ﺑﻤﺜﺎﺑﺔ دﻟﯿﻞ ﻟﺼﺎﺣﺐ اﻟﻌﻤﻞ ﻓﻲ وزارة اﻟﻌﻤﻞ واﻟﻤﻌﺎﺷﺎت اﻟﺘﻘﺎﻋﺪﻳﺔ ﺑﺤﻤﺎﻳﺘﻪ ﺑﺄﻧﻪ ﺗﻢ ﻧُﺼﺤﻚ ﺑﺎﻟﺘﺪرﻳﻊ وﻗﺪ ﺗﻜﻮن ﻣﺆھﻼً ﻟﻠﺤﺼﻮل ﻋﻠﻰSSP أوESA . ﻳﺠﺐ أن ﻳﺴﺘﻤﺮ أﻓﺮاد اﻷﺳﺮة اﻟﺬﻳﻦ ﻻ ﻳﻌﺎﻧﻮن ﻣﻦ اﻟﻀﻌﻒ اﻟﺸﺪﻳﺪ ﺳﺮﻳﺮﻳًﺎ اﻟ ﺤﻀﻮر اﻟﯽ اﻟﻌﻤﻞ إذا ﻟﻢ ﻳﺘﻤﻜﻨﻮا ﻣﻦ اﻟﻌﻤﻞ ﻣﻦ اﻟﻤﻨﺰل، ﺑﻤﺎ ﻳﺘﻤﺎﺷﻰ ﻣﻊ اﻟﻘﻮاﻋﺪ اﻷوﺳﻊ اﻟﻤﻨﺼﻮص ﻋﻠﯿﮭﺎ ﻓﻲ ارﺷﺎدات اﻟﻘﯿﻮد اﻟﻮطﻨﯿﺔ. ## اﻹﻋﺪادات اﻟﺨﺎﺻﺔ ﺑﺎاﻟﺘﻌﻠﯿﻢ ﻣﻊ ﺗﺰاﻳﺪ ﻣﻌﺮﻓﺘﻨﺎ ﺑـCOVID-19 ، ﻧﻌﻠﻢ اﻵن أن ﻋﺪدًا ﻗﻠﯿﻼً ﺟﺪًا ﻣﻦ اﻷطﻔﺎل ، واﻟﺸﺒﺎب ھﻢ اﻷﻛﺜﺮ ﻋﺮﺿﺔ ﻟﺨﻄﺮ اﻹﺻﺎﺑﺔ ﺑﻤﺮض ﺷﺪﻳﺪ ﺑﺴﺒﺐ اﻟﻔﯿﺮوس. ﻟﺬﻟﻚ ﻳﻘﻮم اﻷطﺒﺎء ﺑﻤﺮاﺟﻌﺔ ﺟﻤﯿﻊ اﻷطﻔﺎل واﻟﺸﺒﺎب اﻟﺬﻳﻦ ﺗﻢ ﺗﺤﺪﻳﺪھﻢ ﻓﻲ اﻟﺒﺪاﻳﺔ ﻋﻠﻰ أﻧﮭﻢ ﻣﻌﺮﺿﻮن ﺑﺸﺪة ﻟﻺﺻﺎﺑﺔ ﺳﺮﻳﺮﻳًﺎ ﻟﺘﺄﻛﯿﺪ ﻣﺎ إذا ﻛﺎﻧﻮا ﻻ ﻳﺰاﻟﻮن ﻳُﻌﺘﻘﺪ .أﻧﮭﻢ ﻣﻌﺮﺿﻮن ﻟﺨﻄﺮ ﻛﺒﯿﺮ إذا ﻛﻨﺖ ﻗﺪ ﻧﺎﻗﺸﺖ ھﺬا اﻷﻣﺮ ﺑﺎﻟﻔﻌﻞ ﻣﻊ أطﺒﺎء طﻔﻠﻚ وأﻛﺪوا أن طﻔﻠﻚ ﻻ ﻳﺰال .ﻳﺸﻜﻞ ﺧﻄﺮًا ﻛﺒﯿﺮًا ، ﻓﯿﺠﺐ ﻋﻠﻰ طﻔﻠﻚ اﺗﺒﺎع إرﺷﺎدات اﻟﺤﻤﺎﻳﺔ ﺑﻤﻮﺟﺐ اﻹﻏﻼق اﻟﻮطﻨﻲ اﻟﺤﺎﻟﻲ ، ﺳﯿﺘﻌﻠﻢ اﻷطﻔﺎل ﻋﻦ ﺑﻌﺪ ﺣﺘﻰ ﻧﺼﻒ اﻟﻔﺼﻞ اﻟﺪراﺳﻲ ﻓﻲ ﻓﺒﺮاﻳﺮ ، ﺑﺎﺳﺘﺜﻨﺎء اﻷطﻔﺎل اﻟ ﻀﻌﻔﺎء وأطﻔﺎل اﻟﻌﺎﻣﻠﯿﻦ اﻟﻤﮭﻤﯿﻦ .اﻟﺬﻳﻦ ﻗﺪ ﻻ ﻳﺰاﻟﻮن ﻳﺬھﺒﻮن إﻟﻰ اﻟﻤﺪرﺳﺔ ﻳُﻨﺼﺢ اﻷطﻔﺎل اﻟﻤﻌﺮﺿﻮن ﻟﻠﺨﻄﺮ ﺳﺮﻳﺮﻳًﺎ ﺑﻌﺪم اﻟﺬھﺎب إﻟﻰ اﻟﻤﺪرﺳﺔ ، ﻷن ﺧﻄﺮ اﻟﺘﻌﺮض ﻟﻠﻔﯿﺮوس ﻓﻲ ﻣﻨﻄﻘﺘﻚ ﻣﺮﺗﻔﻊ ﺟﺪًا ﺣﺎﻟﯿًﺎ. ﺳﺘﺘﺨﺬ ﻣﺪرﺳﺘﻚ أو اﻟﻜﻠﯿﺔ اﻟﺨﺎﺻﺔ ﺑﻚ اﻟﺘﺮﺗﯿﺒﺎت اﻟﻤﻨﺎﺳﺒﺔ ﻟﻚ ﻟﺘﺘﻤﻜﻦ ﻣﻦ ﻣﻮاﺻﻠﺔ ﺗﻌﻠﯿﻤﻚ ﻓﻲ اﻟﻤﻨﺰل. ## اﻟﺴﻔﺮ ﻳُﻨﺼﺢ ﺑﺎﻟﺒﻘﺎء ﻓﻲ اﻟﻤﻨﺰل ﻗﺪر اﻹﻣﻜﺎن وﻋﺪم اﻟﺴﻔﺮ إﻻ ﻓﻲ ﺣﺎﻟﺔ اﻟﻀﺮورة )ﻋﻠﻰ .(ﺳﺒﯿﻞ اﻟﻤﺜﺎل, ﻟﺤﺼﻮر ﻣﯿﻌﺎد ﺧﺎص ﺑﺎﻟﺼﺤﺔ ## اﻟﺘﺴﻮق ، ﻳُﻨﺼﺢ ﺑﻌﺪم اﻟﺬھﺎب إﻟﻰ اﻟﻤﺘﺎﺟﺮ. اﺳﺘﺨﺪم اﻟﺘﺴﻮق ﻋﺒﺮ اﻹﻧﺘﺮﻧﺖ إذا اﺳﺘﻄﻌﺖ أو اطﻠﺐ ﻣﻦ اﻵﺧﺮﻳﻦ ﺟﻤﻊ وﺗﺴﻠﯿﻢ اﻟﺘﺴﻮق ﻧﯿﺎﺑﺔ ﻋﻨﻚ )اﻷﺻﺪﻗﺎء واﻟﻌﺎﺋﻠﺔ ، أو اﻟﻤﺘﻄﻮﻋﯿﻦ اﻟﻤﺤﻠﯿﻦ أو اﻟﻤﺘﻄﻮﻋﯿﻦ اﻟﺘﺎﺑﻌﯿﻦ ﻟﺨﺪﻣﺎت اﻟﺼﺤﺔ اﻟﻮطﻨﯿﺔ NHS Responders Volunteer .( ﻳﻤﻜﻨﻚ اﻟﺘﺴﺠﯿﻞ ﻟﻄﻠﺐ اﻟﻮﺻﻮل إﻟﻰ ﺷﺤﻨﺎت اﻟﺴﻮﺑﺮ ﻣﺎرﻛﺖ ذات اﻷوﻟﻮﻳﺔ ، إذا ﻟﻢ ﻳﻜﻦ ﻟﺪﻳﻚ ﺷﺨﺺ ﻳﻤﻜﻨﻚ اﻻﻋﺘﻤﺎد ﻋﻠﯿﻪ ﻟﻠﺬھﺎب ﻟﻠﺘﺴﻮق ﻣﻦ أﺟﻠﻚ. إذا ﻛﺎن ، ﻟﺪﻳﻚ ﺑﺎﻟﻔﻌﻞ أوﻟﻮﻳﺔ اﻟﻮﺻﻮل إﻟﻰ ﻓﺘﺤﺔ ﺗﻮﺻﯿﻞ اﻟﺴﻮﺑﺮ ﻣﺎرﻛﺖ ﻓﺴﯿﺴﺘﻤ ﺮ ذﻟﻚ - ﻟﺴﺖ ﺑﺤﺎﺟﺔ إﻟﻰ اﻟﻘﯿﺎم ﺑﺄي ﺷﻲء آﺧﺮ. ﻋﻨﺪ اﻟﺘﺴﺠﯿﻞ ﺳﯿُﻄﻠﺐ ﻣﻨﻚ رﻗﻢNHS اﻟﺨﺎص ﺑﻚ. ﻳﻤﻜﻨﻚ اﻟﻌﺜﻮر ﻋﻠﯿﻪ ﻓﻲ أي ﺧﻄﺎب أرﺳﻠﺘﻪ ﻟﻚNHS .أو ﺑﻮﺻﻔﺔ طﺒﯿﺔ اﻟﺘﺴﺠﯿﻞ ﻓﻲ اﻟﻤﻮﻗﻊ ﻳﻤﻨﺤﻚ اﻷوﻟﻮﻳﺔ ﻓﻘﻂ. ھﺬا ﻻ ﻳﻌﻨﻲ أﻧﻚ ﺳﺘﺤﺼﻞ ﺑﺎﻟﺘﺄﻛﯿﺪ ﻋﻠﻰ ﻣﯿﻌﺎد ﺗﻮﺻﯿﻞ. إذا ﻛﻨﺖ ﺗﺮﻏﺐ ﻓﻲ اﻟﻮﺻﻮل إﻟﻰ ﺧﺪ ﻣﺎت ﺗﺴﻠﯿﻢ ﺳﻮﺑﺮ ﻣﺎرﻛﺖ ذات اﻷوﻟﻮﻳﺔ ، ﻓﺴﺘﺤﺘﺎج أﻳﻀًﺎ إﻟﻰ إﻧﺸﺎء ﺣﺴﺎب ﻓﻲ ﺳﻮﺑﺮ ﻣﺎرﻛﺖ واﺣﺪ .ﻋﻠﻰ اﻷﻗﻞ وﺗﻘﻮم ﺑﺤﺠﺰ ﻣﯿﻌﺎد اﻟﺘﻮﺻﯿﻞ ﺑﻨﻔﺴﻚ إذا ﻛﻨﺖ ﺑﺤﺎﺟﺔ إﻟﻰ أﺷﻜﺎل أﺧﺮى ﻣﻦ اﻟﻤﺴﺎﻋﺪة ، ﺑﻤﺎ ﻓﻲ ذﻟﻚ اﻟﺪﻋﻢ ﻟﻠﺘﺴﺠﯿﻞ ﻓﻲ ﻣﻮاﻋﯿﺪ ﺗﻮﺻﯿﻞ اﻟﺴﻮﺑﺮ ﻣﺎرﻛﺖ ذات اﻷوﻟﻮﻳﺔ ، ﻓﯿﺠﺐ ﻋﻠﯿﻚ اﻻﺗﺼ ﺎل ﺑﺎﻟﻤﺠﻠﺲ اﻟﻤﺤﻠﻲ ﻣﺒﺎﺷﺮة. اﻛﺘﺸﻒ ﻛﯿﻒ ﻳﻤﻜﻦ أن ﻳﺴﺎﻋﺪك اﻟﻤﺠﻠﺲ اﻟﻤﺤﻠﻲ .اﻟﺨﺎص ﺑﻚ اﻷدوﻳﺔ .ﻳُﻨﺼﺢ ﺑﻘﻮة ﺑﻌﺪم اﻟﺬھﺎب إﻟﻰ اﻟﺼﯿﺪﻟﯿﺔ ﻓﻲ اﻟﻤﻘﺎم اﻷول ، ﻳﺠﺐ أن ﺗﺴﺄل ﻋﻤﺎ إذا ﻛﺎن ﺑﺈﻣﻜﺎن أي أﺻﺪﻗﺎء أو أﺳﺮة أو .ﻣﺘﻄﻮﻋﯿﻦ اﺣﻀﺎر اﻷدوﻳﺔ ﻟﻚ إذا ﻟﻢ ﻳﺘﻤﻜﻦ اﻷﺻﺪﻗﺎء واﻟﻌﺎﺋﻠﺔ ﻣﻦ اﺣﻀﺎر اﻷدوﻳﺔ اﻟﺨﺎﺻﺔ ﺑﻚ ، وأﻧﺖ و / أو اﻟﺼﯿﺪﻟﯿﺔ ﻏﯿﺮ ﻗﺎدرﻳﻦ ﻋﻠﻰ ﺗﺮﺗﯿﺐ ﻣﺘﻄﻮع، ﻓﺴﺘﻜﻮن ﻣﺆھﻼً ﻟﺘﻮﺻﯿﻞ اﻷدوﻳﺔ ﻣﺠﺎﻧًﺎ. ﻳﺮﺟﻰ اﻻﺗﺼﺎل ﺑﺎﻟﺼﯿﺪﻟﯿﺔ اﻟﺨﺎﺻﺔ ﺑﻚ ﻹﺑﻼﻏﮭﻢ ﺑﺄﻧﻚ ﺳﺮﻳﺮﻳًﺎ ﻣﻌﺮض ﻟﻠﺨﻄﺮ وﺗﺤﺘﺎج إﻟﻰ ﺗﻮﺻﯿﻞ ا ﻷدوﻳﺔ اﻟﺨﺎﺻﺔ ﺑﻚ ، وﺳﻮف ﻳﺮﺗﺒﻮن ذﻟﻚ ﻣﺠﺎﻧًﺎ. اﻟﻮﺻﻮل اﻟﯽ اﻟﺮﻋﺎﻳﺔ واﻟﺪﻋﻢ ﻻ ﻳﺰال ﺑﺈﻣﻜﺎﻧﻚ ﺗﻠﻘﻲ رﻋﺎﻳﺔ ﻏﯿﺮ رﺳﻤﯿﺔ ﻓﻲ اﻟﻤﻨﺰل ﻣﻦ أﺷﺨﺎص داﺧﻞ ﻓﻘﺎﻋﺔ اﻟﺪﻋﻢ .اﻟﺨﺎﺻﺔ ﺑﻚ ﻻ ﻳﺰال ﺑﺈﻣﻜﺎﻧﻚ ﺗﻠﻘﻲ اﻟﺮﻋﺎﻳﺔ ﻓﻲ اﻟﻤﻨﺰل ﻣﻦ اﻟﻤﺘﺨﺼﺼﯿﻦ ﻓﻲ اﻟﺮﻋﺎﻳﺔ .اﻻﺟﺘﻤﺎﻋﯿﺔ واﻟﻄﺒﯿﺔ ﻧﺤﺜﻚ ﻋﻠﻰ ﻣﻮاﺻﻠﺔ طﻠﺐ اﻟﺪﻋﻢ ﻣﻦNHS وﻣﻘﺪﻣﻲ اﻟﺨﺪﻣﺎت اﻟﺼﺤﯿﺔ اﻵﺧﺮﻳ ﻦ .ﻟﻈﺮوﻓﻚ اﻟﺼﺤﯿﺔ اﻟﺤﺎﻟﯿﺔ وأي ﻣﺨﺎوف ﺻﺤﯿﺔ ﺟﺪﻳﺪة ﻳﻤﻜﻨﻚ اﻟﻮﺻﻮل إﻟﻰ ﻣﺠﻤﻮﻋﺔ ﻣﻦ ﺧﺪﻣﺎت اﻟـNHS ﻣﻦ اﻟﻤﻨﺰل ، ﺑﻤﺎ ﻓﻲ ذﻟﻚ طﻠﺐ اﻟﻮﺻﻔﺎت اﻟﻄﺒﯿﺔ اﻟﻤﺘﻜﺮرة أو اﻻﺗﺼﺎل ﺑﺄﺧﺼﺎﺋﻲ اﻟﺼﺤﺔ ﻣﻦ ﺧﻼل اﺳﺘﺸﺎرة .ﻋﺒﺮ اﻹﻧﺘﺮﻧﺖ ﻟﻤﻌﺮﻓﺔ اﻟﻤﺰﻳﺪ، ﺗﻔﻀﻞ ﺑﺰﻳﺎرة Home at Health ، أو ﻗﻢ ﺑﺘﻨﺰﻳﻞ ﺗﻄﺒﯿﻖ اﻟـ NHS App . إذا ﻛﺎﻧﺖ ﻟﺪﻳﻚ ﺣﺎﺟﺔ طﺒﯿﺔ ﻋﺎﺟﻠﺔ ، اﺗﺼﻞ ﺑـNHS 111 أو ، ﻓﻲ ﺣﺎﻟﺔ اﻟﻄﻮارئ اﻟﻄﺒﯿﺔ ، اﺗﺼﻞ ﺑﺎﻟﺮﻗﻢ999 إذا ﻛﻨﺖ ﺑﺤﺎﺟﺔ إﻟﻰ ﺗﻠﻘﻲ اﻟﺮﻋﺎﻳﺔ ﺷﺨﺼﯿًﺎ، ﻳﻤﻜﻨﻚ ذﻟﻚ. ﺧﺪﻣﺎتNHS اﻟﻤﺤﻠﯿﺔ .اﻟﺨﺎﺻﺔ ﺑﻚ ﻣﺴﺘﻌﺪة ﺟﯿﺪًا وﺳﺘﺘﺨﺬ إﺟﺮاءات ﻟﻠﺤﻔﺎظ ﻋﻠﻰ ﺳﻼﻣﺘﻚ ﻣﻦ اﻟﻤﮭﻢ أﻳﻀًﺎ أن ﺗﻌﺘﻨﻲ ﺑﺼﺤﺘﻚ اﻟﻌﻘﻠﯿﺔ. ﻳﻘﺪم ﻣﻮﻗﻊ Mind Every Matters ﻧﺼﺎﺋﺢ وﺧﻄﻮات ﻋﻤﻠﯿﺔ ﻳﻤﻜﻨﻚ اﺗﺨﺎذھﺎ ﻟﺪﻋﻢ ﺻﺤﺘﻚ اﻟﻌﻘﻠﯿﺔ وإدارة ﺻﺤﺘﻚ اﻟﻌﻘﻠﯿﺔ أﺛﻨﺎء ھﺬا اﻟﻮﺑﺎء. إذا ﻛﻨﺖ أﻧﺖ أو أي ﺷﺨﺺ ﺗﮭﺘﻢ ﺑﻪ ﻳﻌﺎﻧﻲ ﻣﻦ أزﻣﺔ ﻓﻲ اﻟﺼﺤﺔ اﻟﻌﻘﻠﯿﺔ ، ﻓﻨﺤﻦ ﻧﺤﺜﻚ ﻋﻠﻰ اﻻﺗﺼﺎل ﺑﺄﺧﺼﺎﺋﻲ ﺻﺤﺔ ﻣﺤﻠﻲ .ﻋﻠﻰ اﻟﻔﻮر ﻳﻤﻜﻦ ﻷي ﻣﻦ ﻣﻘﺪﻣﻲ اﻟﺮﻋﺎﻳﺔ أو اﻟﺰوار اﻟﺬﻳﻦ ﻳﺪﻋﻤﻮﻧﻚ ﻓﻲ ﺗﻠﺒﯿﺔ اﺣﺘﯿﺎﺟﺎﺗﻚ اﻟﯿﻮﻣﯿﺔ اﻻﺳﺘﻤﺮار ﻓﻲ اﻟﺰﻳﺎرة. ﻳﻨﻄﺒﻖ ھﺬا أﻳﻀًﺎ ﻋﻠﻰ اﻷطﻔﺎل أو اﻟﺸﺒﺎب اﻟﺬﻳﻦ ﺗﺮﻋﺎھﻢ. ﻳﺠﺐ أن ﻳﺘﺒﻌﻮا إرﺷﺎدات اﻟﺘﺒﺎﻋﺪ اﻻﺟﺘﻤﺎﻋﻲ ﺣﯿﺚ ﻻ ﻳﻠﺰم اﻻﺗﺼﺎل .اﻟﻮﺛﯿﻖ أو اﻟﺸﺨﺼﻲ ﻳﺠﺐ ﻋﻠﯿﻚ اﻻﺳﺘﻤﺮار ﻓ ﻲ اﻟﻮﺻﻮل إﻟﻰ اﻟﺪﻋﻢ ﻣﻦ اﻟﺠﻤﻌﯿﺎت اﻟﺨﯿﺮﻳﺔ واﻟﻤﻨﻈﻤﺎت اﻟﻤﺤﻠﯿﺔ ، ﺑﺎﻹﺿﺎﻓﺔ إﻟﻰ اﻟﻤﺴﺘﺠﯿﺒﯿﻦ اﻟﻤﺘﻄﻮﻋﯿﻦ ﻓﻲNHS . ﺑﺎﻹﺿﺎﻓﺔ إﻟﻰ اﻟﻤﺴﺎﻋﺪة ﻓﻲ اﻟﺘﺴﻮق وﺗﺴﻠﯿﻢ اﻷدوﻳﺔ، ﻳﻤﻜﻦ ﻟﻠﻤﺴﺘﺠﯿﺒﯿﻦ اﻟﻤﺘﻄﻮﻋﯿﻦ ﻓﻲNHS اﻟﻤﺴﺎﻋﺪة ﻓﻲ إﺟﺮاء ﻣﻜﺎﻟﻤﺔ ھﺎﺗﻔﯿﺔ ﻣﻨﺘﻈﻤﺔ وودﻳﺔ واﻟﻨﻘﻞ ﻣﻦ وإﻟﻰ اﻟﻤﻮاﻋﯿﺪ اﻟﻄﺒﯿ ﺔ. اﺗﺼﻞ ﻋﻠﻰ 3646 196 0808 ﺑﯿﻦ اﻟﺴﺎﻋﺔ8 ﺻﺒﺎﺣًﺎ و8 ﻣﺴﺎءً ﻟﺘﺮﺗﯿﺐ اﻟﺪﻋﻢ أو ﻗﻢ ﺑﺰﻳﺎرة اﻟﻤﻮﻗﻊ اﻹﻟﻜﺘﺮوﻧﻲ Volunteer NHS Responders اﻟﺘﺴﺠﯿﻞ ﻟﻠﺤﺼﻮل ﻋﻠﻰ اﻟﺪﻋﻢ إذا ﻛﻨﺖ ﺑﺤﺎﺟﺔ إﻟﻰ ﻣﺴﺎﻋﺪة إﺿﺎﻓﯿﺔ ﻻﺗﺒﺎع ھﺬه اﻹ رﺷﺎدات، ﻓﻘﺪ ﻳﻜﻮن ، اﻟﻤﺠﻠﺲ اﻟﻤﺤﻠﻲ اﻟﺨﺎص ﺑﻚ ﻗﺎدرًا ﻋﻠﻰ اﻟﻤﺴﺎﻋﺪة. إذا ﺗﻢ ﻧُﺼﺤﻚ ﺑﺎﻟﺤﻤﺎﻳﺔ ﻓﺴﺘﺘﻤﻜﻦ ﻣﻦ ﺗﺴﺠﯿﻞ ﻧﻔﺴﻚ أي أو ﺷﺨﺺ آﺧﺮ :ﻣﻦ أﺟﻞ  طﻠﺐ أوﻟﻮﻳﺔ اﻟﻮﺻﻮل إﻟﻰ ﻓﺘﺤﺔ ﺗﻮﺻﯿﻞ اﻟﺴﻮﺑﺮ ﻣﺎرﻛﺖ )إذا ﻛﺎن ﻟﺪﻳﻚ ﺑﺎﻟﻔﻌﻞ أوﻟﻮﻳﺔ اﻟﻮﺻﻮل ، ﻓﺴﺘﺴﺘﻤﺮ- (ﻻ ﺗﺤﺘﺎج إﻟﻰ اﻟﻘﯿﺎم ﺑﺄي ﺷﻲء آﺧﺮ  أﺧﺒﺮ ﻣﺠﻠﺴﻚ إذا ﻛﻨﺖ ﺑﺤﺎﺟﺔ إﻟﻰ دﻋﻢ ﻻﺗﺒﺎع ھﺬه اﻹرﺷﺎدات، ﺧﺎﺻﺔ إذا ﻛﻨﺖ ﻏﯿﺮ ﻗﺎدر ﻋﻠﻰ ﺗﺮﺗﯿﺐ ذﻟﻚ ﺑﻨﻔﺴﻚ أو ﺑﻤﺴﺎﻋﺪة اﻷﺻﺪﻗﺎء أو اﻟﻌﺎﺋﻠﺔ أو ﺷﺒﻜﺎت اﻟﺪﻋﻢ اﻷﺧﺮى  ﺗﺄﻛﺪ ﻣﻦ أن اﻟﺘﻔﺎﺻﯿﻞ اﻟﺨﺎﺻﺔ ﺑﻚ، ﻣﺜﻞ ﻋﻨﻮاﻧﻚ، ﻣﺤﺪﺛﺔ ﻋﻨﺪ اﻟﺘﺴﺠﯿﻞ ﺳﯿُﻄﻠﺐ ﻣﻨﻚ رﻗﻢNHS اﻟﺨﺎص ﺑﻚ. ﻳﻤﻜﻨﻚ اﻟﻌﺜﻮر ﻋﻠﯿﻪ ﻓﻲ أي ﺧﻄﺎب أرﺳﻠﺘﻪ ﻟﻚNHS أو ﺑﻮﺻﻔﺔ طﺒﯿﺔ. ﻣﻦ اﻟﻤﻔﯿﺪ أن ﺗﻘﻮم ﺑﺎﻟﺘﺴﺠﯿﻞ ﺣﺘﻰ إذا ﻟﻢ ﻳﻜﻦ ﻟﺪﻳﻚ أي اﺣﺘﯿﺎﺟﺎت دﻋﻢ ﻓﻲ ھﺬا اﻟﻮﻗﺖ. ﻳﻤﻜﻨﻚ ﺗﺴﺠﯿﻞ اﻟﺪﺧﻮل .وﺗﺤﺪﻳﺚ اﺣﺘﯿﺎﺟﺎﺗﻚ إذا ﺗﻐﯿﺮت اﻟﻈﺮوف ﻓﻲ أي وﻗﺖ ## ﺗﻌﺮﻳﻒ اﻟﻔﺌﺎت اﻟﻤﻌﺮﺿﺔ ﻟﻠﺨﻄﺮ ﺳﺮﻳﺮﻳًﺎ ٍإن اﻷﺷﺨﺎص اﻟﻤﻌﺮﺿﯿﻦ ﻟﻺﺻﺎﺑﺔ ﺑﺸﺪة ﺳﺮﻳﺮﻳًﺎ ﻳﻮاﺟﮭﻮن ﺧﻄﺮ اﻹﺻﺎﺑﺔ ﺑﻤﺮض ﺷﺪﻳﺪ ﻧﺘﯿﺠﺔ ﻋﺪوى ﻓﯿﺮوس ﻛﻮروﻧﺎ. ھﻨﺎك طﺮﻳﻘﺘﺎن ﻳﻤﻜﻦ ﻣﻦ ﺧﻼﻟﮭﺎ اﻟﺘﻌﺮف :ﻋﻠﯿﻚ ﺳﺮﻳﺮﻳًﺎ ﻋﻠﻰ أﻧﻚ ﺿﻌﯿﻒ ﻟﻠﻐﺎﻳﺔ ﻟﺪﻳﻚ واﺣﺪا أو أﻛﺜﺮ ﻣﻦ اﻟﺸﺮوط اﻟﻤﺪرﺟﺔ أدﻧﺎه ، أو 2 . ﻟﻘﺪ أﺿﺎﻓﻚ طﺒﯿﺒﻚ اﻟﻌﺎم إﻟﻰ ﻗﺎﺋﻤﺔ اﻟﻤﺮﺿﻰ اﻟﻤﺤﻤﯿﻮن ﻷﻧﮭﻢ ، ﺑﻨﺎءً ﻋﻠﻰ ﺣﻜﻤﮭﻢ اﻟﺴﺮﻳﺮي ، ﻳﻌﺘﺒﺮوﻧﻚ أﻛﺜﺮ ﻋﺮﺿﺔ ﻟﻺﺻﺎﺑﺔ ﺑﻤﺮض ﺧﻄﯿﺮ إذا أﺻﺒﺖ .ﺑﺎﻟﻔﯿﺮوس إذا ﻟﻢ ﺗﻨﺪرج ﺿﻤﻦ أﻳﺎ ﻣﻦ ھﺬه اﻟﻔﺌﺎت ، وﻟﻢ ﻳﺘﻢ اﻻﺗﺼﺎل ﺑﻚ ﻹﺑﻼﻏﻚ ﺑﺄﻧﻚ ﻣﺪرج ﻓﻲ ﻗﺎﺋﻤﺔ اﻟﻤﺮﺿﻰ اﻟﻤﺤﻤﯿﻮن ، ﻓﺎﺗﺒﻊ ﺗﻮﺟﯿﮭﺎت دﻟﯿﻞ اﻹﻏﻼق اﻟﻮطﻨﻲ اﻟﻌﺎﻣﺔ .ﻟﺒﻘﯿﺔ اﻟﺴﻜﺎن إذا ﻛﻨﺖ ﺗﻌﺘﻘﺪ أن ھﻨﺎك أﺳﺒﺎﺑًﺎ ﺳﺮﻳﺮﻳﺔ ﺟﯿﺪة ﻹﺿﺎﻓﺘﻚ إﻟﻰ ﻗﺎﺋﻤﺔ اﻟﻤﺮﺿﻰ اﻟﻤﺤﻤﯿﻮن ، ﻓﻨﺎﻗﺶ ﻣﺨﺎوﻓﻚ ﻣﻊ طﺒﯿﺒﻚ اﻟﻌﺎم أو طﺒﯿﺐ اﻟﻤﺴﺘﺸﻔﻰ. ﻳﻌﺘﺒﺮ اﻷﺷﺨﺎص اﻟﺬﻳﻦ ﻳﻌ ﺎﻧﻮن ﻣﻦ اﻟﺤﺎﻻت اﻟﺘﺎﻟﯿﺔ ﻣﻦ اﻟﻨﺎﺣﯿﺔ اﻟﺴﺮﻳﺮﻳﺔ ﻣﻌﺮﺿﯿﻦ :ﻟﻠﺨﻄﺮ ﺑﺸﻜﻞ ﻛﺒﯿﺮ  .ﻣﻦ أﺟﺮى زرع أﻋﻀﺎء ﺻﻠﺒﺔ ﻓﻲ أﺟﺴﺎﻣﮭﻢ  :اﻷﺷﺨﺎص اﻟﺬﻳﻦ ﻳﻌﺎﻧﻮن ﻣﻦ أﻧﻮاع ﻣﻌﯿﻨﺔ ﻣﻦ اﻟﺴﺮطﺎن  ﻣﺮﺿﻰ اﻟﺴﺮطﺎن اﻟﺬﻳﻦ ﻳﺨﻀﻌﻮن ﻟﻠﻌﻼج اﻟﻜﯿﻤﯿﺎﺋﻲ اﻟﻨﺸﻂ  اﻷﺷﺨﺎص اﻟﻤﺼﺎﺑﻮن ﺑﺴﺮطﺎن اﻟﺮﺋﺔ اﻟﺬﻳﻦ ﻳﺨﻀﻌﻮن ﻟﻠﻌﻼج اﻹﺷﻌﺎﻋﻲ اﻟﺠﺬري  اﻷﺷﺨﺎص اﻟﺬﻳﻦ ﻳﻌﺎﻧﻮن ﻣﻦ ﺳﺮطﺎﻧﺎت اﻟﺪم أو اﻟﻨﺨﺎع اﻟﻌﻈﻤﻲ ﻣﺜﻞ ﺳﺮطﺎن اﻟﺪم و ﻓﻲ أي ﻣﺮﺣﻠﺔ ﻣﻦ ﻣﺮاﺣﻞ اﻟﻌﻼج  اﻷﺷﺨﺎص اﻟﺬﻳﻦ ﻳﺘﻠﻘﻮن اﻟﻌﻼج اﻟﻤﻨﺎﻋﻲ أو ﻋﻼﺟﺎت اﻟﺠﺴﻢ اﻟﻤﻀﺎد اﻟﻤﺴﺘﻤﺮة اﻷﺧﺮى ﻟﻠﺴﺮطﺎن  اﻷﺷﺨﺎص اﻟﺬﻳﻦ ﻟﺪﻳﮭﻢ ﻋﻼﺟﺎت أﺧﺮى ﻣﺴﺘﮭﺪﻓﺔ ﻟﻠﺴﺮطﺎن ﻳﻤﻜﻦ أن ﺗﺆ ﺛﺮ ﻋﻠﻰ ﺟﮭﺎز اﻟﻤﻨﺎﻋﺔ ، ﻣﺜﻞ ﻣﺜﺒﻄﺎت ﺑﺮوﺗﯿﻦ ﻛﯿﻨﺎز أو ﻣﺜﺒﻄﺎت اﻟﺒﻮﻟﯿﻤﯿﺮاز اﻟﺮﻳﺒﻮز PARP  اﻷﺷﺨﺎص اﻟﺬﻳﻦ أﺟﺮﻳﺖ ﻟﮭﻢ ﻋﻤﻠﯿﺎت زرع ﻧﺨﺎع اﻟﻌﻈﻢ أو زرع اﻟﺨﻼﻳﺎ اﻟﺠﺬﻋﯿﺔ ﺧﻼل اﻟـ6 أﺷﮭﺮ اﻟﻤﺎﺿﯿﺔ، أو ﻣﺎ زاﻟﻮا ﻳﺘﻨﺎوﻟﻮن أدوﻳﺔ ﺗﺜﺒﯿﻂ اﻟﻤﻨﺎﻋﺔ  اﻷﺷﺨﺎص اﻟﺬﻳﻦ ﻳﻌﺎﻧﻮن ﻣﻦ أﻣﺮاض ﺗﻨﻔﺴﯿﺔ ﺷﺪﻳ ﺪة، ﺑﻤﺎ ﻓﻲ ذﻟﻚ ﺟﻤﯿﻊ ﺣﺎﻻت ) اﻟﺘﻠﯿﻒ اﻟﻜﯿﺴﻲ واﻟﺮﺑﻮ اﻟﺸﺪﻳﺪ وﻣﺮض اﻻﻧﺴﺪاد اﻟﺮﺋﻮي اﻟﻤﺰﻣﻦCOPD .(  اﻷﺷﺨﺎص اﻟﺬﻳﻦ ﻳﻌﺎﻧﻮن ﻣﻦ أﻣﺮاض ﻧﺎدرة ﺗﺰﻳﺪ ﺑﺸﻜﻞ ﻛﺒﯿﺮ ﻣﻦ ﺧﻄﺮ اﻹﺻﺎﺑﺔ ) ﺑﺎﻟﻌﺪوى )ﻣﺜﻞ ﻧﻘﺺ اﻟﻤﻨﺎﻋﺔ اﻟﻤﺸﺘﺮك اﻟﺸﺪﻳﺪSCID ( ، ﻣﺮض ﻓﻘﺮ اﻟﺪم (اﻟﻤﻨﺠﻠﻲ ﻣﺘﻤﺎﺛﻞ اﻟﺰﻳﺠﻮت  اﻷﺷﺨﺎص اﻟﺬﻳﻦ ﻳﺴﺘﺨﺪﻣﻮن ﻋﻼﺟﺎت ﺗﺜﺒﯿﻂ ﻣﻨﺎﻋﺔ ﻛﺎﻓﯿﺔ ﻟﺰﻳﺎدة ﺧﻄﺮ اﻹﺻﺎﺑﺔ .ﺑﺎﻟﻌﺪوى ﺑﺸﻜﻞ ﻛﺒﯿﺮ  ﻣﺸﺎﻛﻞ ﻓﻲ اﻟﻄﺤﺎل ، ﻋﻠﻰ ﺳﺒﯿﻞ اﻟﻤﺜﺎل. اﺳﺘﺌﺼﺎل اﻟﻄﺤﺎل  اﻟﺒﺎﻟﻐﯿﻦ اﻟﻤﺼﺎﺑﯿﻦ ﺑﻤﺘﻼزﻣﺔ داون  اﻟﺒﺎﻟﻐﯿﻦ اﻟﺬﻳﻦ ﻳﺨﻀﻌﻮن ﻟﻐﺴﯿﻞ اﻟﻜﻠﻰ أو ﻣﺮﺿﻰ اﻟﻜﻠﻰ اﻟﻤﺰﻣﻦ )اﻟﻤﺮﺣﻠﺔ5 (  اﻟﻨﺴﺎء اﻟﺤﻮاﻣﻞ اﻟﻤﺼﺎﺑ ﺎت ﺑﺄﻣﺮاض اﻟﻘﻠﺐ اﻟﺨﻠﻘﯿﺔ أو اﻟﻤﻜﺘﺴﺒﺔ.  ،ﻛﻤﺎ ﺗﻢ ﺗﺼﻨﯿﻒ أﺷﺨﺎص آﺧﺮﻳﻦ ﻋﻠﻰ أﻧﮭﻢ ﻣﻌﺮﺿﯿﻦ ﻟﻺﺻﺎﺑﺔ ﺑﺸﺪة ﺳﺮﻳﺮﻳًﺎ .اﺳﺘﻨﺎدًا إﻟﻰ اﻟﺤﻜﻢ اﻟﺴﺮﻳﺮي وﺗﻘﯿﯿﻢ اﺣﺘﯿﺎﺟﺎﺗﮭﻢ ﺗﻢ ﺗﺰوﻳﺪ اﻷطﺒﺎء اﻟﻌﺎﻣﯿﻦ .وأطﺒﺎء اﻟﻤﺴﺘﺸﻔﯿﺎت ﺑﺎﻹرﺷﺎدات ﻟﺪﻋﻢ ھﺬه اﻟﻘﺮارات	fr
2675-pdf	# The Moray Council Property Sales ## For Sale Hostel, 11 Cluny Square, Buckie Offers Over £79,000 This 3 storey former Council hostel is situated in Buckie town centre on a site extending to approximately 0.057Ha (0.14 acres). The property is suited for use as either a large home/guest house or as an HMO (house in multiple occupation). The property also benefits from a garden with extensive outbuildings. Any party wishing to submit an offer should first note their interest. Full instructions on submitting an offer will subsequently be issued only to parties who have noted interest. Housing & Property Council Offices High Street Elgin IV30 1BX ## General Description The property requires redecoration, re-carpeting and some repairs. The property benefits from double glazing and gas central heating throughout and has been fitted out for use as a hostel which provides various choices for its future - use either as a home/Guest House or as a 'house in multiple occupation'. See the attached plan for room dimensions and the building layout. Ground Floor Caretaker's Flat Vestibule: This vestibule comprises an entrance hall with 2 corridors providing access to the caretaker's flat. It also provides access to the main accommodation via a common hallway. The vestibule has a gas meter cupboard, a shelved cupboard and benefits from 1 thermostatically controlled radiator, 1 telephone point and 2 single power points. Living room: With entry off the vestibule corridor, the living room has a large bay window, 2 shelved cupboards, a closed off fireplace and benefits from a TV point, 2 thermostatically controlled radiators and 2 double power points. Kitchen: The kitchen benefits from a linoleum covered floor, base & wall units with a stainless steel sink & drainer, 3 double and 3 single power points, 1 thermostatically controlled radiator, an electrical cooker point and plumbing/wiring for a fridge, tumble dryer and washing machine. Bedroom: The bedroom benefits from a carpeted floor, 1 thermostatically controlled radiator, 2 double power points and a shelved cupboard containing an immersion heater. Bathroom: The bathroom benefits from a linoleum covered floor, 1 thermostatically controlled radiator, shaver point, 1 low flush WC, a wash hand basin and a bath. Main Accommodation Vestibule: The vestibule comprises a carpeted entrance with a staircase leading to the first floor accommodation. It grants access to the kitchen / dining room via a common hallway and has an electric meter cupboard, 1 thermostatically controlled radiator, a mains powered fire alarm control panel and 2 power points Kitchen: Accessed from a common hallway, the L- shaped kitchen has been fitted with numerous wall and base units with a stainless steel sink and drainer. The room benefits from 4 double and 2 single power points, 1 thermostatically controlled radiator, an electrical cooker point and is plumbed for a washing machine. Dining Room: Accessed off the kitchen this area benefits from a thermostatically controlled radiator, 1 double power point and an Xpelair. Landing: The landing provides access to all of the first floor rooms as well as the stairs to the second floor. The landing benefits from 1 power point and 1 thermostatically controlled radiator. Bedroom 1: This double bedroom benefits from 1 thermostatically controlled radiator, 2 double power points a TV point, a telephone socket and ensuite facilities. Ensuite facilities consist of a bath, low flush WC and a wash hand basin. Bedroom 2: Accessed off the landing via a small hall, this box or single bedroom room benefits from 1 thermostatically controlled radiator, 2 double power points a TV point, a telephone socket and ensuite facilities. Ensuite facilities consist of a shower, low flush WC and a wash hand basin. Bedroom 3: This double bedroom benefits from1 thermostatically controlled radiator, 2 double power points a TV point, a telephone socket and ensuite facilities. Ensuite facilities consist of a bath, low flush WC and a wash hand basin. Bedroom 4: Accessed off the landing via a private corridor. This double bedroom benefits from 1 thermostatically controlled radiator, 2 double power points, a TV point, a telephone socket, a shelved cupboard and ensuite facilities. Ensuite facilities consist of a bath, low flush WC and a wash hand basin. Second Floor Bedroom 5: Accessed off the second floor landing, this double bedroom benefits from 1 thermostatically controlled radiator, 2 double power points a TV point, a telephone socket and ensuite facilities. Ensuite facilities consist of a low flush WC and a wash hand basin served by an instantaneous hot water heater. Bedroom 6: Accessed off the second floor landing, this double bedroom benefits from 1 thermostatically controlled radiator, 2 double power points a TV point, a telephone socket and ensuite facilities. Ensuite facilities consist of a low flush WC and a wash hand basin served by an instantaneous hot water heater. Grounds The property benefits from a walled garden with a single lock-up garage of timber panel construction measuring 6.1m x 3.1m externally and vehicular access from Cluny Lane. The garden has 5 garden stores of stone and concrete block construction with corrugated cement mono-pitch roofing, timber doors and concrete floors. The sheds have a combined gross external measurement of 21.9m by 2.45m. ## Energy Performance Certificate Current rating D (Certificate and report available on request). Rateable Value/Council Tax Banding The property has been assessed as a hostel with individual bedrooms being assessed as having a Council Tax Band A and the common areas assessed as commercial premises and having a Rating Assessment Value of £2,900. For further information regarding the Rateable Value or Council Tax Banding please contact the Grampian Valuation Joint Board, 234 High Street, Elgin, IV30 1BA, Tel No (01343) 541203. Planning and Building Control The former use of the property as a hostel falls within Class A of the Town & Country Planning (Use Classes)(Scotland) Order 1997. Planning Permission would not therefore be needed for similar uses such as an HMO, however, any proposals to use the property as a private residence / guest house would require a change of use in terms of the Planning and Building Control legislation which the applicant would require to obtain themselves. Similarly any proposal to alter or extend the building may require Planning Consent and Building Warrant which the purchaser must obtain themselves. It should be noted that the above advice is purely for guidance and is entirely without prejudice to the consideration of any formal application for Planning Consent and/or Building Warrant by the Moray Council. For further advice on Planning issues please contact the Duty Officer, Development Control Section, Moray Council, Council Offices, High Street, Elgin, IV30 1BX, Tel No 0300 1234561 between 2pm and 4pm Mon-Fri. For further advice on Building Control issues please contact the Duty Officer, Building Control Section, Moray Council, Council Offices, High Street, Elgin, IV30 1BX, Tel No 0300 1234561 between 2pm and 4pm Mon-Fri. Title There is a right of access and egress over the garden ground to Cluny Lane in favour of the ground floor shop premises for emergency fire exit purposes. The Council's Title to the property can be viewed by arrangement by contacting Emma Dawson, Paralegal (Property & Contracts), Moray Council, Council Offices, High Street, Elgin, IV30 1BX, Tel No (01343) 563834. Viewing Arrangements to view can be made by contacting Ian Walker, Estates Surveyor, Moray Council, Council Offices, High Street, Elgin, IV30 1BX, Tel No (0300) 1234566. ## Offers Offers in excess of £79,000 are invited to purchase the property. All parties who confirm in writing to Ian Walker, Estates Surveyor, Moray Council, Council Offices, High Street, Elgin, IV30 1BX, Tel No (0300) 1234566 that they are interested in submitting an offer will be sent details of the procedure for the submission of an offer. It should be noted that the Council are not obliged to accept the highest offer or any offer. Disclaimer This information does not constitute a representation, warranty or offer and will not form part of any contract which may ensue. The information provided here is purely intended to give a fair and reasonable description of the subjects and prospective purchasers must satisfy themselves with regards to the accuracy of any statements contained in the above particulars. Any intending offerers must satisfy themselves by inspection or otherwise, as to the correctness of each of the statements contained in these particulars. In accordance with the Requirements of Writing (Scotland) Act 1995 these particulars are neither intended to create nor to be relied upon as creating any contractual relationship or commitment. Any contract shall only be entered into by way of missives between respective solicitors.	en
3506-pdf	generally accepted accounting practice Condition 1 - expenses of management of the company's Condition 2 long-term business referable to BLAGAB in accordance with s98 (commercial allocation)	en
1960-pdf	## Covid-19: Resources And Information London Museum Development will keep this document up to date with useful links and information on dealing with the impact of the Covid-19 outbreak on your organisation. If you have any questions, or would like to share your organisations experiences during this time, please contact us directly: museumdevelopment@museumoflondon.org.uk. General information Business Continuity Guidance Security Collection care ## General Information Dcms Release Coronavirus Bulletin For Museums: DCMS Museums and Galleries Sector Coronavirus bulletin 18 March 2020: https://mcusercontent.com/fdfb8683fe90cd04d8d480e2c/files/884be74b-a3fe- 40d4-a3dc-d59d60d49ab4/Coronavirus_bulletin_20200318.pdf ## Ace Guidance For Npos Arts Council England (ACE) have released guidance for NPOs and their other funded programmes regarding the current Covid-19 outbreak: https://www.artscouncil.org.uk/news-and-announcements/coronavirusinformation ## Aim Guidance AIM has published a detailed page listing lots of useful information and resources on their website: https://www.aim-museums.co.uk/coronavirus-covid-19/ ## Museums Association Overview The Museums Association has created an overview article, looking at how Covid-19 will impact museums and what can be done to mitigate it: https://www.museumsassociation.org/news/10032020-coronavirus-impactmuseums-galleries ## Charity Finance Group Updates The Charity Finance Group has a live web-page where they're releasing updates and information on how best to deal with the financial impact of the Covid-19 outbreak: https://cfg.org.uk/coronavirus_guide ## Ncvo Guidance The NCVO has a helpful guide to dealing with Covid-19 within your organisation: https://www.ncvo.org.uk/practical-support/information/coronavirus ## Business Continuity Guidance Dcms Guidance On Dealing With Emergencies Or Disasters For those museums that are facing a period of closure during the current Covid_19 situation there is some guidance on the DCMS website for museums and galleries to help them to cope with emergencies or disasters which may be helpful: https://www.gov.uk/guidance/business-continuity-planning-for-museums-andgalleries ## Dcms Guidance On Expecting The Unexpected There is also general guidance for organisations Expecting the Unexpected, https://www.gov.uk/government/publications/expecting-the-unexpected ## American Alliance Of Museums: Using Scenarios To Plan Covid-19 Response The following article from the American Alliance of Museums is also useful and may help with your planning: Using Scenarios to plan your Museum's Covid_19 (Coronavirus) response https://www.aam-us.org/2020/03/13/using-scenarios-toplan-your-museums-covid-19-coronavirus-response/ ## Security Collections Trust Security Audit Resource If you are preparing to close your building for a protracted period you may wish to check your security provision prior to closure - you can carry out you own security audit using the Security Toolkit on the Collections Trust website at https://collectionstrust.org.uk/resource/the-security-audit/. Check the terms of your insurance regarding leaving the building unoccupied for periods of time and possible requirement for security staff / visits. ## Collection Care Advice From The Museum Of London'S Collection Care Team If your museum or gallery will be closed without any access check: Can you safely, leave the heating / building management system as is, if it can maintain stable conditions? If you do turn off any building management or heating systems check for risks, such as possible leaks as pipes cool down, do you need to call in someone under a service agreement to do this, can you re-start systems without problems etc Are items locked in cases or stores where possible? Walk round and check that collections are as secure and protected from physical and environmental threats as can be. How best can you protect any items on loan from other institutions? Try and ensure that you check these early on once you re-open and refer back to any condition reports you have. Report any concerns or changes to the lender. Think about your items out on loan in the same light. Do you have remote access to building management systems or environmental monitoring systems to keep an eye on things? If a company manages your building management system check whether they have remote access to environmental readings that can be sent to you. If not, check what has happened as soon as possible after you re-open. Ensure you have access to your emergency plan. If possible, check salvage supplies, prepare areas that commonly suffer leaks and work closely with any security team remaining so you are advised of possible problems. Check your callout list to reflect who could possibly come in and who cannot due to the current situation and adjust your plan accordingly. The Museum of London Pocket Salvage Guide will be helpful in the case of an emergency. http://www.museumoflondon.org.uk/application/files/9414/5615/4887/pocketsalvage-guide.pdf	en
3048-pdf	## Dsg Funding Blocks Dedicated School Grant Budget 18/19 Schools Block £38.1m High Needs Block £17.95m Early Years Block £19.52m Central Services Block £4.4m Total £79.97m ## Hnb Overview • High Needs expenditure is part of the ring fenced Dedicated Schools Grant (DSG) • HNB Envelope £17,951m (includes transfer from the Schools Block of £505k) • Historical retained deficit £2,165m (16/17), £5,551m(17/18) = £7,716m (Cumulative) • Forecast for 18/19 £6.0m (£13m Cumulative) ## Issues - HNB funding pressures felt nationally ADCS survey (Sept 17) 68 out of 86 authorities who responded, reported an overspend on their high needs block budget - Future ringfencing requirement will prevent flexibility to transfer funds between DSG elements ## Hn Expenditure Breakdown Deployment of High Needs DSG funding 1819 Academy recoupment 3,314,020 Transfer of funding from the SB to the HNB -505,000 LA High Needs block DSG budget - 17,950,785 Special Schools delegated budgets 4,530,000 Top-up funding 12,298,695 Independent provision 1,493,676 Alternative Commissioning 1,450,000 Residential placements with education joint funding 485,989 Individual education and outreach 945,506 Speech and Language Therapy 588,000 Sensory and Language Impairment Team 810,000 Education psychology 394,000 Other support and therapies 55,306 SEN Service Delivery teams 934,449 Total DEFICIT balance 6,034,836 -20,759,120 ## Direction Of Travel • Description of the HNB block and Council/ - Ensuring Schools are sustainable as funding reduces - Working in Partnership, improving our joint understanding and ownership of system linkages, demands and pressures. - Improvement in Inclusion levels, more children supported in mainstream settings for both SEN and alternative provision. ## Addressing The Deficitdress Short Term Opportunities Are Limited • Description of the HNB block and Council/ - Occupational Therapy: ensuring that other boroughs are charged for provision; new service level agreement. £50k - Renegotiation of Speech and Language Contracts. £50k - Home Tuition/Medical Needs Unit renegotiation and new service level agreement. £50k - Miles Coverdale Entry Criteria - cost avoidance of EHC needs assessments / earlier intervention. ## Towards Revised Funding For Special Schools Shorter Term: • Recouping appropriate costs for pupils from other boroughs: ## Longer Term: • Creating a more robust commissioning system - place planning and top-ups • Banding system • Making the most effective use of Education, Health and Care resources and workforce development ## Addressing The Deficit: Approach - Detailed Breakdown of High Needs Expenditure - Revisit previous overspend (forensic financial examination) - Identify potential income generation/reduction options - Scenario plan impact on individual areas & Schools - Options appraisal and recommendations - Members/Schools Forum ## Governance - Schools forum is main decision making body. - All schools can be be involved in working groups, opportunities, suggestions, examining options appraisals. - Initiatives & Project list and whose involved.	en
2237-pdf	# Digital Cataloguing Practices At The National Archives March 2017 ## Digital Cataloguing Practices At The National Archives Executive Summary This position paper outlines the evolution and current state of cataloguing practices for digital records at The National Archives in the United Kingdom. The disruptive impact of digitised and born-digital records has shaken ways of working as well as ways of interpreting the international standard for archival description ISAD(G). Change is not new, however, as over the last seventeen years of digital catalogues archivists have moved forward with new technologies, new ways of balancing access and privacy, the impact of user experience, social media, content sensitivity and the challenge of digital transfer. 'Digital technologies are creating a paradigm shift in the archival sphere: posing challenges, but also throwing open the doors to greater access and a world of new opportunities'.1 This paper introduces some new concepts and considers what a second generation of born-digital records may look like. We share our understanding of born-digital, digital surrogates and digitised records while concepts such as probabilistic, contextual and temporally aware description are also defined. Although fairly new for us, we are conscious that these 'new concepts' are in fact interdisciplinary propositions that have been around for some time, and that colleagues around the globe are having similar thoughts and ideas. The National Archives is aware that the UK archive sector and some international archives may look at our digital practice as a benchmark. A word of caution: our approach is not being shared in this document in order to become a set of best practice cataloguing guidelines for digital records. This position paper summarises our current practice and aims to open the conversation as widely as possible, recognising that both technology and archival practice will continue to evolve. This paper has been written by co-creation. I would like to thank the many colleagues from different areas of expertise who have contributed their thoughts, memories and suggestions. Jone Garmendia, Head of Cataloguing, 31 March 2017 ## Table Of Contents 1. Seventeen years of digital catalogues .......................................................................................... 4 2. Digital records .................................................................................................................................. 6 3. The National Archives' Digital Strategy ........................................................................................ 7 4. Digital Cataloguing Practices ......................................................................................................... 9 4.1 Referencing.................................................................................................................................. 9 4.2 Levels of description ................................................................................................................. 10 4.3 Extent and medium (labelled Physical description in Discovery) ...................................... 11 4.4 Arrangement .............................................................................................................................. 11 4.5 Title ............................................................................................................................................. 12 4.6 Scope and Content (labelled 'Description' in Discovery) .................................................... 13 4.7 Dates ........................................................................................................................................... 13 4.8 Physical Condition (Physical characteristics and technical requirements in ISAD(G)) .. 14 4.9 Note ............................................................................................................................................. 15 4.10 Custodial History (Archival history in ISAD(G)) .................................................................... 16 4.11 Conditions governing access .................................................................................................. 17 4.12 Closure Status ........................................................................................................................... 17 4.13 Closure Type ............................................................................................................................. 17 4.14 Closure Code ............................................................................................................................. 18 4.15 Record Opening date ............................................................................................................... 18 4.16 Restrictions governing access (Restrictions on Use in Discovery) ................................... 18 5 Series level description ................................................................................................................. 18 6 Delivery Options ............................................................................................................................. 19 7 Cataloguing and the Digital Records Infrastructure (DRI) ....................................................... 20 8 The way ahead ............................................................................................................................... 21 Appendix: List of digital and hybrid record series ............................................................................. 22 ## 1. Seventeen Years Of Digital Catalogues PROCAT (the Public Record Office Catalogue) was launched at Kew on 9 October 2000 and on the public website in March 2001, offering an online version of the paper lists, PRO Guide and some related finding aids. As a result of the move from paper to an online catalogue in 2000, the following established practices were changed. - We moved from paper-based browsing only to online search retrieval. - We converted a range of finding aids (PRO Guide, Introductory Notes, series lists and some supplementary finding aids) to a single catalogue dataset, describing whole series of records in one place. - Context was provided by linking and browsing within an archival hierarchy largely based on the General International Standard Archival Description, ISAD(G). In November 2001, The National Archives released a separate website to deliver digital copies of some of our most popular records. It was called PRO-Online and later rebranded as DocumentsOnline. PROCAT was renamed 'the Catalogue' in June 2004 when a rebranded website for The National Archives was launched, after the Public Record Office and the Historical Manuscripts Commission merged to form The National Archives. The cataloguing back office system 'PROCAT Editorial' was not changed. In 2008 we decided to stop maintaining a paper catalogue. This change was implemented in consultation with our Public Services Development department. To facilitate the transition and mitigate impact on our regular readers, we continued printing new accessions, amendments, newly open closed descriptions and Freedom of Information releases until 1 April 2011, when all printing of catalogue paper lists ceased. Also in 2008, the Catalogue Manager reported to the International Council on Archives (ICA) Standards Sub-Committee in Kuala Lumpur on how our cataloguing practice was moving away from the international descriptive standard ISAD(G) on three fronts. - The 'non-repetition of information' rule was not being respected (to facilitate retrieval). - The Scope and Content field was being expanded to allow structured data tags (e.g. surname, forename, place, occupation). - Access area of description and web delivery options were being developed well beyond ISAD(G). The committee's verbal response was to go ahead with our descriptive practices and to expand the standard with in-house schemas, but there was no appetite to review or update a standard that was serving the vast majority of the international archives sector well. In the meantime, between 2005 and 2008, we attempted to deliver a system to enable the seamless ingest of digital records from government departments to a digital archive and a new presentation interface with the Seamless Flow programme. A pilot service for born-digital records, Electronic Records Online (ERO), was released in 2008. At the time, document level descriptions for digital records were migrated into the separate ERO and cross-referred in the Catalogue. It was felt that we did not have the functionality to cater for hybrid record series (series containing both digital and paper records); in such cases the records were split into two separate series - one analogue and one digital. However, the Seamless Flow model and ERO service were not able to handle high volumes of digital objects; therefore, in 2011, The National Archives started the development of the Digital Records Infrastructure (DRI) system as a robust alternative to preserve and provide access to digital records at scale. In late 2009, a cataloguing project had developed a methodology to catalogue websites providing links to the UK Government Web Archive. Websites did not lend themselves to file level description under ISAD(G), so the approach was to catalogue them only at series level, including a direct link to the UK Government Web Archive where individual dated instances (snapshots) were then presented. Specific website instances and embedded files were not referenced or catalogued individually. Cataloguing at series level means that a whole website is described generally, as a group of records. This approach can also work for other special collections or future digital accumulations. This method is scalable and also respects the independent development of the UK Government Web Archive while serving three key purposes: - the inclusion of websites within our official inventory of public records based on provenance - a reasonable degree of intellectual control and academic rigour - the provision of high level findability across formats: a keyword search retrieves website entries together with entries for analogue, digital records and other data sources. Where datasets were concerned, government datasets were held externally in the National Digital Archive of Datasets (NDAD) until October 2010, when a cataloguing project created collection level information for their inclusion in the online catalogue and Discovery. Following this, the deliverable dataset files were presented through DocumentsOnline (The National Archives' first service to deliver digitised records). This approach allowed us to cease a contract with an external provider and bring NDAD data in house. Although these datasets are listed and available through our catalogue, we would like to develop new approaches to enhance their presentation and usability in the future. From 2011, the Catalogue became the first component part of our new Discovery service: it brought into one presentation system data from the Catalogue, DocumentsOnline and the Digital Records Infrastructure (DRI). Metadata and catalogue entries from other archives services were ingested later - namely data from the National Register of Archives, Access to Archives (A2A) and the Manorial Documents Register. The old catalogue was finally switched off at the end of April 2013. The National Archives' own name authority data for corporate bodies and personal names was migrated to Discovery in September 2015. At the time of the PROCAT launch in 2000, the online catalogue had 8 million document level descriptions. Discovery now holds over 23 million information assets for records held by The National Archives. ## 2. Digital Records In 2014-15, during the Digital Transfer Project, we made changes to several cataloguing practices around referencing, arrangement and presentation of digital records. When making these decisions, internal experts from across a number of fields considered the different nature of several types of digital records. With this in mind, new cataloguing practices started to evolve for each category of digital record. Digital records and their metadata are now ingested into our digital preservation system (DRI), which holds three types of digital material within what can be defined as the first generation of digital content. Born-digital records: these are records created digitally in the day-to-day business of an organisation, such as word processed documents, PDFs, emails, image files, videos and so on. Our approach to digital preservation has been defined as 'Parsimonious Preservation': preserving the original as received and creating access copies in a more accessible format where necessary. A new way of referencing, arranging and presenting born-digital records was formulated during 2014-16. Digital surrogates: records created by converting analogue material such as paper, microfilm or microfiche to digital images. The paper record remains in the custody of the archive as the original public record. Sometimes microfilm may have been accessioned as the public record but it is generally a surrogate. Digital surrogates are analogue in essence. Hence traditional referencing and ISAD(G), as qualified within The National Archives Cataloguing Standards, apply to these records. Digitised records: these are the result of analogue material being digitised to a high standard, with provenance metadata captured separately and embedded in each file, in order to become the accessioned public record. The digital version becomes the official record for permanent preservation in lieu of the original analogue source, which would generally be destroyed after five years or deposited elsewhere. Again, these records are analogue in essence, hence traditional referencing and ISAD(G) as qualified within National Archives Cataloguing Standards apply. Born-digital and digitised records share a new existential challenge: record properties around veracity, accountability, authenticity and integrity –their 'recordness' in one word– are not found in the digital object itself, but in the metadata that accompanies it, which becomes inextricably bound with it. Metadata therefore becomes part of the record. ## Second Generation Of Born-Digital Content It is not difficult to anticipate that an untamed second generation of born-digital content is already accumulating within government departments (and other creators of public records). This scenario has been referred to as the 'Digital Wild West' or the 'Digital Heap' where the identification of unique, authentic records becomes blurred and rules around expected record-keeping behaviours no longer apply. Second generation born-digital content possesses at least one of the following characteristics: - amorphous accumulation - lack of clear creator(s) or hybrid creation including non-government parties - not fixed in time (the end date of the record may be uncertain or set in the future as re-use may bring the record back into activity) - unreliable provenance - erratic or broken link between government function and digital accumulation - suspected duplication - dubious authenticity - include corrupted and embedded files - include objects composed of multiple file formats - stored in unstructured shared drives. - the only apparent common characteristic or shared property of the material may be its need to be preserved or 'archived', 'got rid of' or shared together at one point in time. Examples of second generation born-digital records would include shared drives without meaningful folder and file names or unstructured email servers created in environments where basic record-keeping and information management practices have not been applied. It may well be very difficult to render these accumulations within a traditional online catalogue. ## 3. The National Archives' Digital Strategy Our Digital Strategy addresses the challenge of digital records as well as our Archives Inspire2 goal to become a digital archive by instinct and design. This can be done by: - embracing the 'disruptive digital archive' and the digital transformation of the physical archive - acknowledging that digital records disrupt archival practice - strengthening our digital capability and culture. Cataloguing and descriptive practices have already been disrupted by the first generation of born-digital records. The strategy considers the challenge to develop and adopt an entirely new approach to record description for the second generation of borndigital content, moving away from the international standard ISAD(G) for file level metadata. Probabilistic, contextual and temporally aware description is considered as the way forward. Probabilistic description is about acknowledging in a transparent manner that data is imperfect and embracing uncertainty. We are considering the introduction of confidence ratings in our future metadata for born-digital and other records. This confidence rating might be a combination of computational and curatorial scores. Purely numerical approaches for handling uncertainty might miss human data knowledge gathered around the selection, transfer and ingest processes. For example: there is speculation that a confidence rating might be a combination of a computational score (derived from file match signatures, or checksums) and a human confidence score (a value representing the accuracy of record dates or other metadata)3. Contextual description covers several areas: - the record-keeping system and existing arrangement (or lack of) - the administrative history of the body or person creating the records - the creating body or person - the administrative function - the custodial and archival history surrounding the record, series or accumulation. For the second generation of born-digital content, metadata around arrangement and creation might be extracted by computational methods (e.g. for records migrated between successive systems or storage media). On the other hand, metadata around the administrative history, function and custodial matters surrounding the business use of the record may lend itself more to curation. A new Records in Contexts standard (RiC-CM), a conceptual model for archival description, was issued for consultation in September 2016, just as this position paper was being written. We welcome the development of a comprehensive standard designed to integrate the four current descriptive standards4 together with an ontology to define descriptive entities using linked open data techniques. This piece of work could deliver an improved archival standard and also allow the archival community to begin to move beyond ISAD(G). Whether or not RiC-CM will be able to deliver what digital archives need to operate at scale is still in the air. We contributed detailed feedback on RiC-CM by the December 2016 deadline. ## Temporally Aware Description The records life cycle model identified boundaries between current and historical records. This intellectual model (in common use) is not helpful in the new digital environment as born-digital records are not necessarily fixed in time. The Records Continuum premise that 'records are in a state of becoming'5 offers a much more compelling model to handle and interpret born-digital records. Temporal variation is becoming a new reality for both metadata and digital objects. Different date structures ## are already appearing, which has a disruptive impact on current metadata schemas. In addition, official born-digital records already in the archive might in the future be re-used and transformed into new entities. This is completely new territory for us. How we capture, describe and present temporal variation and how we render its different components into a usable interface for the general public are yet to be formulated. ## 4. Digital Cataloguing Practices This section summarises our digital cataloguing practices around a number of key elements of description. It includes the six mandatory elements of description in ISAD(G), other ISAD(G) elements that are being used to describe digital records, and other elements not in ISAD(G) that have been added to our catalogue data model as the international standard did not fully serve our business, descriptive and presentation needs. ## 4.1 Referencing The purpose of a reference is to uniquely identify the record and to provide a link to the metadata that represents it. Digital surrogates and digitised records are allocated TNA citable references in the same 'classic' style as paper records. However, our classic referencing style did not scale up to cater for born-digital collections, as these have complex folder structures well beyond our paper catalogue hierarchy of up to seven levels of description. References for born-digital records are automatically generated on ingest, using the RFC 4648 Base32 alphabet6 as the basis of the DRI referencing functionality. We have removed the vowels and the Y (a semi-vowel) from this alphabet in order to avoid the creation of random offensive words as part of our references. We have also removed the Z character, which is used for special purposes. This makes our referencing encoding schema a Base 25 alphabet. References for digital records have four parts: a creating department code (for example, LEV), a series number (e.g. 2), a forward slash followed by a base 25 encoded character which is a short string of automatically generated letters and or numbers (e.g. CCWS) and a final slash followed by the letter Z. The Z indicates that the reference is automatically generated for a born-digital asset. In this example the reference is: LEV 2/CCWS/Z. With paper records, references reflect the number of levels within which the record exists. As for paper records, references for digital provide unique identifiers but, unlike paper record references, they do not reflect the number of folders they exist within or the hierarchical relationships between digital records. When there is more than one version of the same record, the Z can be followed by another slash and a number. For example: a fully closed digital record has a reference ending in /Z. If a redacted (open) version of this closed record were to be created, then the new version would have a reference ending in Z/1. If we had a second redaction, making available more information, the new reference would end in Z/2. Each version or manifestation (including those that might be created by migration to a different file format for preservation reasons) would be assigned a new reference in the same way. When the fully closed record becomes fully open (after the closure period has expired), the content of the closed record is made available without changing its reference. The record and its metadata have not changed; only its closure status has changed. This will also facilitate the identification of the complete record and avoid legacy closed references that can be misleading. Hybrid series (containing both paper and born-digital files) are no longer split at The National Archives. When we have a hybrid series, paper files display classic TNA references, whereas digital files display the automatically generated references ending in Z. We believe that this helps users to become familiar with references ending in Z and distinguish digital from paper files more easily. A paper reference within the same series would look like LEV 2/1/235. Former department and former TNA references may also exist for digital records (e.g. the original identifier in an Electronic Records Management System or ERMS). When they exist they should be stored and presented to the user. As mentioned at the beginning of this section, the purpose of a reference is to uniquely identify the digital record and to provide a link to the metadata that represents it. ## 4.2 Levels Of Description All deliverable born-digital records and their metadata (including redacted versions) are ingested at piece level 7in a flat structure (to improve findability). DRI (and Discovery) are capable of handling item and sub item levels but these are only being used for digital surrogates and digitised records when required. The master data set for contextual collection level metadata is managed at department, division and series level using the back office for our analogue catalogue (PROCAT Editorial). DRI only holds the series name for registration purposes. Subseries and subsubseries levels are not used for digital records.8 Digital folders are not presented as digital assets in their own right for the following reasons. - Subseries and subsubseries are not relevant and are largely the result of the conversion of paper lists into online catalogues. - The conversion of deep nested folder structures into subseries, subsubseries, folder, subfolder, subsubfolder, and so on, would undermine findability and the overall browsing experience. Our approach is to treat multilevel folder structures as part of the metadata for each digital record, presenting the parent folder names in the Arrangement field for each digital asset (see 4.4.). The following definition of the seven levels of description for analogue records at The National Archives may be useful for reference: Department (Fonds)9: A government department, agency or body that creates the records. Formerly known as 'lettercode' and earlier as 'group'. For example: Ministry of Defence. Division (Subfonds): Administrative section of a department, where this exists. For example: Records of the Defence Chiefs of Staff. Series: Main grouping of records of the same provenance, with a common function or subject. Formerly known as class. For example: Registered Files prior to 1964. Subseries: A grouping of related records within a series with a common function or subject. Formerly known as header. For example: Manpower. Subsubseries: A grouping of related records within a subseries with a common function or subject. Formerly known as subheader. For example: National Service. Piece (file): This is generally the deliverable unit for both paper and born-digital. It can be a box, a volume, a file, a bundle, a roll or a digital deliverable object. For example: Intake of entrants. Item: A subdivision of a piece, a smaller unit of description for a part of a piece. Items vary considerably in nature: a file in a box, a letter in a file, a name in a register, a part of a larger file, a docket within a volume, etc. It may exist for paper, digitised records and digital surrogates but not for born-digital. For example: Closed extracts 2 pages. ## 4.3 Extent And Medium (Labelled Physical Description In Discovery) At The National Archives this data is only mandatory at the three highest levels of description: at department, division and series level. For paper records, we do not record the number of pages at piece and item level; this is for a matter of resource and consistency with the legacy of existing material. Information about the number of digital records is provided both at series and at piece level. In addition, open digital records display information on the approximate download size of the presentation copy. In the future we would like to make available additional technical metadata around original size and format. ## 4.4 Arrangement The purpose of the arrangement element in cataloguing is to provide information on the internal structure and arrangement of the unit of description. This includes the physical or logical ordering or filing sequence of the records, or how they have been treated by the creator or the archive repository. In some cases the original arrangement may have been disturbed, altered or even lost. The lack or loss of arrangement should also be recorded as part of the arrangement information. When born-digital records have been kept in file plans or other filing structures, the names of the parent folders are recorded under the arrangement field for each record, at piece level. This arrangement information displays the name of each folder which could be clickable in the future, offering a provenance trail and enabling contextual viewing of all records originally kept under the same folder. This approach enhances discoverability. The arrangement information is introduced by a standard form of words that can be seen, for example, in RW 33/XH/Z: This born digital record was arranged under the following file structure: RW 33 >> Preservation >> Archival conservation >> Binders >> Limp vellum conservation >> Talk on Conservation of limp parchment books 2002-03-14 Our Digital Strategy highlights the importance of contextual description and contextual understanding. By bringing contextual information into the metadata at piece (file) level, we are strengthening the contextual links between digital records and also facilitating information retrieval, as many digital titles can seem meaningless without context. The arrangement element of description (which is fully indexed for search purposes) has become mandatory for born-digital. Providing context is an essential part of how the digital archive provides value in the future. We remain open to new ideas or ontologies that may allow us to enhance the contextual information surrounding digital records. ## 4.5 Title The purpose of this element in ISAD(G) is to name the unit of description, providing either a formal or supplied title. At The National Archives, the file names of born-digital records are catalogued as title information. Titles are stored and presented as created; they are not curated by staff or corrected if a member of the public reports a spelling mistake or suggests an enhancement. The reason for this is two-fold: - We cannot change the original file names as this would constitute tampering with the original record. At the point of ingest into the DRI the filename is present as a separate metadata element and must match the actual file name for validation purposes. - The original file title needs therefore to be respected, preserved and presented as part of the original metadata because, as mentioned in section 2 of this document, the metadata of born-digital records becomes part of the record itself. This is one of the areas where our cataloguing practice has evolved. During the second half of 2015-16 we moved away from the practice of always storing and presenting descriptive information for pieces (and items) under the ISAD(G) scope and content field ('Description' in Discovery). Initially, file names as extracted by DROID10 were mapped under 'Description', following the paper descriptive model. Many of these descriptions contained spelling mistakes or were meaningless, which presented an archival and retrieval challenge. The change in the choice of cataloguing field from Description to Title allows us to show clearly that born-digital records may not have curated descriptions, only given titles (file names). Just as we do not contemplate the idea of changing the title of a published report on the folder of a paper file, we should not contemplate the idea of changing the title (filename) of a born-digital record in its metadata. The Title element of description has become mandatory for born-digital and can be supplemented with other information under Scope and content. ## 4.6 Scope And Content (Labelled 'Description' In Discovery) The purpose of this element in our standards is to describe the content and scope of the unit of description so that users can judge the potential relevance of the record. For born-digital records the nature of the file names under Title limits the ability of endusers to find information. Therefore for born-digital records the Scope and content field may be used to store and display supplementary narrative descriptions that may be provided by government departments or curated at The National Archives to facilitate information retrieval in certain cases. 'Scope and content' is optional, not mandatory, for born-digital records. Due to the nature and public profile of records generated by Commissions of Inquiry Inquests or similar public bodies, high volumes of spelling mistakes or errors in titles may tarnish the authoritativeness of our catalogue and make the records difficult to find. In certain circumstances, supplementary descriptions might be provided with a digital archivist carrying out a sanity check, or rectifying glaring mistakes that might attract criticism. This recognizes the fact that once metadata has been transferred, stored and presented as part of Discovery, The National Archives becomes the data owner. The existence of email attachments within a record should be noted under scope and content at series level and where possible at the file level. ## 4.7 Dates Digital records generally offer several metadata elements with dates. DRI can preserve all date metadata as transferred but archivists need to decide what date(s) should be presented to our users as the record creation 'Date' in our catalogue. In the future we would like to publish additional digital dates. Ensuring that we provide accurate creation dates for digital records is not straightforward. Different Electronic Records Management Systems (ERMS) store many automatically-generated dates. Record creation or last modified dates can be overwritten when migrating digital records between systems, and again when exporting or preparing data for transfer to The National Archives11. If this were to happen, files might be showing a later date (e.g. the transfer date) and as a consequence the record opening date12 would be later than legally required. Government departments are being asked to use software (Teracopy) to minimise the risk of altering the last modified date when transferring files. Ideally the last modified date as automatically extracted and ingested in DRI is chosen for the 'Date' field on Discovery. A decision is currently taken for each digital transfer, however, in order to identify the date that best represents the start and/or end date of the record. As a last resort, estimated dates - based on events, for example - and dates derived from the parent series are used. These are presented in square brackets and an explanation provided in the metadata at series level. The estimated date approach also helps members of the public and record advisers who have already encountered difficulties trying to explain some digital dates that seemed to defy common sense. In the future we would like to introduce a confidence rating in our catalogue, flagging the level of uncertainty around date and other metadata. Probabilistic date information would need to be computed and not curated for each digital object. ## 4.8 Physical Condition (Physical Characteristics And Technical Requirements In Isad(G)) The purpose of this element is to provide information about any important physical characteristics or technical requirements that may affect or limit the use of the record. In the digital context information about corrupt and partially corrupt files should be recorded under this field. There may be other appropriate uses in the future. The following form of words is used to describe corrupt digital files using plain English: Damaged digital file. Partially missing content or Damaged digital file. No content When we are able to recover some of the corrupted file content a repaired version of the file will be made available. Referencing and hyperlinks for the corrupt and repaired files will follow the style of referencing and links for redacted records and their closed counterparts. Physical condition information should not be confused with information regarding records not available for presentation or legal reasons, which is handled under Restrictions on Use at The National Archives. ## 4.9 Note At The National Archives the Note element combines the two Notes in ISAD(G): Note and Archivist's Note. It has been used to record, for example: - specialised or other important information not accommodated elsewhere - sources consulted during the cataloguing process or information derived from external sources. - acknowledgements of cataloguing funding or the donation of catalogue data by researchers. - date derivation. A new use of the Note field has arisen for digital records. When appropriate, we are recording at series level how digital material has been described and whether there are uncertain or potentially inaccurate elements of description. For example, from ASI 2 Al-Sweady Inquiry Evidence: 'The catalogue descriptions used in this series are as they were created and used by Inquiry staff. It should therefore be noted that they are the original file descriptions and have not been subsequently curated as part of their transfer to The National Archives.' Another example, from WA 11 Welsh Language Board, Welsh Language Policy: 'The date for digital records in this series is the 'Last Modified' date as generated by the Electronic Document and Records Management system which held and managed these records.' Names of staff are not credited or displayed on our catalogue, as our cataloguing output as staff at The National Archives is Crown Copyright. The Copyright Officer (in January 2007 and in February 2013) advised that it is universal government practice not to acknowledge the author of corporate texts, except for instance in the case of a chairperson of a body producing a report and the author of work published as an editor. This advice was confirmed in August 2016. Therefore we do not publish the name of the cataloguer(s) under Note. ISAD(G) suggests that the Archivist's Note is used to explain how the description was prepared and by whom but our policy and practice differ from the 1999 standard. A strong audit trail capability should allow archives to control the creation, quality assurance, release and update of metadata by cataloguers without having to publish their personal names online. Publishing these names online carries the risk (and burden) of having to handle potential requests to take down personal information. Finally, the Note field should not be used for new digital metadata that does not have a natural match within the existing descriptive standard. Additional metadata required to describe born-digital records should be added to our schemas, to ISAD(G) or to a new standard that may replace it. ## 4.10 Custodial History (Archival History In Isad(G)) Custodial history describes where and how records have been held from creation to transfer to the archive, giving those details of changes of ownership and/or custody that may be significant in terms of authority, integrity and interpretation. For born-digital records, we envisage new uses for this element of descriptions. Colleagues contributing to the 'Best Guess Guidelines for Cataloguing Born-digital Material' drafted during the UKAD workshop13 in London in March 2016 reflected that 'the archival history of born digital material does not stop at any point, but is a continuous process of preservation actions, such as integrity checking and possibly migration to newer formats or media, carried out both before and after the material is accessioned into the archive'. At The National Archives, preservation and other technical metadata is kept in our Digital Records Infrastructure, although this is not currently published in Discovery. In June 2016 we encountered our first piece of practical evidence regarding the continuous nature of the custodial history of digital records. This arose during a mixed transfer of hybrid and digitised material from one creating body. In the only case of this sort so far, a government department took on loan some paper files that had been transferred, catalogued and made available in Discovery some years earlier. Once back at the department, these original papers were digitised, re-used and then misplaced. They reappeared as digitised records in a challenging new digital transfer. After considering a number of imperfect solutions for this exceptional case we decided to proceed in the following manner. - Accept the images and the automatically generated new references as part of a new record within a digitised accession. - Copy the scope and content information from the original paper files in the supplementary description field in DRI. - Keep the new digital filename under title (standard practice). - Create cross-references between the paper and digitised entries. - Create custodial history metadata for the paper and digitised entries. - Keep the dates as published for the original paper records to ensure that the record opening dates meet statutory requirements (rather than using the dates when the scans were created, for example). - Add an explanatory Note: 'Formerly missing whilst on loan to a government department. Digital copy located in 2016. ' This ensured that as much information was made available for the newly digitised records and that there was a clear link between the paper originals and the new digital assets. ## 4.11 Conditions Governing Access We have never treated this ISAD(G) element of description as a single entity at the piece (file) and item levels. To replace conditions governing access (since 2001) we developed four new metadata properties which enabled us to: - Provide more granular information about conditions governing access. - Manage our data to meet our statutory requirements around closed and retained records, the Public Records Act, Data Protection Act and Freedom of Information legislation. This enables crucial search functionality for staff and members of the public. The four properties applied at piece (file) level are briefly described below in sections 4.12 to 4.15. The National Archives also has a separate system called System for Access Regulation (SAR) which holds details of closed records (both analogue and digital). Only certain open information from this internal system is presented (where relevant) in our catalogue, for example: - Legal closure exemption under Freedom of Information (FoI) - FoI decision date (when the Advisory Council approved the closure application) Therefore we have several very specific metadata properties instead of conditions governing access. ## 4.12 Closure Status14 This is a mandatory property, which indicates whether the record and its description are open or closed. When records are open, descriptions must also be open. Closed records may have open or closed descriptions. This applies to both paper and digital. When a digital file has been redacted the whole original file becomes a closed record with a unique reference, but an open redacted version is made available with its own reference. For example: JA 418/CBK/Z and JA 418/CBK/Z/1. ## 4.13 Closure Type15 This property identifies the specific conditions that affect access to UK public records (paper and digital). Examples include: - Open on Transfer - Normal Closure before FoI Act - Retained by department under Section 3.4 [Public Records Act] - Closed until - Closed whilst Access is Reviewed - Reclosed in The last two types were introduced in 2011 as a consequence of the implementation of our Re-Closure Policy. Closure Type and Closure Code are displayed together in Discovery under the label 'Access Conditions'. For example: 'Closed until 2020'. ## 4.14 Closure Code16 This is a number which works in conjunction with the closure type. It indicates the number of years for which a record is closed (e.g. 0, 30, 80, 100) or the calendar year until which the record is closed or retained (e.g. 2020, 2035). ## 4.15 Record Opening Date17 The date a closed record will be made available depending on its closure type and code. This information has considerable research value so it is retained in the catalogue and continues to be published online after the record becomes open. ## 4.16 Restrictions Governing Access (Restrictions On Use In Discovery) This is a note to indicate restrictions on the use or reproduction of open records, including copyright and re-use if applicable. For example, in a recent born-digital accession of video recordings UKSC 1/CT/Z: 'This content is made available under the Open Supreme Court Licence'. A hyperlink takes the user to the official licence webpage. ## 5 Series Level Description Series level description is a crucial step in born-digital cataloguing, as it allows us to note distinct information and evolving professional practices relevant to a whole series, accumulation, transfer or collection. Common information about the arrangement and referencing of a group of records is provided at series level rather than for every digital piece. The arrangement field at series level is also the appropriate place to record that the original arrangement has been disturbed or that we may not able to restore it. The fact that a digital accumulation may not appear to possess any order whatsoever should also be documented at series level. Some examples of new types of information appearing now at series level have already been mentioned earlier, under section 4.9 Note. The examples below refer to other elements of description. - Scope and content: 'Over 9,000 emails within this series contain attachments. These attachments are primarily made up of PDF documents, images and various Microsoft Office files, such as Word documents, Excel spreadsheets, Outlook emails and PowerPoint presentations. The attachments have not been treated as separate records but remain within the emails as the digital record', (from ILB 2). - Arrangement: 'Born-digital records are generally arranged and stored differently to paper records. References for born-digital records are automatically generated and display a 'Z' after a forward slash', (from RW 33). - Restrictions on use: 'BT 95/96-2525 require 3 working days' notice to produce. There is no restriction on the digital files', (from BT 95, a hybrid series where 96- 2525 are paper files). - Scope and content: 'This series is a hybrid series that contains paper and digital files (2525 volumes and 2 digital files)', (from BT 95). Analysis of series level entries will provide a picture to help us decide which cataloguing practices should develop into our future guidance and policy. We anticipate that, as the number of digital and hybrid series increases, standard means of describing their characteristics will continue to crystallise. ## 6 Delivery Options Enabling access to the records is the key purpose for our catalogue. As ISAD(G) did not offer a granular approach to describe and present access and online delivery information, The National Archives has developed its own model over the years. Initially, users were only able to request copies of records and place advance orders online. At present, options to download digitised and born-digital records include an image viewer and a full download facility that informs the user of the approximate size of the file. A more recent option provides access to the Discovery video player within our catalogue, although videos are streamed from a third party server. Our delivery options also include a range of links to partner websites when a licensed company has digitised our content. When paper records are closed, the user has the option to submit a request for the record to be opened under Freedom of Information legislation. If a record has been retained by the creating government department (for administrative reasons), the user is informed of this fact and offered a link to visit the department website to submit a request to the record holder. Specific delivery options also exist to convey in a transparent manner whether a paper record is missing or misplaced. There is also a varied selection of access delivery metadata around unavailable and unfit paper records, including: records stored off site that require notice to be produced; records on display in the Keeper's Gallery; records on loan; records to be seen under supervision in the invigilation room, etc. These options are not applicable to born-digital records. ## 7 Cataloguing And The Digital Records Infrastructure (Dri) The DRI is a modular and extensible set of networked systems that comprise the digital archive of The National Archives. Its primary purpose is the preservation of digital records and at present this does not include an editable archival catalogue. Part of the metadata ingested alongside digital records does, however include cataloguing information. The DRI's metadata schema is primarily based on Dublin Core but has been extended to include ISAD(G) elements of description. DRI exports these fields, mapping them to the Discovery BIA schema18 in order for digital records to be accessible in much the same way as our paper records are via Discovery. Three types of digital records (born-digital, digital surrogates and digitised records) are ingested into the DRI using specific workflows which are customisable per series. Metadata for born-digital records is extracted, added to by the creating government departments and submitted to The National Archives as a CSV file. Each series of digital records and their accompanying metadata CSV file undergo a series of fixity, validation and file characterisation checks before they are ingested into the digital repository. Two of the tools used in these processes are developed and maintained by The National Archives: DROID, our file format identification tool, and the CSV Validator which uses our CSV schema language. Describing our digital preservation infrastructure is not the purpose of this document, Therefore the following information will suffice to conclude this section: - Technical metadata about the digital records is extracted and archived alongside the digital objects, file system, access and rights metadata. This includes information such as the file format and version of all files and - for image files, for example - the height, width, resolution (ppi: pixels per inch), colour space, etc. - The DRI has a file substitution service which is currently used for converting archival copies of digital files to compressed copies suitable for presentation on Discovery. For example, JPG2000 images are converted to jpegs and MXF broadcast quality videos are converted to MPEG4 for streaming. - We are planning the development of a new, unified catalogue back office system to enable the management of metadata for both our paper and digital catalogues. ## 8 The Way Ahead We do not know exactly what lies ahead but our ultimate goal is to become a digital archive by instinct and design. One of our strategic priorities for 2017-18 is to lead a transformation in how digital records are managed at scale, from creation to presentation. Archival arrangement and description (which includes metadata management) are core elements of our digital task. Our digital strategy acknowledges that: 'There is also much that we still don't know. To manage that uncertainty we will work in an agile way, continuing to adjust our plans as we learn more. We will refine our priorities as we develop, iterating this digital strategy as we move forward.'19 Our descriptive practices, standards and schemas will also evolve within the same spirit as we move forward. Over the last year we have provided detailed feedback to colleagues working on the development of a new archival standard (Records in Contexts - Conceptual Model). This engagement and collaboration beyond national boundaries will continue in the future as we advance digital archival practices and standards. Cataloguing is defined at The National Archives as the process of arranging, assigning, creating or enhancing descriptive information (data) to make records accessible to users. We are engaged in a user experience research project which aims to understand better how users perceive our catalogue and what gaps there are between user expectations and our Discovery service. So far we have ingested (and made available through Discovery, our catalogue) 17 digital or hybrid record series with over 220,000 born-digital and digitised records20. Our experience with the transfer, preservation and presentation of these records has shaped our practice, although we continue to develop and streamline our process to automate this process fully. We are currently enhancing our digital infrastructure and handling several digital transfers from government departments as business as usual. In addition to this work we want to widen the types of digital records that we can preserve, meet the changing expectations of users in a digital world and develop our own digital capability, skills and culture. ## Appendix: List Of Digital And Hybrid Record Series Series for digital surrogates (8.9 million copies of original paper records) are not included here. \| Type \| Files \| \|----------------------------------------------------------------------\|--------------\| \| Reference \| Title \| \| Series \| \| \| Dates \| \| \| ADM 362 \| \| \| 1925-1939 \| Digitised \| \| 1925-1939 \| Digitised \| \| ADM 363 \| \| \| (CR) Cards \| \| \| 2009-2014 \| Born-digital \| \| \| \| \| ASI 2 \| \| \| of Iraqi nationals by British troops in the aftermath of the 'battle \| \| \| of Danny Boy' (The Al-Sweady Inquiry): Evidence. \| \| \| 1855-1995 \| Hybrid \| \| BT 31 \| \| \| Dissolved Companies. [Also includes 47,620 paper files.] \| \| \| 1856-1990 \| Hybrid \| \| BT 95 \| \| \| Index to Files of Dissolved Exempt Private Companies. [Also \| \| \| includes 2,525 paper files.] \| \| \| ILB 2 \| \| \| 2007-2011 \| Born-digital \| \| 1971-2006 \| Born-digital \| \| JA 418 \| \| \| Evidence to the Penrose Inquiry. \| \| \| 2011-2012 \| Born-digital \| \| LEV 2 \| \| \| Leveson Inquiry): Transcripts and Evidence. \| \| \| 2011-2013 \| Born-digital \| \| LEV 3 \| \| \| Leveson Inquiry): Judicial Reviews and Administrative Records \| \| \| 1901-1986 \| Hybrid \| \| MINT 20 \| \| \| 4,529 paper files.] \| \| \| MINT 33 \| \| \| 1972-1976 \| Digitised \| \| MINT 34 \| \| \| 1977-1981 \| Digitised \| \| MINT 35 \| \| \| 1982-1986 \| Digitised \| \| MINT 36 \| \| \| 1987-1991 \| Digitised \| \| 1939 \| Digitised \| \| RG 101 \| \| \| [ \| \| \| Details for over 40 million individuals from the 66,612 register \| \| \| booklets are available from a partner website \| ] \| \| 2006-2008 \| Born-digital \| \| RW 33 \| \| \| Preservation Departments. \| \| \| UKSC1 \| \| \| 2009 \| Born-digital \| \| 1997-2014 \| Hybrid \| \| WA 11 \| \| \| Board relating to Welsh language policy. [Also includes 14 \| \| \| paper files.] \| \| \| 2008-2010 \| Hybrid \| \| WA 12 \| \| \| Language in Education and Communities. [Also includes 2 \| \| \| paper files.] \| \| \| 2009-2014 \| Hybrid \| \| WA 13 \| \| \| to the use of Welsh Language in the Private and Public Sector. \| \|	en
0524-pdf	## Section 17 Notice Under The Freedom Of Information Act 2000 Withholding Information Section 21 states Information accessible to applicant by other means. (1) Information which is reasonably accessible to the applicant otherwise than under section 21 is exempt information. (2) For the purposes of subsection (1)— (a) Information may be reasonably accessible to the applicant even though it is accessible only on payment, and (b) Information is to be taken to be reasonably accessible to the applicant if it is information which the public authority or any other person is obliged by or under any enactment to communicate (otherwise than by making the information available for inspection) to members of the public on request, whether free of charge or on payment. (3) For the purposes of subsection (1), information which is held by a public authority and does not fall within subsection (2) (b) is not to be regarded as reasonably accessible to the applicant merely because the information is available from the public authority itself on request, unless the information is made available in accordance with the authority's publication scheme and any payment required is specified in, or determined in accordance with, the scheme. Section 21 is an absolute exemption which means there is no requirement to carry out a public interest test if the requested information is exempt. Section 40(2) - Personal Data Relating To Third Parties The information you have requested contains personal data. Personal data can only be released if to do so would not contravene any of the data protection principles as outlined in Data Protection Act 2018 and set out by Article 5 of the General Data Protection Regulation (GDPR) Personal data shall be processed lawfully, fairly and in a transparent manner Crown Prosecution Service, Information Access Team, Floor 8, 102 Petty France, London SW1H 9EA United Kingdom We believe releasing the requested information into the public domain would be unfair to the individuals concerned; these individuals have a clear and strong expectation that their personal data will be held in confidence and not disclosed to the public under the FOI Act.	en
0043-pdf	## Eu Tariffs Code Eu Tariffs Code Code Now In Comitology Process Member States Will Next Meet In April Inter-services consultation not due to start until late April Not expected to have final TAR NC for April April now a pre-comitology meeting Impact assessment still not approved ## Formal Comitology Meeting In June Member States could vote on English text (requires unanimous MS approval) or could vote to have additional meeting ## Eu Tariffs Code Additional meeting (if required) likely to be in September/October EC's aim is to finish Comitology prior to Madrid Forum in October Once text passed by Member States then governance process between EU Council, EU Parliament and EC (this takes several months) Possible "entry into force" in January 2017 (if code approved by MS in June) Could be delayed until April 2017 if 2nd comitology meeting required ## Feedback At Informal Ms Meeting Held 10 March MSs went Article by Article through the TAR NC Text difficult to read Not clear what problem is being solved and would welcome the respective explanation in the Impact Assessment Five main issues for April meeting: 1. ACER opinion (main point of contention) 2. Implementation period 3. Asset cost split 4. Storage 5. Interruptible pricing ## Eu Tariffs Code - Acer Review And Guidance Concerns by TSOs over ACER's role post consultation on proposed charging regime ACER to review consultation document plus summary and evaluation of consultation responses ACER can make recommendations to which NRA must take "utmost account" Concerns that this does not align with competence of ACER as outlined in Regulation (EC) 713/2009 In addition, ACER's ability to request information from NRA and requirement for NRA to respond within 30 days not foreseen by Third Energy Package. ACER review will slow down implementation process ENTSOG believes ACER's should have monitoring and reporting role instead ## Eu Tariffs Code - Acer Review And Guidance TAR NC has obligation on ACER to analyse regulatory approaches applied in EU and produce "Guidance Document" Aims at producing transparency on allowed revenues Concerns by TSOs that this goes beyond scope of TAR NC Code is about harmonising allocation of costs to users and not about harmonising the setting of allowed revenues. ENTSOG view is that ACER does not have the competence for this task Since setting allowed revenue is outside of scope of TAR NC, ENTSOG supports the deletion of this article. ## Eu Tariffs Code - Implementation At March Informal Ms Meeting Different application dates dependent of type of obligation Default applicable date is 1 January 2018 Publication requirements as of entry into force Change to reference price methodology linked to regulatory period Likely GB deadline is between June - October 2019 to start process ## Text Considered To Be Too Complicated Different application dates for different Member States Linkage between RPM and other parameters (e.g. multipliers).. ## Eu Tariffs Code - Implementation EC has subsequently proposed change for applicable date for all of obligations in code to be 17 months after entry into force Transitional arrangements and mitigating measures remain deleted. The proposed revised implementation timescale will be too short for a proper and consistent implementation in GB regime. National Grid and ENTSOG pushing back against this revised implementation period ENTSOG proposing 24 months implementation ## Eu Tariffs Code - Entsog Main Concerns Entsog To Develop Position Paper Implementation timescales Cost allocation test ACER consultation review Code focus on short term shipper behaviour ACER revenue calculation CWD as the counterfactual guidance (associated transparency) Specific nature of interconnectors Financial stability of TSOs Report on specific capacity Asset cost split products Within-day pricing: removal of flat Implementation monitoring article rate Smaller issues Storage List of non-transmission services Simplified model ## Eu Tariff Code And The Gb Charging Review Opportunity To Improve Gb Framework As A Key Driver Consider EU compliance in any development and how options fit with GTCR policy Chance to drive improvements with industry not just deliver EU Compliance (details discussed in NTSCMF) Industry workshop held 22 March ## Incremental Capacity Amendment To Cam Incremental Capacity Amendments To Cam Nc Process for the incremental capacity/CAM NC amendment comitology is same as for TAR NC MS meeting of 10 - 11 March: EC to come back at April meeting re Order of offer of conditional firm and interruptible capacity after nonconditional firm capacity Extending period for offering incremental (and existing) capacity beyond 15 years Frequency of incremental process Amount of capacity to be set aside in alternative CAM Solutions for booking platform cooperation Incremental reality check study (EU-Russia Gas Advisory Council) Groups involved: ENTSOG, Gazprom, IFIEC, IOGP and GIE	en
3293-pdf	Public health services for 0-5 year-olds Transfer of commissioning responsibilities to local authorities Initial contracting guidance for NHS commissioners Public health services for 0-5 year-olds Transfer of commissioning responsibilities to local authorities Initial contracting guidance for NHS commissioners Version number: 1 First published: November 2014 Updated: NA Prepared by: NHS Standard Contract Team Document classification: Official ## Nhs England Information Reader Box Directorate Medical Operations Patients and Information Nursing Policy Commissioning Development Finance Human Resources Publications Gateway Reference: 02448 Resources Document Purpose Document Name Public health services for 0-5 year-olds - Transfer of commissioning responsibilities to local authorities - Initial contracting guidance for NHS commissioners NHS England Author November 2014 Publication Date Target Audience Directors of PH, Local Authority CEs, NHS England Regional Directors, NHS England Area Directors, Directors of Children's Services, All commissioners of public health services for 0-5 year olds #VALUE! Additional Circulation List Description Responsibility for 0-5 years healthcare services transitions from NHS England to local authorities on 1 October 2015. Clear and robust contractual arrangements must be in place between commissioners and service providers through transition, and this publication sets out initial guidance for NHS England area teams on the approach they should take locally. Further guidance will be issued later in the autumn. Cross Reference NA NA Superseded Docs (if applicable) Action Required Write to providers of public health services for 0-5 year-olds Action required no later than 30 November 2014 Timing / Deadlines (if applicable) Contact Details for further information NHS Standard Contract Team 4E44 Quarry House Quarry Hill Leeds LS2 7UB nhscb.contractshelp@nhs.net http://www.england.nhs.uk/nhs-standard-contract/ ## Document Status This is a controlled document. Whilst this document may be printed, the electronic version posted on the intranet is the controlled copy. Any printed copies of this document are not controlled. As a controlled document, this document should not be saved onto local or network drives but should always be accessed from the intranet ## Contents \| 5 \| 1 \| Introduction……………………………………………………………… \| \|-----------------------------------------\|-------------------------------------------------------------\|--------------------------------------------------------------\| \| \| \| \| \| 5 \| 2 \| Overall approach……………………………………………………….. \| \| \| \| \| \| \| \| \| \| 6 \| \| \| \| 3 \| Option 1 - agreement of one single contract for 2015/16 for \| \| \| mid-year novation………………………………………………………. \| \| \| \| \| \| \| \| 7 \| 4 \| Option 2 - agreement of two separate six month contracts………. \| \| \| \| \| \| 8 \| 5 \| Communicating with providers………………………………………... \| \| \| \| \| \| 8 \| 6 \| Sharing contract documentation……………………………………… \| \| \| \| \| \| 9 \| 7 \| Complex scenarios………………………………………………...…... \| \| \| \| \| \| 10 \| 8 \| CQUIN…………………………………………………………………… \| \| \| \| \| \| 11 \| 9 \| Advice and support…………………………………………………….. \| \| \| \| \| \| 12 \| \| Appendix A……………………………………………………………. \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| ## 1 Introduction 1.1 The Key Consideration For National Stakeholders In The Transfer Of Commissioning responsibilities for 0-5 year-old Healthy Child Programme is to ensure a stable transition process which will maintain service continuity and support the continued development of the service, offering best outcomes to patients and their families. 1.2 As part of this transition, it will be important that clear and robust contractual arrangements are in place between commissioners and service providers through transition. This document sets out initial instructions and advice for NHS England area teams on the approach they should take locally to help secure this. 1.3 This document provides an overview of the contracting options available to NHS commissioners through transition and encourages local discussion on the most appropriate approach to suit local need. Continuity of service and service transformation is key to the safe transfer of commissioning responsibilities. This guidance is not aimed directly at local authorities, recognising that this is not the role of NHS England, however this document has been produced with input from, and has the support of, the Department of Health, Public Health England and the Local Government Association. We hope that it will be of interest and use to local authorities. ## 2 Overall Approach 2.1 NHS England's current contracts with service providers of 0-5 services can be split into two broad groups:  contracts that expire at 31 March 2015 (these are the majority);  contracts that expire after 30 September 2015, the date at which commissioning responsibility transfers (these are a substantial minority). 2.2 This initial guidance sets out the proposed approach for the first group of contracts, those expiring at 31 March 2015. Further information will be issued later in the autumn relating to the second group of contracts, ie those running beyond 30 September 2015. In the interim, NHS England national support centre team is working directly with those area teams who hold such contracts to agree a contract by contract approach. Area teams should not give notice to terminate these contracts at this time. 2.3 For contracts with service providers which expire on 31 March 2015, the overall approach which NHS England Area Teams should follow is summarised below. 2.4 Area teams, as the outgoing commissioners, should work with local authorities, as the incoming commissioners, to put in place new contracts with existing providers which ensure services are available to patients throughout the transition year. Service continuity and stability are a key principle of safe transfer. 2.5 In order to ensure this, area teams should, working with local authorities, put in place contracts with existing providers to commence on 1 April 2015. Two alternative approaches can be taken to this, depending on local circumstances.  Option 1. The area team can put in place a single contract for the fullyear of 2015/16, with a deed of novation being approved by the relevant local authority at the same time as the contract is signed, confirming that the contract will transfer to the local authority on 1 October 2015.  Option 2. The area team can put in place a six-month NHS England contract with the provider for the period from April to September 2015 and can help the local authority put in place a similar, but separate, contract with the provider for the period from October 2015 to March 2016. It would be very desirable for both contracts to be signed before the start of the 2015/16 financial year. There may be some cases where NHS England and the relevant local authority work with one or more CCGs to put in place a joint contract with the provider. These are discussed in section 7 below. 2.6 Area teams should discuss and agree the most appropriate approach with local authority colleagues. Further detail on each approach is set out in sections 3 and 4 below, including the situations in which each might be appropriate. ## 3 Option 1 - Agreement Of One Single Contract For 2015/16 for mid-year novation 3.1 With this option, the NHS England area team should work closely with the relevant local authority, negotiating jointly with the provider, to put in place one single contract with the provider for the period from 1 April 2015 to 31 March 2016. This contract will initially be held by NHS England, but will novate to the local authority on 1 October 2015. 3.2 The contract must be in the form of the 2015/16 NHS Standard Contract and must be separate from other contracts which NHS England may hold with the same provider, for instance for specialised services. This is essential so that the contract can novate as a separate entity. 3.3 The contract must secure the objectives to be set out in NHS England's public health commissioning intentions, which will be published later in the autumn. In particular, it must secure full delivery on an ongoing basis of the planned 2014/15 expansion of health visitor staff numbers. At the same time, the contract must fully reflect local authority commissioning requirements. 3.4 At the same time as agreeing and signing the contract with the provider, the area team must ensure that an appropriate deed of novation is formally approved by all the relevant parties. Area teams must not sign contracts with providers in advance of approval of the deed of novation by the provider and the relevant local authority, as this would result in an ultra vires act on the part of the area team. A template deed of novation will be provided by early January. 3.5 The area team should make every possible effort to ensure that the contract is signed, and the deed of novation approved, by the end of February 2015. 3.6 We envisage that Option 1 will be appropriate where there has already been discussion between the area team and the local authority about an intention to novate the contract, where the local authority is comfortable to use the NHS Standard Contract form, and where the local authority intends, in the short term at least, to commission the same range of 0-5 services from the same provider as NHS England. 3.7 If considering pursuing this option, therefore, area teams should seek early written assurance from the local authority on the issues in 3.6 above, before proceeding with negotiations to agree a full-year contract with the provider. We recommend that this is done by no later than 22 January 2015. Where a local authority is not able to provide this commitment, the area team will need to revert to Option 2. 4 Option 2 - agreement of two separate six-month ## Contracts 4.1 Under this option, the NHS England area teams and the relevant local authority would work closely together, negotiating jointly with the provider, to put in place  an NHS England contract with the provider for the period from 1 April to 30 September 2015; and  a local authority contract with the provider for the period from 1 October 2015 until 31 March 2016. 4.2 The NHS England contract must be in the form of the 2015/16 NHS Standard Contract and must be separate from other contracts which NHS England may hold with the same provider, for instance for specialised services. 4.3 The NHS England contract must secure the objectives to be set out in our public health commissioning intentions, which will be published later in the autumn. In particular, our contracts must secure full delivery on an ongoing basis of the planned 2014/15 expansion of health visitor staff numbers. 4.4 The area team should make every possible effort to ensure that its own contract is signed by the end of February 2015 and should offer every support to assist the local authority and the provider to sign their separate contract to the same timescale. 4.5 Where the local authority agrees, this contract can also be in the form of the NHS Standard Contract and can be based on exactly the same service specification, price and CQUIN requirements as the NHS England contract. This will assist considerably in assuring a stable transition period, as well as reducing the time spent on contract negotiation and drafting. Where this approach is agreed, the area team should be prepared to assist by producing the necessary contract documentation on behalf of the local authority, if the latter so wishes. 4.6 We anticipate that Option 2 will be more appropriate where, for instance, the local authority is uncertain about use of the NHS Standard Contract or wishes to change (within the limitations of the final mandate) the range of services commissioned. 4.7 Ultimately, of course, local authorities will make their own decisions about procurement and contracting. In the event that a local authority is not in a position to work with the area team and the provider towards Option 1 or 2, the area team must still ensure that it puts in place a stand-alone NHS England contract with the existing provider for the period from 1 April to 30 September 2015. 5 Communicating with providers 5.1 It is important that commissioners communicate clearly with all providers, in order to give confidence about the way in which the transition will be managed. We therefore recommend that area teams should write to each provider with a contract expiring on 31 March 2015, setting out the overall approach we intend to be taken locally to agreement of contracts for 2015/16. The letter should be sent by no later than 30 November 2014 - and should preferably be a joint letter with the relevant local authority. 5.2 Example letters for different scenarios are set out in Appendix A. These will need adaptation by area teams to reflect local circumstances. 6 Sharing contract documentation 6.1 Where area teams have not already done so, they should share existing contract documentation and in-year reporting information with local authority colleagues, allowing them to familiarise themselves with aspects of the existing contract such as service specifications, quality and reporting requirements and financial monitoring arrangements. 7 Complex scenarios 7.1 The description of Options 1 and 2 generally reflect the simplest of scenarios,  where the area team contracts with a single provider; and  where commissioning responsibility will transfer to a single local authority. 7.2 There are many different scenarios which may emerge at local level. Though this guidance cannot cater for them all, it is worth exploring three specific situations which may arise. Where, currently, a single NHS England contract exists, but multiple local authorities will commission the service separately in future, 7.3 This scenario is slightly more straightforward under Option 2, where NHS England is putting in place a six-month contract from April to September 2015. In this situation, area teams and local authorities could choose to put in place:  multiple NHS England contracts (ie one per local authority) from April to September 2015, mirrored by multiple local authority contracts from October to March; or  a single NHS England contract from April to September 2015, followed by multiple local authority contracts from October to March (but with the NHS England contract setting out service, financial and reporting requirements at local authority level). Conceivably, if the local authorities agreed that they wished to contract collaboratively for 0-5 services, there could be a single NHS England contract from April to September 2015, followed by one joint multi-party local authority contract from October 2015 onwards (rather than multiple separate ones). 7.4 Under Option 1, this scenario is more complex. Agreeing arrangements to novate a single NHS England contract to multiple local authorities would be possible, but complicated and time-consuming. It will therefore be more realistic to put in place multiple NHS England contracts (ie one per local authority) from April to September 2015, mirrored by multiple local authority contracts from October to March. Where both NHS England and the relevant local authority are currently party to an existing CCG-led contract with the provider, which includes 0-5 and other services 7.5 Where the local authority wishes the above arrangement to continue during 2015/16, then it should be possible to reflect this in one single contract which all of the parties sign at the start of the year - with the financial schedules reflecting that responsibility for commissioning and funding 0-5 services transfers from 1 October 2015 from NHS England to the local authority. Where the local authority is currently party to a CCG-led contract with the 0-5 provider (perhaps for other public health services) 7.6 In this instance, subject to the agreement of all parties, it would again be possible for the three different commissioners - CCG, local authority and NHS England - to sign the same contract with the provider for the full year of 2015/16. Again, the financial schedules could reflect the shift of commissioning responsibility for 0-5 services from 1 October 2015. Assuming that the only services being commissioned by NHS England were 0-5 services, NHS England's active input into the contract would cease from 1 October 2015. 7.7 In the two examples at 7.5 and 7.6, the form of contract to be used would be the NHS Standard Contract. ## 8 Cquin 8.1 Cquin (Commissioning For Quality And Innovation) Schemes Offer Providers operating under the NHS Standard Contract a financial incentive of up to 2.5% of actual contract value for achieving specified quality improvements. 8.2 Any new contracts entered into by NHS England for 0-5 services from 1 April 2015 onwards (whether this is under Option 1 or Option 2) should therefore include a CQUIN scheme, in accordance with the national CQUIN guidance to be published by NHS England later in the year - unless, in exceptional circumstances, agreed otherwise with the provider and stated in the contract. 8.3 Under Option 1, where contracts novated to local authorities include CQUIN schemes, local authorities will be bound by the terms of these schemes. 8.4 Under Option 2, where area teams are assisting local authorities in the development of new contract documentation with the provider for the second half of 2015/16, they should note that  if the local authority chooses to operate under the NHS Standard Contract, it should offer the provider a CQUIN scheme;  if using a different contract form, the local authority can still choose to offer the provider a CQUIN scheme - and retaining the NHS England CQUIN scheme may be advantageous in this situation;  if a different contract form is used, there is no requirement on the local authority to offer CQUIN (although the financial impact of this for 0-5 services would no doubt be something which the provider would wish to discuss with the local authority). 8.5 Clearly, under both Option 1 and 2, it will be important for area teams to ensure that they discuss CQUIN for 2015/16 in detail with local authority colleagues, as local authority support for planned CQUIN schemes will make a stable transition of contractual arrangements more likely. ## 9 Advice And Support 9.1 There Are Certain To Be Additional Issues Which Emerge And Further Complexities which need to be addressed. Where these cannot be resolved locally, area teams are welcome to raise these with the NHS Standard Contract team via nhscb.contractshelp@nhs.net. Updated guidance or FAQs will be issued as necessary. ## Appendix A Draft Letters For Area Teams To Send To Providers (Joint With Local Authorities Wherever Possible), Giving Details Of Future Contracting Intentions The Example Letters Below Are Drafted For The Most Straightforward Situation, Where There Is A Simple 1-1 Relationship Between Nhs England As The Current Commissioner And One Local Authority As Future Commissioner. Local Circumstances Will Vary Widely, Of Course, And The Letters Below Will Need To Be Adapted By Area Teams, Sometimes In Discussion With Local Authorities, To Suit The Particular Circumstances Of Each Contract. 1. Example Joint Letter Where Option 1 Is Proposed Joint Nhs England / Local Authority Letter To Be Sent Where  the existing contract expires on 31 March 2015  the area team and local authority intend that the area team should put in place a new contract for the full year of 2015/16, which will novate mid-year to the local authority  the local authority is therefore comfortable to state a broad intention, at this stage, to commission the service from the same provider, to use the NHS Standard Contract and to commission the same services at the same price as NHS England Dear [name] Transfer of commissioning responsibilities for 0-5 children's public health services As you know, responsibility for commissioning of 0-5 children's public health services will transfer from NHS England to local authorities on 1 October 2015. As the present and future commissioners, we are writing to update you on how we intend to manage the transition locally. Our underlying aim is to secure a smooth transition with continuity of service provision and clear, well-understood contractual arrangements. Draft financial allocations for 0-5 services for each local authority will shortly be [have now been] published by DH, and the national mandate for 0-5 services to be commissioned by local authorities will also be available in final form. Taken together, these will give a good basis on which contracts for 2015/16 can be agreed early in 2015. As you will be aware, NHS England's contract with you expires on 31 March 2015. Our joint intention is that, in the period from December 2014 to February 2015, contracting teams from NHS England and the Council will negotiate one single separate contract with you for 0-5 services covering the whole of 2015/16. The contract will be held initially by NHS England, but will then transfer by novation to the Council with effect from 1 October 2015. Our intention is that this contract will be signed, and the deed of novation approved, by the end of February 2015, thus giving you full clarity before the start of the year about funding and expected service levels for the full year. The contract will be in the form of the 2015/16 NHS Standard Contract. We hope that this letter is helpful in setting out our broad intentions at this stage and gives you, and your staff, confidence that the transition of commissioning responsibilities will be managed in a way which ensures continuity of service provision. However, before making firm decisions on these issues, the Council will wish to review the final version of the NHS Standard Contract for 2015/16 (which will be published by NHS England in December) and to review both the final mandate for 0-5 services to be commissioned and the final financial allocation it receives from the Department of Health. We will therefore write to you again in January with a further update. Yours sincerely [Name] [Job title] NHS England Area Team / XXX Council 2. Example joint letter where Option 2 is proposed Joint NHS England / local authority letter to be sent where  the existing contract expires on 31 March 2015  the area team and local authority have agreed to put in place two separate contracts, an NHS England contract for April to September 2015, and a local authority contract for October 2015 to March 2016. Dear [name] Transfer of commissioning responsibilities for 0-5 children's public health services As you know, responsibility for commissioning of 0-5 children's public health services will transfer from NHS England to local authorities on 1 October 2015. As the present and future commissioners, we are writing to update you on how we intend to manage the transition locally. Our underlying aim is to secure a smooth transition with continuity of service provision and clear, well-understood contractual arrangements. Draft financial allocations for 0-5 services for each local authority will shortly be [have now been] published by DH, and the national mandate for 0-5 services to be commissioned by local authorities will also be available in final form. Taken together, these will give a good basis on which contracts for 2015/16 can be agreed early in 2015. As you will be aware, NHS England's contract with you expires on 31 March 2015. Our joint intention is that, in the period from December 2014 to February 2015, contracting teams from NHS England and the Council will negotiate two separate contracts with you for 0-5 services  an NHS England contract for the period from 1 April 2015 to 30 September 2015  a local authority contract for the period from 1 October 2015 to 31 March 2016. [Add more detail about the form of contract to be used, if agreed.] Our intention is that these two contracts will both be signed by the end of February 2015, thus giving you full clarity before the start of the year about funding and expected service levels for the full year. We hope that this letter is helpful in setting out our broad intentions at this stage and gives you, and your staff, confidence that the transition of commissioning responsibilities will be managed in a way which ensures continuity of service provision. However, before making firm decisions on these issues, the Council will wish to review both the final mandate for 0-5 services to be commissioned and the final financial allocation it receives from the Department of Health. We will therefore write to you again in January with a further update. Yours sincerely [Name] [Job title] NHS England Area Team / XXX Council ## 3. Example Nhs England Letter Where Discussions With Local Authorities Are Not Well Advanced Letter to be sent by the area team alone, where the existing contract expires on 31 March 2015, but where the local authority does not feel able to make any written commitment on its contracting intentions at this stage Dear [name] Transfer of commissioning responsibilities for 0-5 children's public health services As you know, responsibility for commissioning of 0-5 children's public health services will transfer from NHS England to local authorities on 1 October 2015. I am writing to update you on how we intend to manage the transition locally. Our underlying aim is to secure a smooth transition with continuity of service provision and clear, wellunderstood contractual arrangements. Draft financial allocations for 0-5 services for each local authority will shortly be [have now been] published by DH, and the national mandate for 0-5 services to be commissioned by local authorities will also be available in final form. Taken together, these will give a good basis on which contracts for 2015/16 can be agreed early in 2015. As you will be aware, NHS England's current contract with you expires on 31 March 2015. Our statutory responsibility for commissioning 0-5 services will cease after 30 September 2015, and our intention is to place a new contract with you, separately for 0-5 services, covering at least the period from 1 April to 30 September 2015. We will aim to agree this contract with you by the end of February 2015; the contract will be in the form of the NHS standard Contract for 2015/16. We are in discussion with XXX Council about its commissioning intentions. The Council is not yet in a position to make a firm statement about its plans, pending confirmation of the mandate and its financial allocation. One option we will discuss with the Council is whether we can agree one single contract with you for the full year of 2015/16, with this being held initially by NHS England and then transferring to the Council mid-year by novation. We hope that this letter is helpful in setting out NHS England's intentions at this stage, and we will continue to work with XXX Council to ensure that there is a clear process to manage the transfer of commissioning responsibilities. We will write to you again in due course with a further update. Yours sincerely [Name] [Job title] NHS England Area Team (copy to XXX Council)	en
2244-pdf	Digital Services Project - Review # City Of York Council Internal Audit Memo Service Area: Corporate Responsible Officer: Assistant Director: Customer Services and Digital Introduction and scope 1.1 The Executive approved plans for a new smart and responsive online service which will improve access for residents, visitors and businesses at the Executive meeting on Thursday 11 February 2016. 1.2 The first stage of the programme is to improve users' online experience with the council, with the new Customer Relationship Management (CRM) system aiming to: - Provide online access to more services and information. - Ensure the council is more efficient and easy to do business with on a 24/7 basis. - Implement a 'My Account' system for residents offering a tailored access to council services. - Provide access via mobile devices and tablets, increasing accessibility for residents and other customers. - Allow residents and customers to track the progress of their requests and receive updates. 1.3 The programme is following the council's approved project management guidelines as its framework. The purpose of this audit was to provide assurance to management that procedures and controls within the project management system will ensure that: - Project management principles have been applied to the programme of work and specific projects - Governance arrangements are in place and are at the correct level for the programme - Risk management is considered and reviewed throughout the programme 1.4 This audit was a desktop exercise and reviewed only information received by the Project Board. An initial review was carried out in July 2016 and feedback was provided. A follow-up was then carried out and this report summarises both pieces of work. Veritau has also attended Board meetings since July in order to provide support, challenge and advice. ## Findings 2.1 Project Board information from January 2016 was reviewed for this audit. All project documents were available within the specific folders on the council's network. There was a clear folder structure and most documents were clearly labelled. ## Project Management Arrangements 2.2 There is a designated project team with a clear mandate and a project plan in place. This was all confirmed prior to the review period but is evidenced throughout the documentation. 2.3 The project is monitored through the meetings of the Project Board which occur at regular intervals (currently monthly) and the Project Board meetings are minuted and supported by documentation in line with those outlined within the All About Projects framework including highlight reports. ## 2.4 The Highlight Report Gives The Current Status Of The Project. There Is An Approved Communications Plan And All Key Stakeholders Have Been Invited To Attend The Project Board Meetings. Governance Arrangements 2.5 There is a clear governance structure in place for the project. There is a formal Project Board which has an approved Terms of Reference. The Project Board represents all council services. It provides a governance mechanism for managing the project providing assurance and reporting upwards to council's management team, Scrutiny and Executive. 2.6 The Project Board has also formally assigned the role of project assurance to the Programme Manager and they attend the Project Board meetings. 2.7 The project has documented this governance structure and has made provision for any time when board meetings do not align to key decision points. The chair of the Project Board has, on those occasions, been delegated the following powers which would be ratified at the next board meeting: - To approve budget spend above £10,000. - To approve changes to the project milestones and scope. 2.8 It was suggested during the initial review that, it would be good practice to have at least three Project Board members (including project assurance) to take these decisions outside of the normal meetings, thereby the decisions are still subject to challenge by key board members. In November, the chair invited key stakeholders to an extra meeting to make a decision on the deployment for the release for Street lighting and Street Cleaning (a Go Live decision). The decision was made with a number of caveats - a copy of which was circulated to the full Project Board. 2.9 Minutes are produced for each board meeting and they are reviewed at the next board meeting for accuracy. The review found that the content of the minutes could be improved. The following main issues were identified: - The minutes were not produced on a timely basis. On the two occasions the minutes were requested after the Project Board (July and November), they were not available for over three weeks. This has an impact on the project team who are required to check their accuracy and use them to inform the current project papers before circulating them to the Project Board before the next meeting. - The minutes do not include an action log (nor is one maintained separately). There is therefore no formal mechanism for ensuring that all actions arising from the board meetings were completed. Questions raised within the minutes are not always answered in subsequent minutes or supplementary papers and information that was to be sought outside of the Project Board meeting is not always brought back to the Project Board at the next meeting, and therefore not followed up for the completeness of records. These issues would be resolved by the implementation of an action log. - Decisions were not always formally recorded within the minutes and the basis on which the Project Board has made decisions was not always articulated or cross referenced to the supporting papers. A decision log was implemented in July and going forward attention will be placed on the wording of the decisions so that the articulate the specifics of what the board has agreed to. - It was not clear which documents had been circulated or presented to the Project Board. There were a number of versions of some documents available within the project folders at the time of review. Not all documents had been saved as a PDF version with an appropriate label. Risk Management Arrangements 2.10 The project actively monitors risk and discussions are held at the Project Board meetings. There are project specific risk registers (Phase One and Release Two) which were refreshed in October 2016. The risk registers are maintained through the Council's risk management system - Magique. This ensures that the corporate risk management matrix is used and that specific fields are completed. 2.11 The risk register which was presented to the Project Board in January 2016 did not document the gross and net risks for the project - however this has been corrected and the current registers display both the gross and net risk scores. 2.12 Risks are updated as and when required but the formal registers are being brought back to the Project Board on a bi-meeting basis. As the format of the risk register is quite static, the Project Board has recently requested that all ongoing changes are highlighted. This will allow them to quickly acknowledge any amendments within the controls and actions for the specific risks. 2.13 An issues log for Phase One of the project has been established. This is presented to the board along with the risk registers. It should be noted that the critical success factors for the project have been documented and are monitored within the project. Conclusions and Recommendations 3.1 It was found that the arrangements for managing risk were good with few weaknesses identified. An effective control environment is in operation, but there is scope for further improvement. Our overall opinion of the controls within the project at the time of the review was that they provided Substantial Assurance. The key areas for improvement are: - The quality and timeliness of the meeting minutes should be addressed. The review has confirmed that whilst discussions take place at the board meetings and decisions made, they are not always accurately reflected in the minutes. - An action tracking mechanism within the meeting minutes or an action log should be maintained. This should be updated after all Project Board meetings to ensure that all actions are reviewed to ensure that they are actioned. - The decision log should be revised to ensure that it only contains decisions made at the board meetings (and not actions) and that the wording of the decisions articulates the decision made by the board. ## Further Work 4.1 Veritau will continue to attend the Project Board meetings and will confirm that the agreed actions have been completed. ## Management Response 5.1 The issues identified above were raised constructively at the time so we could take some remedial action. The agreed actions can be seen in Appendix 1 ## Action Plan Action Number Issue Risk Agreed Action Priority* Responsible (Ref 3.1) The quality and timeliness of the meeting minutes has been addressed. A project resource will continue to produce the minutes with the support of the project manager, who will record all actions/decisions made for the respective logs. The aim is to have minutes produced within 3 working days of the meeting. Information may be lost or recorded incorrectly. 1 The minutes are not produced on a timely basis. An action log has been introduced. This cross references to any actions made within the meeting minutes and included timescales, responsible office and timescales. The action log will re reviewed at the start of each meeting with the previous meetings minutes. Actions and outcomes may be lost, not followed up or reported back to the board. 2 The minutes do not include an action log (nor is one maintained separately). Decisions are not always formally recorded within the minutes and the basis on which the Project Board has made the decisions was not always articulated or cross references to the supporting papers. The decision log has been revised to ensure that it accurately reflects and contains all decisions made at the board meetings (and not actions). Decisions may not be recorded accurately. 3 The format has changed so that key information is captured within the log Officer Timescale Project Sponsor (Assistant Director: Customer Services and Digital) COMPLETED In effect from December 2016 meeting 2 Project Sponsor (Assistant Director: Customer Services and Digital) From March 2017 meetings 3 Project Sponsor (Assistant Director: Customer Services and Digital) From March 2017 meetings 3 *The priorities for actions are: Priority 1: A fundamental system weakness, which presents unacceptable risk to the system objectives and requires urgent attention by management. Priority 2: A significant system weakness, whose impact or frequency presents risks to the system objectives, which needs to be addressed by management. Priority 3: The system objectives are not exposed to significant risk, but the issue merits attention by management. Where information resulting from audit work is made public or is provided to a third party by the client or by Veritau then this must be done on the understanding that any third party will rely on the information at its own risk. Veritau will not owe a duty of care or assume any responsibility towards anyone other than the client in relation to the information supplied. Equally, no third party may assert any rights or bring any claims against Veritau in connection with the information. Where information is provided to a named third party, the third party will keep the information confidential.	en
2169-pdf	Timescale Owner Observations Delive Recommendation Actions Priority High/Low/ Medium High On-going Chief Operating Officer 1. The Management Committee needs to monitor and champion Knowledge and Information Management within Defra. The Management Committee has endorsed Defra's response to the Information Management Assessment. The Chief Operating Officer will oversee further work on this. The Management Committee has agreed to support a programme of work to ensure that staff have access to the right tools to support effective information management and collaboration. High January 2013 Develop a Knowledge Strategy for Core Defra and the Defra network. Head of Knowledge, Transparency and Resilience Strategy and Portfolio 2. Knowledge Transparency and Resilience Team (KTR) to develop a Knowledge and Information Management Strategy and revised Plan for Core Defra Medium On-going Head of Knowledge, Transparency and Resilience Services Implement plans to harmonise appraisal of physical and electronic material as a single process, making use of appropriate project management techniques. 3. Knowledge Services Team to continue to develop a process to appraise the legacy of electronic information. Progress on implementation red? Yes/N o Information Management is to be reported annually to the Permanent Secretary and Management Committee; next report due June 2013. In part Will need to take opportunities to engage Ian Trenholm and use him for communications to DGs and Directors. Possibly report progress to him during 2013. Update 7/11/12: COO engaged & on board, as is Exec C'tee & P/Sec. No In hand Update 7/11/12: Devt of a cross-Network Knowledge Strategy in hand & aim to deliver end Mar 2013 Investment already completed in identifying legacy electronic information. Process developed and agreed with TNA to flag up key records as well as low value material. Deletion script developed and tested. In part Update 26/09/12 (KA): Orphaned info on 3 Defra servers has been appraised & results are being assessed ahead of TNA progress meeting on 28 Nov. Overlap with ICT work on overburdened Defra servers recognised & will feed into appraisal programme (i.e. removal of low value/very old material). Planning to discuss revised policy re jpeg issues with Standards + revisit proposal to remove pre-2001 information from all servers. A Timescale Owner Observations Delive Progress on implementation Recommendation Actions Priority High/Low/ red? Medium Yes/N o new procedure to remove info older than 3 years from a problem server into a new large storage server is to be tested & results analysed with a view to a rolling programme on other problem servers. Update 6/11/12 (KA): Action in hand to delete orphaned & old data from one server (request to run deletion script with IBM). Info older than 5yrs has been removed from problem servers by ICT & placed in new holding server. Planning to raise issue of where to prioritise limited eappraisal resource once overlap servers i.e. servers with orphaned info that are also near capacity, have been checked. DRO has approved deletion of pre2001 info. Planning to update policies idc. Update 7/11/12: In hand - info analysed & deletion programme progressing as detailed above Update 30/11/2012 (KA): Agreed with Strategy to bring KS/KP/ICT interests together as a major project. TNA comments (meeting on 28): wherever possible a macro-appraisal approach to servers should be adopted but accept that this is difficult if important info is buried in substructures. Will compare server Timescale Owner Observations Delive Recommendation Actions Priority High/Low/ Medium Review and develop the IAR as part of the project to implement Defra's Open Data Strategy and implement. Medium July 2013 Head of Knowledge, Transparency and Resilience Strategy and Portfolio 4. KTR Team to expand the scope of the Information Asset Register (IAR) for Core Defra to create a management tool which captures the business requirements of the organisation. Build on work already done to develop a Digital Continuity Plan in conjunction with Defra / Group ICT and IT delivery partners. Medium March 2013 Head of Knowledge, Transparency and Resilience Strategy and Portfolio 5. KTR Team to put in place a digital continuity plan to ensure that Defra maintains its ability to use its digital information over time and through change Medium March 2013 Head of A revised Core Defra Information Services Strategy will be developed covering both Knowledge and Information Management and ICT. Knowledge, Transparency and Resilience Strategy and Portfolio 6. KTR Team to ensure that individual elements of the ICT Strategy are developed collaboratively Progress on implementation red? Yes/N o size to equivalent paper file size in order to help understand the breadth of a server macro-appraisal. TNA not accepting e-info for preservation until at least 2014 as already overwhelmed. No In hand Update 7/11/12: Identified where our IAs are, who owns them, etc., work now in progress to populate IAR No Need to take stock of work done and discuss with key stakeholders in KTR and Defra / Group ICT before developing a plan. Update 7/11/12: Project progressing - PMgr appointed, established contact with TNA to identify solutions No Have agreed with Nick Teall that the IS Strategy will be a very high level document underpinned by a Defra Network Knowledge Strategy (to be developed under action 2) and an updated ICT Timescale Owner Observations Delive Recommendation Actions Priority High/Low/ Medium with IS colleagues and embed knowledge management. Medium On-going Head of Knowledge, Transparency and Resilience Strategy and Portfolio Improve technical change process to ensure that Knowledge and Information Management issues are fully considered. The Departmental Records Officer represents the Knowledge, Transparency and Resilience Team on the Defra NOW Programme Board. 7. KTR Team to ensure that every technical change project includes formal representation from a skilled Knowledge and Information Management representative. Defra NOW Programme need to ensure that information and records management, information assurance and Data Protection requirements and concerns are fully represented on the Programme Board. Progress on implementation red? Yes/N o Strategy. Regular meetings with Nick arranged to progress this. Update 7/11/12: Regular mtngs with NT to progress Defra NOW Programme expects to start actively working with business areas within the next three months and to complete the full rollout of a single electronic information repository within two years. In part KPs now attending meeting with DNOW team to ensure KIM principles raised in discussions. Update 7/11/12: DRO engaged with DNOW Prog to ensure compliance with IMR standards, etc. Update 4/12/12: Programme Team have worked with the Business Relationship Team (BRT) and Knowledge Transparency and Resilience (KTR) Team within Information Services to determine the most suitable candidates for the early initiatives. From a potential list of twenty five, three have been selected to take forward. Review Knowledge and Information Management roles across Defra to ensure they are able to support the business and meet legislative requirements effectively under the new Defra organisational structure. Medium March 2013 Head of Knowledge, Transparency and Resilience Services Head of Knowledge, Transparency and Resilience Strategy and Portfolio 8. KTR Team to raise capability by retraining staff with Information Management responsibility, this must include Information Asset Owners (IAOs), Local Information Managers (LIMs) and Information Management Representatives (IMRs). \| \| No \| \|-----------------------------------\|-------\| \| networks (e.g. Transparency \| \| \| contacts) also need \| \| \| considering. A high level map \| \| \| is needed of the various \| \| \| networks to help plan actions. \| \| \| MKi will initially pull this \| \| \| together and work with SL. \| \| \| Liaison and communication \| \| \| with the Network can be done \| \| \| under the banner of the \| \| \| Knowledge Strategy \| \| \| development. \| \| \| \| \| \| Update 6/11/12 (MKi): \| For \| \| core-Defra, Table listing \| \| \| current IM roles, \| \| \| responsibilities & options \| \| \| regarding possible future IM \| \| \| roles, has been drawn up for \| \| \| review within KTR. Once \| \| \| agreed, this will be shared with \| \| \| core-Defra Business to seek \| \| \| their views. \| \| \| \| \| \| Update 4/1/212 (MKi): \| As a \| \| result of listing current roles & \| \| \| responsibilities, opportunities \| \| \| to rationalise identified. \| \| \| Feedback from core-Defra \| \| \| Business indicates high level \| \| \| of satisfaction with support \| \| \| received from KTR & \| \| \| willingness to support review \| \| \| of roles - proposals will be \| \| \| shared with Business at \| \| \| workshop to be scheduled for \| \| \| Jan 2013. \| \| \| \| \| \| High \| \|----------------------------------\| \| \| \| \| \| Throughout \| \| 2012 \| \| \| \| \| \| March 2013 \| \| \| \| \| \| Head of \| \| Knowledge, \| \| Transparency \| \| and Resilience \| \| Standards \| \| \| \| Head of \| \| Knowledge, \| \| Transparency \| \| and Resilience \| \| Services \| \| Revise information policies to \| \| improve advice to business \| \| areas. \| \| \| \| Provide support to help business \| \| areas manage their information \| \| during the Defra organisational \| \| restructuring. \| \| \| \| Develop ongoing information \| \| management support to \| \| business areas through new \| \| Knowledge Partner roles. \| 9. Using its understanding about its information requirements, KTR Team to introduce and enforce policies about the structure and use of corporate digital repositories, including Accredited Shared Drives, Shared Drives and SharePoint 2007. \| Medium \| \|--------------------------------\| \| Knowledge, \| \| Transparency \| \| and Resilience \| \| Services \| \| While maintaining the baseline \| \| information generated from the \| \| Information Audit, KTR will \| \| refocus on providing direct \| \| support to business areas \| \| through the new Knowledge \| \| Partners to help make \| \| improvements. \| 10. The KTR Team, with support from senior management, needs to maintain the Information Audit Programme and develop a plan to increase the use of what to keep within business areas. 11. The KTR Team to provide adequate induction training, educational work Knowledge, Transparency and Resilience Services team to provide front line support through the new Knowledge Partner roles. Assess scope to make better use of induction Medium March 2013 Head of Knowledge, Transparency and Resilience Strategy and Portfolio In part In part In part Revision of policies to improve advice to business areas is complete. Knowledge Services Team are supporting business areas in management their information through the organisational restructuring. Further support will be provided as the new Knowledge Partner posts are filled. Update 7/11/12 (KW): Policies revised & updated & avail on intranet. Plan to rationalise across Delivery network. Approach is to improve IM culture rather than enforce. New team established to engage with the business to encourage best practice. Initial engagements are going well. Team still carrying vacancies. Update 4/12/12 (MKi): Support to Bus Areas going well. KPs engaging with teams. Engaged with 60% of business areas so far to solution IM issues and promote best practice. The Knowledge, Transparency and Resilience Services Team will incorporate information audit as a technique to be used where appropriate in understanding information management in business areas. This will help provide more effective support in managing information and applying What to Keep guidance. In part Update 7/11/12 (KW): KPs working directly with teams to help solve IM issues raised in Information Audit programme. Aim to achieve better understanding of information holdings as more teams operating in structured environments. WTK to be updated if appropriate. Update 4/12/12 (MKi): Revised approach is to conduct initial risk-based Diagnostic Health Checks No Update 25/9/12 (SL): MKi to kick off work on this and to liaise with SL. Update 6/11/12 (MKi): development of KTR and refresher courses for staff. training and other learning services. Head of Knowledge, Transparency and Resilience Services Evaluate future requirement for the Vault Email archive under the Defra NOW Programme. 12. Evaluate the appropriateness of the use of a separate email archive system. Low March 2013 Head of Knowledge, Transparency and Resilience Standards specialists is progressing in line with wider Defra 'Staff Professionalisation' initiative - SL appointed as Head of Profession for KIM & workshop held 5/11/12 to help implement initiative. Work in hand to pull together material to help induct new KTR recruits to KTR. Action to up-skill wider Defra staff is in hand: Knowledge Partners are actively engaging with teams in the core Dept; the Intelligence Hub, situated in the London complex & offering a range of KIM services & advice, has attracted a range of staff since its opening at the beginning of Oct. Induction of Defra staff in general down to local Activity Mgrs to direct staff to intranet which contains KTR-related info Update 4/12/12 (MKi): Catalogue of KTR Services & Products about to be launched which will help communicate to staff & educate them about the range of information management resources at their disposal It is currently intended that that Vault, the current email archive system will be removed once a formal EDRM system with proper lifecycle management of emails In part In hand. Mike Kaye to ensure that the need for Vault is removed by Defra NOW. Update 7/11/12: work progressing in line with corporate policy until DNOW completes	en
0126-pdf	## Supplier Licensing Review - Stakeholder Workshop Housekeeping \| Time \| Agenda Item \| \|----------------------------------------------\|----------------------------------------------------------------------------------------\| \| 10 - 10.30 \| \| \| - \| \| \| Introduction \| \| \| - \| \| \| Problem we are aiming to solve \| \| \| - \| \| \| Aims of the day \| \| \| 10.30 - 11.05 \| Table discussion \| \| 11.05-11.20 \| Facilitator Feedback \| \| Tea & Coffee 11.20 - 11.35 \| \| \| 11.45 - 12.00 \| Introduction to policy options \| \| 12.00-12.30 \| Q&A \| \| 12.30-13.00 \| Live poll \| \| Lunch 13.00-13.50 (feedback/comment boards ) \| \| \| 13.50 - 15.00 \| \| \| Table discussion: \| Participants to reflect on live poll results \| \| 15.00 - 15.30 \| \| \| Design your own solution \| : Stakeholders to design a solution of what they think is best reform package for SLR. \| \| 15.30 - 16.00 \| Closing remarks/summary \| 1. To encourage discussion that ensures our work packages are focused on the right areas to achieve the principles of Supplier Licensing Review. 2. Clarify questions and hear your views on the various options we are considering for our ongoing and exit packages. 3. Your opportunity to feed in your views to help inform our current thinking on the way forward for the Supplier Licensing Review. • Supplier failures that have led to increased costs to consumers • Poor customer service • Practical challenges in moving customers during a SoLR ## Supply Licensing Review - Core Principles 1. Suppliers should adopt effective risk management and be adequately prepared and resourced for growth, and bear an appropriate share of their own risk 2. Suppliers should maintain the capacity and capability to deliver a quality service to their customers, and foster an open/constructive dialogue with Ofgem 3. We maintain proportionate oversight of suppliers, and effective protections for consumers exist in the event of failure 4. Our licensing regime facilitates effective competition and enables innovation Market Entry Comes into effect Summer 2019 Ongoing requirements Consult in Q3/Q4 2019 Resources New requirement to demonstrate appropriate knowledge, funding, awareness of risks & necessary capabilities Promoting more responsible risk management Would require higher standards from suppliers relating to managing risk and growth Readiness to comply with obligations New requirement to demonstrate awareness of key regulatory obligations & how the supplier intends to comply More responsible governance and increased accountability Would look to incentivise and promote good conduct from those in senior management and other positions of influence Improved market oversight Would enhance Ofgem's oversight of the market and promote better standards via new reporting requirements 'Fit and proper' test More robust assessment of whether persons with significant management responsibility, directors, shareholders or influence are fit and proper to hold a licence Exit arrangements Consult in Q3/Q4 2019 Improving efficiency and competitiveness of the SoLR process Would review the process for managing supplier failure and appointing a SoLR Improving the mechanisms to recover costs Would look to improve the experiences for customers of a failing supplier Improving the SoLR experience for consumers Aims to review the recovery mechanisms for SoLR related costs • Does our 'theories of harm' diagram reflect your understanding of the issues the Supplier Licensing Review is trying to address? • What parts of the current regulatory arrangements are not acting as effective mitigations for the issues we are seeing? • What do you think are the most pressing issues to be resolved? • In which 'stages' of the flow diagram should remedies be focused (ie supplier behaviours, business impacts, market impacts) ## Introduction To Policy Options Importance Of Recognising Interactions Between Different Asking for views Prioritise a package from stakeholders of options to take on a long list of forward potential options Consult on and implement specific policy options ## Q&A 1. What are your top 3 priorities for Ofgem to deliver? 2. What are the top 3 options you consider would deliver the most benefits if achieved? 3. What are the top 3 options you consider to be easy wins? ## Design Your Own Solution? What is the optimum package of options you'd want from the Supply Licence Review?	en
0402-pdf	Disclosure ref: 52 Sent: 2nd October 2019 ## Freedom Of Information Act 2000 Request Cps Policies Regarding Dealing With Disabilities/Emails/Hate Crimes/Abuse Request Please Provide Your Policies On 1. Dealing with people with disabilities 2. Dealing with emails 3. Dealing with hate crimes 4. Dealing with abuse Response You supplied details relating to previous correspondence with the Crown Prosecution Service (CPS) within the email chain containing your FoI request. Based upon those details, we have interpreted point one of your request to be for CPS policies in relation to our engagement with members of the public with disabilities. Our "CPS 2020 inclusion and community engagement strategy" is published on the CPS website. Our "Public consultation on Mental Health Conditions and Disorders: Draft Legal Guidance" has also been recently published on the CPS website. As both documents are published they are withheld under section 21 of the Freedom of Information Act (FoIA) - information accessible by other means. Please see the attached section 17 refusal notice for a more detailed explanation of this exemption. Under section 16 of the FoIA we have an obligation to advise what, if any information may assist you with your request. The publications can be accessed on the CPS website via the following links: https://www.cps.gov.uk/publication/cps-2020-inclusion-and-community-engagement-strategy Crown Prosecution Service, Information Management Unit, Floor 8, 102 Petty France, London SW1H 9AJ United Kingdom www.cps.gov.uk https://www.cps.gov.uk/consultation/public-consultation-mental-health-conditions-and-disordersdraft-legal-guidance The CPS has interpreted point two to refer to policies relating to our email communication with members of the public. Policy guidance held within the scope of point two relates to Feedback and Complaints. The CPS publishes its Feedback and Complaints Guidance on its website. The publication is therefore withheld under section 21 of the FoI Act. Our internal policy guidance regarding Feedback and Complaints is withheld under section 31 - law enforcement. Please see the attached section 17 notice for an explanation of this exemption. Under section 16 of the FoIA advice and assistance, the CPS' published Feedback and Complaints Guidance can be accessed via the following link. Information considered the most appropriate to point two, can be found on page 13. https://www.cps.gov.uk/feedback-and-complaints The CPS publishes operational information relating to "Hate Crime" which includes a leaflet titled "What is Hate Crime and what to do about it." This information, along with all other published information detailed below is withheld under section 21 of the FoIA. Under section 16 of the FoIA, for advice and assistance relevant links to the CPS website relating to the information described below are provided: https://www.cps.gov.uk/hate-crime The CPS publishes prosecution guidance and public statements regarding hate crimes, including "Disability Hate Crime." The legal guidance on disability hate crime can be accessed via the following link: https://www.cps.gov.uk/legal-guidance/disability-hate-crime-and-other-crimes-against-disabledpeople-prosecution-guidance The public statement relating to disability hate crime can be accessed on the CPS website via the following links: Public statement on prosecuting disability hate crime and other crimes against disabled people The CPS has interpreted point four to refer to our operational policies regarding alleged criminal activity involving abuse. Prosecution Guidance relating to criminal offences, including those that involve forms of abuse can be found on our website. Under section 21 of the FoIA the guidance is withheld as it is accessible by other means. Under section 16 of the FoIA, advice and assistance, the guidance can be accessed via the following link: https://www.cps.gov.uk/prosecution-guidance Information Management Unit 020 3357 0788 IMU@cps.gov.uk	en
4807-pdf	# Proven Re-Offending Statistics: Definitions And Measurement ## Contents \| Proven re-offending statistics quarterly bulletin \| 3 \| \|--------------------------------------------------------------\|-----\| \| \| \| \| Early estimates of proven re-offending statistics \| 11 \| \| \| \| \| Local adult re-offending statistics quarterly bulletin \| 14 \| \| \| \| \| Data quality \| 16 \| \| \| \| \| Statistical modelling and coefficients \| 26 \| \| \| \| \| Appendix A: List of serious offences \| 34 \| \| \| \| \| Appendix B: Glossary of terms \| 39 \| \| \| \| \| Appendix C: Comparison of the three measures of re-offending \| 47 \| \| \| \| \| Contact details and further information \| 48 \| \| \| \| \| \| \| ## Proven Re-Offending Statistics Quarterly Bulletin Background The Ministry of Justice launched a statistical consultation on improvements to the transparency and accessibility of our information in 2010 and a response to the consultation was published in March 2011. One aspect of the consultation was the measurement of proven re-offending. Responses have supported the proposals to move to a single framework for measuring re-offending where adult and youth data can be provided at the national and local level on a consistent basis. The response to the consultation is available here: www.justice.gov.uk/downloads/consultations/improvements-moj-statisticsconsultation-response.pdf Prior to this consultation there were six different measures of proven reoffending:  national adult proven re-offending;  local adult proven re-offending;  national youth proven re-offending;  local youth proven re-offending;  prolific and other priority offending (PPO); and  drug-misusing proven offending. The current framework for measuring proven re-offending integrates these approaches into a single framework. This allows users to:  form a clear picture of proven re-offending at national and local levels;  compare adult and youth results, and enable other work on transition between the youth and adult system;  understand how results for different offender groups (such as those managed by the prison and probation services, those under the PPO schemes, drug-misusing offenders, first time entrants, etc.) fit into the overall picture on proven re-offending; and  continue to analyse proven re-offending behaviour for particular types of offender. ## Measurement The underlying principle of measuring re-offending (or recidivism, which is the most commonly used term internationally) is that someone who has received some form of criminal justice sanction (such as a conviction or a caution) goes on to commit another offence within a set time period. Measuring true re-offending is difficult. Official records are taken from either the police or courts, but they will underestimate the true level of re-offending because only a proportion of crime is detected and sanctioned and not all crimes and sanctions are recorded on one central system. Other methods of measuring re-offending, such as self report studies, are likely to also underestimate the rate. Following the Ministry of Justice consultation on Improvements to Ministry of Justice Statistics (2010), a proven re-offence is defined as any offence committed in a one year follow-up period and receiving a court conviction, caution, reprimand or warning in the one year follow-up or a further six month waiting period. The data source is the extract of the Police National Computer (PNC) held by the Ministry of Justice. Definitions for the measurement of proven re-offending Cohort This is the group of individuals whose re-offending is measured. For the Proven Re-offending Statistics Quarterly Bulletin, this is defined as all offenders in any one year who received a caution (for adults), a final warning or reprimand (for juveniles), a non-custodial conviction, or were discharged from custody. Offenders who were discharged from custody or secure accommodation (juveniles only) or commenced a Court Order are matched to the PNC database. A proportion of cases are lost in this process because they cannot be matched (see the section below titled "Matching offender records" for further details). Additionally, offenders who appear multiple times in the cohort are only included once (see the section below titled "Multiple offender entries" for further details). The group of offenders whose offending behaviour is proven is likely to be a sub-group of all active offenders. The Offending, Crime and Justice Survey (2003)1 estimated that around one in ten people in England and Wales aged between ten and 65 had committed an offence in the previous 12 months, which translates into approximately 3.8 million people. This compares to 632,000 offenders in the 2002 cohort used to measure proven re-offending, underlining that the offenders whose proven re-offending behaviour is presented in the Proven Re-offending Statistics Quarterly Bulletin are a small and probably unrepresentative sample of the population of all active offenders. Index disposal (sentence type) The index disposal of the offender is the type of sentence the offender received for their index offence. For the Proven Re-offending Statistics Quarterly Bulletin, this is defined as custody, court order, other disposal resulting from a conviction at court, such as a fine or discharge, caution (adult offenders), reprimand or final warning (young offenders). Index offence The index offence is the proven offence that leads to an offender being included in the cohort. An offence is only counted as an index offence if it is:  recordable (see below);  committed in England and Wales;  prosecuted by the police; and  not a breach offence. There are around 3,000 offence codes on the PNC and these have been classified into the following 21 groups:  violence (non serious)  violence (serious)  robbery  public order or riot  sexual  sexual (child)  soliciting or prostitution  domestic burglary  other burglary  theft  handling  fraud and forgery  absconding or bail offences  taking and driving away and related offences  theft from vehicles  other motoring offences  drink driving offences  criminal or malicious damage  drugs import/export/production/supply  drugs possession/small scale supply  other Start point (index date) This is the set point in time from when proven re-offences are measured. For the Proven Re-offending Statistics Quarterly Bulletin, this is defined as the date of prison discharge, date of court conviction for non-custodial sentences, date of receipt for a caution, reprimand or final warning or the date of a positive drug test. Follow-up period This is the length of time proven re-offending is measured over. For the Proven Re-offending Statistics Quarterly Bulletin, this is defined as 12 months from the start point. Waiting period This is the additional time beyond the follow-up period to allow for offences which are committed towards the end of the follow-up period to be proven by a court, resulting in a conviction, caution, reprimand or final warning. For the Proven Re-offending Statistics Quarterly Bulletin, this is six months. Figure 1 below illustrates why different offences for an example offender are included or excluded in the proven re-offending measure. ## Figure 1: How Events Of Re-Offending Are Included In The Measure? Events A to E all occur in the one year follow-up period, but events F and G are outside this period, so would not be counted. Events A to D are all counted because they were all proven within the one year follow-up period or the further six month waiting period, but event E, even though the offence took place in the one year follow-up period, would not be counted, as the conviction did not occur within either the one year follow-up period, or the further six month waiting period. The offender has, therefore, committed seven proven offences during the one year follow-up period (two for event A, one for event B, three for event C, and one for event D). Proven re-offence Offences are counted as proven re-offences if they meet all of the following criteria:  They are recordable. Not all offences are on the PNC and more recordable offences are entered than non-recordable offences. Analysis comparing offences proven at court with offences recorded on the PNC suggests the most cost common offences that are not recorded relates to motor vehicles, e.g. using a motor vehicle whilst uninsured against third party risks, speeding offences, keeping a vehicle on the highway without a driving licence or television licence evasion.  They were committed in England or Wales.  They are offences that were prosecuted by the police. PNC data is collected and input by the police and offences prosecuted by the police are likely to be recorded more comprehensively on the PNC than offences that are prosecuted by other organisations. For example, benefit fraud is prosecuted by the Department for Work and Pensions. Therefore, benefit fraud offences may be poorly represented on the PNC.  Offences are only counted if they are proven through caution (for adults), reprimands or final warnings (for juveniles) and court convictions. Offences that are not proven, or which meet with other responses from the Criminal Justice System, are not counted. The Offending, Crime and Justice Survey (2003) estimated that six per cent of all offences resulted in any contact with the Criminal Justice System.  The offence is not a breach offence, i.e. breach of a court order, since we are only interested in new offences. Adjusted baseline (predicted rate) Proven re-offending is related to the characteristics of offenders which means that any overall rate of proven re-offending will depend, in part, on the characteristics of offenders coming into the system (just as the examination pass rate of a school will be related to the characteristics of its pupils). We use a modelling technique to produce a baseline figure adjusted to match the characteristics of the cohort we are comparing. For more details on this, refer to the chapter on "Statistical modelling and coefficients". Measures of proven re-offending Proven re-offending data are presented in the following ways:  The number of offenders.  The proportion of offenders who are proven re-offenders.  The average number of proven re-offences among re-offenders.  The average number of proven re-offences among all offenders including those who committed no proven re-offences (previously the frequency rate).  The proportion of proven offenders who committed a proven serious re-offence against the person. Refer to Annex A for details on what counts as a serious offence.  The proportion of proven offenders who committed a proven serious acquisitive re-offence. Refer to Annex A for details on what counts as a serious acquisitive offence.  The proportion of offenders who are proven to re-offend, adjusted to control for changes in offender characteristics. This measure is different from the other measures in that it does not come from actual re-offences, but from a statistical model created for the baseline year of 2008. This gives a better indication of actual change against a baseline. Refer to the chapter on "Statistical modelling and coefficients" for further details. Multiple offender entries Each offender is tracked over a fixed period of time and any proven offence committed in this period is counted as a proven re-offence. A multiple offender entry refers to an offender who, after entering the cohort in a given year, commits a re-offence and is either cautioned, discharged from prison or gets a non-custodial conviction in the same cohort year. This re-offence could also be included as a second entry for this offender into the cohort. Re-offence 2 Re-offence 2 Re-offence 3 Re-offence 3 ffender Cautioned Re-offence 1 Offender starts a community sentence Offender Cautioned Offender Cautioned Re-offence 1 Offender starts a community sentence Offender sentenced to 3mnths in prison then released Offender sentenced to 3mnths in prison then released Offender sentenced to 3mnths in prison then released ## 1 year cohort period To date, publications have avoided the double counting of these multiple offender entries (MOE) by only counting an individual once based on their first proven offence in the relevant time period. In the illustration above, the caution would be counted as the index disposal and the further two proven offences would be counted as re-offences. This avoids double counting of proven re-offences. In this publication the main tables (tables 1 to 17) in the report have been produced on the basis of the 'first proven offence in the relevant time period' which led to an offender being included. This provides a picture of proven re-offending which is consistent with previous publications and tracks an offender, irrespective of the disposal they receive, to when they commit a proven re-offence. The measure of proven re-offending now covers all offenders in any one year instead of the first quarter of a calendar year as in previous proven reoffending publications. The result is many more offenders with multiple entries. In addition, including cautions to identify a proven offence means many offenders' first offence will be associated with a caution since cautions account for around a third of adult offenders in one year. Table 1 shows the number of offenders in each cohort period by their number of entries. 2000, 2002 to 2010 cohorts Multiple 2008 2009 Offender Entries 2000 2002 2003 2004 2005 2006 2007 2010 1 512,551 522,376 544,032 551,265 582,840 622,096 638,495 610,329 578,644 535,394 2x 75,311 77,813 81,651 78,969 81,120 87,589 91,695 88,207 83,785 79,067 19,565 21,208 22,073 20,855 20,926 21,974 23,757 23,662 22,125 21,466 6,195 6,689 7,074 6,835 6,725 6,807 7,652 7,917 7,360 7,425 3x 4x 1,998 2,314 2,392 2,357 2,355 2,425 2,795 2,911 2,938 2,909 1,240 1,510 1,689 1,641 1,505 1,513 1,966 2,341 2,308 2,368 5x 6 to 10x Greater than 10x 164 155 129 131 119 115 114 160 202 193 Total MOEs 104,473 109,689 115,008 110,788 112,750 120,423 127,979 125,198 118,718 113,428 16.9% 17.4% 17.5% 16.7% 16.2% 16.2% 16.7% 17.0% 17.0% 17.5% 617,024 632,065 659,040 662,053 695,590 742,519 766,474 735,527 697,362 648,822 % of total cohor t Cohort The number of offenders with multiple entries has remained fairly constant over time - the proportion of the total that had multiple offender entries has remained at about 16 to 17 per cent between 2000 and 2010. Proven re-offending by index disposal, probation trust and prison In order to measure proven re-offending on a consistent and representative basis by offender management groups, it is necessary to distinguish between the disposal (sentence) types that led to an offender being included. Doing this allows the cohort to be defined according to the relative start point of an offender's interaction with the prison (released from custody) or probation services (court order commencement). Tables 18 to 21 provide re-offending rates by disposal (sentence) types, These are produced on the basis of an individual's first disposal (sentence) in that category. In the illustration above the individual would appear once in the caution category, once in the community order category and once in the custody category. These tables will include an overall prison and probation proven re-offending rate which will be the figures we quote publicly. However, these figures should not be used when comparing proven reoffending rates across different disposals to compare effectiveness. Instead the 'Compendium of Re-offending Statistics and Analysis 2011' (at the link below) should be referred to as this analysis controls for offender characteristics in order to give a more reliable estimate of the relative effectiveness of different disposals. www.justice.gov.uk/statistics/reoffending/compendium-of-reoffendingstatistics-and-analysis Tables 22 to 25 provide re-offending rates by individual prison and probation trust. These are produced on the basis of an individual's first disposal from each specified prison or probation trust. If the individual offender is discharged from two different prisons in the year they will appear in both of the prison's re-offending rates. The same applies for offenders commencing court orders in more than one probation trust within the year. This is to allow prisons and probation services to track their caseload of offenders. ## Early Estimates Of Proven Re-Offending Statistics Background Responses from the consultation and from earlier engagement with representatives of front-line offender management services supported the proposal to produce early estimates of proven re-offending using shorter follow-up and waiting periods. This is intended to provide offender managers feedback on the proven re-offending trends of offenders they are working with in time for them to adjust or build on offender management operational policy. This section of the new bulletin addresses these issues. Early estimates of proven re-offending are presented for four particular offender groups who are subject to specific offender management arrangements. These are offenders managed by the probation service, Prolific and other Priority Offenders (PPO) who are managed by a partnership of local front-line services, drug-misusing offenders who are managed by Drug Action Teams, and young offenders who are managed by Youth Offending Teams. Proven re-offending for the early estimates is measured in exactly the same way as for the headline proven re-offending measure except that the followup period and waiting period are both three months each. (For the headline measure of proven re-offending they are 12 months and six months, respectively.) The headline figures and early estimates differ in the following ways:  Early estimates of proven re-offending rates are considerably lower than in the headline publication. This is because they cover a shorter time period.  The shorter follow-up period and waiting period allow rates to be calculated for more recent groups of proven offenders.  Early estimates of proven re-offending rates provide local offender management services with information on proven re-offending trends for the offenders they are working with. The headline re-offending publication presents the public with information on a wide range of proven re-offending trends and provides proven re-offending rates by a variety of breakdowns, such as age, gender, disposal, etc.  The shorter follow-up period and waiting period provides insufficient time for many serious re-offences to be committed and convicted. For this reason, early estimates of proven re-offending rates do not include information on serious re-offending.  Results in the headline measure are compared to a baseline rate, adjusted for changes in the offender profile. This relies on an estimate of the relationship between offender characteristics and proven re-offending behaviour over 12 months. An equivalent estimate has been carried out for the proven re-offending behaviour of offenders commencing court order over three months. This uses the same variables as the headline measure plus additional variables to ensure that the actual and predicted rates are identical for every probation trust in the baseline period (2008). The tables accompanying the early estimates present the adjusted baseline for each trust, and the text identifies those trusts where the actual rate is significantly higher or lower than the predicted rate in the most recent results available. ## Measurement Coverage Results are provided for four types of offenders: probation offenders by probation trust, PPO offenders by upper-tier local authority, drug-misusing offenders by Drug Action Team, and young offenders by Youth Offending Team. Cohort For probation offenders, the cohort is made up of all offenders who commenced a court order within a 12 month period. For PPO offenders, the cohort is made up of all offenders identified as a PPO who were discharged from custody, convicted at court, received a caution (adults), reprimand or final warning (juveniles) or tested positive for opiates or cocaine within a 12 month period. For drug-misusing offenders, the cohort is made up of all offenders identified as drug-misusing who were discharged from custody, convicted at court, received a caution or tested positive for opiates or cocaine within a 12 month period. For juveniles, the cohort is made up of all young offenders who were discharged from custody, convicted at court or received a reprimand or final warning within a 12 month period. Start point (index date) Same as for the headline proven re-offending figures presented in the Reoffending Statistics Quarterly Bulletin. Follow-up period This is the length of time proven re-offending is measured over. For the Early Estimates of Proven Re-offending, this is defined as three months from the start point. Waiting period This is the additional time beyond the follow-up period to allow for offences which are committed towards the end of the follow-up period to be proven by a court, resulting in a conviction, caution, reprimand or final warning. For the Early Estimates of Proven Re-offending Statistics, this is three months. Proven re-offence Same as for the headline proven re-offending figures presented in the Reoffending Statistics Quarterly Bulletin. Adjusted baseline (predicted rate) Proven re-offending is related to the characteristics of offenders which means that any overall rate of proven re-offending will depend, in part, on the characteristics of offenders coming into the system (just as the examination pass rate of a school will be related to the characteristics of its pupils). We use a modelling technique to produce a baseline figure adjusted to match the characteristics of the cohort we are comparing. For more details on this, refer to the chapter on "Statistical modelling and coefficients". Multiple offender entries Same as for the headline proven re-offending figures presented in the Reoffending Statistics Quarterly Bulletin. ## Local Adult Re-Offending Statistics Quarterly Bulletin Background Proven re-offending results from this measure have been published by the Ministry of Justice since February 2009 at Government Office Region, probation trust and local authority level. This data is used to measure probation performance and the Ministry of Justice will continue to produce these measures while offender management systems still require them. The Local Adult Re-offending Statistics Quarterly Bulletin can be found on the Ministry of Justice website at the following link: www.justice.gov.uk/statistics/reoffending/local-adult-reoffending The local proven re-offending data measure the re-offending of all offenders on the probation caseload. This includes offenders on licence and serving court orders. Local proven re-offending rates use the same follow-up period and waiting period to those for the early estimates. However, there are several key differences between the local measure and the early estimates. These include:  The sample of offenders - local rates are estimated using all offenders on the probation caseload, including those on licence and those serving court orders. Offenders on the caseload are identified through four 'snapshots' of the caseload, which are taken each quarter. Offenders are included if they are on the caseload even if they have been on licence or serving the court order for longer than 12 months. The early estimates are based on offenders who commence a court order within a 12 month period.  Local rates define the period reported on by the period of reoffending. The early estimates refer to the year of the index disposal. ## Measurement Cohort All Offenders On The Probation Caseload Taken From Four Quarterly Snapshots. Start Point The Date Of The Snapshot. Follow-Up Period This Is The Length Of Time Proven Re-Offending Is Measured Over. For The Local Adult Re-Offending Statistics Quarterly Bulletin, This Is Defined As Three Months From The Start Point. Waiting period This is the additional time beyond the follow-up period to allow for offences which are committed towards the end of the follow-up period to be proven by a court, resulting in a conviction, caution, reprimand or final warning. For the Local Adult Re-offending Statistics Quarterly Bulletin, this is three months. Proven re-offence Same as for the headline proven re-offending figures presented in the Reoffending Statistics Quarterly Bulletin. Adjusted baseline (predicted rate) The predicted rate is the proportion of offenders we would expect to reoffend given the known characteristics of the offenders in the snapshot and re-offending rates in the baseline period. More detail on the predicted rate, and the statistical model used to calculate it, is provided in Appendix B of the Local Adult Re-offending Statistics Bulletin. ## Data Quality The data required for measuring proven re-offending are based on a range of data sources (prison data, probation data, identification of drug-misusing offenders, identification of prolific and other priority offenders, young offenders in secure accommodation, and criminal records from the Police National Computer) from a range of agencies (the National Offender Management Service, probation trusts, the Youth Justice Board, Drug Action Teams, local authorities and the National Police Improvement Agency). These figures have been derived from administrative IT systems which, as with any large scale recording system, are subject to possible errors with data entry and processing. Police National Computer data Information regarding the proven re-offending behaviour of offenders has been compiled using the Ministry of Justice's extract from the Police National Computer (PNC). The process involves matching offender details from the prison and probation data to the personal details recorded on the PNC. A proportion of cases cannot be matched and the figures presented in Table 2 below are expressed as a percentage of the offenders that are matched. Like any large scale recording system, the PNC is subject to errors with data entry and recording. The PNC is regularly updated so that further analysis at a later date will generate revised figures. The quality of the information recorded on the PNC is generally assumed to be relatively high as it is an operational system on which the police depend, but analysis can reveal errors that are typical when handling administrative datasets of this scale. The extent of error or omitted records on the PNC is difficult to estimate because it is a unique data-source. As a result, there is not always an obvious source of data to provide a baseline from which to assess data quality. For some types of results, however, comparisons can be made. For example, the trend in receptions into prison in each month is very similar using the PNC and prisons data (see below for details). Although the number of receptions recorded on the PNC is consistently slightly lower because prisons data include cases on remand whereas the PNC does not. Another example is the number of cases that are given a custodial sentence, broken down by offence type, which is similar using the PNC and the Court Proceedings Database with a match rate of 97 per cent. A number of improvements are routinely carried out:  Updates to the coding and classification of offences and court disposals, including the reduction of uncoded offences, the reduction in the use of miscellaneous offence codes and the clarification of the coding of breach offences;  Updates to the methods used to identify the primary offence, where several offences are dealt with on the same occasion, and the methods used to identify the primary disposal, where an offence attracts more than one court disposal; and  Removal of some duplication of records within the database resulting in improvements to the efficiency and reliability of the matching process. Prison data Prison establishments record details for individual inmates on the prison IT system (Prison-NOMIS or LIDS). The information recorded includes details such as date of birth, gender, religion, nationality, ethnic origin, custody type, offence, reception and discharge dates and, for sentenced prisoners, sentence length. The data from individual prison establishments then feeds through to a central computer database, called the Inmate Information System (IIS). In May 2009, the National Offender Management Service (NOMS) began the roll-out of a new case management system for prisons (Prison-NOMIS). During the phased roll-out, data collection issues emerged that affected the supply of data for statistical purposes from July 2009 to February 2010. Specifically, statistical information on sentence length and offence group are not available on any of our prison datasets for this period. In order to ensure the fullest possible set of data from July 2009 to February 2010, sentence lengths were estimated for those prisoners received or discharged before the problems were resolved. At the point when the problems were resolved, a small number of prison establishments were still using the old LIDS case management system; data for prisoners received or discharged from these prisons was assumed to be unaffected. For those prisoners received or discharged from prisons operating Prison- NOMIS, efforts were made to populate their record with the correct sentence length using other data extracts. For example, many prisoners discharged in January 2010 were originally received into prison prior to July 2009, so their sentence length was taken from unaffected datasets before the problems began. Similarly, the majority of those received in early 2010 were still in prison in March 2010 when the problems were resolved, so the sentence length from the corrected prison population data was used. Where it was not possible to populate a sentence length using other datasets, prisoners were allocated a sentence length band based on the number of days they spent in custody (taking account of early release schemes where relevant). As a check on the methodology, an alternative estimation process was designed and the number of discharges in each sentence length band for the second half of 2009 was compared using the two methods. A number of estimation methods were considered and tested on the 2008 data (prior to the data problems) to see which yielded estimates closest to the actual 2008 data. This identified the following method: 1. Calculate data for the first half of the year as a proportion of the full calendar year, for each year from 2001 to 2008; separately for each sentence length band or offence group (the two key breakdowns to be estimated). 2. Apply the average of these proportions to the January to June 2009 data to estimate the 2009 annual totals; separately for each sentence length band or offence group. 3. Scale the estimated numbers in each sentence length band or offence group to sum to the annual total recorded in the raw data (where the totals are known to be correct). The maximum difference between the two approaches was 2.6 per cent in the band '12 months to less than 4 years'; for all other bands the difference was less than 1 per cent. Indeterminate sentence prisoners In addition to the above, data on the discharge of prisoners on indeterminate sentence (prisoners given a life sentence or an Indeterminate sentence for Public Protection (IPP) is provided from the Public Protection Unit Database (PPUD). This holds data jointly owned by the Offender Management and Public Protection Group (OMPPG) in NOMS and the Parole Board. PPUD records details of all indeterminate sentence prisoners at the point of conviction, those engaged in the Generic Parole Process and prisoners (determinate and indeterminate) who have been recalled from licence. It also covers those who have received a restricted hospital order/direction from a Crown Court, and those remand and convicted prisoners who have been transferred from prison/detention centres to psychiatric hospital under the relevant sections of mental health legislation. All decisions taken by the NOMS casework sections and the Parole Board are recorded on the system. Personal information recorded includes (but is not limited to) name, date of birth, gender, identifying numbers, ethnicity, last known address, probation area and sentencing information. OMPPG and the Parole Board run monthly and ad hoc reports to cleanse data that are not otherwise identified by data validation routines built into the system. Probation data Since 2005, detailed information on the supervision of offenders (at the individual offender level) has been submitted by probation trusts on a monthly basis. These monthly 'probation listings' include information on offenders starting probation supervision. Between 2002 and 2005, this information was submitted quarterly, and prior to 2002 a different data collection system was in place, which meant that information on caseload had to be calculated based on the number of people starting supervision and the number of terminations. The quality of the information recorded on the probation data is generally assumed to be relatively high as it is a direct extract from an operational system upon which the probation service depends for managing offenders locally. The extract consists of a small number of key fields for which completion is mandatory. Probation trusts have their own IT departments which manage their own data validation processes and when the data is received centrally it is subject to another set of data validation processes. Trends from the data are consistent with comparable time-series from the Courts Proceeding Database. Any large scale recording systems are subject to possible errors with data entry and processing, but there are no known issues regarding the probation commencements data. Identification of drug-misusing offenders There are four ways a drug-misusing offender can be identified:  Individuals who have tested positive for heroin or crack/cocaine following an arrest or charge for 'trigger' offences (largely acquisitive crime offences) as part of the Drug Interventions Programme (DIP) are included as adult proven offenders.  Any offender that received an OASys assessment whilst on licence or on a community sentence and are either recorded as being subject to a current Drug Treatment and Testing Order (DTTO) or Drug Rehabilitation Requirement (DRR), or are assessed as having a criminogenic drug need.  Any offender identified as requiring further drug interventions by Counselling, Assessment, Referral, Advice, Throughcare (CARAT) teams in prison, and now being released into the community.  Any offender identified by local Criminal Justice Integrated Teams (CJITs) as requiring further intervention for their drug use and offending as part of DIP. Drug Interventions Programme The Drug Interventions Programme (DIP) was introduced in April 2003 with the aim of developing and integrating measures for directing adult drugmisusing offenders into drug treatment and reducing offending behaviour. The programme comprises of a number of interrelated interventions:  Drug testing in police custody for specified Class A drugs - heroin, cocaine and crack cocaine - for individuals arrested for trigger offences (primarily offences related to acquisitive crime).  Assessment following a positive test to establish the extent of the individual's drug-misuse, and whether the individual might benefit from further assessment, assistance or treatment.  Conditional cautioning which may include a DIP drug rehabilitative condition, tailored to the offender's drug use and offending.  Restriction on bail for adults who have tested positive and whose offence is a drug offence or is drug-related.  CJITs manage offenders who have been referred to treatment and co-ordinate agencies and services so they offer access to joined-up treatment and support. They maintain strong links with both the National Probation Service and Prison Service to ensure the continuity of care whilst the offender is within the Criminal Justice System. Legislative changes have broadened the scope of the programme:  A major expansion of DIP took place in April 2006 to move the point of drug testing from the point of charge to the point of arrest and to introduce required (rather than voluntary) assessments. This change broadened the scope and size of the cohort coming into contact with DIP.  The latest changes took effect from April 2011, when the authorisation to conduct drug testing on arrest was extended across England and Wales. Drug testing on arrest previously occurred only in 'intensive' DIP areas, which had high levels of acquisitive crime. Data sources Records of those who test positive are logged onto the Drugs Intervention Management Information System (DIMIS), which is managed by the Home Office. An extract of positive drug test records for the relevant period is used for a match to the PNC. Offenders identified as drug-misusers via CARAT teams and CJITs are also recorded onto DIMIS, from which an extract is taken for the relevant period to match to the PNC. OASys records are collated centrally within the Ministry of Justice in the OASys Data, Evaluation and Analysis Team (O- DEAT) database, from which an extract is taken for the relevant period to match to the PNC. Identification of prolific and other priority offenders The Prolific and other Priority Offenders Programme (PPO) aims to use a multi-agency approach to focus on a very small, but hard core group of prolific/persistent offenders who commit disproportionate amounts of crime and cause disproportionate harm to their local communities. Full implementation of all three strands had commenced by the beginning of February 2005. In 2009, all local areas were asked to review their PPO schemes to ensure that the programme remained squarely focused on those offenders that were of most concern to the communities in which they live. The identification of a PPO is undertaken at a local level involving police, local authorities, prison and probation services and youth offending teams. The factors that influence the decision of whether an offender is included in the PPO programme are:  the nature and volume of crimes they commit;  the nature and volume of other harm they cause; and  the detrimental impact they have on their community. This process will typically involve police, prison and probation information systems and other tools available. The size of the PPO caseload at a local level is influenced by a range of factors, including the number of offenders who meet the locally agreed selection criteria and the capacity of local partner agencies to provide the intensive management of offenders under PPO supervision. PPO cohort data are derived from JTRACK, which is a management information and tracking tool used by practitioners in various criminal justice agencies to record details of the offenders being managed as PPOs in a local area. JTRACK relies on the accurate input of data by local users to ensure that the details of the caseload on the system reflect the caseload being managed. An extract of the caseload from JTRACK is taken for the relevant period to match to the PNC. Young offenders in secure accommodation Information about secure training centres (STCs) and secure children's homes (SCHs) comes from the Youth Justice Board's (YJB) Secure Accommodation Clearing House System (SACHS) database. The under 18 year olds in Young Offender Institutes (YOIs) is also from SACHS, whereas information about young people aged 18 and held in YOIs is supplied by the Prison Service and private YOIs. The quality of the information recorded on the SACHS database is generally assumed to be relatively high as it is a direct extract from an operational system which is used to place young people in custody. The extract uses a number of key fields for which completion is mandatory when booking a young person into custody. Data processing and analysis The data underpinning the results are considered by Ministry of Justice to be broadly robust. Considerable work has been carried out ensuring data quality, and the data have been used for research publications. Scrutiny of the data source continues in order to ensure the data remains reliable. The National Audit Office (NAO) identified risk factors in its review of the reporting of PSA targets (NAO, 2005). The remainder of this section addresses these. Matching offender records This process involves matching data on prison discharges and court order commencements to the PNC database. The process uses automated matching routines that look at offenders' surnames, initials, and dates of birth, using direct name matching along with a variety of 'sounds like' algorithms. The matching algorithm also searches through PNC held information on alias names and dates of birth for offenders. However, not all offenders are matched and a thorough analysis of bias in the matching system has yet to be undertaken. Table 2 below shows that the overall matching rates between 2000 and 2010 have remained high. 2000 2002 2003 2004 2005 2006 2007 2008 2009 2010 Prison Prison discharges 87,083 87,338 85,920 86,970 84,897 83,725 87,340 95,824 94,114 91,044 Automatically matched to the PNC 80,572 81,211 80,121 81,125 79,398 78,285 81,874 90,021 88,745 87,845 Matched to an index date 73,810 75,121 73,327 73,390 71,246 68,185 69,741 76,668 74,189 65,278 Percentage matched to the PNC 92.5% 93.0% 93.3% 93.3% 93.5% 93.5% 93.7% 93.9% 94.3% 96.5% Percentage matched to the PNC and index offences (not breach etc.) 84.8% 86.0% 85.3% 84.4% 83.9% 81.4% 79.9% 80.0% 78.8% 71.7% Court Orders Court order starts 136,023 154,621 158,750 164,831 163,681 176,346 187,386 189,643 191,784 186,417 Automatically matched to the PNC 123,540 142,838 148,257 154,075 158,416 172,906 184,740 187,253 190,128 185,112 Matched to an index date 105,685 115,108 119,446 122,927 130,307 148,072 159,279 163,519 167,378 164,579 Percentage matched to the PNC 90.8% 92.4% 93.4% 93.5% 96.8% 98.0% 98.6% 98.7% 99.1% 99.3% Percentage matched to the PNC and index offences (not breach etc.) 77.7% 74.4% 75.2% 74.6% 79.6% 84.0% 85.0% 86.2% 87.3% 88.3% YJB YJB discharges - 1,337 1,612 1,521 1,551 1,564 1,553 1,647 1,626 1,770 Automatically matched to the PNC - 1,226 1,502 1,425 1,448 1,464 1,463 1,537 1,564 1,682 Matched to an index date - 680 818 785 800 769 780 845 817 916 Percentage matched to the PNC - 91.7% 93.2% 93.7% 93.4% 93.6% 94.2% 93.3% 96.2% 95.0% Percentage matched to the PNC and index offences (not breach etc.) - 50.9% 50.7% 51.6% 51.6% 49.2% 50.2% 51.3% 50.2% 51.8% The total number of offenders matched to the PNC is substantially higher than the final figure for the cohorts - for example, in 2010 there were 274,639 matched offenders, but a final cohort size of 230,773. The main reasons for these discrepancies are:  Conviction dates for the beginning of the community, suspended or custodial sentence do not match the conviction date within seven days of the criminal records from the PNC database;  The index offence was not dealt with by a Home Office police force - this ensures that only offences in England and Wales are counted;  Exclusion of all offenders where the index offence is a breach, since we are only interested in new offences; and  Exclusion of multiple offender entries (see section above titled "Multiple offender entries" for further details). Counting rules The counting rules for choosing which prison discharges to include offer a variety of choices. For instance, it makes little sense to include offenders deported on release or who have died. These counting rules were enumerated and discussed to ensure a more accurate and consistent count and are reviewed on an annual basis to ensure a consistent approach. Complexity of data processing and analysis The data processing involved for measuring re-offending is complex. To analyse re-offending behaviour by previous offending or disposal history requires the extraction of criminal histories that can span a number of decades, and the subsequent matching of these histories against the probation caseload files and prison discharges in order to generate a dataset. The extraction of the criminal histories To quality assure the extraction of criminal histories, a small set of random samples of offenders was taken after the analysis to check, via a basic validation, that outputs of the SQL (Structured Query Language) program were accurate. The Ministry of Justice is confident that this process has been successful. Level of subjectivity There is relatively little subjectivity in the system. Occasional judgements are required (e.g. where to classify an offence), but these will not significantly influence the results. Maturity and stability of the data system The system is well established having been used a number of times to produce re-offending statistics for publication. Nonetheless, vigilance continues to be exercised to ensure the validity of the results. Expertise of those who operate the system Prison and court order data-feeds are continually monitored and improvement work is regularly undertaken to improve the reliability and the accuracy of datasets. The internal processing of the results within the Ministry of Justice has been subject to dip sampling of criminal histories and the statistical model has been extensively tested. ## Interpreting Trends In The Proportion Of Offenders Who Commit A Serious Re-Offence Against The Person Care Should Be Taken When Interpreting The Severity Rate For The Following Reasons:  Time through the Criminal Justice System - more serious offences are likely to take a longer time to progress through the Criminal Justice System than less serious offences. The proven reoffending statistics track proven re-offending behaviour for a year upon offenders entering the cohort, plus an additional six months for convictions to be updated on the system. There is a risk that this time scale is not long enough to capture the most serious offences. However, analysis suggests that the number of serious proven reoffences picked up by the measure remains comparatively stable year on year, ensuring performance is comparable over time.  Reporting variation - variation in reporting time between police force areas and courts may also have an impact on how many serious offences are captured during the one year follow-up period. Data on historical trends The data used to measure proven re-offending is from the PNC. Police forces started to enter criminal records locally in 1995. In order to allow time for good practice among police forces in entering data onto the PNC to become embedded, PNC data was used to measure proven re-offending for the first time in 2000. In the headline bulletin, results are compared to 2000 to highlight long-term trends because it is the earliest data on proven reoffending that exists on a comparable basis. Results prior to 2000 cannot be compared to results from 2000 onwards for two main reasons:  Change in data source - re-offences are measured using data from the PNC (which covers recordable offences), whereas data from years before 2000 were measured using the offenders index (which covered a narrower range of offences).  Change in measurement - the concept being measured from 2000 onwards in these reports is that of using the offence date to measure re-offences (a period of time is allowed for offences to be committed, and a further period allowed for these offences to be proved by caution, reprimand, final warning or court conviction), whereas the concept being measured prior to 2000 was that of using the conviction date to measure re-convictions (any conviction occurring in a set period of time, whether or not the offence occurred in that time period). However the 'Compendium of Re-offending Statistics and Analysis 2010', published in November 2010, provides the most consistent statistical series possible between 1971 and 2006, adjusting for known methodological changes. For more information, please refer to Chapter 4.4 at the following link: www.justice.gov.uk/statistics/reoffending/compendium-of-reoffendingstatistics-and-analysis Results for 2001 cannot be calculated for offenders on court orders because of a problem with archived data on court orders. Local breakdowns of the headline proven re-offending rates are available from 2005 onwards. Proven re-offending data are broken down by locality using the address and post-code information of the offender. Where this information is missing, the location of the processing police force is used instead. This is not a completely reliable indicator of the offender's home address as offenders may offend in a different locality than where they reside. The completeness of this information has improved over time. In 2000, this information was omitted for 29 per cent of cases, which was considered too high to produce reliable results. By 2005, this was reduced to 16.5 per cent, and there has been a continuing downward trend since then. ## Statistical Modelling And Coefficients Introduction The characteristics of proven offenders are likely to be systematically different over time and by sentence type as the Criminal Justice System targets particular sentences to offenders most likely to benefit from that type. It is therefore important to note that it is not possible to reach firm conclusions about changes in rates over time, nor about the relative effectiveness of different sentence types, from actual proven re-offending rates. The Ministry of Justice has developed models to address these two issues:  modelling to adjust the baseline to reflect changes in offender characteristics (see below).  modelling to match offenders across sentence types to make valid comparisons. Refer to the 'Compendium of Re-offending Statistics and Analysis 2011' at the link below for this analysis: www.justice.gov.uk/statistics/reoffending/compendium-of-reoffendingstatistics-and-analysis ## Modelling To Adjust For The Varying Composition Of The Cohort Of Offenders Over Time If the composition of the cohorts of offenders being compared differs significantly over time so that the type of offenders in one year is inherently more (or less) likely to re-offend, this may result in an apparent rise or fall in the proven re-offending rates even when there may be no 'real' difference for similar offenders over that time. In order to address this problem, we have adopted the following solution:  modelling the likelihood of proven re-offending based on known offender characteristics using historic data (which will be defined as the baseline);  identifying the characteristics of the most recent cohort;  using the model, adjusting the baseline proven re-offending rate to match these characteristics; and  comparing this adjusted rate with the current rate to make a more realistic estimate of trends over time. In previous publications of proven re-offending statistics, this approach has been referred to as the predicted rate of proven re-offending. Statistical model The 2008 statistical model is an update and improvement on the 2000 and 2005 logistic regression models and includes a range of offender characteristics available from the PNC, such as age, gender, offence group and criminal history. The logistic regression model based on the 2008 data identifies a statistically significant set of variables that are related to proven re-offending and based on these provides a probability of proven re-offending for each offender. However, other factors, for which data on these samples are not available, such as drug and alcohol use, employment, accommodation and marital background are likely to be significantly related to re-offending. This means that the adjusted proven re-offending rates are only valid for terms included in the final model. Any adjusted proven re-offending rates for groups of offenders that have a common characteristic that is not in the final model (e.g. employment status or disposal type) can suffer from statistical biases and are, therefore, unreliable. For the 2008 model additional developments were included to ensure that the adjusted rate model was a more parsimonious model, more robust against changes in the number of offenders, and that interaction terms and non-linear terms were included where appropriate. The final decision for inclusion or exclusion of particular variables was heavily influenced by their statistical significance (typically p < 0.10). The Ministry of Justice believes that the method used for the construction of the statistical model for producing adjusted rates is robust and fit for purpose. Variables included The following notes provide some further detail on the 2008 model and show the relative impacts of different variables when holding all other variables constant. Gender Gender is included in the model as a categorical variable separating out males and females. Generally, males are more likely to commit a proven reoffence than females. Age Age is included in the model for adults as a linear, quadratic and cubed term and is included for juveniles as a categorical variable separating offenders into seven age bands. Generally, younger adults are more likely to commit a proven re-offence than older adults, and older juveniles are more likely to re-offend than younger juveniles. Index difference The index difference represents the offence that led to the offender entering the cohort. Index differences were classified into 21 broad categories and their relative coefficients are shown in relation to the reference category violence'. To ensure the reliability and replicability of the model coefficients, any index differences with low numbers were grouped with the 'other' index ofonce group. Entity Entity is derived from the PVC and reflects the officer's view of the offender's ethnicity. Thus, ethnicity in this model should be taken as a proxy for the actual ethnicity and the results should not be over-interpreted because any biases in the assessment are unknown. Ethnicity was a statistically significant factor, making it an important factor to control for and, therefore, it was included in the model. Copas rate The Coops rate (Coaps and Marshall, 1998) controls for the rate at which an offender has built up conjunctions throughout their criminal career. The higher the rate, the more conjunctions an offender has in a given amount of time, and the more likely it is that an offender will be re-convicted. The Coops rate formula is: $${\mathrm{copas~rate}}=\log_{e}\!\left({\frac{{\mathrm{Number~of~count~appearances~or~cautions}}+1}{{\mathrm{Length~of~criminal~career~in~years}}+10}}\right)$$ For adults the Copas rate is included as a linear and quadratic, but for juveniles it is included as a linear term only. As mentioned above, inclusion of variables was heavily influenced by their statistical significance. Length of criminal career An often's criminal career is a significant factor in predicting the likelihood of a re-offence and this relationship is quadratic, thus both linear and quadratic terms were included in the model. Total number of previous offices The total number of previous oftences is a significant factor in predicting the likelihood of re-offending. The previous offending variables counted cations and convolutions and were included as linear and logged variables. Previous custodial sentences For adults, the number of previous custodial sentences was implemented as a continuous variable in both linear and quadratic terms. For juveniles, previous custodial sentences were included as a binary term: had the offender received one or more previous custodial sentences, yes or no. The difference in treatment reflects the more limited custodial history juvenile offenders generally possess compared to adult offenders. Counts of previous offending by type of ofence For adults, the number of previous oftences by type of office was an improvement over simple yes/no variables for recording the presence of prior offences in the relevant categories. For juvenile offenders, simple yes/no variables for recording the presence of prior offences in the relevant categories performed better. The difference in treatment reflects the more limited offending history juvenile offenders generally possess compared to adult offenders. Interaction terms Interaction terms are calculated by multiplying two factors together. The inclusion of these terms allows the effect of one variable to vary according to the values of another, improving the quality of predictions. This is important because three factors (gender, age and total number of previous offences) are not completely independent of each other. For adults, interaction terms were also included for drug-misusing offenders as they showed some trends in their proven re-offending behaviour that were different from the more general offending population. Model assessment The model is assessed by calculating the level of discrimination between offenders that committed a proven re-offence and offenders that did not. The adult logistic regression model achieved a 78.9 per cent overall discrimination level on the 2008 cohort and 72.4 per cent for the juvenile logistic regression model. A level of discrimination of about 70 per cent was deemed to be acceptable and the model should predict results accurately enough for the predicted rate to be used. The discrimination can also be evaluated by calculating the Area Under Curve (AUC) for the Receiver Operator Characteristic curve. Again, the value for the model was 0.784 for the adult regression model in 2008 and 0.716 for the youth regression model which means a satisfactory level of discrimination (Hosmer and Lemeshow, 2000, p.162). Coefficients of the 2008 statistical model The following tables (3 and 4) show the parameter estimates for the various components of the logistic regression model for the predicted one year proven re-offending rates for adults and young offenders. Each logistic coefficient is multiplied by the variable value for each offender to calculate a linear prediction. To calculate each offender's predicted probability of committing a proven re-offence in the follow-up period or a further six month waiting period we transform the linear prediction Z using the following formula: $$\text{Predicted Probability of Reoffending}=\frac{\exp(Z)}{1+\exp(Z)}$$ The exponent of the coefficient is the odds ratio of committing a proven reference corresponding to the particular coefficient and enables us to make comparisons between different categories. For factors with interactions (e.g. age and gender) the interpretation is more complex. The significance (p-value) gives us an assessment of how significant each variable is in predicting the likelihood of an offender to commit a proven reoffence within one year. For modelling purposes, a probability value (pvalue) of less than 0.05 is considered to be significant. ## \| Variables \| Coefficient \| Logs-odd \| \|--------------------------------------\|---------------------\|----------------------\| \| ratios \| \| \| \| P-value \| Variables \| Coefficient Logs-odd \| \| ratios \| \| \| \| P-value \| \| \| \| Reference category \| \| \| \| Reference category \| \| \| \| Constant \| 1.940 \| 6.958 \| \| Index offence: \| \| \| \| Violence \| \| \| \| Gender: \| \| \| \| Robbery \| \| \| \| -0.361 \| 0.697 \| 0.000 \| \| Female \| Theft \| 0.482 \| \| Male \| 0.645 \| 1.906 \| \| Taking and driving away \| \| \| \| 0.180 \| 1.198 \| 0.000 \| \| Age: \| \| \| \| Sexual child \| -0.465 \| 0.628 \| \| Age \| -0.250 \| 0.779 \| \| Age squared \| 0.006 \| 1.006 \| \| Age cubed \| -0.00004 \| 1.000 \| \| Male * age interaction \| -0.013 \| 0.988 \| \| 0.337 \| 1.401 \| 0.000 \| \| Theft from vehicles \| 0.478 \| 1.612 \| \| General criminal career variables: \| \| \| \| Drink driving \| -0.154 \| 0.857 \| \| Previous offences \| -0.006 \| 0.994 \| \| Previous offences (logged) \| 0.391 \| 1.478 \| \| Male * previous offences interaction \| -0.003 \| 0.997 \| \| Previous prison sentences \| 0.045 \| 1.046 \| \| Previous prison sentences (logged) \| -0.060 \| 0.942 \| \| Career length \| -0.0001 \| 1.000 \| \| Career length squared \| 0.000 \| 1.000 \| \| Copas rate \| 0.385 \| 1.469 \| \| Number of previous offences: \| \| \| \| Reference category \| \| \| \| Copas rate squared \| -0.064 \| 0.938 \| \| PPO offender \| 0.528 \| 1.696 \| \| Drug-misusing offender \| \| \| \| 1.422 \| 4.146 \| 0.000 \| \| Theft \| 0.012 \| 1.012 \| \| Ethnicity: \| \| \| \| Handling \| -0.010 \| 0.990 \| \| White \| Absconding and bail \| 0.018 \| \| Unknown \| -0.663 \| 0.516 \| \| -0.007 \| 0.993 \| 0.003 \| \| White other \| \| \| \| 0.324 \| 1.383 \| 0.000 \| \| Black \| 0.161 \| 1.175 \| \| -0.044 \| 0.957 \| 0.000 \| \| Pacific \| 0.210 \| 1.233 \| \| Middle East \| 0.130 \| 1.138 \| \| Interaction with drug-misusing \| \| \| \| offenders: \| \| \| \| Previous offences (logged) \| -0.156 \| 0.855 \| \| Index offence of drug supply \| -0.430 \| 0.651 \| \| Index offence of drug \| \| \| \| possession \| \| \| \| -0.550 \| 0.577 \| 0.000 \| \| Variables \| Coefficient \| Logs-odd \| \|--------------------------------------\|----------------\|-------------\| \| ratios \| \| \| \| P-value \| Variables \| Coefficient \| \| ratios \| \| \| \| P-value \| \| \| \| Constant \| \| \| \| -1.495 \| 0.224 \| 0.000 \| \| Index offence: \| \| \| \| Reference category \| \| \| \| Reference category \| \| \| \| Violence \| \| \| \| Gender: \| \| \| \| Robbery \| 0.130 \| 1.139 \| \| Female \| \| \| \| Public order or riot \| 0.178 \| 1.195 \| \| Male \| 0.527 \| 1.693 \| \| Sexual offences against children \| -1.157 \| 0.314 \| \| Reference category \| \| \| \| Reference category \| \| \| \| Reference category \| \| \| \| Age: \| \| \| \| Domestic burglary \| 0.233 \| 1.262 \| \| Aged 10-11 \| Other burglary \| 0.083 \| \| Aged 12 \| 0.354 \| 1.425 \| \| Aged 13 \| 0.448 \| 1.566 \| \| Aged 14 \| 0.431 \| 1.538 \| \| Aged 15 \| 0.186 \| 1.205 \| \| Aged 16 \| -0.124 \| 0.883 \| \| Aged 17 \| -0.202 \| 0.817 \| \| Drunk driving \| -0.488 \| 0.614 \| \| Interactions between age and gender: \| \| \| \| Female at any age \| \| \| \| Any previous offences: \| \| \| \| Male aged 10-11 \| Violence \| 0.039 \| \| Male aged 12 \| -0.276 \| 0.759 \| \| Male aged 13 \| -0.214 \| 0.807 \| \| Male aged 14 \| -0.157 \| 0.855 \| \| Male aged 16 \| 0.134 \| 1.144 \| \| Male aged 17 \| 0.113 \| 1.120 \| \| Handling \| 0.107 \| 1.113 \| \| General criminal career variables: \| \| \| \| Absconding or bail offences \| 0.096 \| 1.101 \| \| Career length \| 0.000 \| 1.000 \| \| Career length squared \| 0.000 \| 1.000 \| \| Copas rate \| 0.128 \| 1.137 \| \| Previous offences \| -0.036 \| 0.964 \| \| Previous offences (logged) \| 0.920 \| 2.510 \| \| Previous prison sentence(s) \| 0.124 \| 1.132 \| \| PPO offender \| 0.930 \| 2.534 \| \| Reference category \| \| \| \| Ethnicity: \| \| \| \| White \| \| \| \| Unknown \| -0.823 \| 0.439 \| \| White (other) \| 0.196 \| 1.217 \| \| Black \| 0.187 \| 1.206 \| \| Asian \| -0.200 \| 0.819 \| \| Pacific \| -0.468 \| 0.626 \| Additional modelling for prison performance Assessing the performance of individual prisons in reducing re-offending is difficult because the particular characteristics of offenders that are at a particular prison are likely to be the main drivers behind re-offending. A statistical methodology has been developed to examine prison reoffending rates that not only takes account of offence and offender characteristics, but also takes account of the hierarchical structure of the data, i.e. that offenders are within prisons. Two separate models were developed: for prisoners receiving sentences of fewer than 12 months and prisoners with sentences of 12 months or over. The separate models for prisoners with sentences of fewer than 12 months and 12 months or more reflects differences in prisoners' re-offending behaviour by prison sentence length. The model used for both types of offender was a logistic regression model with mixed effects (fixed and random). The outcome variable is a binary yes/no variable representing whether an offender re-offends or not. Offender characteristics are included as fixed independent variables and the prisons are included as a random effect component which allows each prison to interact with the fixed effects differently. The variables included in the model were similar to those used to develop the adjusted baseline described above: age, ethnicity, index offence, previous offences, previous prison sentences, Copas scores, and criminal career, as well as the random effects component of prisons. The goodnessof-fit by AUC was satisfactory, above 0.77 in all cases. Considerable preliminary analysis has been undertaken investigating the relative important of offence, offender and prison level variables in explaining custodial re-offending. This analysis has overwhelmingly shown that offence and offender level variables shape re-offending whereas prisonlevel variables refine re-offending behaviour. For this reason, the model uses offender and offence level variables and only models prison level effects using a single random effects component. This model generates an expected probability of re-offending for each offender. When aggregated up to the prison it produces an expected proportion of offenders who re-offend. This can be compared with the actual rate of re-offending. Where the model-predicted re-offending rate was statistically significantly different to actual re-offending rates, two possible explanations are plausible: 1. Missing characteristics: it is possible that there are underlying offence, offender or prison characteristics affecting re-offending behaviour that are not included in the current model; or 2. A genuine difference: there is something specific to these prisons that make them better/worse than predicted. ## Additional Modelling For Probation Performance Results in the headline measure are compared to a baseline rate, adjusted for changes in the offender profile. This relies on an estimate of the relationship between offender characteristics and proven re-offending behaviour over 12 months. An equivalent estimate has been carried out for the proven re-offending behaviour specifically of offenders commencing court orders. This uses the same variables as the headline measure plus additional variables to ensure that the actual and predicted rates are identical for every probation trust in the baseline period (2008). The tables accompanying the report present the adjusted baseline for each trust. Differences between the prison and probation trusts models and the model for the adjusted baseline for the headline measure  The adjusted baseline for the headline measure applies to all offenders; the prison and probation models only apply to offenders discharged from custody or given a court order.  The adjusted baseline for the headline measure is created using a fixed effects model using only offender and offence level variables; the probation model does the same, but the prison models use offender and offence level variables and also include a random component to reflect that prisoners are located within prisons.  The adjusted baseline for the headline measure and for the probation model is derived using data from a baseline year (2008). The observed re-offending is equal to the predicted re-offending for the baseline year; the model coefficients are then applied to subsequent years and the predicted rates begins to differ from the actual rates. Provided the baseline year model is frequently refreshed, this ensures that any deviations of the actual re-offending rate from the predicted rate are due to system changes and not due to changes in the cohort make up. This approach enables us to assess progress in reducing re-offending. Whereas, the prison model is generated from scratch every year and assesses if any prison differs from the national average. As with the previous approach, the observed reoffending rate is still equal to the predicted re-offending for the prison population as a whole. It will not necessarily be the case for individual prisons. This approach provides an idea of which prisons have significantly lower (or higher) re-offending rates than predicted.  Work is underway to develop an equivalent model for probation trusts to the one used for prisons. ## Appendix A: List Of Serious Offences Serious Violence Against The Person 1. Murder: 1. Of persons aged 1 year or over. 2. Of infants under 1 year of age. 2. Attempted murder. 4. Manslaughter, etc: 1. Manslaughter. 2. Infanticide. 3. Child destruction. 5. Wounding or other act endangering life: 1. Wounding, etc. with intent to do grievous bodily harm, etc. or to resist apprehension. 2. Shooting at naval or revenue vessels. 4. Attempting to choke, suffocate, etc. with intent to commit an indictable offence (garrotting). 5. Using chloroform, etc. to commit or assist in committing an indictable offence. 6. Burning, maiming, etc. by explosion. 7. Causing explosions or casting corrosive fluids with intent to do grievous bodily harm. 8. Impeding the saving of life from shipwreck. 9. Placing, etc. explosives in or near ships or buildings with intent to do bodily harm, etc. 10. Endangering life or causing harm by administering poison. 11. Causing danger by causing anything to be on road, interfering with a vehicle or traffic equipment. 13. Possession, etc. of explosives with intent to endanger life. 14. Possession of firearms, etc. with intent to endanger life or injure property, etc. (Group I). 15. Possession of firearms, etc. with intent to endanger life or injure property, etc. (Group II). 16. Possession of firearms, etc. with intent to endanger life or injure property, etc. (Group III). 17. Using, etc. firearms or imitation firearms with intent to resist arrest, etc. (Group I). 18. Using, etc. firearms or imitation firearms with intent to resist arrest, etc. (Group II). 19. Using, etc. firearms or imitation firearms with intent to resist arrest, etc. (Group III). [Group I - Firearms, etc. other than as described in Group II or III. Group II - Shotguns as defined in s.1 (3)(a) of the Firearms Act 1968. Group III - Air weapons as defined in s.1 (3)(b) of the Firearms Act 1968] 20. Use etc. of chemical weapons. 21. Use of premises or equipment for producing chemical weapons. 22. Use, threat to use, production or possession of a nuclear weapon. 23. Weapons related acts overseas. 24. Use of noxious substances or things to cause harm or intimidate. 25. Performing an aviation function or ancillary function when ability to carry out function is impaired because of drink or drugs. 26. Endangering safety at sea/aerodromes. 27. Torture. 8. Other wounding, etc.: 1. Wounding or inflicting grievous bodily harm (inflicting bodily injury with or without weapon). 33. Racially aggravated wounding or inflicting grievous bodily harm (inflicting bodily injury with or without weapon). 40. Religiously aggravated malicious wounding or GBH. 46. Racially or religiously aggravated malicious wounding or grievous bodily harm. ## Sexual Offences 17. Sexual assault on a male (previously indecent assault on a male): 11. Indecent assault on male person under 16 years. 12. Indecent assault on male person 16 years or over. 13. Assault on a male by penetration. 14. Assault of a male child under 13 by penetration. 15. Sexual assault on a male. 16. Sexual assault of a male child under 13. 19. Rape: 2. Man having unlawful sexual intercourse with a woman who is a defective. 3. Male member of staff of hospital or mental nursing home having unlawful sexual intercourse with female patient. 4. Man having unlawful sexual intercourse with mentally disordered female patient who is subject to his care. 7. Rape of a female aged under 16. 8. Rape of a female aged 16 or over. 9. Rape of a male aged under 16. 10. Rape of a male aged 16 or over. 11. Attempted rape of a female aged under 16. 12. Attempted rape of a female aged 16 or over. 13. Attempted rape of a male aged under 16. 14. Attempted rape of a male aged 16 or over. 16. Rape of female child under 13 by a male. 17. Rape of a male child under 13 by a male. 18. Attempted rape of a female child under 13 by a male. 19. Attempted rape of a male child under 13 by a male 20. Sexual assault on female (previously indecent assault on a female): 1. On females under 16 years of age. 2. On females aged 16 years and over. 3. Assault on a female by penetration. 4. Assault on a female child under 13 by penetration. 5. Sexual assault on a female. 6. Sexual assault on a female child under 13. 21. Sexual activity (male and female) (including with a child under 13) (previously unlawful intercourse with a girl under 13): 2. Causing or inciting a female child under 13 to engage in sexual activity - penetration. 3. Causing or inciting a female child under 13 to engage in sexual activity - no penetration. 4. Causing or inciting a male child under 13 to engage in sexual activity - penetration 5. Causing or inciting a male child under 13 to engage in sexual activity - no penetration. 6. Sexual activity with a female child under 13 - offender aged 18 or over - penetration. 7. Sexual activity with a male child under 13 - offender aged 18 or over - penetration. 8. Causing or inciting a female child under 13 to engage in sexual activity - offender aged 18 or over - penetration. 9. Causing or inciting a male child under 13 to engage in sexual activity - offender aged 18 or over - penetration. 10. Engaging in sexual activity in the presence of a child under 13 (offender aged 18 or over). 11. Causing a child under 13 to watch a sexual act (offender aged 18 or over). 12. Sexual activity with a female child under 13 - offender aged under 18. 13. Sexual activity with a male child under 13 - offender aged under 18. 14. Causing of inciting a female child under 13 to engage in sexual activity - offender under 18. 15. Causing or inciting a male child under 13 to engage in sexual activity - offender under 18. 16. Engaging in sexual activity in the presence of a child under 13 - offender under 18. 17. Causing a child under 13 to watch a sexual act - offender under 18. 18. Sexual activity with a female under 13 - offender aged 18 or over - no penetration. 19. Sexual activity with a male child under 13 - offender aged 18 or over - no penetration. 20. Causing or inciting a female child under 13 to engage in sexual activity - offender aged 18 or over - no penetration. 21. Causing or inciting a male child under 13 to engage in sexual activity - offender aged 18 or over - no penetration. 22. Sexual activity with a female child under 13 - offender aged under 18 - no penetration. 23. Sexual activity with a male child under 13 - offender aged under 18 - no penetration. 24. Causing or inciting a female child under 13 to engage in sexual activity - offender aged under 18 - no penetration. 25. Causing or inciting a male child under 13 to engage in sexual activity - offender aged under 18 - no penetration. 22. Sexual activity (male and female) (including with a child under 16) (previously unlawful sexual intercourse with a girl under 16): 0. Unlawful sexual intercourse with girl under 16 (offences committed prior to 1 May 2004). 2. Causing a female person to engage in sexual activity without consent - penetration. 3. Causing a male person to engage in sexual activity without consent - penetration. 4. Causing a female person to engage in sexual activity without consent - no penetration. 5. Causing a male person to engage in sexual activity without consent - no penetration. 6. Sexual activity with a female child under 16 (offender aged 18 or over) - penetration. 7. Sexual activity with a male child under 16 (offender aged 18 or over) - penetration. 8. Causing or inciting a female child under 16 to engage in sexual activity (offender aged 18 or over) - penetration 9. Causing of inciting a male child under 16 to engage in sexual activity (offender aged 18 or over) - penetration. 10. Engaging in sexual activity in the presence of a child under 16 (offender aged 18 or over). 11. Causing a child under 16 to watch a sexual act (offender aged 18 or over). 18. Sexual activity with a female child under 16 - offender aged 18 or over - no penetration. 19. Sexual activity with a male child under 16 - offender aged 18 or over - no penetration. 20. Causing or inciting a female child under 16 to engage in sexual activity (offender aged 18 or over) - no penetration. 21. Causing or inciting a male child under 16 to engage in sexual activity (offender aged 18 or over) - no penetration. 70. Sexual activity etc. with a person with a mental disorder: 1. Sexual activity with a male person with a mental disorder impeding choice - penetration. 2. Sexual activity with a female person with a mental disorder impeding choice - penetration. 3. Sexual activity with a male person with a mental disorder impeding choice - no penetration. 4. Sexual activity with a female person with a mental disorder impeding choice - no penetration. 5. Causing or inciting a male person with a mental disorder impeding choice to engage in sexual activity - penetration. 6. Causing or inciting a female person with a mental disorder impeding choice to engage in sexual activity - penetration. 7. Causing or inciting a male person with a mental disorder impeding choice to engage in sexual activity - penetration. 8. Causing or inciting a female person with a mental disorder impeding choice to engage in sexual activity - no penetration. 9. Engaging in sexual activity in the presence of a person with a mental disorder impeding choice. 10. Causing a person with a mental disorder impeding choice to watch a sexual act. 11. Inducement, threat or deception to procure sexual activity with a person with a mental disorder - penetration. 12. Inducement, threat or deception to procure sexual activity with a person with a mental disorder - no penetration. 13. Causing a person with a mental disorder to engage in sexual activity by inducement, threat or deception - penetration. 14. Causing a person with a mental disorder to engage in sexual activity by inducement, threat or deception - no penetration. 15. Engaging in sexual activity in the presence, procured by inducement, threat or deception, of a person with a mental disorder. 16. Causing a person with a mental disorder to watch a sexual act by inducement, threat or deception. 17. Care workers: Sexual activity with a male person with a mental disorder - penetration. 18. Care workers: Sexual activity with a female person with a mental disorder - penetration. 19. Care workers: Sexual activity with a male person with a mental disorder - no penetration. 20. Care workers: Sexual activity with a female person with a mental disorder - no penetration. 21. Care workers: Causing or inciting sexual activity (person with a mental disorder) - penetration. 22. Care workers: Causing or inciting sexual activity (person with a mental disorder) - no penetration. 23. Care workers: Sexual activity in the presence of a person with a mental disorder. 24. Care workers: Causing a person with a mental disorder impeding choice to watch a sexual act. 71. Abuse of children through prostitution and pornography (previously child prostitution and pornography): 1. Arranging or facilitating the commission of a child sex offence. 2. Paying for sex with a female child under 13 - penetration 3. Paying for sex with a male child under 13 - penetration 4. Paying for sex with a female child under 16 - no penetration. 5. Paying for sex with a male child under 16 - no penetration. 6. Paying for sex with a female child aged 16 or 17. 7. Paying for sex with a male child aged 16 or 17. 8. Causing or inciting child prostitution or pornography - child aged 13-17. 9. Controlling a child prostitute or a child involved in pornography - child aged 13- 17. 10. Arranging or facilitating child prostitution or pornography - child aged 13-17. 11. Causing or inciting child prostitution or pornography - child under 13. 12. Controlling a child prostitute or child involved in pornography - child under 13. 13. Arranging or facilitating child prostitution or pornography - child under 13. 14. Paying for sex with a female child aged under 16 - penetration. 15. Paying for sex with a male child aged under 16 - penetration. 72. Trafficking for sexual exploitation: 1. Arranging or facilitating arrival of a person into the UK for sexual exploitation (trafficking). 2. Arranging or facilitating travel of a person within the UK for sexual exploitation (trafficking). 3. Arranging or facilitating departure of a person from the UK for sexual exploitation (trafficking). ## Taking And Driving Away And Related Offences 37. Aggravated vehicle taking: 1. Where, owing to the driving of the vehicle, an accident occurs causing the death of any person. ## Other Motoring Offences 4. Manslaughter, etc: 4. Causing death by dangerous driving. 8. (Offences) Causing death by careless or inconsiderate driving (Offences due to commence in Autumn 2007). ## Drink Driving Offences 4. Manslaughter, etc.: 6. Causing death by careless driving when under the influence of drink or drugs. ## Serious Acquisitive Offences Burglary 1. Burglary in a dwelling with intent to commit or the commission of an offence triable only on indictment. 2. Burglary in a dwelling with violence or the threat of violence. 3. Other burglary in a dwelling. 4. Aggravated burglary in a dwelling (including attempts ). Robbery 1. Robbery. 2. Assault with intent to rob. Taking and driving away 1. Aggravated taking where the vehicle was driven dangerously on a road or other public place. 2. Aggravated taking where owing to the driving of the vehicle an accident occurred causing injury to any person or damage to any property other than the vehicle. Theft from or of vehicles 1. Stealing from motor vehicles. 2. Stealing from other vehicles. 3. Theft of motor vehicle. 4. Unauthorised taking of a motor vehicle. ## Appendix B: Glossary Of Terms Re-offending terms Cohort - this is the group of individuals whose re-offending is measured. Index offence - the index offence is the proven offence that leads to an offender being included in the cohort. Index disposal - the index disposal of the offender is the type of sentence the offender received for their index offence. Start point (index date) - this is the set point in time from when re-offences are measured. Follow-up period - this is the length of time proven re-offending is measured over. Waiting period - this is the additional time beyond the follow-up period to allow for offences committed towards the end of the follow-up period to be proved by a court conviction, caution, reprimand or final warning. Adjusted to baseline - proven re-offending is related to the characteristics of offenders which means that any overall rate of proven re-offending will depend, in part, on the characteristics of offenders coming into the system (just as the examination pass rate of a school will be related to the characteristics of its pupils). We use a modelling technique to produce a baseline figure adjusted to match the characteristics of the cohort we are comparing. Re-conviction - where an offender is convicted at court for an offence committed within a set follow-up period and convicted within either the follow-up period or waiting period. Proven re-offence - where an offender is convicted at court or receives some other form of criminal justice sanction for an offence committed within a set follow-up period and disposed of within either the follow-up period or waiting period. Cohort definition used in the Proven Re-offending Statistics Quarterly Bulletin - the proven re-offending cohort consists of all offenders discharged from custody, otherwise sanctioned at court, receiving a caution, reprimand or warning or tested positive for opiates or cocaine in each year. This cohort's criminal history is collated and criminal behaviour is tracked over the following one year. Any offence committed in this one year period which is proven by a court conviction or out-of-court disposal (either in the one year period, or in a further six months waiting period) counts as a proven re-offence. The latest available publication is the Proven Reoffending Statistics Quarterly Bulletin in England and Wales; Ministry of Justice, October 2012. www.justice.gov.uk/statistics/reoffending/proven-re-offending Cohort definition used in the Local Adult Re-offending Quarterly Bulletin - the local adult re-offending measure takes a snapshot of all offenders, aged 18 or over, who are under probation supervision at the end of a quarter, and combines four such snapshots together. This cohort's criminal history is collated and criminal behaviour is tracked over the following three months. Any offence committed in this three month period which is proven by a court conviction or out-of-court disposal (either in the three month period, or in a further three months waiting period) counts as a proven re-offence. The latest available publication is the Local Adult Reoffending: 1 April 2011 - 31 March 2012, England and Wales; Ministry of Justice, August 2012. www.justice.gov.uk/statistics/reoffending/local-adult-reoffending Disposal (sentence type) Fine - a financial penalty imposed following conviction. Court orders - court orders include community sentences, community orders and suspended sentence orders supervised by the Probation Service. They do not include any pre or post release supervision. Criminal Justice Act 2003 (CJA03) - for offences committed on or after 4 April 2005, the new community order replaced all existing community sentences for adults. The Act also introduced a new suspended sentence order for offences which pass the custody threshold. It also changed the release arrangements for prisoners. See Appendix A of Offender Management Caseload Statistics 2009 for more information. Community order - for offences committed on or after 4 April 2005, the new community order introduced under the CJA 2003 replaced all existing community sentences for those aged 18 years and over. This term refers to all court orders except suspended sentence orders and deferred sentences which may have a custodial component to the sentence. The court must add at least one, but could potentially add all 12 requirements depending on the offences and the offender. The requirements are:  unpaid work (formerly community service/community punishment) - a requirement to complete between 40 and 300 hours' unpaid work;  activity - for example, to attend basic skills classes;  programme - there are several designed to reduce the prospects of re-offending;  prohibited activity - a requirement not do so something that is likely to lead to further offence or nuisance;  curfew - which is electronically monitored;  exclusion - this is not used frequently as there is no reliable electronic monitoring yet available;  residence - requirement to reside only where approved by probation officer;  mental health treatment (requires offender's consent);  drug rehabilitation (requires offender's consent);  alcohol treatment (requires offender's consent);  supervision - meetings with probation officer to address needs/offending behaviour; and  attendance centre - between a minimum of 12 hours and a maximum of 36 in total which includes three hours of activity. Typically, the more serious the offence and the more extensive the offender's needs, the more requirements there will be. Most orders will comprise of one or two requirements, but there are packages of several requirements available where required. The court tailors the order as appropriate and is guided by the Probation Service through a pre-sentence report. Suspended sentence order (SSO) - the CJA 2003 introduced a new suspended sentence order which is made up of the same requirements as a community order and, in the absence of breach is served wholly in the community supervised by the Probation Service. It consists of an 'operational period' (the time for which the custodial sentence is suspended) and a 'supervision period' (the time during which any requirements take effect). Both may be between six months and two years and the 'supervision period' cannot be longer than the 'operational period', although it may be shorter. Failure to comply with the requirements of the order or commission of another offence will almost certainly result in a custodial sentence. Pre CJA03 Court Orders - Community sentences Community punishment order (CPO) - the offender is required to undertake unpaid community work. Community rehabilitation order (CRO) - a community sentence which may have additional requirements such as residence, probation centre attendance or treatment for drug, alcohol or mental health problems. Community punishment and rehabilitation order (CPRO) - a community sentence consisting of probation supervision alongside community punishment, with additional conditions like those of a community rehabilitation order. Drug treatment and testing order (DTTO) - a community sentence targeted at offenders with drug-misuse problems. Custody - the offender is awarded a sentence to be served in prison or a Young Offenders Institute (YOI). If the offender is given a sentence of 12 months or over, or is aged under 22 on release, the offender is supervised by the Probation Service on release. It is important to note that the sentence lengths and youth disposals awarded will be longer than the time served in custody. For more information please refer to Appendix A of Offender Management Caseload Statistics 2009. Short sentences (under 12 months) - those sentenced to under 12 months (made under the Criminal Justice Act 1991) spend the first half of their sentence in prison and are then released and considered 'at risk' for the remaining period. This means they are under no positive obligations and do not report to the Probation Service, but if they commit a further imprisonable offence during the 'at risk' period, they can be made to serve the remainder of the sentence in addition to the punishment for the new offence. The exception to this is those aged 18 to 20 who have a minimum of three month's supervision on release. Sentences of 12 months or over - the CJA03 created a distinction between standard determinate sentences and public protection sentences. Offenders sentenced to a standard determinate sentence serve the first half in prison and the second half in the community on licence. Youth disposal (sentence type) Reprimand or warning - a reprimand is a formal verbal warning given by a police officer to a juvenile offender who admits they are guilty for a minor first offence. A final warning is similar to a reprimand, but can be used for either the first or second offence, and includes an assessment of the juvenile to determine the causes of their offending behaviour and a programme of activities is designed to address them. First-tier penalties Discharge - a juvenile offender is given an absolute discharge when they admit guilt, or are found guilty, with no further action taken. An offender given a conditional discharge also receives no immediate punishment, but is given a set period during which, if they commit a further offence, they can be brought back to court and re-sentenced.  Fine - the size of the fine depends on the offence committed and the offender's financial circumstances. In the case of juveniles under 16, the fine is the responsibility of the offender's parent or carer.  Referral order - this is given to juveniles pleading guilty and for whom it is their first time at court (unless the offence is so serious it merits a custodial sentence or it is of a relatively minor nature). The offender is required to attend a Youth Offender Panel to agree a contract, aimed to repair the harm caused by the offence and address the causes of the offending behaviour.  Reparation order - the offender is required to repair the harm caused by their offence either directly to the victim or indirectly to the community. Youth Rehabilitation Order - a community sentence for juvenile offenders, which came into effect on 30 November 2009 as part of the Criminal Justice and Immigration Act 2008. It combines a number of sentences into one generic sentence and is the standard community sentence used for the majority of children and young people who offend. The following requirements can be attached to a Youth Rehabilitation Order (YRO):  activity requirement  curfew requirement  exclusion requirement  local authority residence requirement  education requirement  mental health treatment requirement  unpaid work requirement  drug testing requirement  intoxicating substance misuse requirement  supervision requirement  electronic monitoring requirement  prohibited activity requirement  drug treatment requirement  residence requirement  programme requirement  attendance centre requirement  intensive supervision and surveillance  intensive fostering The following community sentences are replaced by the YRO, but will continue to exist for those that committed an offence before 30 November 2009. The YRO is only available for those that committed an offence on or after the 30 November 2009.  action plan order  curfew order  supervision order  supervision order and conditions  community punishment order  community punishment and rehabilitation order  attendance centre order  drug treatment and testing order  exclusion order  community rehabilitation order Prison categories Category B and category C prisons hold sentenced prisoners of their respective categories, including life sentenced prisoners. The regime focuses on programmes that address offending behaviour and provide education, vocational training and purposeful work for prisoners who will normally spend several years in one prison. High security prisons hold category A and B prisoners. Category A prisoners are managed by a process of dispersal, and these prisons also hold a proportion of category B prisoners for whom they provide a similar regime to a category B prison. The category B prisoners held in a High Security Prison are not necessarily any more dangerous or difficult to manage than those in category B prisons. Female prisons, as the name implies, hold female prisoners. Because of the smaller numbers, they are not divided into the same number of categories although there are variations in security levels. Local prisons serve the courts in the area. Historically their main function was to hold un-convicted and un-sentenced prisoners and, once a prisoner had been sentenced, to allocate them on to a category B, C or D prison as appropriate to serve their sentence. However, pressure on places means that many shorter term prisoners serve their entire sentence in a local prison, while longer term prisoners also complete some offending behaviour and training programmes there before moving on to lower security conditions. All local prisons operate to category B security standards. Open prisons have much lower levels of physical security and only hold category D prisoners. Many prisoners in open prisons will be allowed to go out of the prison on a daily basis to take part in voluntary or paid work in the community in preparation for their approaching release. Miscellaneous terms Drug-misusing offenders There are four ways a drug-misusing offender can be identified:  Individuals who have tested positive for heroin or crack/cocaine following an arrest or charge for 'trigger' offences (largely acquisitive crime offences) as part of the Drug Interventions Programme (DIP) are included as adult proven offenders.  Any offender that received an OASys assessment whilst on licence or on a community sentence and are either recorded as being subject to a current Drug Treatment and Testing Order (DTTO) or Drug Rehabilitation Requirement (DRR), or are assessed as having a criminogenic drug need.  Any offender identified as requiring further drug interventions by Counselling, Assessment, Referral, Advice, Throughcare (CARAT) teams in prison, and now being released into the community.  Any offender identified by local Criminal Justice Integrated Teams (CJITs) as requiring further intervention for their drug use and offending as part of DIP. National Probation Service - the National Probation Service generally deals with those aged 18 years and over. (Those under 18 are mostly dealt with by Youth Offending Teams, answering to the Youth Justice Board.) They are responsible for supervising offenders who are given community sentences and suspended sentence orders by the courts, as well as offenders given custodial sentences, both pre and post their release. Police National Computer - the Police National Computer (PNC) is the police's administrative IT system used by all police forces in England and Wales and managed by the National Policing Improvement Agency. As with any large scale recording system the PNC is subject to possible errors with data entry and processing. The MoJ maintains a database based on weekly extracts of selected data from the PNC in order to compile statistics and conduct research on re-offending and criminal histories. The PNC largely covers recordable offences - these are all indictable and triable-either-way offences plus many of the more serious summary offences. All figures derived from the MoJ's PNC database, and in particular those for the most recent months, are likely to be revised as more information is recorded by the police. Prolific and other priority offenders - the Prolific and other Priority Offenders Programme (PPO) aims to use a multi-agency approach to focus on a very small, but hard core group of prolific/persistent offenders who commit disproportionate amounts of crime and cause disproportionate harm to their local communities. The identification of a PPO is undertaken at a local level involving police, local authorities, prison and probation services and youth offending teams. The factors that influence the decision of whether an offender is included in the PPO programme are:  the nature and volume of crimes they commit;  the nature and volume of other harm they cause; and  the detrimental impact they have on their community. Recordable offences - recordable offences are those that the police are required to record on the PNC. They include all offences for which a custodial sentence can be given plus a range of other offences defined as recordable in legislation. They exclude a range of less serious summary offences, for example television licence evasion, driving without insurance, speeding and vehicle tax offences. Indictable and summary offences - summary offences are triable only by a magistrates' court. This group includes motoring offences, common assault and criminal damage up to £5,000. More serious offences are classed either as triable-either-way (these can be tried either at the Crown Court or at a magistrates' court and include criminal damage where the value is £5,000 or greater, theft and burglary) or indictable-only (the most serious offences that must be tried at the Crown Court; these 'indictableonly' offences include murder, manslaughter, rape and robbery). The term indictable offences is used to refer to all triable-either-way and 'indictableonly' offences. Offence group - a split of offences into 21 separate groups. A more detailed split of the 10 indictable offence groups (violence against the person, sexual offences, burglary, robbery, theft and handling and stolen goods, fraud and forgery, criminal damage, drug offences, other indictable offences (excluding motoring), indictable motoring) and the two summary offence groups (summary non-motoring and summary motoring offence types). ## Appendix C: Comparison Of The Three Measures Of Re-Offending Figure A1 Below Compares How The Three Measures Of Re-Offending (The Headline Proven Re-Offending Measure, The Early Estimates Of Re-Offending And Local Adult Re-Offending) Are Constructed. It Shows The Period Over Which The Re-Offending Cohort Is Formed, The Time Over Which Re-Offending Is Measured, The Additional Time Allowed For Re-Offending To Be Proven, And The Time Taken To Collect And Analyse The Data, And Then To Publish. Cohort formation Headline measure and early estimates: offenders enter the cohort when they receive a caution (adults), a final warning or reprimand (juveniles), are given a non-custodial conviction, are released from custody or test positive for cocaine or opiates in the cohort formation period shown. Local adult re-offending: this uses a snapshot of all offenders aged 18 or over, who are under probation supervision at the end of a quarter, and combines four such snapshots together. Re-offences Headline measure: A re-offence is counted if the offence occurs within the "Re-offences" period shown. This is within 12 months of entering the cohort. Early estimates and local adult re-offending: A re-offence is counted if the offence occurs within three months of entering the cohort for the early estimates measure and within three months following each of the four caseload snapshots for the local re-offending measure. Re-offences proven Headline measure: For a re-offence to be counted it must also be proven within the "Re-offences proven" period shown. This is within six months of the re-offence. Early estimates and local adult re-offending: For a re-offence to be counted it must also be proven within the "Re-offences proven" period shown. This is within three months of the re-offence. ## Contact Details And Further Information For queries, comments or further information, please contact: Nick Mavron Justice Statistics Analytical Services Ministry of Justice 7th floor 102 Petty France London SW1H 9AJ Email: statistics.enquiries@justice.gsi.gov.uk Alternative formats are available on request from statistics.enquiries@justice.gsi.gov.uk	en
1426-pdf	# Office Of Rail Regulation Minutes Of The 107Th Board Meeting On Tuesday, 22 July 2014 (09:30-15:30), Orr Offices, One Kemble Street, London, Wc2B 4An Present: Non-executive directors: Anna Walker (Chair), Tracey Barlow, Mark Fairbairn, Stephen Nelson, Ray O'Toole. Observing: Michael Luger, Justin McCracken (pending NED appointees) Executive directors: Ian Prosser (Director, Railway Safety), Alan Price (Director, Railway Planning and Performance), Joanna Whittington (Director Railway Markets and Economics) In attendance, all items: Dan Brown (Director of Strategy), Richard Emmott (Director of Communications) John Larkinson (Director of Economic Regulation), Juliet Lazarus (Director, Legal Services), Tess Sanford (Board Secretary), Tom Taylor (Director of Corporation Operations) Gill Bull (Assistant Board Secretary) In attendance, specific items: Items 6: Amanda Clarke (Interim Senior Financial Analyst) and Mark Morris (Deputy Director, Engineering and Asset management). Items 8-11: Annette Egginton (Head of competition & consumer policy), Graham Richards (Deputy director RPP), Nick Wortley (Competition and consumer policy manager), Siobhán Carty (Project Co-ordinator & Engagement Strategist ## Item 1: Welcome And Apologies For Absence 1. The Chair welcomed everyone to the meeting, particularly our two new NED appointees who were attending as observers. 2. Richard Price (Chief Executive) was on leave and had sent his apologies ## Item 2: Declarations Of Interest 3. There were no declarations of interest. ## Item 3: Monthly Health And Safety Report 4. Ian Prosser gave us some of the highlights of his report. He was sorry to have to report a second track worker fatality in as many months. Early reports from the incidents suggested that prosecution was likely in both cases. Workforce electrical safety was continuing to cause concern at this particular TOC, and the team would be keeping a close eye on, and discussing issues with, the company as it began operating a new franchise. 5. The Annual Health and Safety report had been published that day. RSSB's annual report had also been published and the links would be sent to board members [Action A: Secretariat to email links]. The Board thanked everyone in the team from RSD and EA who had contributed to this very important piece of work. 6. Ian reported on a very successful visit in the north east with Louise Ellman MP, Chair of the Transport Select Committee. The aim was to show and explain the different types of level crossings and the risks associated with each - in particular to discuss issues around user worked crossings. Tina Hughes MBE had joined the visit. 7. Ian explained to the Board that work to replace three existing sets of regulations with a single new set (the Railways Safety (Train Operations etc) Regulations, was progressing well. Modernising the regulations was important if they were to match the changing legal framework and safety approach. 8. The workshop with RAIB was now arranged for September and Carolyn Griffiths had indicated that she would be updating her guidance. 9. We asked whether the repeat track twist faults, which had been highlighted as an indicator of poor maintenance and delayed renewals, were continuing to cause concern. Ian said that the current assessment was that NR were meeting the 'reasonably practicable' test in addressing the issue and the backlog - but inspectors remained alert to the risk. 10. We asked whether there had been any hiatus at the beginning of CP5 in terms of renewals work and were told that the process had been well managed by NR with no apparent loss of momentum between control periods. There was a maintenance backlog caused primarily by the bad winter weather, but this had stabilised and should now begin to reduce. 11. We asked whether there was anything that the Board should do to add weight to the drive for improvements on worker safety. Ian would be speaking to the RDG at their next meeting, and we understood that this was an area of particular focus for Mark Carne, the NR chief executive. We also understood that most TOCs behaved responsibly but that there were outliers whose practice was noticeably less good. Ian agreed to report back to the Board on those issues and whether there was anything further the Board could or should do [Action B: Ian Prosser to revert to the Board] ## Item 5 Safety Regulation Committee: Oral Update 12. Mark Fairbairn reported to the Board as chair of the SRC on their meeting the previous day. The agenda had included a review of broad themes of our safety approach following which the committee had agreed to draw out the risks around growth on the network and to address statistical issues. They had also agreed that the cultural leadership approach was important and we should support Mark Carne's agenda on this wherever it was helpful. 13. We asked how robust the over-crowding data was and we understood that NR had accurate data on a station-by-station basis: Waverly and Leeds, for example, were the two worst. 14. The SRC had also considered an external review of ORR's RM3 tool. There had been some recommendations for action to improve the active use of the tool and these had been accepted and would be acted on, but overall the report had been very positive. The committee had been reassured that the tool remained robust and fit for purpose. A programme for reviewing other safety methodologies would also be put in place. [Action C: Ian Prosser] 15. The new chief executive of the RSSB (Rail Safety Standards Board) had made a presentation setting out key themes for their work, which closely aligned with our own: - ERTMS and the risks of any uncoordinated introduction of this or other new technology; - The importance of data being disaggregated by route - accepting that this might eventually lead to some routes being acknowledged as carrying more safety risk than others; - Piloting for the Wessex Alliance - which NR were keen to see progressed quickly to align with their improved asset management. 16. The Committee had reviewed its terms of reference and proposed clarifying the relationship with the Board. The Board would then be asked to agree any revisions. [Action D: Secretariat to update the TOR]. 17. The Committee proposed that the board of RSSB should be invited to meet the ORR Board informally, perhaps at a dinner. This was an important stakeholder for us as safety regulator and it was critical that the good understanding between the two organisations continued. This proposal was agreed and a date would be set. [Action E: Secretariat to arrange for the autumn.] 18. The RSD team would be offering a bite-sized seminar for the Board on its risk models and the ORR strategy for health and safety regulation would be brought to the board for discussion in the autumn. [Action F: forward programme amendments] ## Item 6 Cp4 - Nr Annual Efficiency And Finance Assessment Amanda Clark, (Interim Senior Financial Analyst) and Mark Morris (Deputy Director, Engineering and Asset Management) joined the meeting for this item 19. John Larkinson explained the purpose and history of this annual assessment. For this year's assessment, there were still significant gaps in the available information so this discussion was about establishing the tone the board wanted the report to convey and discussing handling issues. Work would continue over the summer with a view to publication (after the Scottish referendum purdah) in September. Board members would receive a further iteration of the executive summary for comment as part of finalising the report. John emphasised that the approach taken this year had been to balance the 'number crunching' with an engineering assessment of network performance and sustainability. 20. The team had continued to apply the adjustments used in previous years, to ensure consistency in our own assessment, but it was a very complex data set and not one which was felt to be robust. The figures involved were large and rounding judgements also tended to be significant. The team felt that we should not claim a degree of accuracy which was spurious. 21. The draft summary document, which had been circulated, was shorter than previous years, and this should make handling easier. It was important to keep it simple and clear and to avoid too much commentary. The relationship between growth in the RAB and the new debt ceiling needed to be explained because it would be a material constraint on NR going forward. ## Paragaphs 22-28 Have Been Redacted As Relating To Policy Development 29. Much of our discussion on this subject was about the limitations of our assessment created by the poor quality and late supply of NR's data. The team told the Board that this was a matter of serious concern, and the question of data quality had been put on the regulatory escalator so that we could consider whether to use our regulatory tools to secure improvement. This action put ORR's concerns on the public record and had been notified to DfT and NR. The team did not know whether the NR Board was specifically aware of the issue. We agreed that our concerns should be raised clearly in a letter to the NR Board which should accompany the final draft assessment. [Action H: Board members to see a copy of the letter to NR when issued.] 30. We noted that the quality of data meant that depending on the analysis needed to be done with considerable caution. 31. We discussed with Richard Emmott the various challenges around handling of this assessment. He said that the team were working hard to trail the complex issues to relevant stakeholders (Select Committee, DfT, trade press). His aim was to produce a document that was dispassionate, credible and forward looking and to publish it alongside the first Monitor of CP5 (which we all hoped would contain some encouraging news about performance) although he anticipated that neither would make a major story. 32. We supported the overall approach by the team to the assessment itself and to the handling issues. We asked to see the summary again in correspondence [Action I: Board members would receive a further iteration of the executive summary for comment as part of finalising the report]. ## Item 7 Orr To Take On Economic Regulation Of Northern Ireland'S Railways 33. Dan Brown explained that the proposed European recast directive was likely to require ORR to become the economic regulator for Northern Ireland's railways. He undertook to bring to the board a paper setting out the new requirements and mapping out this regime against the various other regulatory regimes that we would then be responsible for (including HS1, NR, Channel Tunnel, etc). This paper would include a map of the NI network and services on the system. [Action J: forward programme update] 34. We asked John to establish what opportunity we would have to input into the design of the NI regulatory regime - which we felt should be aligned with our other regimes if at all possible to help ensure coherent arrangements for the UK. [Action K: John Larkinson] ## Item 8 Update On The Consumer Programme Graham Richards, Annette Egginton, Nick Wortley, Siobhán Carty attended for items 8-11 35. John Larkinson gave an update on progress with the consumer programme to give some context for the next three papers. There had been some delay to the overall programme because the learning curve in some areas had been steep. Some consultation periods had also been extended to ensure that we got a comprehensive understanding of issues. 36. Overall - weighed against the success criteria agreed for this stage of the programme, John thought the programme was progressing well. He reported that our legitimacy was being built as we demonstrated better handling and clear underpinning evidence for our initiatives, our in-house expertise was developing and there was evidence that our role was better understood and accepted. 37. TOCs continued to worry about whether they were exposed to double jeopardy by our programme, but overall our relationships were improving. There were clear links to our transparency programme and an update on that would be brought to the Board in the autumn, including an update on the impact of the open data (Darwin) arrangements that RDG had introduced. [Action L: forward programme]. 38. We asked for some briefing on the areas where TOCs were investing in their customers, so that we could have the wider picture and understand best practice. John agreed, explaining that some companies were investing significant effort and resources into the proposed CHP/DPPP mechanisms which would be put out for consultation in September. [Action M: John Larkinson] We understood that a forthcoming RDG agenda would include a discussion on TOCs approach to customers. 39. We acknowledged that TOCs wanted to respond to their customers in order to keep their custom, but as TOCs were often monopoly suppliers the normal market mechanisms could not be relied on to do the whole job of protecting the customer. 40. Mark Fairbairn observed that in some business models, companies would look to maximise the profit from their most profitable customers and ignore the needs of the least profitable 10%. It could be argued that since TOCs could be counted on to look after most of their customers, ORR's role should be primarily to protect the least well served users of the railway. 41. We noted our collective sense that there was underlying discontent among passengers. We asked the team to think about ways of reaching more consumers for their views. We also recognised that we needed to understand whether TOCs were maximising profits, ridership or economic surplus. 42. John tabled two new slides articulating the principles behind our approach to the consumer programme and the interventions that were currently in hand. It was agreed that our approach should be to look to the TOCs to act in the first place, for our consultations to make it clear what we thought good looked like, what KPIs/information we would use to monitor progress, when we would assess progress, and that the regulator would act if improvement did not occur. The Board agreed we should also look five years ahead and ask ourselves what regulation could achieve for consumers over that period. 43. John Larkinson reminded us that these areas were largely dominated by the contractual terms in the TOC franchises and we therefore had more limited levers to drive change. ## Item 9 Pidd Next Steps 44. Alan Price explained that although TOCs had not initially taken on board the licence condition on PIDD which was introduced in 2012 they had now understood it and engaged. They had commissioned Passenger Focus to undertake research on people's real experiences and had developed proposals to respond to the issues that the research had identified. 45. Graham Richards explained that the research had included real-time reporting from the survey group through a tailored app, which had given high quality robust data about the passengers' experience as it happened. The TOCs had now committed to repeat the research each year. 46. The action list against which ORR would regulate had been agreed in principle by TOCs. This now needed to be converted into a plan with delivery milestons and allocated responsibilities against which we could then monitor progress. The research and TOC commitments for improvements would be published on our website in the autumn. ORR would consider action under the licence condition if agreed actions were not implemented. ## Item 10 Retail Information Code Of Practice 47. Annette Egginton said that the next two papers covered complementary pieces of work which were about promoting competition or protecting consumers from monopolies or promoting transparency to empower consumers. Alongside these was the 'business as usual' activity around competition issues and flexible ticketing, among other issues. She was keen that the Board understood that the industry was not 'doing nothing' or waiting for ORR to do something. We needed to be careful to strike a balance in our presentation of what the industry was doing so as to continue to engage them positively with our initiatives. 48. Nick Wortley explained this piece of work. ORR had been asked by government to promote best consumer practice and oversee a code of conduct. It was clear that there were many layers of guidance, regulation and law around these issues and passengers (and to some extent TOCs) were unclear about the relevant status of each and were unable to make good decisions because they did not have access to simple advice. 49. The team had reviewed the current guidance and regulations and pulled together a single list which was currently out for consultation. The TOCs had welcomed this as a helpful contribution to understanding a complex landscape. The aim in clarifying their responsibilities was that this would make them more likely to meet them: if they did not do so, then we might need to impose a code on them. The list of obligations would be enforceable and we expected the new clarity to lead to a step-change in implementation. ORR and the TOCs were working on a series of KPIs so progress could be measured. 50. The Chair summarised by saying that progress had been good so far. It was possible that the increasing political focus on meeting passengers' increasing expectations would put pressure on TOCs. We would need to be ready to enforce a licence violation if progress was not noticeable and we needed to find ways to measure progress in a robust way. ## Item 11 Review Of Ticket Retailing 51. Siobhan Carty explained what the study would be looking at and how it fit into the consumer programme. There had been good stakeholder engagement to date and the consultation (which was very much a first order review) was taking shape. It should be published in September. 52. We discussed other markets (such as air tickets and hotels) where comparison websites had changed purchasing and pricing behaviours. We noted that rail services had to offer 'turn up and go' options as well as longer term planned journeys, and that intermodal competition was also a challenge. Most routes had no alternative provider so the variables on pricing could only be speed or time of travel. The team explained that data was now available and accessible, and apps were beginning to appear but that there was still some way to go. The review would be looking at potential barriers to innovation on behalf of the passengers in this market. 53. We noted the plans for the review and looked forward to hearing the outcome of the various consultations. [Action N: board discussion on forward programme] 54. The Chair thanked the team for all their reports and congratulated them on the progress of the programme. ## Item 12 Quarter 1 Report Against The Business Plan 55. Tom Taylor introduced the report. He explained the data report and picked out key headlines where four out of eight of the Q1 deliverables had not been met. He explained some of the background on these. 56. He referred us to Richard Price's commentary and John Larkinson reported the unexpected withdrawal of the person we had identified to undertake the PR13 review and the difficulty of finding someone of the right calibre, who was not also conflicted, to replace them. We had now secured Penny Boys to do this piece of work: this was very positive and we hoped it would be delivered to the original timescale. The freight customer panel had been delayed partly due to resources but again, a way forward had been identified and would be discussed with the Board. 57. We commented on the report which represented a step change in both quality and information over what we had seen previously. We made some suggestions for improvement. We particularly mentioned the page on risk - which demonstrated the need for the work in hand to refresh our approach to take advantage of better bottom-up information on business risks and to ensure Board ownership of the identified risks. Appropriate discussions were in the Board forward agenda. 58. We asked whether the next quarterly report could include: a. some indication of whether line items that did not yet fall due were on track or not i.e. some forecasting ahead as well as assessments of progress achieved. b. identified changes to the business plan (such as resourcing priorities) c. whether NR was on its critical path to deliver CP5 d. progress overall on our strategic objectives. 59. We also asked whether there would be value in having a monthly report (possibly by exception) on key issues emerging. Tom undertook to look at these suggestions for the six month report. [Action O: Tom Taylor] Current issues 60. Alan Price had updated NEDs on the way that the ECAMs process was working in a session with his team the previous day. Tom Taylor now explained that the overall cost of the major projects in the HLOS had continued to grow and that DfT were now seeing this as an issue - our team had understood that following reclassification, the limits on changes to the RAB and the borrowing limit might be problematic for the overall investment profile. The team were working closely with DfT and NR to understand and address the issues. 61. Juliet Lazarus updated us on progress made in the investigation of a complaint about anti-competitive behaviour in the industry and possible next steps. We noted the implications for the consultancy budget and wider resourcing. 62. The Chair thanked Tom and everyone involved for the work put in to achieve this very noticeable improvement in business plan reporting. It would help support the Board in their work to hold the executive to account and was very welcome. ## Item 13 Orr/Board Transparency 63. Richard Emmott introduced the proposals which aimed to move us closer to practising what we were preaching to the industry and incidentally to close a persistent gap in staff's understanding of the Board's function and activities. Some of the suggestions were about increasing public information and ensuring its timely availability, others were about physical access to Board debates by staff or members of the public. 64. While safety regulators tended to hold board meetings in public, economic regulators did not. As we all believed that the two functions needed to be joined up, we would need to think very carefully about whether we could or should separate the two strands of business in that way. 65. The Board agreed that if it had access to significant information about safety it needed to publish this. We thought it important that current safety information was available to the public and we agreed to look at options for improvement that might include publishing Ian Prosser's monthly report (or part of it), public meetings of the SRC1 or similar. We were reminded that the RIHSAC2 meetings include all major stakeholders including trades unions and that the RSD3 team runs an annual event for H&S reps from the industry. 66. On balance we did not think that we could invite the public to observe the economic regulatory business of the board. This was not just because of the commercial confidentiality issues but also the need for us to make fine balanced judgements about whether, when and how to enforce. If the debates leading up to those judgements became public, there was a high risk that the regulated parties would start to 'game' us. 67. We discussed the pros and cons of having staff observers at the board. We noted that the organisation has a very high standard of confidentiality and that this was not an issue for the ORR. While opening the meetings would send a message about openness and help spread positive messages, it would also add to an already crowded meeting room, could distort the dynamic and might also reduce the significance of being 'in the room' for those staff who were presenting to the board. 68. We thought on balance that there were more effective ways of achieving openness than having a few staff spend all day in a board meeting and we were open to trying different approaches. Suggestions included: a. Pre-briefing sessions on the board agenda b. Informal dinner with groups of 30-40 staff c. Piloting staff attendance at the SRC d. More involvement of board members at the staff conference. 69. We agreed the proposals to improve timely publication of information to include: a. Board minutes b. Forward agendas c. Expenses 70. We agreed we should: a. seek ways to make more safety information available on a regular basis; b. increase our efforts on staff understanding of what the board does, its approach and discussions; and c. support wider team attendance at board meetings for relevant items; d. pilot staff attendance at SRC, particularly as part of an individual's professional development; e. consider the suggestions in para 68 (above) further; f. give further thought as to whether and, if so, what meetings we should open to the public. 71. Richard Emmott would continue to work up these proposals with colleagues. [Action P: RE to implement the agreed changes and bring a further set of proposals to the Board in October] ## Item 14 Chair'S Report 72. The Chair congratulated the team on the preparation and planning for the NR penalty announcement which had gone very smoothly. 73. She proposed a discussion in September on the implications of potential European legislation on the issues of competition and market opening [Action Q: DB to prepare paper for September]. 74. She asked for a strategy paper on disaggregation of information by route and its political, financial and regulatory implications. We had made a commitment to push for disaggregated data and this would be increasingly important going forward. [Action R: DB to prepare for November strategy/planning discussion]. ## Item 15 Ce'S Report 75. Tom Taylor said that there was nothing further that needed to be drawn out of the monthly report for the board's attention. ## Item 16: Board Minutes And Forward Programme 76. The Board minutes for June were approved, subject to corrections, along with the note of our policy discussion the day before. The forward programme would be re-cast over the summer to include all the business we hoped to cover in the monthly two-day window and to roll forward for at least a 12 month period [Action: Tess Sanford] ## Item 17: Matters Arising 77. We noted the log of actions. The Chair noted that we needed to improve our discipline in ensuring that the agreed actions were delivered. ## Item 18: Any Other Business 78. We asked whether there were any issues (other than the CP4 financial assessment discussed earlier) that were likely to need our attention over the summer break and were told that nothing was currently anticipated. 79. We asked whether any particular preparations were in hand to prepare for the party conference season, when we expected railways to be a live issue and manifestos for next year's election would start to emerge. Dan Brown reassured us that appropriate relationships were being built so that people could contact us for information if they wished. We needed to careful of our own independence and credibility during this period and did not attend party conferences. Richard Emmott reported that the RDG was investing significant effort in their approach to the conference season. 80. Alan Price offered his apologies for the next board meeting in September. 81. The Chair reminded us that we were travelling to DfT's offices to meet their senior team as part of the September meeting. ## Item 19: Meeting Review 82. We agreed that we had had two days of successful meetings and discussions 83. We thanked the teams for the papers which had supported a strategic level debate. 84. Starting at 9.30 and finishing just after 3pm had also kept energy levels high.	en
2616-pdf	## Forestresearch.Gov.Uk/Statistics Source: UK Public Opinion of Forestry surveys. Average visit frequencies from last 3 surveys. A summary of statistics about woodland and forestry in the UK ## Forestry Facts & Figures 2018 Forest Cover: International Comparisons 2015 Annual Changes In Forest Area: International Comparisons \| UK \| 18 \| 0.6 \| 11 \| 0.3 \| 17 \| 0.5 \| \|-----------------\|--------\|--------\|--------\|--------\|--------\|-------\| \| Europe \| \| \| \| \| \| \| \| United Kingdom \| 3 \| 24 \| 13 \| \| \| \| \| EU-28 \| \| \| \| \| \| \| \| 681 \| 0.5 \| 450 \| 0.3 \| 369 \| 0.2 \| \| \| Finland \| 22 \| 30 \| 73 \| \| \| \| \| Total Europe \| \| \| \| \| \| \| \| 803 \| 0.1 \| 1 127 \| 0.1 \| 382 \| 0.0 \| \| \| France \| 17 \| 55 \| 31 \| Africa \| \| \| \| -3 537 \| -0.5 \| -3 209 \| -0.5 \| -2 836 \| -0.4 \| \| \| Germany \| 11 \| 35 \| 33 \| Asia \| \| \| \| -221 \| 0.0 \| 2 349 \| 0.4 \| 791 \| 0.1 \| \| \| Italy \| 9 \| 29 \| 32 \| \| \| \| \| North & Central \| \| \| \| \| \| \| \| America \| \| \| \| \| \| \| \| -394 \| -0.1 \| 172 \| 0.0 \| 75 \| 0.0 \| \| \| Spain \| 18 \| 50 \| 37 \| \| \| \| \| Oceania \| 82 \| 0.0 \| -564 \| -0.3 \| 304 \| 0.2 \| \| Sweden \| \| \| \| \| \| \| \| 28 \| 41 \| 68 \| \| \| \| \| \| South America \| -4 000 \| -0.4 \| -3 868 \| -0.4 \| -2 024 \| -0.2 \| \| Other EU \| 52 \| 159 \| 32 \| \| \| \| \| World \| \| \| \| \| \| \| \| -7 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 267 \| \| \| \| \| \| \| \| -0.2 \| -3 993 \| -0.1 \| -3 308 \| -0.1 \| \| \| \| Total EU-28 \| \| \| \| \| \| \| \| 161 \| 424 \| 38 \| \| \| \| \| Source: FAO Global Forest Resources Assessment 2015. Cyprus is included in EU-28 total but is part of FAO's Asia region. These figures are outside the scope of National Statistics. Russian Federation 815 1 638 50 Total Europe 1 015 2 214 46 Africa 624 2 987 21 Asia 593 3 118 19 North & Central America 751 2 134 35 Oceania 174 850 20 South America 842 1 747 48 World 3 999 13 049 31 Source: FAO Global Forest Resources Assessment 2015. Cyprus is included in EU-28 total but is part of FAO's Asia region. These figures are outside the scope of National Statistics. ## Softwood Deliveries (Thousands Of Green Tonnes) \| 2013 \| 6 407 \| 465 \| 1 263 \| 332 \| 1 250 \| 191 \| 640 \| \|--------\|---------\|-------\|---------\|-------\|---------\|-------\|-------\| \| 10 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 547 \| \| \| \| \| \| \| \| \| 2013 \| 74 \| 0 \| 0 \| 400 \| 58 \| \| \| \| 532 \| \| \| \| \| \| \| \| \| 2014 \| 6 725 \| 465 \| 1 283 \| 317 \| 1 500 \| 176 \| 437 \| \| 10 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 903 \| \| \| \| \| \| \| \| \| 2014 \| 77 \| 0 \| 0 \| 400 \| 60 \| \| \| \| 537 \| \| \| \| \| \| \| \| \| 2015 \| 6 168 \| 435 \| 1 334 \| 288 \| 1 600 \| 164 \| 276 \| \| 10 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 265 \| \| \| \| \| \| \| \| \| 2015 \| 76 \| 0 \| 0 \| 400 \| 91 \| \| \| \| 566 \| \| \| \| \| \| \| \| \| 2016 \| 6 511 \| 423 \| 1 248 \| 277 \| 1 550 \| 178 \| 231 \| \| 10 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 419 \| \| \| \| \| \| \| \| \| 2016 \| 75 \| 0 \| 0 \| 400 \| 122 \| \| \| \| 597 \| \| \| \| \| \| \| \| \| 2017 \| 6 581 \| 442 \| 1 059 \| 295 \| 1 600 \| 170 \| 331 \| \| 10 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 478 \| \| \| \| \| \| \| \| \| 2017 \| 66 \| 0 \| 0 \| 600 \| 71 \| \| \| \| 738 \| \| \| \| \| \| \| \| Figures are based on processing industries' purchases of softwood grown in the UK and estimates for woodfuel. Woodfuel reported here is derived from stemwood and includes estimated roundwood use for biomass energy. Other includes shavings and poles. Figures are based on processing industries' purchases of hardwood grown in the UK and estimates for woodfuel and other uses. Woodfuel reported here is derived from stemwood and includes estimated roundwood use for biomass energy. Other includes round fencing and roundwood exports. ## Area Of Woodland 2018 (Thousands Of Hectares) Area Of Certified Woodland 2018 (Thousands Of Hectares) Total woodland FC/NRW/FS Private Total woodland sector area certified England 214 118 332 FC/NRW/FS Wales 117 28 145 England 151 63 214 Scotland 470 363 833 Wales 98 19 117 Northern Ireland 62 3 65 Scotland 429 41 470 UK 864 512 1 376 Northern Ireland 56 7 62 UK 733 130 864 Private sector England 189 904 1 093 Wales 54 138 191 Scotland 635 339 975 Private sector FC/NRW/FS Northern Ireland 11 39 50 500 UK 888 1 421 2 309 400 All woodland 300 England 340 968 1 307 Wales 151 157 308 200 Scotland 1 064 380 1 445 thousands of hectares 100 Northern Ireland 66 46 113 0 UK 1 622 1 551 3 173 Areas as of 31 March, 2018. ## © Crown Copyright Generalists Specialists The Forestry Commission will consider all requests to make the content of publications available in alternative formats. Please send any such requests to the Diversity Team at diversity@forestry.gsi.gov.uk or call 0300 067 5046. Statistician: Sheila Ward. Enquiries relating to this publication should be addressed to: statistics@forestry.gsi.gov.uk ## Fcfs218/Fc-Gb(Jw)/Barr-4K/Sep18 - One green tonne is equivalent to approximately 0.98 m3 underbark softwood or 0.88 m3 underbark hardwood, and to approximately 1.22 m3 overbark standing softwood or 1.11 m3 overbark standing hardwood. - Figures in the tables are individually rounded, so the constituent items may not sum to the total given. = Conifers = Broadleaves - FC/NRW/FS = Forestry Commission/Natural Resources Wales/ Forest Service. Private sector = all other woodland, including some other publicly-owned woodland. Notes on Forestry Facts & Figures: This booklet includes data provided by Natural Resources Wales (www.naturalresourceswales.gov.uk) and by the Northern Ireland Forest Service (www.daera-ni.gov.uk/topics/forestry) The UK Statistics Authority has designated these statistics as National Statistics, in accordance with the Statistics and Registration Act 2007 and signifying compliance with the Code of Practice for Official Statistics. For more information visit: www.statistics.gov.uk Forestry Facts & Figures is an annual summary of Forestry Statistics compiled by the Forestry Commission. The full 2018 publication, including full details of the sources used and downloadable spreadsheets of data, can be found online at: www.forestresearch.gov.uk/statistics ## Wood Removals: International Comparisons 2016 Wood Products: International Comparisons 2016 (million m3) \| UK \| 9 \| 2 \| 11 \| \|------\|-----\|-----\|------\| EU-28 358 107 465 Total Europe 595 157 751 \| \| \| \| Africa \| 74 \| 673 \| 746 \| \|-----------------\|-----\|-----\|----------\|------\|-------\|-------\| \| UK \| 4 \| 10 \| 3 \| 6 \| 4 \| 9 \| \| Asia \| 393 \| 727 \| 1 120 \| \| \| \| \| EU-28 \| \| \| \| \| \| \| \| 108 \| 92 \| 63 \| 61 \| 91 \| 80 \| \| \| Total Europe \| \| \| \| \| \| \| \| 156 \| 109 \| 85 \| 78 \| 104 \| 92 \| \| \| North & Central \| \| \| \| \| \| \| \| America \| \| \| \| \| \| \| \| 522 \| 151 \| 673 \| \| \| \| \| \| Africa \| 10 \| 17 \| 3 \| 5 \| 4 \| 8 \| \| Oceania \| 66 \| 10 \| 76 \| \| \| \| \| Asia \| 129 \| 176 \| 256 \| 250 \| 193 \| 199 \| \| South America \| 227 \| 171 \| 398 \| \| \| \| \| World \| \| \| \| \| \| \| \| 1 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 877 \| 1 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 889 \| 3 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 766 \| \| \| \| \| \| \| \| North & Central \| \| \| \| \| \| \| \| America \| \| \| \| \| \| \| \| 132 \| 124 \| 49 \| 56 \| 88 \| 87 \| \| Source: FAO. Cyprus is included in EU-28 total but is part of FAO's Asia region. These figures are outside the scope of National Statistics. Oceania 10 8 4 4 4 4 South America 30 24 18 14 16 17 \| World \| 467 \| 459 \| 415 \| 407 \| 409 \| 406 \| \|---------\|-------\|-------\|-------\|-------\|-------\|-------\| Source: FAO. Cyprus is included in EU-28 total but is part of FAO's Asia region. These figures are outside the scope of National Statistics. Import and export volumes \| Year \| \|---------\| \| Saw- \| \| milling \| \| Panels \| \| Pulp & \| \| paper \| \| Total \| based 2012 15 8 5 13 41 panels 2013 14 8 5 13 40 \| 2014 \| 16 \| 9 \| 5 \| 13 \| \|--------\|-------\|-------\|-------\|-------\| \| 43 \| \| \| \| \| \| 2013 \| 5 488 \| 6 347 \| 2 964 \| 7 213 \| Business Survey (Office for National Statistics). \| Import and export values (£ million) \| Gross value added in forestry and primary wood processing (£ million) \| \|----------------------------------------\|-------------------------------------------------------------------------\| \| Imports \| Exports \| \| Year \| Forestry \| \| Saw- \| \| \| milling \| \| \| Panels \| \| \| Pulp & \| \| \| paper \| \| \| Total \| \| \| Year \| \| \| Wood- \| Wood \| \| Sawn- \| Pulp & \| \| based \| (sawn \| \| 2012 \| 307 \| \| 1 \| \| \| \| \| \| 895 \| \| \| wood \| \| \| Other \| \| \| wood \| paper \| \| panels \| & other) \| \| 2013 \| 504 \| \| 1 \| \| \| \| \| \| 867 \| \| \| 2013 \| 1 180 \| \| 2014 \| 540 \| \| 1 \| \| \| \| \| \| 928 \| \| \| 2014 \| 1 420 \| \| 2015 \| 658 \| \| 2 \| \| \| \| \| \| 193 \| \| \| 2015 \| 1 311 \| \| 2016 \| 588 \| \| 2 \| \| \| \| \| \| 108 \| \| \| 2016 \| 1 423 \| \| 2017 \| \|--------\| \| 1 651 \| 'Other wood' includes roundwood, wood charcoal, chips, particles, residues and wood pellets. 'Pulp & paper' includes paperboard and recovered waste paper. Woodbased panels include veneer sheets. Sawnwood includes sleepers from 2017. New planting (thousands of hectares) Wood production (thousands of green tonnes) Hardwood Private Private \| /FS \| sector \| \|------------------------------------\|-----------------------------\| \| Total \| \| \| FC/NRW \| \| \| /FS \| sector \| \| Total \| \| \| 31/3) \| \| \| \| \| \| Total \| \| \| 2014 \| 0.0 \| \| 12.9 \| \| \| 2013 \| 5 084 \| \| 10 \| \| \| \| \| \| 936 \| \| \| 78 \| 454 \| \| 532 \| \| \| 2015 \| 0.1 \| \| 10.3 \| \| \| 2014 \| 4 900 \| \| 11 \| \| \| \| \| \| 527 \| \| \| 71 \| 466 \| \| 537 \| \| \| 2016 \| 0.0 \| \| 5.6 \| \| \| 2015 \| 4 691 \| \| 10 \| \| \| \| \| \| 659 \| \| \| 73 \| 493 \| \| 566 \| \| \| 2017 \| 0.1 \| \| 6.5 \| \| \| 2016 \| 5 011 \| \| 10 \| \| \| \| \| \| 745 \| \| \| 68 \| 529 \| \| 597 \| \| \| 2018 \| 0.2 \| \| 9.1 \| \| \| 2017 \| 4 862 \| \| 10 \| \| \| \| \| \| 915 \| \| \| 83 \| 655 \| \| 738 \| \| \| Restocking (thousands of hectares) \| Production of wood products \| \| Year \| England \| \| Paper & \| \| \| Sawnwood \| \| \| Woodbased \| \| \| panels \| paperboard \| \| Year \| \| \| (to \| \| \| (000 m \| \| \| 3 \| \| \| ) \| (000 m \| \| 3 \| \| \| ) \| (000 tonnes) \| \| 31/3) \| \| \| \| \| \| Total \| \| \| 2014 \| 2.6 \| \| 15.8 \| \| \| 2013 \| \| \| 3 581 \| 3 032 \| \| 2014 \| 3 764 \| \| 17.8 \| \| \| 2015 \| 3 497 \| \| 13.7 \| \| \| 2016 \| 3 671 \| \| 17.1 \| \| \| 2017 \| 3 770 \| \| 14.3 \| \| Total production from UK mills, including products using imported material. Excludes other wood products (e.g. fuelwood and round fencing), roundwood and intermediate products (e.g. sawmill products, pulp and recovered paper). ## Distribution Of Woodland In The Uk Woodland cover in the UK is now around 3 million hectares, equivalent to 13% of the total land area. The public forest estate makes up almost 30% of total forest area. This map shows the distribution of woodland over 2 hectares in the UK. The information on woodland area presented here uses data from the GB National Forest Inventory, adjusted for new planting, and data supplied by Forest Service in Northern Ireland. Find out more about the National Forest Inventory at: www.forestry.gov.uk/inventory ## Uk Imports And Exports wrme = wood raw material equivalent	en
3867-pdf	# The Employment Tribunal SITTING AT: LONDON SOUTH BEFORE: EMPLOYMENT JUDGE K ANDREWS (sitting alone) BETWEEN: Miss A Fischer and Excetera Coaches (1) Croydon Coaches UK Limited (2) Respondents ON: 5 July 2019 Appearances: For the Claimant: In person For the Respondents: Did not attend ## Judgment 1. The claims against the first respondent are dismissed on withdrawal. 2. No response to the claim having been entered by the second respondent, Judgment is entered against it pursuant to rule 21 of the Employment Tribunal Rules of Procedure 2013. 3. Having heard evidence from the claimant and considered documents, compensation is assessed as follows: \| a. Unlawful deduction from wages 10.09.18: \| \| £ 100 \| \|------------------------------------------------------\|-----\|-----------\| \| b. Unlawful deduction from wages 10.10.18: \| \| £1,200 \| \| c. Harassment c 15 August 2018 \| \| \| \| d. Injury to feelings on discrimination arising from \| \| \| \| disability, harassment and victimisation - \| \| \| \| deductions from wages and assignment of routes \| \| \| \| to others: \| \| \| \| \| \|------------------------------------------------\|-----\|------------\|--------\|--------\| \| e. Personal injury (exacerbation of disability \| \| \| \| \| \| September 2018-September 2019): \| \| \| £3,000 \| \| \| \| \| \| \| \| \| Total payable \| \| forthwith: \| \| £8,050 \| \| \| \| \| \| \| __________________________ Employment Judge K Andrews Date: 5 July 2019 Note Reasons for the judgment having been given orally at the hearing, written reasons will not be provided unless a request was made by either party at the hearing or a written request is presented by either party within 14 days of the sending of this written record of the decision.	en
4925-pdf	15 December 2015 Issued by Office for National Statistics, Government Buildings, Cardiff Road, Newport, NP10 8XG Media Office 0845 6041858 ## Quality And Methodology Information General Details Title Of Output: House Price Statistics For Small Areas Abbreviated title: HPSSAs Designation: Official Statistics not designated as National Statistics Geographic coverage: England and Wales Date of last QMI: February 2014 Contact details: better.info@ons.gov.uk ## Executive Summary This document provides information about House Price Statistics for Small Areas (HPSSAs), produced by us (ONS) since February 2015. Elements of these statistics were formerly produced by the Department for Communities and Local Government (DCLG). These statistics report the count, median price, mean price, lower quartile price and tenth percentile price of all residential dwellings sold and registered since 1995. They are calculated using open data from the Land Registry, a source of comprehensive record level administrative data on residential property transactions. Statistics are reported for a range of subnational geographies in England and Wales. These cover: 1. English regions, England and Wales 2. Local authorities 3. Parliamentary constituencies 4. Middle layer super output areas (MSOAs) 5. Local enterprise partnerships 6. Travel to work areas 7. Rural-urban classification Statistics are also reported for different types of dwelling, including newly built dwellings and existing dwellings, detached, semi-detached, terraced houses, flats/maisonettes and all house types combined. The data used to produce HPSSAs is available each month when it is published by the Land Registry. The data are available from 1995 to the most recently completed month, and for the purpose of HPSSAs, the reference periods used are quarterly rolling years beginning with the year ending quarter 4 1995, and quarterly thereafter, covering the most recently completed 4 quarters. The output contains a statistical bulletin, which supports reference tables containing all data. Interactive maps and charts are also produced where appropriate. This document contains the following sections:  Output quality  About the output  How the output is created  Validation and quality assurance  Concepts and definitions  Other information, relating to quality trade-offs and user needs  Sources of further information or advice ## Output quality This section provides a range of information that describes the quality of the data and details any points that should be noted when using the output. We have developed Guidelines for Measuring Statistical Quality, based upon the 5 European Statistical System (ESS) Quality Dimensions. This document addresses these quality dimensions and other important quality characteristics related to HPSSAs, which are:  relevance  timeliness and punctuality  coherence and comparability  accuracy  output quality trade-offs  assessment of user needs and perceptions  accessibility and clarity About the output Relevance (The degree to which statistical outputs meet users' needs.) Following a review of house price statistics by the National Statistician, the HPSSAs were produced specifically for medium to smaller geographic areas, such as local authorities and middle layer super output areas in response to demand from users for an indication of house prices at this small area level. The review also concluded that house price statistics for different geographies should be available on a consistent basis. The HPSSAs provide this consistent geographic structure. The Land Registry (LR) has provided the publically available, open data used in the production of these statistics. The information covers residential dwelling transactions, together with information on the prices paid and type of dwelling (newly built and existing stock, detached, semi-detached, terraced or flat/maisonette). This is known as Price Paid data. Using these data, we calculate counts of the number of sales, median, mean, lower quartile and tenth percentile house prices and publish them in a format which helps users gain the maximum benefit from a large dataset, helping to increase potential onward use of the statistics. The LR Price Paid data, used in the production of these statistics, are comprehensive in that they capture changes of ownership for individual residential properties which have sold for full market value and covers both cash sales and those involving a mortgage. LR Price Paid data has been in existence since April 2000, with the LR collecting data back to the year 1995. Every change of ownership that is listed by LR is considered for use in the calculation of HPSSAs; therefore the data are a reliable indicator of actual prices paid. However, HPSSAs should not be taken as a reflection of housing market values. The definitive set of UK, country and regional house price statistics is available in our House Price Index. The HPSSA and the House Price Index (HPI) follow similar trends, but the HPI is a mix adjusted index, which means it is weighted to reflect the actual mix of dwellings that exists. This HPI methodology is specifically designed to reflect market values, while the HPSSAs report average transactional values and are therefore particularly useful when considering house prices from a social change perspective rather than an economic perspective. Geographic referencing Geographic referencing is carried out using the National Statistics Postcode Lookup (NSPL) file, available on the ONS Open Geography Portal. The version used is the most up to date file at the time of production. In accordance with National Statistics Geography Policy each record is allocated to a middle layer super output area (MSOA) and all other geographies on which we report, using its address and postcode. How the data are collected The data are provided by the Land Registry (LR), a government department, responsible to the Lord Chancellor for maintaining the Land Register, a record of land ownership in England and Wales. The LR was established in 1862 and now operates under the provisions of the Land Registration Act of 1925. The purpose is to provide a guarantee of ownership as the basis for free movement of interests in land. It is a statutory requirement for all the relevant details to be sent to the LR whenever a person transfers ownership of a property or takes a mortgage out against it. This change must be registered with the LR to make it legally effective. Over half of the applications for registration are received electronically and the rest are on paper forms. Data received via paper forms are then keyed into an electronic register. Historic data are retained within the files but are not shown on the Land Register. LR Price Paid Data is used to produce our HPSSAs and the data is also released in conjunction with the LR HPI. LR Price Paid data follow the same release schedule as the LR HPI and any changes to the data are reported by the LR. Exclusions from the data The LR price paid data only include records for single residential properties sold for full market value (including sales made under the Government's Help to Buy scheme). In order to avoid systematically biasing house price data, the LR excludes records of sales that were not at full market value. These are not included in the data from the LR and if included, would detract from a meaningful average house price figure. All exclusions cover: 1. All commercial transactions, including operational farms 2. Transfer, conveyances, assignments or leases at a premium with nominal rent which are:  "right to buy" sales at a discount  subject to a lease  subject to an existing mortgage  purchased with an identifiable buy to let mortgage  to effect the sale of a share in a property  by way of a gift  by way of exchange  under a compulsory purchase order  under a court order  to trustees  vesting deeds  transmissions or assents  of more than one property  leases for 7 years or less Timeliness and punctuality (Timeliness refers to the lapse of time between publication and the period to which the data refer. Punctuality refers to the gap between planned and actual publication dates.) The HPSSAs can be produced and published within 4 months of the latest complete Price Paid data being published by the LR, which itself is made available on a monthly basis. For more details on related releases of LR data, the GOV.UK release calendar is available online and provides 12 months' advance notice of release dates. In the unlikely event of a change to the pre-announced release schedule, we will notify you and provide the reasons for the change, as set out in the Code of Practice for Official Statistics. ## How The Output Is Created Associated Files And Preparation LR Price Paid data from LR are used to produce the HPSSA and the Price Paid data can be accessed for free via the GOV.UK website as a whole dataset or for individual years or months or by other specific search criteria. In order to link LR Price Paid data to geographic information, the postcode of each transaction is matched to a postcode lookup file which can in turn be used to determine which MSOA and other geographies each transaction took place in. The postcode lookup used in the production of these statistics is the National Statistics Postcode Lookup (UK) (NSPL). This is a complete list of current and historic postcodes in the UK along with a selection of the statistical geographies they are situated within. The NSPL is produced by ONS Geography and is freely available for download. The most recent available version of the NSPL is used when the statistics are produced. Joining data, geographic referencing and calculation With datasets prepared, the NSPL dataset is matched to the LR Price Paid data using postcodes to assign the relevant statistical geographies to each house sale. This allows groups of sales with the same geographies to be formed and averages and sale counts to be calculated. A final list of geographies with sale counts and averages is produced and then matched back to geography lists for completeness. Outputs are made into tables and published as House Price Statistics for Small Areas on our website. ## Disclosure Control The LR data behind HPSSAs are record level data with a number of variables relating to the dwelling type and the sale, but no personal data relating to the seller or buyer. This is explained further on the LR's guidance page on accessing the Price Paid data. There is more detail in the LR Privacy Impact Assessment Review and the Review report: April 2013. The LR Price Paid data or the LR Price Paid Report Builder has more information on an individual sale. Validation and quality assurance Accuracy (The degree of closeness between an estimate and the true value.) Registration of a property transaction with the LR is compulsory for all changes of ownership except leases with less than 7 years to run. Solicitors acting for purchasers invariably register the transaction as quickly as possible after completion. It is the view of the LR that under-recording is negligible. Therefore, such under-recording is unlikely to affect the statistics significantly. The LR Price Paid data used in the HPSSAs are taken directly from the sale contract and are audited. Deliberate misreporting of price in this documentation would in most cases be fraud and is likely to be insignificant in volume. To minimise errors occurring in transcription, the LR has quality control procedures to check for exceptions in the data capture process such as price band and application type. The LR Price Paid data contains records of each completed and registered residential dwelling transaction. Recent transactions can be registered with the LR after the publication of the Price Paid data, and so are not included in the HPSSAs. This is known as registration lag and is predominantly the case for transactions which occurred in the most recent quarter. For example, for statistics relating to the year ending quarter 2, 2015, it is the second quarter (April to June) of 2015 which is most likely to contain transactions which were not registered and included in the Price Paid data at the time it was published. Therefore, in this instance the number of house sales for the year ending quarter 2, 2015 in our HPSSAs is lower than the actual number of house sales that took place during this time. However, when the next data are published (year ending quarter 3, 2015) all previous periods (including year ending quarter 2, 2015) will be updated to reflect any additional registrations for transactions which took place during those previous periods. This means the effect of registration lag on the HPSSAs is minimised as much as possible. Registration lag does not affect a sufficiently large enough number of records to influence the house price statistics in the HPSSAs, nor is it thought to affect one house type more than any other, and so a formal process of revision is not employed. Information on duplicate records, geographical coverage and unmatched records is also produced alongside the output for quality assurance and analytical purposes. This section contains a brief summary of each of these areas along with tables summarising the number of records affected by these issues. For more detailed statistics, or specific queries regarding unmatched records, duplicate records and geographical coverage, please contact better.info@ons.gov.uk. ## Duplicate Records The LR Price Paid data used to produce the HPSSAs contains what may appear to be duplicate records. These can occur when multiple properties (newly built flats for example) are sold as a batch with the same postcode, price and date. These records will still have unique identifiers, but every other variable may match. A process of identifying and quantifying these apparent duplicates was devised in order to identify spikes in duplicates that may require further investigation or deletion. Checks have been done to ensure that the data are deemed to be free of genuine erroneous duplicates which may distort dwelling prices. ## Geographical Coverage It is important to note that the coverage of the published HPSSAs may not be 100% for all reported property types in all geographies. This is because some areas did not have enough house sales for a given property type in a given year to produce a robust median house price. This is most common for smaller geographic areas, such as MSOAs but, for example, affected no more than 25% of MSOAs in 2013. If, for a given year, for house type and area there were fewer than 5 sales records in the LR Price Paid data, the house price statistics are not reported in the HPSSAs. Therefore, coverage can vary throughout the time series. This issue has a negligible impact on coverage at the larger geographies and for the "All Types" category for all geographies. ## Unmatched Records Part of the calculation process for HPSSAs is joining LR Price Paid data with the NSPL. This process does not always achieve a 100% match rate as not all house sale records have postcodes attributed to them and some that do, have erroneous or invalid postcodes that do not appear on the NSPL. These unmatched records are infrequent and show no bias to particular areas, price ranges or house types. Such records are not included in the calculation of median house price. Any error in the medians and number of transactions resulting from these unmatched records is negligible and assumed to be random. For example, between 1995 and 2013, 0.16% of records could not be matched to postcodes. ## Quality Assurance In addition to assessing the extent of duplicate and unmatched records, and in order to quality assure the figures, a small sample of HPSSAs medians and counts with a broad geographical spread are re-calculated manually using the geographically referenced LR Price Paid raw dataset. These figures are cross checked to ensure the automated process worked correctly and outputs were accurate. Validation checks are also carried out by comparing the data produced with other house price data sources to identify similar trends (Coherence and comparability has further details). Coherence and comparability (Coherence is the degree to which data that is derived from different sources or methods, but refer to the same topic, are similar. Comparability is the degree to which data can be compared over time and domain, for example geographic level.) Our HPSSAs are fully comparable throughout the time series going back to 1995 because a single method was used to produce statistics for all available periods, geographies and property types. A house price index is a measure of the change in average house prices in an area between 2 points in time. An increase to an index of 1 means that house prices have increased by 1% between the 2 points in time. Currently, there are a number of different house price indices published in addition to HPSSAs. There are differences in the statistics reported by each index because there are differences in both the data and methods used to produce them. Therefore, the HPSSAs are not directly comparable with these other indices. ## House Price Index (Hpi) The HPI is a monthly release that contains figures for mix-adjusted average house prices and house price indices for the UK, its constituent countries and the regions of England. The index is calculated using mortgage financed transactions that are collected via the Regulated Mortgage Survey by the Council of Mortgage Lenders. These cover the majority of mortgage lenders in the UK. The HPI complements other measures of inflation we publish, such as the Consumer Price Index, the Producer Price Index and the Services Producer Price Indices. Working with the LR, we are currently in the process of developing a new and improved methodology for the HPI. More information on this can be viewed in the proposed development of a new, definitive HPI - user consultation. ## Land Registry House Price Index All residential property transactions in England and Wales are recorded by the LR and form the LR Price Paid data of single residential properties which have sold for full market value. These transactions are used for calculating the LR index. This index is based on repeat-sales regression, which calculates the change in price of any property transacted twice since 1995. Therefore, new build properties are excluded from the index. LR publishes indices at county, unitary authority metropolitan district and London borough levels and is published on the 20th working day of every month. It refers to all transactions of the preceding calendar month. The LR HPI can be accessed via the GOV.UK website. ## Registers Of Scotland Official Quarterly Housing Market Statistics Registers of Scotland record all the property transactions in Scotland. It produces monthly average house prices based on arithmetic means of these transactions, which is published as the Quarterly House Price Statistics in the second month after the period to which the figures refer to. ## Northern Ireland Residential Property Price Index The Land and Property Services assisted by the Northern Ireland Statistics and Research Agency publish a quarterly Residential Property Prices Index (RPPI) for Northern Ireland. The index measures change in the price of residential property sales recorded by HM Revenue & Customs. This statistic was first published in quarter one of 2012. ## Halifax House Price Index And Nationwide House Price Index Both the Halifax bank and the Nationwide building society produces monthly house price indices based on their own mortgage approvals only and therefore, like the HPI, will not include any cash transactions. They both have UK-wide coverage, and because the Halifax and Nationwide use only their own data, they can process the data immediately and do not have to await the receipt of data from other lenders. The statistics can therefore be published sooner after the reference period than other monthly house price statistics. Concepts and definitions (Concepts and definitions describe the legislation governing the output and a description of the classifications used in the output.) Median The HPSSAs report median figures. The median is the value determined by putting all the house sales for a given year, area and type in order of price and then selecting the price of the house sale which falls in the middle, such that an equal number of transactions lie above and below that value. The median is less susceptible to distortion by the presence of extreme values than is the mean, and it is the most appropriate average given the near 100% sample of house sales. ## Mean The mean is the value determined by adding the values of all transactions for an area together and dividing it by the number of transactions that took place in that area. It is useful for comparing with the median to give an indication of the distribution of house prices in an area and assessing what affect extremely high value transactions have on this distribution. However, the median is the most appropriate measure of average house price. ## Lower Quartile The lower quartile is the value determined by putting all the house sales for a given year, area and type in order of price and then selecting the price of the house sale which falls three quarters of the way down the list, such that 75% of transactions lie above and 25% lie below that value. These are particularly useful for assessing housing affordability when viewed alongside average and lower quartile income for given areas. ## Tenth Percentile The tenth percentile is the value determined by putting all the house sales, for a given year, area and type, in order of price and then selecting the price of the house sale which falls nine-tenths of the way down the list, such that 90% of transactions lie above and 10% lie below that value. These give an idea of the prices paid for the very cheapest housing in a given area and helps determine housing affordability for those on particularly low income. ## Transaction A transaction occurs when a change of freeholder or leaseholder takes place regardless of the amount of money involved. Similarly, an exchange of properties would be classed as 2 transactions. The transaction covers both the property and the land on which it stands; this could be extensive, but operational farms and other commercial properties are excluded from the LR Price Paid data. Other exclusions are described on page 3 of this document. ## Transaction Price And Market Value The LR records the transaction price, that is, the actual price for which the property changed hands. This will usually be an accurate reflection of the market value for the individual property, but it is not always the case. For example, if the ownership of a property is transferred from one individual to another within the same family the price may be fixed by agreement at a level quite different from the market value. Similarly, if the transaction was agreed under the legislation which gives council tenants the right to buy their home, the price would have been discounted. In order to generate statistics that more accurately reflect market values, the LR has excluded records of houses that were not sold at market value from the dataset. The remaining data are considered a good reflection of market values at the time of the transaction. However, the LR Price Paid data are not adjusted to reflect the mix of houses in a given area. Fluctuations in the types of house that are sold in that area can cause differences between the median transactional value of houses and the overall market value of houses. The HPSSAs are an accurate measure of social change with regards to house prices, and not an economic measure of change or inflation. Other information Output quality trade-offs (Trade-offs are the extent to which different dimensions of quality are balanced against each other.) This output is not subject to scheduled revisions, however, the raw data used to calculate these statistics are occasionally revised to maintain the highest possible quality. When this happens, the latest release of House Price Statistics for Small Areas will be calculated using the revised data and any revised historic data will be included in the latest release. If a particular area contained fewer than 5 property sales in a given year, the median, mean, lower quartile and tenth percentile are not reported. A minimum of 5 records is deemed necessary to produce a robust median house price, indicative of the prices in a particular area. This was agreed by our methodologists and has been standard practice with DCLG in historic releases. This approach results in some areas lacking 100% coverage, in particular the smaller geographic areas and individual house types. Summary of the main users of House Price Statistics for Small Areas In order to identify the users and uses of HPSSA, regular communication with other producers of house price statistics, such as our HPI team, Department for Communities and Local Government (DCLG) and the LR, was carried out to understand the types of request users make for more detailed statistics on house prices. The Neighbourhood Statistics Service team and our customer contact centre were also consulted to help gather more information about the potential users of HPSSA. The following broad groups of users have been identified:  central government: monitoring housing trends, supply and demand in society, policy making and regulation  local government: monitoring and developing their housing policies to meet the current and future needs of their areas and to understand how changes and policies at the national level affect housing at the local authority level  devolved administrations: supporting policy making and monitoring changes at the country level, similar to those requirements of central government; also used for comparisons to wider UK policies  banks and building societies: house price statistics are used for mortgage lending in order to make decisions on whether to lend, how much to lend, and setting interest rates  house builders: house builders are interested in whether and where demand for new housing exists, and the returns received on homes built or converted these include organisations such as larger estate agents seeking information on small area trends  housing industry specialists:  housing bodies: these include organisations such as the Home Builders Federation  media: make use of the data to inform and aid journalistic coverage of local housing markets  social researchers: data may be indicative of social status and may be used in the development of further statistics and social analysis  academics: include geographers and sociologists who make use of these statistics for study and analysis Sources of further information or advice Accessibility and clarity (Accessibility is the ease with which users are able to access the data, also reflecting the format in which the data are available and the availability of supporting information. Clarity refers to the quality and sufficiency of the release details, illustrations and accompanying advice.) The recommended format for accessible content is downloadable content and web content for narrative, charts and graphs, with data being provided in usable formats such as CSV and Excel. The data for these statistics are available from our website; users can also download the narrative in PDF format. For further information please refer to the contact better.info@ons.gov.uk. For information regarding conditions of access to data, please refer to the links below:  terms and conditions (for data on the website)  copyright and reuse of published data  pre-release access (including conditions of access  accessibility In addition to this Quality and Methodology Information, all HPSSA publications are available with analytical content and data. Useful links Land Registry information on LR Price Paid data	en
2326-pdf	## Cps Finance And It Information Freedom Of Information Act 2000 Request Request I am writing to you under the Freedom of Information Act 2000 to request the following information from Finance (Accounts Receivable/Payable) and IT (Information Technology): 1) Who provides the organisations BACS payments and Direct Debit collection software? 2) Please provide a list of your suppliers of the above software. 3) How you came to the decision to choose these companies? 4) Are these solution(s) hosted on premise or cloud hosted? 5) Please provide expenditure on computer software used for Bacs payment processing and Direct Debit collection. For financial years 2014/2015 and 2015/2016. 6) When does your current contract(s) with BACs payment and direct debit collection software expire? 7) Will this service(s) be tendered and if so where? 8) What is the total value of your current BACS payment and Direct Debit collection software contract(s) and over what period? 9) With whom does the organisation hold its primary bank account? 10) Does the organisation, acting as a Bureau, provide Bacs processing on behalf on any other organisation? 11) What payments types does the organisation use? (e.g Bacs (Direct Credit), Direct Debit, Faster Payments, etc.). 12) Who is the person responsible for BACS processing and Direct Debit collection software? o Name o Position o Telephone Number o Email Please provide the information below each question, signifying your response(s) by a change of font or highlighted text, spaced between other questions. If it is not possible to provide the information requested due to the information exceeding the cost of compliance limits identified in Section 12, please provide advice and assistance, under your Section 16 obligations, as to how I can refine my request to be included in the scope of the Act. In any case, if you can identify ways that my request could be refined please provide further advice and assistance to indicate this. I look forward to your response within 20 working days, as stipulated by the Act. If you have any queries please don't hesitate to contact me via email or phone and I will be happy to clarify what I am asking for, my details are outlined below. Our Response In response to questions 1-3 above the Crown Prosecution Service receives outsourced Finance Services from CGI IT UK Limited through a call-off contract on the Crown Commercial Service's Payroll Human Resources (HR) and Finance Services framework agreement (RM887): this includes the provision of a BACS service including software. The CPS does not collect direct debits. In response to question 4, the information you have requested is exempt under s.43 (1) 'commercial interest' as this information constitutes a trade secret. The public interest test has been considered. To disclose this information would demonstrate transparency about how the CPS spends public money and may increase public confidence in the CPS. The CPS considers the services provided by the supplier as a key business process, and therefore regards this information as a trade secret. Under the terms of the contract the business process is deemed to be commercially sensitive information and therefore not disclosable. As the information requested is considered to be protected sensitive information, I consider the public interest favours maintaining the exemption. In response to questions 5, 7 and 8 above, the Crown Prosecution Service does not hold this information. In response to question 6 the Call-off contract was signed in July 2015 for a period of up to seven years. ## 9. With Whom Does The Organisation Hold Its Primary Bank Account? Royal Bank of Scotland Group - via Government Banking Services ## 10. Does The Organisation, Acting As A Bureau, Provide Bacs Processing On Behalf On Any Other Organisation? No ## 11. What Payments Types Does The Organisation Use? (E.G Bacs (Direct Credit), Direct Debit, Faster Payments, Etc.). BACS, Faster Payments, Payable Orders, International Transfers and Drafts ## 12. Who Is The Person Responsible For Bacs Processing And Direct Debit Collection Software? The information you have requested is exempt under section 40 'personal information' Please refer to the attached refusal notice which explains my decision. Our procurement team email contact is: procurement@cps.gsi.gov.uk Information Management Unit 020 3357 0899 FOI.Unit@cps.gsi.gov.uk	en
0840-pdf	walls. Blue tile pitched roof. ## Long Section (Internal) Plan (Internal) © WRE Ltd. This document should not be relied on or used in circumstances other than those for which it was originally prepared and for which WRE Ltd was originally commissioned. WRE Ltd accepts no responsibility for this document to any other party other than the person by whom it was commissioned. 003 663. blue tile. 2. All levels are in metres above datum (taken as the measured downstream water level). 3. All dimensions are in millimetres unless stated otherwise. 4. The drawing is based on Ordnance Survey data and from measurements and observations recorded on site. 5. Refer to the Construction and Installation Specification. To be provided prior to construction 6. All new concrete to be be minimum grade C35. 7. All new blockwork to be minimum grade 22N/mm². Max weight of each block not to exceed 20kg. 8.Pressurised pipe to be black in colour for UV protection, 225mm i.d. HPPE 6 bar or greater rating, electro-fusion joined with 225mm wide blockwork supports at minimum 2.5m centres for any above ground section. 9. Pressurised pipe to be anchored to below ground mass concrete thrust block (1m³) at every significant (>15 degrees) change in alignment, and all above ground change in allignment. 10. Head sensor cable not shown. Route to follow pipe. which shall be taken as the maximum historic flood level and will be verified to be provided prior to construction. ## Cross Section 13.Reinforced concrete wall thickness 300mm. Mesh to have 50mm cover. Starter bar dimensions and floor and wall mesh thickness to be confirmed. ## Slab Construction Detail 1. Drip tray to be fitted below turbine casing to prevent any oil / grease leakage falling into the watercourse or onto the powerhouse floor and creating a slip hazard. 7. 400 x 400 vent to be fitted into powerhouse wall. Client Mr G. Tunnicliffe 2. Rubber mat to be placed below the electrical control gear to provide insulation in case of electrical shock. 8. Building to be fitted with two no. strip lights (ceiling mounted) to ensure adequate lighting (as per Workplace Regulations 1992). Project Buxton Hydro Power Scheme Drawing Title 3. Electrical voltage and dual supply signs to be prominently displayed and electricity warning sign placed on external face of door. Proposed powerhouse - Details 9. Warning notice to be prominantly displayed stating draft tube chamber is a confined space and entry is not permitted. Drawing No. Revision Status Scale at A3 103/08 FOR PLANNING 2 AS SHOWN 4. First aid notice to be prominantly displayed. Drawn by Checked by Approved by Date J Green C Elliott	en
4617-pdf	## Vaksinimi Covid-19 Një Udhëzues Për Të Rriturit Kjo broshurë shpjegon në lidhje me vaksinimin COVID-19, kush është i përshtatshëm dhe kush duhet të ketë vaksinën për t'i mbrojtur ata nga Koronavirusi. Mbroni veten. Vaksinimi COVID-19 ## Përmbajtja Çfarë është COVID-19 ose Koronavirusi? Rreth llojeve të vaksinave Kush duhet t'i bëjë vaksinat COVID-19? A jam më shumë në rrezik nga infeksioni me COVID-19? Kush nuk mund ta bëjë vaksinën? A do të më mbrojë vaksina? A do të ketë vaksina efekte anësore? Unë kam bërë vaksinën time të gripit, a kam nevojë edhe për vaksinën COVID-19? A mund të infektohem me COVID-19 nga vaksina? Çfarë të bëj më tej? Çfarë duhet të bëj nëse nuk jam mirë kur të jetë takimi im i radhës? A mund t'ia transmetoj dikujt COVID-19, pasi të kem bërë vaksinën? # Çfarë Është Covid-19 Ose Koronavirusi? COVID-19 shkaktohet nga një koronavirus i ri, i njohur si SARS-CoV-2. Për herë të parë u identifikua në fund të vitit 2019. Është shumë infektues dhe mund të çojë në sëmundje të rëndë të frymëmarrjes. Shumë njerëz që janë të infektuar mund të mos kenë asnjë simptomë ose të kenë vetëm simptoma të lehta. Këto zakonisht fillojnë me kollë, ethe, dhimbje koke dhe humbje të shijes ose nuhatjes. Disa njerëz do të ndjehen shumë të lodhur, do të kenë dhembje të muskujve, diarre dhe të vjella, ethe dhe konfuzion. Një numër i vogël i njerëzve pastaj vazhdojnë të kenë sëmundje të rëndë që mund të kërkojë shtrim në spital ose në kujdesin intensiv. Në përgjithësi më pak se 1 në 100 njerëz që janë të infektuarvdesin nga COVID-19, por në ata mbi 75 vjeç kjo rritet në 1 në 10. Nuk ka shërim për COVID-19 edhe pse disa trajtime të testuara rishtazi ndihmojnë në uljen e rrezikut të komplikimeve. ## Rreth Llojeve Të Vaksinave Në MB, ekzistojnë dy lloje të vaksinave COVID-19 që do të përdoren pasi të miratohen. Ato të dyja kërkojnë dy doza për të siguruar mbrojtjen më të mirë. Kush duhet t'i bëjë vaksinat COVID-19? Komiteti i Përbashkët për Vaksinimin dhe Imunizimin (JCVI), një grup ekspertësh i pavarur ka rekomanduar që NHS t'ua ofrojë këto vaksina së pari atyre që kanë rrezik më të lartë për të kapur infeksionin dhe vuajnë komplikime serioze nëse infektohen. Kjo përfshin të rriturit e moshuar, punonjësit e linjës së parë shëndetësore dhe të kujdesit social, banorët dhe personelin e shtëpive të kujdesit dhe ata me gjendje të caktuara klinike. Kur të ketë sasi më të mëdha vaksinash, ato do t'u ofrohen personave të tjerë në rrezik, sa më shpejt të jetë e mundur. ## A Jam Në Rrezik Më Të Madh Nga Infeksioni Covid-19? Koronavirusi Mund Të Prekë Këdo. Nëse Jeni Një I Rritur Në Moshë Dhe Keni Një Gjendje Shëndetësore Afatgjatë, Covid-19 Mund Të Jetë Shumë Serioz Dhe Në Disa Raste Fatal. Ju Duhet Ta Bëni Vaksinën Covid-19 Nëse Jeni: • Një I Rritur Që Jeton Ose Punon Në Një Shtëpi kujdesi për të moshuarit • një punonjës i kujdesit shëndetësor në vijën e parë • një punonjës i kujdesit social në vijën e parë • një kujdestar që punon në kujdesin shtëpiak dhe kujdeset për të rriturit e moshuar • të moshës 65 vjeç e lart • të rriturit më të rinj me gjendje klinike afatgjata (shih faqen tjetër) ## Vaksina Gjithashtu Do T'U Ofrohet Të Rriturve Me Gjendje Të Tilla Si: • Një Kancer Në Gjak (Të Tilla Si Leucemia, limfoma ose mieloma) • diabeti • demencia • një problem me zemrën • një ankesë në gjoks ose vështirësi në frymëmarrje, duke përfshirë bronkitin, emfizemën ose astmën e rëndë • një sëmundje e veshkave • një sëmundje e mëlçisë • imunitet i ulur për shkak të sëmundjes ose trajtimit (të tilla si infeksioni HIV, barna steroide, kimioterapi ose radioterapi) • artriti reumatoid, lupusi ose psoriaza • të paturit e një transplanti organi • të paturit e një goditje në tru ose një sulm ishemik kalimtar (TIA) • një gjendje neurologjike ose humbje të muskujve • një aftësi e kufizuar e rëndë ose e thellë në të mësuar • një problem me shpretkën tuaj, p.sh. sëmundja e drapanocideve ose që ju është hequr shpretka • janë seriozisht mbipeshë (BMI prej 40 e lart) • janë shumë të sëmurë nga ana mendore Të gjithë njerëzit që janë në grupin tejet të cenueshëm klinikisht do të kenë të drejtë për një vaksinë COVID-19. Nëse ju ofrohet vaksina, mund të varet nga ashpërsia e gjendjes tuaj. Mjeku juaj i përgjithshëm mund të këshillojë nëse kualifikoheni. ## Kush Nuk Mund Ta Bëjë Vaksinën? Vaksinat nuk përmbajnë organizma të gjallë, dhe kështu janë të sigurta për njerëzit me çrregullime të sistemit imunitar. Këta njerëz mund të mos i përgjigjen aq mirë vaksinës. Një numër shumë i vogël i njerëzve që janë në rrezik të COVID-19 nuk mund të bëjnë vaksinën - kjo përfshin njerëzit që kanë alergji të rënda. Gratë në moshë riprodhuese, ato që janë shtatzënë ose ushqejnë me gji duhet të lexojnë informacionin e detajuar www.nhs.uk/covidvaccination ## A Do Të Më Mbrojë Vaksina? Vaksinimi COVID-19 do të zvogëlojë mundësinë që të vuani nga sëmundja COVID-19. Mund të duhen një ose dy javë që trupi juaj të krijojë një mbrojtje nga doza e parë e vaksinës. Vaksina është treguar e efektshme dhe asnjë shqetësim sigurie nuk është parë në studimet e më shumë se 20,000 njerëzve. Ashtu si të gjitha barnat, asnjë vaksinë nuk është plotësisht e efektshme - disa njerëz mund të infektohen ende COVID-19 pavarësisht se kanë bërë një vaksinë, por kjo duhet të jetë më pak e rëndë. ## A Do Të Ketë Vaksina Efekte Anësore? Si të gjitha ilaçet, vaksinat mund të shkaktojnë efekte anësore. Shumica e këtyre janë të buta dhe afatshkurtra, dhe jo të gjithë i kanë këto. Edhe nëse keni simptoma pas dozës së parë, përsëri duhet të merrni dozën e dytë. Megjithëse mund të merrni njëfarë mbrojtje nga doza e parë, marrja e dozës së dytë do t'ju japë mbrojtje të qëndrueshme ndaj virusit. ## Efektet Anësore Shumë Të Zakonshme Përfshijnë: • të paturit e një ndjenje të dhimbshme, të rëndë dhe butësi në krahun ku keni bërë injeksionin tuaj. Kjo ka tendencë të jetë më keq rreth 1-2 ditë pas vaksinës • ndjenjë lodhjeje • dhimbje koke • dhimbje të përgjithshme, ose simptoma si me grip të lehtë Megjithëse ndjenja e etheve nuk është e pazakontë për dy ose tre ditë, një temperaturë e lartë është e pazakontë dhe mund të tregojë se keni COVID-19 ose një infeksion tjetër. Mund të pushoni dhe të merrni dozën normale të paracetamolit (ndiqni këshillat në paketim) për t'ju ndihmuar të ndiheni më mirë. Simptomat pas vaksinimit normalisht zgjasin më pak se një javë. Nëse simptomat tuaja duket se përkeqësohen ose nëse jeni i/e shqetësuar, telefononi NHS 111. Nëse kërkoni këshillë nga një mjek ose infermier, sigurohuni që t'u tregoni atyre rreth vaksinimit tuaj (tregojini kartën e vaksinimit nëse është e mundur) në mënyrë që ata t'ju vlerësojnë siç duhet. Ju gjithashtu mund të raportoni efekte anësore të dyshuara për vaksinat dhe ilaçet përmes skemës së Kartës së Verdhë. Shikoni faqen 11. Nëse aktualisht jeni në grupin ekstremisht të rrezikuar klinikisht, ju lutemi vazhdoni të ndiqni udhëzimet e qeverisë. ## Unë Kam Bërë Vaksinën Time Të Gripit, A Kam Nevojë Edhe Për Vaksinën Covid-19? Vaksina e gripit nuk ju mbron nga COVID-19. Meqenëse keni të drejtë për të dy vaksinat, duhet t'i bëni të dyja, por normalisht të ndara, të paktën një javë. ## A Mund Të Infektohem Me Covid-19 Nga Vaksina? Ju nuk mund të infektoheni me COVID-19 nga vaksina, por është e mundur ta jeni infektuar me COVID-19 dhe të mos e kuptoni se keni simptomat deri pas takimit tuaj të vaksinimit. Simptomat më të rëndësishme të COVID-19 janë shfaqja e ndonjë prej të mëposhtmeve kohët e fundit: • një kollë e re e vazhdueshme • një temperaturë të lartë • një humbje, ose ndryshim në shqisën tuaj normale të shijes ose nuhatjes Nëse keni simptomat e mësipërme, qëndroni në shtëpi dhe rregulloni që të bëni një test. Nëse keni nevojë për më shumë informacion mbi simptomat vizitoni www.nhs.uk/conditions/coronavirus- COVID-19/symptoms ## Çfarë Të Bëj Më Tej? Pasi të keni marrë dozën e parë, duhet të planifikoni të merrni pjesë në takimin tuaj të dytë. Ju duhet të keni një kartë regjistrimi dhe takimi juaj i ardhshëm duhet të jetë ndërmjet 3 dhe 12 javëve më vonë. Është e rëndësishme që të keni të dyja dozat e vaksinës për t'ju dhënë mbrojtjen më të mirë. Mbani kartën tuaj të sigurt dhe sigurohuni që të mbani takimin tuaj të radhës për të marrë dozën tuaj të dytë. Don't forget your COVID-19 vaccination Make sure you keep this record card in your purse or wallet Name Name of vaccine: 1 Batch no: Date vaccine given: For more information on the COVID-19 vaccination or what to do after your vaccination, see www.nhs.uk/covidvaccine Protect yourself. Don't forget to attend your appointment to have your second dose of vaccine. You will have the best protection after two doses. Second appointment date: Public Health England gateway number: 2020311. Product code: COV2020311 ## Çfarë Duhet Të Bëj Nëse Nuk Jam Mirë Kur Të Jetë Takimi Im I Radhës? Nëse nuk jeni mirë, është më mirë të prisni derisa të shëroheni për të bërë vaksinën tuaj, por duhet të përpiqeni ta bëni sa më shpejt të jetë e mundur. Ju nuk duhet të shkoni në një takim vaksinimi nëse po vetë-izoloheni, duke pritur për një test COVID-19 ose nuk jeni i sigurt nëse jeni mirë dhe në rregull. ## A Mund T'Ia Ngjis Covid-19 Kujtdo, Pasi Të Kem Bërë Vaksinën? Vaksina nuk mund t'ju japë infeksionin COVID-19 dhe dy doza do të zvogëlojnë mundësinë tuaj për t'u sëmurë rëndë. Ne ende nuk e dimë nëse kjo do t'ju ndalojë të infektoheni dhe ta përçoni virusin. Pra, është e rëndësishme të ndiqni udhëzimet në zonën tuaj lokale për të mbrojtur ata që ju rrethojnë. Për të mbrojtur veten dhe familjen tuaj, miqtë dhe kolegët ju ende duhet të: • praktikoni distancimin shoqëror • vishni një maskë për fytyrën • lani duart me kujdes dhe shpesh • ndiqni udhëzimet aktuale www.gov.uk/coronavirus Ju lutemi lexoni broshurën e informacionit të produktit për më shumë detaje mbi vaksinën tuaj, përfshirë efektet anësore të mundshme, duke kërkuar Kartën e Verdhë të Koronavirusit. Ju gjithashtu mund të raportoni efekte anësore të dyshuara në të njëjtën faqe në internet apo të shkarkoni aplikacionin e Yellow Card. coronavirus-yellowcard.mhra.gov.uk ## Mos Harroni COVID-19 përhapet përmes spërklave të nxjerra nga hunda ose goja, veçanërisht gjatë të folurit ose kollitjes. Mund të merret gjithashtu duke prekur sytë, hundën dhe gojën pas kontaktit me objekte dhe sipërfaqe të ndotura. Vaksinimi, ndihma në mbrojtjen e njerëzve më të prekshëm. Nëse keni nevojë për më shumë informacion mbi vaksinimin COVID-19 ju lutemi vizitoni: www.nhs.uk/covidvaccination Ju mund të porosisni më shumë nga këto broshura falas në www.healthpublications.gov.uk	sq
1763-pdf	ISSUING OFFICE ADDRESS LINE 1-----X ISSUING OFFICE ADDRESS LINE 2-----X ISSUING OFFICE ADDRESS LINE 3-----X ISSUING OFFICE ADDRESS LINE 4-----X ISSUING OFFICE ADDRESS LINE 5-----X ISSUING OFFICE ADDRESS LINE 6-----X POSTCODE X REPRINT-REFERENCE--X 999 Unique tax reference (UTR) 99999 99999 RECIPIENT NAME LINE 1 ------------X RECIPIENT NAME LINE 2 ------------X ADDRESS LINE 1 -------------------X ADDRESS LINE 2 -------------------X ADDRESS LINE 3 -------------------X ADDRESS LINE 4 -------------------X ADDRESS LINE 5 -------------------X POSTCODE X Accounts Office reference 999PA99999999 CIS Helpline 9999 999 9999 Date 99 XXXXXXXXX 9999 ## 99/99/9999 Construction Industry Scheme Contractor'S Monthly Return For Period Ending We have received your Contractor's monthly return for the above period and note that you have included amounts in some of the boxes, but have also completed the nil declaration box on page 4. We have treated this monthly return as one which reports payments to subcontractors and/or deductions from subcontractors. If you disagree, please call the CIS Helpline to let us know what the correct entry should be. You also ticked the box indicating that you will not be paying any subcontractors for the foreseeable future. Unfortunately we were unable to stop the issue of your Contractor's monthly return for the period ending 99/99/9999 from being produced and sent to you. Please do not send this return to us unless you have payments or deductions to report. We have suspended the issue of any further returns for a period of six months. It is your responsibility to let us know at once if you make any payments to subcontractors during this period. You can also get information about filing your monthly returns online by logging on to our website at www.hmrc.gov.uk/new-cis	en
4197-pdf	New eligibility rules for home fee status and student finance for the 2021/22 academic year December 2020 ## Contents New eligibility rules for home fee status and student finance for the 2021/22 academic year 3 Academic year 2020/21 4 Academic year 2021/22 4 Settled status 4 Pre-settled status 5 UK nationals living in the EEA, Switzerland and EU Overseas Territories 6 Family members of UK nationals living in the UK 6 Children of Swiss nationals 6 Children of Turkish Workers 6 The Common Travel Area arrangement with Ireland 7 UK and EU nationals resident in Gibraltar 7 UK nationals resident in the other British Overseas Territories 7 Students living in the Crown Dependencies 7 ## New Eligibility Rules For Home Fee Status And Student Finance For The 2021/22 Academic Year Disclaimer This document is designed to assist with the interpretation of The Education (Student Support) Regulations 2011 (as amended) (the Regulations). It does not cover every aspect of student support nor does it constitute legal advice or a definitive statement of the law, which will be set out in the amended Regulations early in 2021. Whilst every endeavour has been made to ensure the information contained is correct at the time of publication, no liability is accepted with regard to the contents and the Regulations will remain the legal basis of the student support arrangements for the academic year (AY) 2021/22. In the event of anomalies between this guidance and the Regulations, the Regulations prevail. ## Please Note This Information Is For Student Finance England Students Only] The Withdrawal Agreement provides that current EU principles of equal treatment will continue to apply for those covered by the citizens' rights provisions in the Withdrawal Agreement. This means that EU nationals lawfully resident in the UK before the end of the transition period on 31 December 2020 will be eligible in England for support on a similar basis as now, subject to meeting the usual residency requirements, which are unchanged. Similar agreements have been signed with the EEA-EFTA states and Switzerland. Now that we have left the EU and will no longer have the legal obligations of membership, it is right that EU, other EEA and Swiss nationals are in future treated the same as those from other countries. Therefore, EU, other EEA and Swiss nationals and their family members not covered by the Withdrawal Agreements (the EU Withdrawal Agreement, EEA-EFTA Separation Agreement and the Swiss Citizens' Rights Agreement) or the Common Travel Area arrangement with Ireland will not be eligible for home fee status and student financial support from Student Finance England if starting courses on or after 1 August 2021. EU, other EEA and Swiss nationals, and their family members, who are covered by the citizens' rights provisions, and who have been granted settled or pre-settled status under the EU Settlement Scheme, will be eligible for support on broadly the same basis as now, subject to meeting the usual residency requirements. ## Academic Year 2020/21 These changes will not affect students starting courses on or before 31 July 2021. If they are already eligible under the current system, they will remain eligible under the current system for the duration of their course. ## Academic Year 2021/22 From 1 August 2021, EU, other EEA and Swiss nationals and their family members who are not covered by the Withdrawal Agreements will no longer be eligible for home fee status, undergraduate and postgraduate financial support and advanced learner loans from Student Finance England for courses starting in academic year 2021/22 or after. Children of Turkish workers arriving in the UK after 31 December 2020 will similarly not be eligible for home fee status and student financial support for courses starting on or after 1 August 2021. This change will also apply to Further Education funding for those aged 19+, and funding for apprenticeships. These eligibility changes do not apply to Irish citizens living in the UK or Ireland whose right to study and to access benefits and services will be preserved on a reciprocal basis for British and Irish citizens under the Common Travel Area arrangement. Regulatory amendments will give effect to these changes. EU, other EEA and Swiss nationals, and their family members who are covered by the Withdrawal Agreements will continue to have access to home fee status and student financial support on broadly the same basis as now. Generally this covers those who: - are living in the UK by 31 December 2020 having exercised a right to reside under EU law, the EEA Agreement or the Free Movement of Persons Agreement, and; - continue to live in the UK after 31 December 2020. Such persons will generally have applied for pre-settled or settled status under the EU Settlement Scheme (EUSS) before 30 June 2021, apart from Irish citizens, who are not required to apply as their rights will be protected as a result of Common Travel Area arrangements. ## Settled Status Those who have been granted settled status under the EUSS will generally be eligible for home fee status, tuition fee and maintenance support if they have been ordinarily resident in the UK and Islands for at least 3 years. Irish citizens are automatically treated as settled in the UK and do not need to apply to the EUSS to benefit from these rights. ## Pre-Settled Status In practice, the Student Loans Company (SLC) will accept pre-settled status, together with ID documentation, as evidence for the purposes of awarding student support to EU, other EEA and Swiss nationals and their family members. We anticipate that providers will take the same approach when awarding home fee status where the student has 3 years' residence in the UK, Gibraltar, EEA, Switzerland or the British/EU overseas territories. EU nationals, and their family members, will generally be awarded tuition fee support by the SLC where the student has pre-settled status and has 3 years' residence in the UK, Gibraltar, EEA and Switzerland (unless that residence was wholly or mainly for the purpose of education). The SLC will award tuition fee and maintenance support to EEA and Swiss workers, and their family members, where the student has pre-settled status and 3 years' residency in the UK, Gibraltar, EEA and Switzerland. They will also ask for financial evidence to confirm applicants are working, have worked or are looking for work, for example, P60 or a letter from an employer. The SLC will award tuition fee and maintenance support to the child of a former EEA or Swiss migrant worker where the student has pre-settled status and 3 years' residency in the UK, Gibraltar, EEA and Switzerland. In line with Government policy, family members of people of Northern Ireland1 where the family member has pre-settled status will be eligible for home fee status and tuition fee support on the same basis as family members of EU nationals covered by the Withdrawal Agreement. Irish citizens covered by the Withdrawal Agreement do not need to apply to the EU Settlement Scheme to benefit from citizens' rights. Please also see the section below: 'The Common Travel Area arrangement with Ireland'. ## Uk Nationals Living In The Eea, Switzerland And Eu Overseas Territories UK nationals and their family members living in the EEA or Switzerland on 31 December 2020 will generally be eligible for home fee status, tuition fee and maintenance support from Student Finance England for courses starting on or after 1 August 2021 and before 1 January 2028 if they meet the following conditions: o they are living in the EEA or Switzerland on 31 December 2020 (or have moved back to the UK immediately after living in the EEA or Switzerland); and o they have lived in the EEA, Switzerland, the UK or Gibraltar for at least the last three years; and o they have lived continuously in the EEA, Switzerland, the UK or Gibraltar between 31 December 2020 and the start of the course. UK nationals and their family members living in the EU Overseas Territories on 31 December 2020 will continue to be eligible for home fee status in England for courses starting before 1 January 2028. ## Family Members Of Uk Nationals Living In The Uk Family members of UK nationals resident in the UK will qualify for home fee status and tuition fee support from Student Finance England on the basis of 3 years ordinary residence in the UK and the Islands. They must also be undertaking a designated course in England. ## Children Of Swiss Nationals The children of Swiss nationals covered by the Swiss Citizens' Rights Agreement will generally be eligible for home fee status, tuition fee and maintenance support after 3 years' residency in the UK, Gibraltar, EEA and Switzerland (unless that residence was wholly or mainly for the purpose of education). ## Children Of Turkish Workers Children of Turkish workers are not covered by the Withdrawal Agreements, but if they and their parent are living in the UK by the 31 December 2020 and the parent's period of leave to remain continues to be valid, they will be eligible for home fee status and student support after 3 years' residency in the UK, Gibraltar, EEA, Switzerland and Turkey. ## The Common Travel Area Arrangement With Ireland The UK Government is firmly committed to maintaining rights of Irish citizens to access higher and further education courses on a reciprocal basis. This includes rights to home fee status, tuition fee loans and maintenance support subject to meeting the eligibility criteria on the same basis as UK nationals. Irish citizens resident in the UK, Islands or Ireland for three years before the start of their course and undertaking a course in England will be eligible for home fee status, tuition fee loans and Advanced Learner Loans from Student Finance England on the same basis as UK nationals. Additionally, Irish citizens will be eligible for maintenance support in England if they have lived in the UK and Islands for three years before the start of the course. ## Uk And Eu Nationals Resident In Gibraltar UK nationals and their family members resident in Gibraltar, and EU nationals and their family members who have a right to reside there arising from the Withdrawal Agreement, will continue to be eligible in England for home fee status, on the basis of 3 years' residency in the UK, Gibraltar, EEA and Switzerland. They will be eligible for fee support for courses starting before 1 January 2028. ## Uk Nationals Resident In The Other British Overseas Territories UK nationals living in the other British Overseas Territories and their family members will be eligible for home fee status when studying in England, on the basis of 3 years' residency in the British Overseas Territories, UK and the Islands, before the start of the course. ## Students Living In The Crown Dependencies From the 2021/22 academic year new and continuing students living in the Crown Dependencies (the 'Islands'), who come to England solely for the purposes of higher or further education study, will be eligible for home fee status, on the basis of 3 years' residency in the UK or the Islands. Currently, only students from the Crown Dependencies who move to the UK for purposes other than undertaking a course are considered to be ordinarily resident in England on the first day of their course, and are eligible for home fee status. ## © Crown Copyright 2020 This publication (not including logos) is licensed under the terms of the Open Government Licence v3.0 except where otherwise stated. Where we have identified any third party copyright information you will need to obtain permission from the copyright holders concerned. To view this licence: visit www.nationalarchives.gov.uk/doc/open-government-licence/version/3 email psi@nationalarchives.gsi.gov.uk write to Information Policy Team, The National Archives, Kew, London, TW9 4DU About this publication: enquiries www.education.gov.uk/contactus download www.gov.uk/government/publications Reference: DfE-00218-2020 Follow us on Twitter: Like us on Facebook: @educationgovuk facebook.com/educationgovuk	en
1620-pdf	Overview: The estates programme located in LB Sutton involves an extensive 14/15 year programme featuring the development of Durand Close estate in Carshalton, along with the smaller Corbet Close estate and a portfolio of defective Orlit properties. There are 13 other smaller sites captured in these proposals to improve community regeneration and housing provision across the borough. The regeneration project as a whole is expected to provide 680+ homes, with 64 per cent affordable. The estate regeneration scheme was originally considered by LB Sutton in 1999 following a petition from residents at Durand Close. The borough was then able to include a number of other sites across the borough to benefit from the regeneration proposals. In 2002 a selection of partners got on board culminating in the establishment of the Lavender Housing Partnership in 2003. The partnership includes Affinity Sutton (originally Broomleigh Housing Association); Rydon construction alongside residents representatives. How were the sites identified? The largest project involved the demolition of a 1960s built estate of 12 deck access blocks of social housing named Durand Close, consisting of 295 primarily three and four bed-roomed flats. The regeneration scheme originally set out to deliver 470 new homes, half of which would be affordable to local residents. This estate was chosen because in the 1990s it had received media recognition as a 'problem estate' and had been compared among the worst estates in England. In 1994 a safer neighbourhood survey was undertaken and identified adverse social issues, with child densities and deprivation levels which were exacerbated by the poor living standards on the estate. There was the cumulative impact of higher than average anti-social behaviour and crime levels. The borough worked with the residents association to implement some local measures including use of garages for a community centre. However in 1999 the residents voted in favour of a comprehensive regeneration scheme. The small sites identified in the project include a mixture of sites requiring redevelopment such as sheltered housing, battery garage blocks a landlocked derelict site and an old depot site and a smaller estate at Corbet Close. Funding: The total cost of the project is £170 million, which includes £29 of government grant and a subsidy contribution. Proceeds from the private development for sale have helped with the provision of the rented and shared ownership properties. Community consultation: The residents of Durand Close agreed a masterplan for the estate in 2006 following a consultation exercise, which resulted in more than 80% of residents in support of the project. The consultation involved active communication with residents groups, FIRST call Consultants and the developer Rydon on design elements of the new homes. The local led partnership forum Lavender Housing Partnership played an instrumental role in making decisions about the project structure and design and ensuring that the development promotes a sustainable community approach. Key successes: By spring 2016, a total of 450 residents had been rehoused across all the sites, with the provision of 430 new homes to date. A further 120 homes will be delivered on site along with another 131 new homes from the other projects such as the Orlit portfolio and Corbet Close. Key Challenges: During this process concerns were raised by the GLA, about parking, play, open space and layout considerations. The transfer of four sites was put on hold for a number of reasons. Discussions about the allocation of housing to AffinitySutton (Broomleigh HA as was) required agreement in respect of the unit and tenure mix and the additional affordable housing to be provided. The approval of the Secretary of State was also required to give consent to the whole project. The phased approach to the scheme saw works begin on the first related site in the summer of 2004, and the first demolition on Durand Close beginning with Phase 1a in 2007 and completion of the first new build units on site in summer of 2011. During 2016-18 it is anticipated that Durand Close (The Lavenders) will see the completion of the final phases of redevelopment with the final delivery stage of the project on other sites to be completed between 2017/19. Lessons learned: Role of contractor is critical in terms of on site management during construction phases and maintaining trusted resident liaison. Early resident involvement in Master Planning, design stages and programme/steering group. Ensure local councillors and local community are engaged in the process. Be clear what the Council is able to offer - in term of rehousing, return to site, compensation, leaseholder package, local lettings etc. Regeneration outcomes: The estate regeneration programme has delivered a number of benefits which include high quality housing with mixed use tenures sustainable for the whole community. The schemes has also delivered a new community centre and shop at Durand Close with an improved riverside amenity. The whole project has successfully been delivered with the full involvement of residents throughout the process.	en
4648-pdf	## Public Opinion Of Forestry 2013, Uk And England Release date: 25 July 2013 Coverage: United Kingdom Geographical breakdown: England Issued by: Economics & Statistics, Forestry Commission, 231 Corstorphine Road, Edinburgh, EH12 7AT Enquiries: Jackie Watson 0131 314 6171 statistics@forestry.gsi.gov.uk Statistician: Sheila Ward 0131 314 6475 Website: www.forestry.gov.uk/statistics ## Contents Introduction 3 Key findings 4 Woodland recreation 5 Importance of forestry 12 Engagement with forest issues 15 Climate change 16 Wood as a fuel 19 Tree health 20 Annex 22 ## Introduction The Forestry Commission has conducted biennial surveys of public attitudes to forestry and forestry-related issues since 1995. These surveys are used to inform and monitor policy development. This publication presents results for the UK and for England from the UK Public Opinion of Forestry Survey 2013 on:  Woodland recreation;  Importance of forestry;  Engagement with forest issues;  Climate change;  Wood as a fuel; and  Tree health. A copy of the questionnaire used in this survey, giving complete wording of questions and response options, is provided in the Annex at the end of this report. Surveys have also been run in Wales and in Scotland. Separate reports, providing results from these surveys, are available for Wales and for Scotland. Statistics on the proportion of adults who have been actively engaged in forestry have already been released, in Forestry Commission England's Corporate Plan Performance Indicators and Woodland Indicators 2013 (woodlands indicator 9). Other results from the 2013 survey are published for the first time in this release. Figures for earlier years have not been revised from those previously released. For further details, see the Revisions section of the Annex. As the data are obtained from a sample survey, there is a range of uncertainty (confidence interval) associated with any results produced. Any differences highlighted in the text are statistically significant at the 95 per cent confidence level unless otherwise stated. For further details, see the Data Sources and Methodology and the Quality sections of the Annex. ## Key Findings In England, and in the UK as a whole:  Almost two-thirds of respondents have visited forests or woodlands in the last few years. Of these, over two-thirds exercised during their visit, including walking, running and mountain biking.  One in ten respondents were involved in volunteer work, organised tree planting events, community-based woodland groups or consultations associated with woodlands in the past 12 months. On climate change:  80% agree or strongly agree that 'trees are good because they remove carbon dioxide from the atmosphere and store it in wood'.  55% agree or strongly agree that 'cutting down forests and woodland makes climate change worse, even if they are replanted'.  Around 85% agree or strongly agree that 'a lot more trees should be planted'  12% use wood as fuel in their home. On tree health (new in 2013):  80% agree or strongly agree that 'action should be taken by authorities and woodland managers to protect trees from damaging pests and diseases'.  Nearly two-thirds agree or strongly agree that 'everyone should take action when visiting woodlands to help prevent the spread of damaging tree pests and diseases' and 'would be willing to look out for and report sightings of pests and diseases on trees, if appropriate information and advice was available to [them]'.  Less than one quarter agree or strongly agree that 'there is very little that anyone can do to prevent the spread of damaging tree pests and diseases'. ## Woodland Recreation The survey asked respondents a number of questions about visits to woodland. This included whether the respondent had visited woodland in the last few years, reasons for not visiting (more often or at all), type of woodland visited, frequency of visits and participation in activities during woodland visits. ## Proportion Visiting Woodland As in previous years, respondents to the 2013 survey were asked whether they had visited forests or woodlands for walks, picnics or other recreation in the last few years. In 2013, around two thirds of respondents in the UK (66%) and in England (65%) said they had visited forests or woodlands in the last few years for walks, picnics or other recreation (Table 1). This represents a significant decrease over the results in 2007 and 2009 but is similar to the results in 2011 and in earlier years. Percent of respondents Year UK England 2003 67 66 2005 65 65 2007 77 76 2009 77 77 2011 67 68 2013 66 65 Source: UK Public Opinion of Forestry Surveys. Note: 1. Figures are based on all respondents: UK - 2003 (4,120), 2005 (3,892), 2007 (4,018), 2009 (2,011), 2011 (2,068), 2013 (1,927); England - 2003 (3,412), 2005 (3,367), 2007 (3,339), 2009 (1,685), 2011 (1,733), 2013 (1,615). ## Reasons For Not Visiting Woodland All respondents were asked to state their main reasons for not visiting woodland more often or at all. For those who had not visited woodland or forests in the last few years, 'I'm too busy/not enough time', was the most commonly cited reason for not doing so (30% of those in the UK, 33% of those in England) (Figure 1). Other common answers included 'not interested in visiting' (24% for the UK, 23% for England), 'other personal mobility reasons' (18% for the UK, 16% in England) and 'bad weather' (16% for the UK and for England). Source: UK Public Opinion of Forestry Survey 2013. Note: 1. Figure is based on all respondents who had not visited woodland in the last few years: UK (655), England (559). 2. Respondents could provide more than one reason. Of those respondents who had visited woodlands, the most commonly stated reasons for not visiting more often were 'bad weather' (38% for the UK and for England) and 'I'm too busy/not enough time' (28% for the UK, 29% in England) (Figure 2). Source: UK Public Opinion of Forestry Survey 2013. Note: 1. Figure is based on all respondents who had visited woodland in the last few years: UK (1,272), England (1,056). 2. Respondents could provide more than one reason. ## Type Of Woodland Visited Table 2 shows that respondents who had visited woodlands and forests in the last few years were more likely to visit 'woodlands in the countryside' (85% for both the UK and England) than 'woodlands in and around towns' (70% in the UK and 68% in England). In addition, over half of respondents (55% in the UK and 53% in England) reported visiting woodlands and forests in both locations. The proportion of UK respondents in 2013 who had visited woodlands in and around towns (70%) represents a significant increase over the 2011 figure (62%). Percent of respondents who had visited woodlands Type of woodland UK England 2009 2011 2013 2009 2011 2013 Woodlands in the countryside 86 84 85 84 84 85 Woodlands in and around towns 64 62 70 61 62 68 Both 48 47 55 45 46 53 Source: UK Public Opinion of Forestry Surveys. Note: 1. Figures are based on all respondents who had visited woodland in the last few years: UK - 2009 (1,549), 2011 (1,393), 2013 (1,272); England - 2009 (1,291), 2011 (1,170), 2013 (1,056). 2. Responses for those who said they had been to 'both' types of woodlands have been included in the totals for 'woodlands in and around towns' and 'woodlands in the countryside'. ## Frequency Of Woodland Visits Of the respondents who had visited woodlands in the last few years, almost three quarters (73% in the UK and 71% in England) said that they visited at least once a month during summer 2012 (between April and September 2012) (Table 3 and Figure 3). Few respondents who had visited woodlands in the past few years said that they did not visit during summer 2012 (3% in both the UK and in England). Percent of respondents who had visited woodlands Frequency UK England 2009 2011 2013 2009 2011 2013 Several times per week 12 15 16 12 15 15 Several times per month 24 29 31 24 29 30 About once a month 26 26 26 26 25 26 Less often 34 27 24 34 28 26 Never 5 3 3 5 4 3 Source: UK Public Opinion of Forestry Surveys. Note: 1. Figures are based on all respondents who had visited woodland in the last few years: UK - 2009 (1,549), 2011 (1,393), 2013 (1,272); England - 2009 (1,291), 2011 (1,170), 2013 (1,056). Source: UK Public Opinion of Forestry Survey 2013. Note: 1. Figures are based on all respondents who had visited woodland in the last few years: UK (1,272); England (1,056). Of the respondents who had visited woodlands in the last few years, around two fifths (42% in the UK and 40% in England) said they visited at least once a month during winter 2012/13 (between October 2012 and March 2013) (Table 4 and Figure 4). Around one quarter of respondents (23% for both UK and England respondents) said they did not visit during the winter. Percent of respondents who had visited woodlands Frequency UK England 2009 2011 2013 2009 2011 2013 Several times per week 7 9 11 7 9 10 Several times per month 11 12 13 11 13 12 About once a month 16 17 17 16 17 17 Less often 36 32 36 36 32 36 Never 31 29 23 31 29 23 Source: UK Public Opinion of Forestry Surveys. Note: 1. Figures are based on all respondents who had visited woodland in the last few years: UK - 2009 (1,549), 2011 (1,393), 2013 (1,272); England - 2009 (1,291), 2011 (1,170), 2013 (1,056). Source: UK Public Opinion of Forestry Survey 2013. Note: 1. Figures are based on all respondents who had visited woodland in the last few years: UK (1,272); England (1,056). ## Participation In Activities During Woodland Visit Respondents who had visited woodlands in the last few years were asked to state what activities, if any, they had taken part in during their visit. Table 5 shows that the most popular activity undertaken by respondents in 2013 was exercise e.g walking, running, mountain biking (cited by 69% of those in the UK and 67% of those in England who had visited woodlands). Other popular activities included relaxing/spending time thinking, playing with children, having a picnic or barbecue, dog walking, watching nature and visiting a café (all mentioned by over one quarter of respondents in both the UK and in England). These results are generally similar to those from the 2011 survey, although there has been a significant reduction in the proportions reporting that they had been dog walking or watching nature in the UK and in England. Percent of respondents who had visited woodlands Activity UK England 2009 2011 2013 2009 2011 2013 Exercise e.g walk, run, mountain biking 74 66 69 74 65 67 Relaxed or spent time thinking 55 36 32 53 36 34 Played with the children 41 35 32 40 34 33 Had a picnic or barbecue 47 33 30 45 32 31 Dog walking 39 37 30 38 37 29 Watched nature 55 35 29 55 36 30 Visited a café 36 29 28 36 29 29 Been to see a historic site 33 24 21 31 24 21 Followed an interpreted trail 29 14 13 29 14 13 Been to enjoy sculpture or arts and crafts 16 9 9 16 10 9 Been on a guided walk or talk 16 8 6 14 8 6 Attended an organised event in a wood that involved physical activity 12 6 6 11 6 6 Attended cultural event or activity 10 6 6 10 6 6 Been to see an ancient tree 16 6 5 16 6 5 Horse riding 6 4 3 6 3 3 Volunteered 5 3 3 4 2 3 Other 4 6 5 3 6 5 None of these 1 1 2 1 1 2 Source: UK Public Opinion of Forestry Surveys. Note: 1. Figures are based on all respondents who had visited woodland in the last few years: UK - 2009 (1,549), 2011 (1,393), 2013 (1,272); England - 2009 (1,291), 2011 (1,170), 2013 (1,056). 2. Respondents could provide more than one activity. ## Importance Of Forestry Respondents were asked to state their level of agreement with a set of statements regarding the purpose and use of woodlands and forests. Respondents were asked to indicate their opinion twice, once for the importance of woodlands and forests to the public and again for the importance to them personally. Overall, the results suggest that woodlands are viewed as most important for wildlife and for recreation. ## Importance Of Woodland To The Public Table 6 shows the percentage of respondents who agreed (selected 'Strongly agree' or 'Agree') with each of the statements relating to importance of woodland to the public. The highest levels of agreement were with the following statements:  'They are important places for wildlife' (93% in the UK and 92% in England agreed);  'They are places where people can relax and de-stress' (91% in the UK and in England agreed);  'They are places where people can have fun and enjoy themselves' (91% in the UK and 90% in England agreed). The lowest levels of agreements were with the following statements:  'They bring the community together' (56% in the UK and in England agreed);  'They contribute to the local economy' (60% in the UK and 59% in England agreed).  'They get people involved in local issues' (60% in the UK and in England agreed). ## Reasons Woodlands And Forests Are Important To The Public Percent of respondents who agree or strongly agree Reason UK England 2009 2011 2013 2009 2011 2013 They are important places for wildlife 97 97 93 97 97 92 They are places where people can relax and de-stress 95 95 91 95 95 91 People can have fun and enjoy themselves 94 95 91 94 95 90 They are places where people can exercise and keep fit .. 94 89 .. 94 88 They make areas nicer places to live 96 90 87 93 91 86 People can learn about the environment 91 90 87 91 89 86 People can learn about local culture or history 69 71 72 68 71 71 They get people involved in local issues 63 57 60 63 57 60 They contribute to the local economy 59 60 60 57 60 59 They bring the community together 50 54 56 51 55 56 Source: UK Public Opinion of Forestry Surveys. Note: 1. Figures are based on all respondents: UK - 2009 (2,011), 2011 (2,068), 2013 (1,927); England - 2009 (1,685), 2011 (1,733), 2013 (1,615). ## 2. .. Denotes Data Not Available (Statement Not Included In 2009 Survey). Importance Of Woodland To Individual Respondents Respondents who had visited woodland in the last few years (Table 1) were also asked to state their level of agreement with a list of statements as to why woodlands and forests are important to themselves personally. Results were generally similar to those reported by all respondents in considering the importance of woodland to the public, with stronger levels of agreement for recreation than for other issues. As shown in table 7, the majority of respondents who had visited woodlands in the last few years agreed (selected 'Strongly agree' or 'Agree') with most of the statements but the statements that had the highest level of agreement were as follows:  'They are places where I can relax and de-stress' (93% in the UK and 92% in England agreed)  'They are places where I can have fun and enjoy myself' (91% in the UK and 90% in England agreed)  'They are places where I can exercise and keep fit' (87% in the UK and 86% in England agreed) The lowest levels of agreements were with the following statements:  'They get me involved in local issues' (37% in the UK and 37% in England agreed)  'They are good places for me to socialise' (60% in the UK and 61% in England agreed)  'They are places where I can learn about local culture or history' (66% in the UK and 65% in England agreed) Percent of respondents who agree or strongly agree Reason UK England 2009 2011 2013 2009 2011 2013 They are places where I can relax and destress 94 95 92 94 94 92 They are places where I can have fun and enjoy myself 91 94 91 90 93 90 They are places where I can exercise and keep fit 84 90 87 84 89 86 They are places where I can learn about the environment 80 80 77 81 79 76 They are places where I feel at home 69 75 74 69 75 73 They are places where I can learn about local culture or history .. 64 66 .. 64 65 They are good places for me to socialise 50 59 60 51 58 61 They get me involved in local issues 33 34 37 34 35 37 Source: UK Public Opinion of Forestry Surveys. Note: 1. Figures are based on all respondents who had visited woodland in the last few years: UK - 2009 (1,549), 2011 (1,393), 2013 (1,272); England - 2009 (1,291), 2011 (1,170), 2013 (1,056). 2. .. denotes data not available (statement not included in 2009 survey). ## Engagement With Forest Issues Respondents were asked whether they had been involved in woodland consultations or any volunteer groups and organised events associated with woodlands in the last 12 months. Table 8 shows that, in the previous 12 months, 10 per cent of respondents to the 2013 survey (in both the UK and in England) said that they had been involved with at least one of the following:  voluntary work in connection with a woodland (4% in the UK and in England);  an organised tree planting event (3% in the UK and in England);  a community based woodland group (3% in the UK and in England);  a consultation about plans for creating/managing or using woodland (2% in the UK and in England). Percent of respondents Have you…? UK England 2009 2011 2013 2009 2011 2013 Been involved in voluntary work in connection with a woodland (e.g. physical work in a wood, admin, fund raising , running a group) 3 4 4 3 4 4 Been involved in an organised tree planting event 3 3 3 2 3 3 Become or are you a member of a community based woodland group such as a 'Community Trust' or 'Friends of Group' 3 2 3 2 2 3 Been involved or consulted about plans for creating/ managing or using woodlands in your area 3 2 2 3 2 2 None of these 91 92 90 91 92 90 Source: UK Public Opinion of Forestry Surveys. Note: 1. Figures are based on all respondents: UK - 2009 (2,011), 2011 (2,068), 2013 (1,927); England - 2009 (1,685), 2011 (1,733), 2013 (1,615). ## Climate Change Respondents were asked to indicate their level of agreement with two sets of statements related to woodlands and climate change. ## Woodlands' Impact On Climate Change Respondents were asked about their level of agreement with a set of statements regarding the ways in which forests and woodlands in the UK can impact on climate change. Table 9 shows that the highest levels of agreement, where respondents selected 'Strongly agree' or 'Agree', were with the following statements:  'Trees are good because they remove carbon dioxide from the atmosphere and store it in wood' (80% in the UK and in England agreed);  'Planting more trees can help us cope with climate change by providing shade and reducing the effects of flooding' (72% in the UK and 73% in England agreed). The lowest levels of agreement were with the following statements:  'Using wood for fuel makes climate change worse because it releases carbon dioxide' (37% in the UK and 39% in England agreed);  'Using wood for building is better for climate change than using materials such as concrete or steel' (42% in the UK and 43% in England agreed);  'Using wood for fuel is better for climate change than using fuels such as coal and gas' (44% in the UK and 45% in England agreed). Percent of respondents who agree or strongly agree UK England 2009 2011 2013 2009 2011 2013 Trees are good because they remove carbon dioxide from the atmosphere and store it in wood 84 82 80 85 83 80 Planting more trees can help us cope with climate change by providing shade and reducing the effects of flooding 67 73 72 67 74 73 The UK could offset all its greenhouse gas emissions by planting more trees 49 56 55 49 58 55 Cutting down forests and woodland makes climate change worse, even if they are replanted 52 52 55 53 53 55 Using wood for fuel is better for climate change than using fuels such as coal and gas 48 47 44 47 47 45 Using wood for building is better for climate change than using materials such as concrete and steel 43 42 42 42 43 43 Using wood for fuel makes climate change worse because it releases carbon dioxide 36 36 37 36 37 39 Source: UK Public Opinion of Forestry Surveys. Note: 1. Figures are based on all respondents: UK - 2009 (2,011), 2011 (2,068), 2013 (1,927); England - 2009 (1,685), 2011 (1,733), 2013 (1,615). ## Forest Management In Response To Climate Change Respondents were presented with a series of statements regarding the way in which UK forests and woodlands should be managed in response to the threat of climate change. Table 10 shows that the majority of respondents agreed or strongly agreed that:  'A lot more trees should be planted' (86% in the UK and 85% in England);  'More information should be provided about the ways in which wood can be used to lessen our impact on the environment' (80% in both the UK and in England); and that  'Different types of trees should be planted that will be more suited to future climates' (71% in both the UK and in England). Conversely, few respondents agreed or strongly agreed that:  'There is nothing anyone could do that would make any difference' (17% in both the UK and in England);  'No action is needed; let nature take its course' (18% in the UK and in England);  'Trees should not be felled in any circumstances, even if they are replaced' (22% in the UK and 23% in England); ## Climate Change Percent of respondents who agree or strongly agree UK England 2009 2011 2013 2009 2011 2013 A lot more trees should be planted 92 90 86 92 90 85 More information should be provided about the ways in which wood can be used to lessen our impact on the environment 86 86 80 86 86 80 Different types of trees should be planted that will be more suited to future climates 70 74 71 70 74 71 Trees should not be felled in any circumstances, even if they are replaced 17 21 22 17 21 23 No action is needed, Let nature take its course 16 21 18 16 20 18 There is nothing that anyone could do that would make any difference 13 13 17 13 13 17 Source: UK Public Opinion of Forestry Surveys. Note: 1. Figures are based on all respondents: UK - 2009 (2,011), 2011 (2,068), 2013 (1,927); England - 2009 (1,685), 2011 (1,733), 2013 (1,615). ## Wood As A Fuel All respondents were asked to state whether or not they use wood as a fuel in their home, either on its own or with other fuels. Around one in eight respondents in the UK and in England (12%) reported that they use wood as a fuel (Table 11). This was not significantly different from the results in previous surveys. Percent of respondents Year UK England 2007 8 8 2009 11 10 2011 12 12 2013 12 12 Source: UK Public Opinion of Forestry Surveys. Note: 1. Figures are based on all respondents: UK - 2007 (4,018), 2009 (2,011), 2011 (2,068), 2013 (1,927); England - 2007 (3,339), 2009 (1,685), 2011 (1,733), 2013 (1,615). Respondents who said they used wood as a fuel were asked three further questions. The following was reported in 2013:  The way in which wood as a fuel is obtained is relatively evenly balanced between those who gathered the wood themselves (31% in the UK and 34% in England), those who bought it 'a few bags at a time' (37% in the UK and 31% in England) and those who received it 'by the truck load' (31% in the UK and 34% in England);  The majority (59% in the UK and in England) said they use wood as a fuel occasionally while the remainder would class themselves as regular users;  14% of wood fuel users in the UK and 12% in England said they use wood as the main fuel for heating their home, while the rest mainly use something else. Respondents who said they did not use wood as a fuel were asked to give the main reason why not. The most common reasons cited by respondents who do not use wood as a fuel, either on its own or with other fuels, were:  'Don't have facilities e.g. open fire/ chimney' (48% in the UK and 46% in England),  'Not practical for this property' (26% in the UK and in England) and  'Happy with the existing system' (16% in the UK and 17% in England). ## Tree Health A new question relating to tree health was introduced for the 2013 survey. Respondents were presented with a series of statements and asked to indicate their level of agreement. Table 12 shows that the majority of respondents agreed or strongly agreed that:  'Action should be taken by authorities and woodland managers to protect trees from damaging pests and diseases' (80% in the UK and in England);  'I would be willing to look out for and report sightings of pests and diseases on trees, if appropriate information and advice was available to me' (64% in the UK and 63% in England); and that  'Everyone should take action when visiting woodlands to help prevent the spread of damaging tree pests and diseases' (63% in the UK and 64% in England). Conversely, few respondents agreed or strongly agreed that:  'There is very little that anyone can do to prevent the spread of damaging pests and diseases' (22% in the UK and 23% in England);  'I understand what is meant by biosecurity' (28% in the UK and 27% in England). ## Table 12: Tree Health Percent of respondents who agree or strongly agree UK England Action should be taken by authorities and woodland managers to protect trees from damaging pests and diseases 80 80 I would be willing to look out for and report sightings of pests and diseases on trees, if appropriate information and advice was available to me 64 63 Everyone should take action when visiting woodlands to help prevent the spread of damaging tree pests and diseases 63 64 I understand what is meant by biosecurity 28 27 There is very little that anyone can do to prevent the spread of damaging tree pests and diseases 22 23 Source: UK Public Opinion of Forestry Survey 2013. Note: 1. Figures are based on all respondents: UK (1,927); England (1,615). Source: UK Public Opinion of Forestry Survey 2013. Note: 1. Figures are based on all respondents in the UK (1,927). 2. See Table 10 or Questionnaire in Annex for full text of response options. Source: UK Public Opinion of Forestry Survey 2013. Note: 1. Figures are based on all respondents in England (1,615). 2. See Table 10 or Questionnaire in Annex for full text of response options. ## Annex Introduction This annex provides background information on the statistics presented in this release. It covers the data sources and methodology used to produce the statistics, information on quality measures and on any revisions to historic data and links to further information. ## Glossary Biosecurity A set of precautions that aim to prevent the introduction and spread of harmful organisms. These may be pests, pathogens or invasive species. Confidence interval An estimated range of values that is likely to include an unknown population parameter. The confidence interval around an estimate is derived from the sample data, and is used to indicate the reliability of the estimate. Clustering A sampling technique where the entire population is divided into groups, or clusters, and a random sample of these clusters are selected. All (or a selection of) observations in the selected clusters are included in the sample. Cluster sampling is often used when a random sample would produce a list of subjects so widely scattered that surveying them would prove to be far too expensive. Forestry Commission (FC) The government department responsible for forestry matters in England, Scotland and (until March 2013) Wales. The Forestry Commission's functions in Wales transferred to a new organisation, Natural Resources Wales, on 1 April 2013. The responsibility for forestry is devolved. Forest In the United Kingdom, there is no formal definition of "forest"; the term is often used for large woodland areas (especially conifers) or for old Royal hunting preserves such as the New Forest or the Forest of Dean. Forest Service (FS) An agency of the Northern Ireland Department of Agriculture and Rural Development. Great Britain (GB) England, Wales and Scotland. Quota sampling A method of sampling where interviewers are each given a fixed number of subjects of specified type to interview. Statistical significance A statistical assessment of whether observations reflect an actual pattern rather than just chance. Stratification A sampling technique where the entire population is divided into groups, or strata, and a random sample is selected within each group. Stratified sampling is often used to ensure that sufficient numbers from each group are included in the overall sample, particularly where results are required for each group. United Kingdom (UK) Great Britain and Northern Ireland. Weighting A set of factors assigned to survey responses to ensure that the resulting weighted results are representative of the population as a whole. Woodland Land under stands of trees with a canopy cover of at least 20% (25% in Northern Ireland), or having the potential to achieve this, including integral open space, and including felled areas that are awaiting restocking. ## Data Sources And Methodology Background The Forestry Commission has conducted biennial surveys of public attitudes to forestry and forestry-related issues since 1995. The surveys have evolved since then as follows:  In the initial surveys, a representative sample of 2,000 adults across Great Britain (GB) was surveyed;  In 2001, with more interest in country-level results within GB, additional questions were asked of representative samples of 1,000 adults in each of Scotland and Wales;  Information has also been collected for Northern Ireland in the past through UK wide surveys in 2003 and the separate Northern Ireland surveys (1,000 adults) carried out in 2005, 2007 and 2010;  In 2013 three separate surveys were carried out for the UK, for Scotland and for Wales. Some questions were asked in all three of the surveys conducted in 2013, but a number of questions have become survey-specific. The table below is a summary of the previous surveys and presents the approximate number of adults interviewed for each country. England results are a subset of the UK survey. Approximate number of adults interviewed Year UK1 England2 Wales Scotland Northern Ireland 2001 2,000 1,000 1,000 2003 4,000 3,400 1,000 1,000 2005 4,000 3,400 1,000 1,000 1,000 2007 4,000 3,300 1,000 1,000 1,000 2009 2,000 1,700 1,000 1,000 2010 1,000 2011 2,000 1,700 1,000 1,000 2013 2,000 1,700 1,000 1,000 Note: 1. 2001 and 2005 surveys covered Great Britain only (i.e. excluding Northern Ireland). 2. Results for England are derived from UK surveys. ## Survey Design The 2013 survey results presented in this report are taken from the GfK NOP Random Location Omnibus survey carried out from the 21st February to 6th March 2013. The survey was based on a representative sample of 1,927 adults (aged 16 or over) across the UK, of whom 1,597 adults were in England. They were selected from within 175 randomly selected sample points across the UK. More details of the sample method are given below. The 2011 and 2009 surveys were also obtained from the GfK NOP Random Location Omnibus survey. The UK 2007 survey data were obtained from the TNS CAPI Omnibus survey while the 2003 and 2005 survey data were obtained from the TNS RSGB General Omnibus. These surveys, which had a higher sample size of 4,000 adults for UK/GB, employed a different survey design so comparisons should be taken with care. ## Methodology UK 2013 survey The GfK NOP Random Location Omnibus employs a quota sample of individuals with randomly selected sampling points. The sample design is essentially a 3-stage design, sampling first parliamentary constituencies, and then output areas within those selected constituencies and finally respondents within the output areas. The sample is based on 175 sampling points. Stratification of parliamentary constituencies The first-stage sampling units for the survey are parliamentary constituencies, which are initially stratified by government office region. In Scotland, a further stratification is by the Strathclyde Region and the rest of Scotland while in Wales, the South East is stratified separately from the rest of Wales. Within each Standard Region, constituencies are classified into four urban/rural types (Metropolitan county, other 100% urban (greater than 7 persons per hectare), mixed urban/rural and rural). Within each of the resultant 46 cells, as a final stratification, constituencies are listed in order of the percentage of people resident in households whose head is in socio-economic Groups 1, 2, 3, 4 or 13 (approximates to Social Grades A&B). Selection of parliamentary constituencies When all the constituencies have been listed in the above way, the electorate of each constituency is entered on the list and a cumulative total of electors by constituency is formed. From the file of constituencies, a sample of 175 must be drawn thus the total number of cumulative electors (N) on the list is divided by 175 and a random number between 1 and N/175 is selected. This random number identifies an elector, in the cumulative total of electors, and the constituency this elector is in becomes the first selected constituency in the sample. To obtain the other 174 constituencies, the sampling interval N/175 is added on 174 times to the initial random number to select the 175 constituencies required. The Selection of Output Areas Within each selected constituency, an output area is selected for each wave of the Omnibus (i.e. each separate run of the survey). These output areas are selected at random, but with some stratification control so that the sample of areas drawn is representative of the sample of constituencies and therefore of the United Kingdom in demographic terms. The variables used for stratification are age, sex, social class, and geodemographic profile (Mosaic classification). Once the areas have been selected, the profile of the aggregated set of areas is checked against the national profile to ensure that it is representative. Each area is a small area containing, on average, around 150 households. Each output area is therefore homogeneous, with the people living within it being fairly similar in social grade terms. Therefore, when quotas are set for interviewing within each output area, the variables controlled for are age and sex within working status. No quota is set for social grade, as the selection of areas ensures that the sample is balanced in this respect. This procedure is repeated for each wave of the Omnibus, producing a different sample of areas for each week of fieldwork. The Selection of Respondents For each selected output area, a list of all residential addresses is taken from the Postal Address File (PAF), which is used by the interviewer to identify the households at which they can interview. In addition to the address listing for an output area, the interviewer is also given a quota sheet in order to target certain groups in terms of age and sex within working status. Each interviewer must interview 12 people within an output area, and the quotas are different for each area in order to reflect the demographic profile of that area. ## Questionnaire A copy of the 2013 questionnaire is provided at the end of this release. This covers the questions requested by the Forestry Commission. In addition, a small number of additional questions are included as standard in the omnibus surveys run by Market Research companies (e.g. gender, age, country/ region) and some of these are also used in analysing the results from the survey. Most questions are retained from one survey to the next, to enable comparisons over time. However, changes are sometimes made to reflect changing circumstances or priorities, or to improve the wording of questions. The following changes were made for the 2013 questionnaire:  Questions that asked about children and woods and about whether respondent has children have been dropped;  A new question has been added on tree health (Q10);  Additional response options have been included to the question on how disabilities or health problems have affected use of woodlands/ forests or other greenspaces (Q11c);  New questions have been added on aspects of diversity (Q13-16). ## Quality The data collected in the survey are weighted, to correct for imbalances between the profiles of the sample and the population and therefore ensure that the weighted results are representative of the UK adult population. For the 2013 survey, this weighting has resulted in an increase in the apparent number of respondents in England, from a total 1,597 adults who were interviewed to a weighted total of 1,615. The results quoted in this report are based on weighted data. All results are subject to the effects of chance in sampling, so a range of uncertainty (confidence interval) should be associated with any result from the survey. The confidence intervals take into account the effect of clustering, weighting and stratification in the survey design (see methodology, above, for more details). Confidence intervals are most commonly reported at the 95% level. This means that there is a 95% chance that the true population value lies within the confidence interval. The following provides a guide to interpreting the results in this report on the basis of a 95% confidence interval:  For questions asked in 2013 to the whole UK sample of 1,927, the range of uncertainty around any figure should be no more than ±3.3% (±3.7% for the 1,615 respondents in England).  For responses of subgroups, i.e. questions not posed to the whole sample of respondents, the range of uncertainty is correspondingly higher. For example the uncertainty for statistics asked only to those who visited woodland (1,272 respondents in the UK and 1,056 in England) should be no more than ±4.1% for the UK and no more than ±4.5% for England.  For questions asked to whole samples, differences of more than 4.7% (UK) or 5.1% (England) between the 2013 results and 2011 results are statistically significant.  For questions asked only to those who had visited woodland, differences of more than 5.7% (UK) or 6.2% (England) between the 2013 results and 2011 results are statistically significant. Given the small sample sizes within the UK survey for respondents living in other parts of the UK, it is not recommended that the UK survey be used to provide results for Wales, Scotland or Northern Ireland. Please refer to the separate survey reports for these countries for relevant results. Further quality information on FC Official Statistics is available at: www.forestry.gov.uk/forestry/infd-7zhk85 ## Revisions Statistics on the proportion of adults who have been actively engaged in forestry have already been released, in Forestry Commission England's Corporate Plan Performance Indicators and Woodland Indicators 2013 (woodlands indicator 9). Other results from the 2013 survey are published for the first time in this release. All figures are final. Figures for earlier years have not been revised from those previously released. The Forestry Commission's revisions policy sets out how revisions and errors to these statistics are dealt with, and can be found at: www.forestry.gov.uk/pdf/FCrevisions.pdf/$FILE/FCrevisions.pdf. ## Further Information Accompanying tables to this release, available at www.forestry.gov.uk/forestry/infd- 5zyl9w, provide more detailed figures, showing standard breakdowns. Figures in tables have been independently rounded, so may not add to the totals shown. ## Release Schedule The UK Public Opinion of Forestry is a biennial survey, next due to run in early 2015 with results likely to be available in summer 2015. ## Official Statistics This is an Official Statistics publication. For more information about Official Statistics and the UK Statistics Authority visit www.statisticsauthority.gov.uk. ## Uk Public Opinion Of Forestry Survey 2013: Questionnaire Q1 [All] a. In the last few years have you visited forests or woodlands for walks, picnics or other recreation? (Single answer)  Yes  No b. Which of the following, if any, are the main reasons for you not visiting woodland/forests more often or at all? (Multi answer)  Not interested in visiting more often  Don't have a car  Lack of suitable public transport  Other personal mobility reasons (difficulty in walking, unwell, etc.)  Woods are too far away  Lack of facilities (play areas, picnic areas, etc.)  Lack of information about woods to visit  Prefer other areas of countryside  Concerns that woods are not safe  Woodlands are badly maintained  Cost of visiting  Lack of confidence  I'm too busy/ not enough time  Bad weather  None of the above ## [Ask If Answered Yes To Q1A. Others To Q4] C. Did You Visit Woodlands In The Countryside Or Woodlands In And Around Towns Or Both? (Single answer)  Woodlands in the countryside  Woodlands in and around towns  Both ## Q2 [If Answered Yes To Q1A] How frequently did you visit forests and woodlands last summer, i.e. between April and September 2012? (Single answer)  Several times per week  Several times per month  About once a month  Less often  Never ## [If Answered Yes To Q1A] And How Often This Winter, I.E. Since October 2012? (Single answer)  Several times per week  Several times per month  About once a month  Less often  Never ## Q3 [If Answered Yes To Q1A] Thinking of your visits to woodlands / forests over the past few years / what activities have you taken part in? (Multi answer)  Exercise e.g. walk, run, mountain biking  Dog walking  Horse riding  Been on a guided walk or talk  Followed an interpreted trail  Been to enjoy sculpture or arts and crafts  Been to see an ancient tree  Been to see a historic site  Attended an organised event in a wood that involved physical activity  Visited a cafe  Had a picnic or barbecue  Played with the children  Watched nature  Relaxed or spent time thinking  Volunteered  Attended cultural event or activity (e.g. exhibition, performance or ceremony)  None  Other (specify) ## Q4 [All] Now Thinking Specifically About Woodlands And Forests And Why They Are Important To The Public Please Indicate Whether You Strongly Agree, Agree, Disagree Or Strongly Disagree With The Following Statements. I Think Woodlands And Forests Are Important To The Public Because: (1) Strongly Disagree, (2) Disagree, (3) Neither Agree Or Disagree, (4) Agree, (5) Strongly Agree, And (6) Don'T Know  They contribute to the local economy  They are places where people can relax and de-stress  They are places where people can exercise and keep fit  They are places where people can have fun and enjoy themselves  They are places where people can learn about the environment  They are places where people can learn about local culture or history  They are important places for wildlife  They bring the community together  They make areas nicer places to live  They get people involved in local issues ## Q5 [If Answered Yes To Q1A. Others To Q6] Now Thinking Specifically About Woodlands And Forests You Have Visited And Why They Are Important To You Personally Please Indicate Whether You Strongly Agree, Agree, Disagree Or Strongly Disagree With The Following Statements. Woodlands And Forests Are Important To Me Because: (1) Strongly Disagree, (2) Disagree, (3) Neither Agree Or Disagree, (4) Agree, (5) Strongly Agree, And (6) Don'T Know  They are places where I can relax and de-stress  They are places where I can exercise and keep fit  They are places where I can have fun and enjoy myself  They are good places for me to socialise  They are places where I can learn about the environment  They are places where I can learn about local culture or history  They get me involved in local issues  They are places where I feel at home ## Q6 [All] Have you in the past 12 months… (Multi answer)  Been involved or consulted about plans for creating/ managing or using woodlands in your area.  Been involved in an organised tree planting event  Been involved in voluntary work in connection with a woodland (e.g. physical work in a wood, admin, fund raising, running a group)  Become or are a member of a community based woodland group such as a 'Community Trust' or 'Friends of' group  None of these ## Q7 [All] Would You Agree Or Disagree With The Following Statements About The Ways In Which Forests And Woodlands In The Uk Can Impact On Climate Change? (1) Strongly Disagree, (2) Disagree, (3) Neither Agree Or Disagree, (4) Agree, (5) Strongly Agree, And( 6) Don'T Know  Trees are good because they remove carbon dioxide from the atmosphere and store it in wood  Cutting down forests and woodland for timber always makes climate change worse, even if they are replanted  Using wood for fuel is better for climate change than using fuels such as coal and gas  Using wood for fuel makes climate change worse because it releases carbon dioxide  Using wood for building is better for climate change than using materials such as concrete and steel  The UK could offset all its greenhouse gas emissions by planting more trees  Planting more trees can help us cope with climate change by providing shade and reducing the effects of flooding ## Q8 [All] Do You Agree Or Disagree With The Following Statements Regarding How Uk Forests And Woodlands Should Be Managed In Response To The Threat Of Climate Change? (1) Strongly Disagree, (2) Disagree, (3) Neither Agree Or Disagree, (4) Agree, (5) Strongly Agree, And (6) Don'T Know  There is nothing that anyone could do that would make any difference  No action is needed; let nature take its course  A lot more trees should be planted  Trees should not be felled in any circumstances, even if they are replaced  Different types of trees should be planted that will be more suited to future climates  More information should be provided about the ways in which wood can be used to lessen our impact on the environment ## Q9 [All] a. Do you ever use wood as a fuel in your home, either on its own or with other fuels? (Single answer)  Yes  No (Go to Q9e) [Ask if answered yes to Q9a] b. Do you get the wood by the truck load, or a few bags at a time, or gather it yourself? (Single answer)  by the truck load  a few bags at a time  gather it yourself  Other [Ask if answered yes to Q9a] c. Do you use wood as a fuel regularly or only occasionally? (Single answer)  regularly  occasionally [Ask if answered yes to Q9a] d. Is the wood the main fuel for heating your home, or do you mainly use something else? (Single answer)  main fuel  something else [After Q9d, skip to Q10] ## [Ask If Answered No To Q9A] E. What Is The Main Reason That You Do Not Use Wood As A Fuel In Your Home? (Single answer)  Never thought about it  Happy with the existing system/ other fuels  Not practical for this property  Concerned about cost  Concerned about efficiency  Concerned about ease of use  Concerned about environmental issues  Do not own property  Lack of local help/suppliers  Don't have facilities (e.g. open fire/ chimney)  Other (specify) ## Q10 [All] Would You Agree Or Disagree With The Following Statements Relating To Tree Health? (1) Strongly Disagree, (2) Disagree, (3) Neither Agree Or Disagree, (4) Agree, (5) Strongly Agree, And( 6) Don'T Know  Everyone should take action when visiting woodlands to help prevent the spread of damaging tree pests and diseases (e.g. by washing shoes/ boots, bikes etc before and after their visit and by brushing soil & plant material from clothes).  I would be willing to look out for and report sightings of pests and diseases on trees, if appropriate information and advice was available to me.  There is very little that anyone can do to prevent the spread of damaging tree pests and diseases.  Action should be taken by authorities and woodland managers to protect trees from damaging pests and diseases.  I understand what is meant by biosecurity. ## Q11 [All] A. Do You Consider Yourself To Have Any Of The Following Disabilities Or Health Problems? (Multi answer)  Mobility disability  Visual impairment  Hearing impairment  Mental health problem  Physical disability  Other  None of the above [Ask all with a disability. Others to Q12] b. Does your disability affect your use of woodlands/ forests or other greenspaces? (Single answer)  Yes  No (Go to Q12) [Ask if answered yes to Q11b. Others to Q12] c. If so, in which of the following ways? (Multi answer)  Lack of public transport to the woodland/forest or other green space  Lack of suitable paths around the woodland/forest or other green space  Lack of accessible facilities, eg toilets, cafe, visitor centre etc  Lack of suitable activities at the woodland/forest or other green space  Lack of information to help inform a visit to the woodland/forest or other green space  Lack of information at the woodland/forest or other green space  Lack of information in a suitable format for your disability  Attitude of staff at the woodland/forest or other green space  Attitude of other visitors at the woodland/forest or other green space  The cost of reaching the woodland/forest or other green space  Cost once at the woodland/forest or other green space  Concern that woods are not a safe place  Other (specify) ## Q12 [All] Which of these best describes your ethnic origin? (Single answer) ## 1. White Includes:  English / Welsh / Scottish / Northern Irish / British  Irish  Gypsy or Irish Traveller  Any other White background ## 2. Mixed / Multiple Ethnic Groups  White and Black Caribbean  White and Black African  White and Asian  Any Other Mixed / multiple ethnic background ## 3. Asian / Asian British Includes:  Indian  Pakistani  Bangladeshi  Chinese  Any Other Asian background ## 4. Black / African / Caribbean / Black British Includes:  African  Caribbean  Any Other Black / African / Caribbean background ## 5. Other Ethnic Group Includes:  Arab  Any other ethnic group ## Q13 [All] Do you identify as belonging to the trans community (including transsexual, transgender, transvestite, cross-dresser, etc)? (Single answer)  Yes  No  Prefer not to disclose ## Q14 [All] Which of the following options best describes how you think of yourself? (Single answer)  Heterosexual  Gay man  Gay woman/lesbian  Bisexual  Other  Prefer not to disclose ## Q15 [All] Which of the following options best describes how you think of your religion or belief? (Single answer)  No religion  Christian (all denominations)  Buddhist  Hindu  Jewish  Muslim  Sikh  Atheist  Other  Prefer not to disclose ## Q16 [All] Are you …? (Single answer)  Married  In a civil partnership  Single  Widowed/ divorced/ separated  Other  Prefer not to disclose	en
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1507-pdf	. Published: 12 May 2016 Mortgage and Landlord Possession Statistics in England and Wales January to March 2016 Ministry of Justice Statistics bulletin ## Contents \| Introduction \| 3 \| \|----------------------------------------\|-----\| \| Court Caseload \| 3 \| \| \| \| \| Case Timeliness \| 3 \| \| \| \| \| Seasonal Adjustment \| 4 \| \| \| \| \| Key Findings \| 5 \| \| \| \| \| 1: Mortgage possession actions \| 6 \| \| \| \| \| 2: Landlord possession actions \| 13 \| \| \| \| \| Annex A: Further information \| 20 \| \| \| \| \| Annex B: Policy changes \| 22 \| \| \| \| \| Annex C: Map information \| 24 \| \| \| \| \| Annex D: Explanatory notes \| 25 \| \| \| \| \| Contact points for further information \| 26 \| \| \| \| ## Introduction This quarterly bulletin presents statistics on mortgage and landlord possession actions in the county courts of England and Wales in January to March 2016. The statistics provide summary figures on the volume and progression of cases that follow the court process of repossessing a property. ## Court Caseload A mortgage or landlord possession action starts when a mortgage lender or landlord completes and submits a claim to the courts to repossess a property. The most common reason for repossession is arrears of mortgage or rent. The court process of possessing a property broadly follows four stages: 1. A claim for a mortgage or landlord possession being issued by a mortgage lender or a landlord; 2. An order being made by the county court. This can either be an outright order that the property is to be recovered by a specific date, or a suspended order that is suspended as long as the defendant complies with conditions specified in the order; 3. If the defendant fails to leave the property by the date given in the order or does not meet the terms of a suspended order, the order may be enforced by a warrant of possession. This authorises the county court bailiff to evict the defendant from the property. The bailiff then arranges a date to execute the eviction; and 4. Repossession by a county court bailiff. Repossessions may occur without county court bailiffs, through less formal procedures, so the actual number of repossessions is usually greater than the number carried out by county court bailiffs. This report also includes UK wide total mortgage repossession figures from the Council of Mortgage Lenders (CML).These are not directly comparable to the other figures in this report, which cover England and Wales only. Figures for each of these four processes are presented in the Excel tables and CSV files that accompany this publication. ## Case Timeliness Two measures of case timeliness are included in this bulletin. The first looks at how long it has taken (in weeks) to get to each stage in the relevant court process from the date when the claim was received, whilst the second reports how long it takes, on average, for claims to reach each stage in the process (number of quarters elapsed) alongside the proportion of claims that actually reach each stage. ## Seasonal Adjustment Seasonal adjustment aims to remove regular seasonal patterns in a time series to show how it changes from quarter to quarter and give a clearer picture of the longer term trends. Possession actions tend to vary due to seasonal effects - since these seasonal effects follow a regular annual pattern, their impact on the series can be removed by seasonally adjusting the data. Please see 'A Guide to Civil and Administrative Justice Statistics'1 for more information on how these figures are calculated. ## Users Of The Statistics These statistics are a leading indicator of the number of properties to be repossessed and the only source of sub-national possession information. In addition to monitoring court workloads, they are used to assist in the development, monitoring and evaluation of policy both nationally and locally. The main users of these statistics are Ministers and officials in central government departments, such as the Department of Communities and Local Government and HM Treasury. Other users include non-governmental bodies, including various voluntary organisations, with an interest in housing and homelessness, such as Shelter. The next publication of Mortgage and Landlord Possession Statistics Quarterly in England and Wales is scheduled to be published on 11 August 2016, covering the period April to June 2016. ## Key Findings This report presents key statistics on mortgage and landlord possession claims in county courts in England and Wales for the first quarter of 2016 (January to March). It includes summary figures of the volume and progression of cases that follow the court process of possessing a property. All figures for the current quarter are provisional. ## Mortgage Possession  In January to March 2016, 4,738 mortgage possession claims were recorded in county courts, down 16% compared to the number issued in the same quarter last year.  There were 3,208 orders for possession, 4,836 warrants of possession and 1,355 repossessions by county court bailiffs in January to March 2016; down 28%, 24% and 18% respectively compared to the same quarter last year, following the long-term downward trend seen since 2009.  Seasonally adjusted data shows that when compared to the previous quarter (October to December 2015), claims have remained stable, orders and repossessions have increased by 8% and 6% respectively and warrants have slightly decreased (down 2%). This is possibly an indication that the downward trend seen in mortgage possession claims is stabilising; this will become evident if future quarters follow the same pattern. ## Landlord Possession  In January to March 2016, 38,053 landlord possession claims in county courts were recorded, down 10% from the same quarter in 2015.  The profile of types of landlord possession claim (e.g. social landlord, private landlord and accelerated claims) has changed over time. In January to March 2016, the majority of landlord possession claims (63%) were social landlord claims although this proportion has fallen from 83% in 1999 - in contrast, a quarter of claims made in January to March 2016 (23%) were accelerated claims and this proportion has risen 11 percentage points since January to March 2009.  There were 29,049 orders for possession, 19,728 warrants of possession and 10,968 repossessions by county court bailiffs, down 8%, 5% and 3% respectively, on the same quarter last year.  When comparing to the previous quarter (October to December 2015), the seasonally adjusted data shows a slight decrease in claims and warrants, of 2% and 1% respectively and orders have remained stable.  The seasonally adjusted figures for repossessions by county court bailiffs show an increase of 5% when compared to October to December 2015, reversing the downward trend seen over the previous three quarters. ## 1: Mortgage Possession Actions The number of mortgage possession actions2 in court increased from 2002 to 2008, and has been decreasing since then (Figure 1 and Table 1). The total number of properties repossessed3 has followed a similar trend. The fall in the number of mortgage possession actions since 2008 coincides with lower interest rates4, a proactive approach from lenders in managing consumers in financial difficulties and other interventions from the government, such as the Mortgage Rescue Scheme. Other factors that may have contributed to the rapid fall in the number of mortgage possession claims and orders since 2008 include the introduction of the Mortgage Pre- Action Protocol (see Annex B on policy changes for more information). Additionally, the downward trend in recent years coincides with a decrease in the proportion of owner-occupiers. In England, owner-occupiers reduced from 71% in 2003 to 63% in 2013/14 and has since remained stable5. Claims issued: A possession claim is created when a claimant begins a legal action for an order for possession of property by making a claim that is then issued in a county court. There were 4,738 mortgage possession claims issued in January to March 2016, down 16% on the same quarter in 2015 (5,643). After seasonal adjustment, the number of claims was 4,576 in January to March 2016, remaining stable when compared to the previous quarter (4,557). The number of mortgage claims per 100,000 households by local authority ranged from zero (Rutland) to 60 (Blackpool). There were two areas with more than 45 mortgage possession claims per 100,000 households (Darlington and Redditch) whilst there were 12 other local authorities with less than five claims. Orders8: The court may grant an order following a judicial hearing which can be either for immediate possession (outright order) or suspended. There were a total of 3,028 orders in January to March 2016, down 28% on the number of orders in the same period in 2016 (4,224). Seasonally adjusted figures show an 8% increase compared to the number of orders made in October to December 2015 (from 2,947 to 3,346). Forty three % of mortgage possession orders made in January to March 2016 were suspended compared with 57% that were outright. Annually, from 2006 to 2014, between 46% and 50% of orders were suspended each year - this proportion dropped to 43% in 2015. Warrants of possession9: Having received an order, or if the terms of a suspended order are broken, the claimant can apply for a warrant of possession. There were 4,836 warrants of possession in January to March 2016, a 24% decrease on the same period in 2015 (6,343). Seasonally adjusted figures show a 2% decrease in the number of warrants on the previous quarter from 5,069 to 4,992, the lowest quarterly figure since 2009. Repossessions in England and Wales by county court bailiffs: Once a warrant has been issued, county court bailiffs can repossess the property on behalf of the claimant. There were 1,355 repossessions by county court bailiffs in January to March 2016, down 18% on the same quarter in 2015 (1,658). Seasonally adjusted figures show a 6% increase on the previous quarter from 1,219 to 1,296. All repossessions in the UK10: UK-wide, there were 2,200 repossessions in October to December 2015. This figure includes repossessions carried out by county court bailiffs and also other types of repossessions. Eighty-four local authorities show no repossessions by county court bailiffs in January to March 2016 whilst the highest number of repossessions per 100,000 households was 35 (Enfield). There were two other areas with more than 20 mortgage possession repossessions by county court bailiffs (Kingston upon Hull and Broxbourne). Case Timeliness: Figure 2 shows the average number of weeks taken since the initial claim for those orders, warrants and repossessions made by county court bailiffs in each quarter. Figure 3 shows the percentage of mortgage claims that reach each stage by the number of quarters since the claim was submitted. Orders: The average number of weeks taken since initial claim has increased steadily from 12 weeks for orders made in 2005 to 15 weeks in 2012 and this remained relatively stable until 2014. Figures for 2015 show an increase in the average time taken to 18 weeks. In January to March 2016 the figure stood at 16 weeks. Of those claims submitted in the past five years, 64% have currently progressed to orders - 58% progressed either within the same quarter or by the end of the quarter following that in which the claim was lodged. Warrants: The average number of weeks taken since initial claim for warrants issued remained steady between 2005 and 2008, and ranged between 32 weeks and 33 weeks. The average began to rise sharply to 72 weeks in 2013 before falling slightly to 70 weeks in 2014. For those warrants recorded in 2015, it took on average 84 weeks from the initial claim, the longest recorded average time since records began. In January to March 2016, this figure stood at 87 weeks. Of those claims submitted in the past five years, 20% have currently progressed to warrants - 6% progressed in the quarter following the quarter in which the claim was lodged and a further 6% progressed in the subsequent quarter Repossessions by County Court Bailiffs: The average time taken since initial claim for those repossessions made in the relevant period rose from 40 weeks in 2005 to 88 weeks in 2014 with a rapid increase from 2009 onwards. This increased by 19 weeks to 107 weeks in 2015. In January to March 2016 the figure stood at 124 weeks. Both the annual and quarterly figures are the highest since records began. Of the claims submitted in the past five years, 37% have progressed to repossessions - 15%13 progressed either within the same quarter (2%) or by the end of the quarter following that in which the claim was lodged (14%). ## 2: Landlord Possession Actions Annually, landlord possession claims decreased between 2002 and 2010 and subsequently increased until a peak in 2013. The number of claims fell in 2014 and 2015 indicating a change in trend (Figure 4 and Table 4). Claims issued: A possession claim is created when a claimant begins a legal action for an order for possession of property by making a claim that is then issued in a county court. There were 38,053 landlord possession claims issued in January to March 2016, down 10% on the same quarter in 2015 (42,220). After seasonal adjustment, the number of claims was 36,452 in January to March 2016, a decrease of 2% on the previous quarter (37,314). Within landlord possession claims, there are three types of claim: social landlord, private landlord and accelerated claims. Accelerated claims can be used by both private and social landlords under certain circumstances and are usually quicker than normal evictions. In January to March 2016, the majority of landlord possession claims (23,970 or 63%) were social landlord claims, 5,201 (14%) were private landlord claims and 8,882 (23%) were accelerated claims. The proportion of claims made using the accelerated procedure has increased from 7% in 1999 to 25% in 2015, whereas the proportion of claims from social landlords has fallen from 83% in 1999 to 62% in 2015. The proportion of claims made by private landlords increased from 9% in 1999 to 17% in 2010, before falling to 13% in 2015 (Figure 5). Hart showed the lowest rate of landlord claims (24 per 100,000 households) whilst Barking and Dagenham showed the highest (560 per 100,000 households). London boroughs account for 16 of the 20 local authorities with the highest proportion of landlord claims (Luton, Liverpool, Peterborough and Slough being the only exceptions). Orders: The court may grant an order following a judicial hearing which can be either for immediate possession (outright order) or suspended. There were a total of 29,049 landlord possession orders made in January to March 2016, down 8% on the number of orders in the same period in 2015 (31,413). Seasonally adjusted figures show this has remained stable when compared to the previous quarter (from 28,702 to 28,710). In January to March 2016, 39% of landlord possession orders being made were suspended. Warrants of possession16: Having received an order, or if the terms of a suspended order are broken, the claimant can apply for a warrant of possession. There were 19,728 warrants of possession in January to March 2016, a decrease of 5% on the same period in 2015 (20,697). Seasonally adjusted figures show a 1% decrease compared to the last quarter, from 19,177 to 18,907. Repossessions by county court bailiffs: Once a warrant has been issued county court bailiffs can repossess the property on behalf of the claimant. There were 10,968 landlord repossessions by county court bailiffs in January to March 2016, down 3% on the same period in 2015 (11,312). Seasonally adjusted figures also show a 5% increase compared to last quarter, from 10,253 to 10,732. The trend in repossessions by county court bailiffs differs to that seen in claims, orders and warrants. This can be attributed to the time it takes for claims to be processed through to the repossession stage. The number of landlord possession claims peaked in January to March 2014 and are most likely to be working their way through the system. October to December 2015 was the first quarter in recent years that showed a decrease in the number of repossession by county court bailiffs compared with the same period of the previous year. ## By Local Authority, 2016 Q117,18 There were 6 local authorities who no landlord repossessions by county court bailiffs in January to March 2016 (Hart, Staffordshire Moorlands, Surrey Heath, Waverley, City of London and Isle of Anglesey). The London borough of Enfield had the highest number (296 per 100,000 households in the area). London local authorities account for 7 of the 10 boroughs with the highest proportion of landlord repossessions (Medway, Luton and Slough being the only exceptions). Case Timeliness: Figure 6 shows that the average number of weeks taken from initial claim for those orders, warrants and repossessions by county court bailiffs made in each quarter. Figure 7 shows the percentage of landlord claims that reach each stage by the number of quarters since the claim was submitted. Orders: Annually, the average number of weeks taken from initial claim remained steady for those order made from 2005 to 2015, ranging from 11 weeks to 13 weeks with 2015 averaging 11 weeks. The trend has continued this quarter, with the average time taken for orders issued in January to March 2016 from initial claim standing at 11 weeks. Of the claims submitted in the past five years, 71% have currently progressed to orders - 64% progressed by the end of the quarter following the quarter in which the claim was lodged. Warrants: Annually, the average number of weeks taken since the initial claim for warrants issued each year has been steadily decreasing from 44 weeks in 2005 to 37 weeks in 2015. The average time taken from initial claim for warrants issued in January to December 2016 was 38 weeks. Of the claims submitted in the past 5 years, 23% have currently progressed to warrants - 12% had progressed by the end of the quarter following the quarter in which the claim was lodged. Repossessions by County Court Bailiffs: Annually, for those repossessions made each year, the average number of weeks since the initial claim rose from 45 weeks in 2005 to 51 weeks in 2009. Since then, it has been steadily decreasing until the middle of 2015. Since then, it has been increasing and the average time taken from initial claim for repossessions orders made by county court bailiffs in January to March 2016 rose to 45 weeks indicating a possible change in trend. Of the claims submitted in the past 5 years, 39% have progressed to repossessions - 23% progressed by the end of the quarter following the quarter in which the claim was lodged and 5% progressed in the subsequent quarter. ## Annex A: Further Information Supplementary tables and CSV datasets are available alongside this bulletin, allowing users to analyse the data themselves. The following tables are available, showing data for county courts in England and Wales:  Table 1, Mortgage possession workload in the county courts, 1987 - 2016 Q1  Table 2, Mortgage possession claims that lead to orders, warrants, and repossessions in the county courts, 1999 - 2016 Q1  Table 3a, Average (mean) time in weeks for mortgage possession claims to become an order, warrant and repossession, 2005 - 2016 Q1  Table 3b, percentage of mortgage claims that reach the each stage by the number of quarters since the claim was submitted, 2011 Q1 - 2016 Q1  Table 4, Landlord possession workload in the county courts, 1999 - 2016 Q1  Table 5, Landlord possession claims that lead to orders, warrants, and repossessions in the county courts, 1999 - 2016 Q1  Table 6a, Average (mean) time in weeks for landlord possession claims to become an order, warrant and repossession, 2005 - 2016 Q1  Table 6b, percentage of Landlord claims that reach the each stage by the number of quarters since the claim was submitted, 2011 Q1 - 2016 Q1  Table 7, Landlord possession claims in the county courts by type of procedure and landlord, 1999 - 2016 Q1  Table 8, Mortgage and landlord possession workload in the county courts, England, 1999 - 2016 Q1  Table 9, Mortgage and landlord possession workload in the county courts, Wales, 1999 - 2016 Q1  Table 10a, Seasonally adjusted mortgage possession actions in the county courts, 2009 - 2016 Q1  Table 10b, Seasonally adjusted landlord possession actions in the county courts, 2009 - 2016 Q1 The CSV datasets contain local authority and court-level breakdowns of claims, orders, warrants and county court bailiff repossessions for England and Wales, for the full amount of time that data are available. Where the value is between 1 and 5, the value is suppressed and shown as "-" to protect the confidentiality of those involved in the claim, order, warrant or repossession. For this reason, the national total number of claims, orders etc. from these datasets will not match the published totals provided in the Excel tables, although the differences are generally small. For more information, please refer to the separately downloadable Guide to local authority and court-level information, which can be found in the CSV zip folder, which accompanies this publication. Information on the representation status of claimants and defendants in repossession cases can be found in Civil Statistics Quarterly at www.gov.uk/government/collections/civil-justice-statistics-quarterly ## Annex B: Policy Changes New Bailiff Laws New laws came into effect on 6 April 2014 to bring an end to bad and aggressive bailiff behaviour, while making sure businesses, local authorities and others can still fairly enforce debts owed to them. These reforms are part of a wider package under changes to the Tribunals, Courts & Enforcement Act 2007. With roughly 4 million debts collected each year, in future only bailiffs who have been trained and received certification will be allowed to practise. Bailiffs will be banned from entering homes at night and from using physical force against debtors. The changes will also prevent bailiffs from entering properties where only children are at home and includes further measures to protect vulnerable people. Bailiffs will be prevented from taking vital household essentials from debtor's property, such as a cooker, microwave, refrigerator or washing machines. A new set of fixed fees for debtors has also been introduced, to end the previous situation where bailiffs were setting their own fees - sometimes at very high levels - and adding these to the amount people in debt had to pay. ## Introduction Of Mortgage Pre-Action Protocol A Mortgage Pre-Action Protocol (MPAP), approved by the Master of the Rolls, for possession claims relating to mortgage or home purchase plan arrears came into effect on 19 November 2008. The protocol applies to mortgage arrears on:  First charge residential mortgages and home purchase plans regulated by the Financial Service Authority under the Financial Services and Market Act 2000;  Third charge mortgages for residential property and other secured loans regulated under the Consumer Credit Act 1974 on residential property; and,  Unregulated residential mortgages. The Protocol gives clear guidance on what the courts expect lenders and borrowers to have done prior to a claim being issued. The main aims of it were to ensure that the parties act fairly and reasonably with each other in any matters concerning the mortgage arrears, to encourage more pre action contact between lender and borrower and to enable efficient use of the court's time and resources. The introduction of the MPAP coincided with a fall of around 50% in the daily and weekly numbers of new mortgage repossession claims being issued in the courts as evidenced from administrative records. As orders are typically made (when deemed necessary by a judge) around 7 weeks (using 2011 data) after claims are issued, the downward impact on the number of mortgage possession orders being made was seen in the first quarter of 2009. It has not been possible to adequately quantify the long term impact of the MPAP. This reflects the lack of a good comparator (although the MPAP was not introduced in Scotland, the big lenders in Scotland also operate south of the border and so lender behaviour is likely to be the same as in England and Wales), and the existence of other factors such as changing economic conditions, other measures introduced shortly after the MPAP, and lenders desire to minimise their losses. More details about the protocol can be viewed using the link: www.justice.gov.uk/guidance/courts-and-tribunals/courts/procedurerules/civil/contents/protocols/prot_mha.htm ## Annex C: Map Information The household projections used to produce the maps are based on the Department for Communities and Local Government 2012-based projections (which cover all local authorities in England) www.gov.uk/government/collections/household-projections and StatsWales' 2011-based projections (which cover all local authorities within Wales) statswales.wales.gov.uk/Catalogue/Housing/Households/Projections/Local- Authority/2011-Based . Both are the latest datasets available for the areas they cover. In addition to this, the boundary lines were drawn using the Great Britain local authority districts (LADs) from the ONS Geoportal (geoportal.statistics.gov.uk/geoportal/catalog/main/home.page) which contains the digital vector boundaries for LADs in Great Britain as of December 2014. Therefore, the maps created may not reflect any boundary changes that may have occurred in 2015. ## Annex D: Explanatory Notes The United Kingdom Statistics Authority has designated these statistics as National Statistics, in accordance with the Statistics and Registration Service Act 2007 and signifying compliance with the Code of Practice for Official Statistics. Designation can be broadly interpreted to mean that the statistics:  meet identified user needs;  are well explained and readily accessible;  are produced according to sound methods, and  are managed impartially and objectively in the public interest. Once statistics have been designated as National Statistics, it is a statutory requirement that the Code of Practice shall continue to be observed. The statistics in this bulletin relate to cases in the county courts in England and Wales. Calendar year statistics are also provided. ## Revisions The statistics in the latest quarter are provisional, and are therefore liable to revision to take account of any late amendments to the administrative databases from which these statistics are sourced. The standard process for revising the published statistics to account for these late amendments is as follows: An initial revision to the statistics for the latest quarter may be made when the next edition of this bulletin is published. Further revisions may be made when the figures are reconciled at the end of the year. If revisions are needed in the subsequent year, these will be clearly annotated in the tables. For more information please see the Guide to Civil and Administrative Justice Statistics. ## Symbols And Conventions The following symbols have been used throughout the tables in this bulletin: .. no data available - Between one and five. Low numbers are suppressed to prevent individuals being identified (r) Revised data (p) Provisional data ## Contact Points For Further Information Current and previous editions of this publication are available for download at: www.gov.uk/government/collections/mortgage-and-landlord-possessionstatistics Press enquiries should be directed to the Ministry of Justice press office: Sebastian Walters Tel: 0203 334 3529 Email: sebastian.walters@justice.gsi.gov.uk Queries on the wider policy implications of these statistics should be directed to the Department for Communities and Local Government's press office: Matthew Gorman Email: Matthew.Gorman@communities.gsi.gov.uk; Queries on statistics shown for 'Properties taken into possession' and other related statistics should be directed to the Council of Mortgage Lenders' press office on 020 7438 8922. Other enquiries about these statistics should be directed to: Tara Rose Justice Statistics Analytical Services 7th Floor Ministry of Justice 102 Petty France London SW1H 9AJ Email: Statistics.enquiries@justice.gsi.gov.uk Other National Statistics publications, and general information about the official statistics system of the UK, are available from statisticsauthority.gov.uk/about-the-authority/uk-statistical-system Alternative formats are available on request from statistics.enquiries@justice.gsi.gov.uk	en
4924-pdf	18th December 2013 Issued by Office for National Statistics, Government Buildings, Cardiff Road, Newport, NP10 8XG Media Office 0845 6041858 ## Quality And Methodology Information General details Title of output: House Price Index Abbreviated title: HPI Designation: Official Statistics not designated as National Statistics Geographic coverage: UK, Country and Region Contact details: hpi@ons.gsi.gov.uk. ## Executive Summary The Office for National Statistics (ONS) House Price Index (HPI)1, previously published by the Department for Communities and Local Government (DCLG)2, is a monthly release that publishes figures for mix-adjusted average house prices and house price indices for the UK, its component countries and regions. The index is calculated using mortgage financed transactions that are collected via the Regulated Mortgage Survey by the Council of Mortgage Lenders (CML)3. These cover the majority of mortgage lenders in the UK. The HPI complements other measures of inflation published by ONS such as the Consumer Price Index, the Producer Price Index and the Services Producer Price Indices. The ONS HPI statistical bulletin1 provides comprehensive information on the change in house prices on a monthly and annual basis. It also includes analysis by country, region, type of buyer (first-time buyers and former owner-occupiers) and type of dwelling (new dwelling or pre-owned dwelling). The ONS HPI was developed to produce a consistent series of traded house prices. Until its transfer to ONS in April 2012, the index was produced and published by the DCLG. One of its main features is the mix-adjustment of the monthly transactions to remove the effect of changing composition of sold stock. Since its introduction, the index relies on the use of mortgage transaction data, which provide good coverage of the housing market but excludes those properties that are cash sales. In December 2010, the National Statistician's Review of House Price Statistics4 made a series of recommendations. These were mainly driven by the availability of numerous official house price statistics, which vary in their sample, methods and focus. The main recommendation was for the development of a definitive official statistic. The importance of this index is reflected in the development of a European regulation5, introduced in February 2013, which is the first stage in the introduction of owner occupiers' housing costs into the Harmonised Index of Consumer Prices. The regulation identifies house price indices as 'important indicators in their own right' reflecting the consequences for an economy of unstable or unsustainable house price development. This document contains the following sections: - Output quality; - About the output; - How the output is created; - Validation and quality assurance; - Coherence and comparability; - Concepts and definitions; - Other information, relating to quality trade-offs and user needs; and - Sources for further information or advice. Output quality This document provides a range of information that describes the quality of the data and details any points that should be noted when using the output. ONS has developed Guidelines for Measuring Statistical Quality6; these are based upon the five European Statistical System (ESS) Quality Dimensions. This document addresses these quality dimensions and other important quality characteristics, which are: - Relevance; - Timeliness and punctuality; - Coherence and comparability; - Accuracy; - Output quality trade-offs; - Assessment of user needs and perceptions; and - Accessibility and clarity. More information is provided about these quality dimensions in the sections below. About the output Relevance (The degree to which statistical outputs meet users' needs.) The ONS HPI provides a monthly estimate of the price of current property relative to its price in February 2002. The mix‐adjusted HPI series started in 1969, when the index was calculated from a 5% sample of the mortgage transactions of a number of building societies. From 1993, the coverage of transactions increased from building societies to cover all mortgage lenders. In 2002, the index started using hedonic regression to perform the mix‐adjustment. In 2003, the sample submitted by each mortgage lender was expanded from 5% to cover all their recorded mortgage transactions. These mortgages transactions are collected from the Regulated Mortgage Survey of the CML. The production of house price statistics is relevant for a large number of purposes. Users of official housing market statistics range from central government, local government and devolved administrations through to financial institutions, housing associations, investors, businesses (including estate agents and house builders), academics and households. They use housing market statistics to make a wide variety of decisions including provision of housing, whether to buy, and whether to lend. Details of the main users and their uses of housing market statistics are given below. Summary of the main users of House Price Statistics Users Uses Central Government Central government has three key uses for housing market statistics: - monitoring economic performance; - policy making and monitoring; and - regulation. Local Government Local authorities require housing market statistics : - to monitor and develop their housing policies to meet the current and future needs of their areas; and - to understand how changes and policies at the national level affect housing at the local authority level. Devolved administrations Devolved administrations require housing market statistics for: - supporting policy making and monitoring changes at the country specific level similar to those requirements of central government; and - secondly, they use it for comparison to wider UK policies and economy. Banks and building societies Housing market statistics are used for mortgage lending in order to make decisions on whether to lend, how much to lend, and setting interest rates. House builders House builders are interested in whether and where demand for new housing exists; and the returns received on homes built or converted. Estate agents & letting agencies - Estate agents are interested in the numbers of properties being sold and the price for which they are sold; as well as the types of properties and their location. They need to be able to advise potential sellers on the achievable selling price of their property but also require statistics in running their business. - Letting agencies are interested in similar characteristics to estate agents but require the numbers of properties being rented and the rent values which they achieve. Although some national estate agents exist, most are based at the local or regional level. Housing associations Housing associations are primarily interested in numbers of people in housing need together with statistics on the housing market which helps them to decide whether to purchase or build property to meet that need. Values of private and social housing rents will also influence their decisions, as this will affect the social housing they can provide. Further information on the uses of HPI can be found in the National Statistician's Review of Official Housing Market Statistics4. Timeliness and punctuality (Timeliness refers to the lapse of time between publication and the period to which the data refer. Punctuality refers to the gap between planned and actual publication dates.) The ONS HPI follows a monthly publication schedule and is lagged by two months. This lag is mainly due to the time it takes to collect the mortgage data from banks and building societies across the UK. The time of publication of the HPI depends on the data delivery from the Council of Mortgage Lenders, hence the HPI statistical bulletin is published either on the second or third Tuesday of the second month after the reference period. For more details on related releases, the UK National Statistics Publication Hub7 is available online and provides 12 months' advance notice of release dates. In the unlikely event of a change to the pre-announced release schedule, public attention will be drawn to the change and the reasons for the change will be explained fully at the same time, as set out in the Code of Practice for Official Statistics8. How the output is created Data sources Since October 2005, the ONS HPI (formerly the DCLG HPI) has been based on a sample of mortgage completions data from the Regulated Mortgage Survey as collected by the CML. The number of transactions received from the RMS is affected by the total number of mortgages completed for house purchase in any period. During 2011, the sample covered 65-70% of all UK mortgage completions. Price methodology Full details of the methodology used to calculate the ONS HPI can be found in the Official house price statistics explained9 article. The ONS HPI is mix-adjusted to allow for differences between houses sold (for example type, number of rooms and location) in different months within a year. House prices are modelled using a combination of characteristics to produce a model containing around 100,000 cells (one such cell could be first-time buyer, old dwelling, one bedroom flat purchased in London). Each month, estimated prices for all cells are produced by the model and then combined with their appropriate weight to produce mix-adjusted average prices. The index values are based on growth rates in the mix-adjusted average house prices and are annually chainlinked. More information on the model used is available via the hedonic model methodology paper10 published on the HPI User Guidance webpage11. Re-weighting The ONS HPI is a weighted Laspeyres-type index. In January of each year, the index weights are updated based on the relative numbers of transactions during the previous three years, which are weighted to total transactions obtained from Land Registry. Applying new weights ensures that the index keeps up to date with changes in the types of properties that are being purchased, and therefore reflects the price of the average property. One consequence of changing the weights every year is that the mix-adjusted house prices cannot be compared between years as the weights are different. The index itself is constructed on a chainlinked basis, which enables year-on-year comparisons to be made. This means that the year-onyear change in the index for June 2011, say, is effectively the change in the average price from June to January 2011 (using the weights for 2010) combined with the change in the average price from January to June 2011 (using the weights for 2011). Therefore, the year-on-year change in the index is not the same as the year-on-year change in the mix-adjusted average price. More information on the HPI methodology12 is available on the DCLG Website. Seasonal adjustment The housing market shows seasonal effects that affect house prices. For example, prices have tended to be higher during the summer months than during the winter months. These seasonal effects are estimated and adjusted for in order to calculate month-on-month price changes. Seasonally adjusted figures are provided at a national level in Table 7 alongside the unadjusted figures of the other tables. Seasonal adjustment13 is performed each month and reviewed each year, using the GSS recommended software X-12-ARIMA. Seasonally adjusted house price estimates are used to report monthly percentage changes. All other figures such as annual rates of change and average house prices are based on unadjusted estimates, unless otherwise stated. Statistical disclosure Statistical Disclosure Control14 methodology is applied to HPI data. This ensures that information attributable to an individual organisation is not disclosed in any publication. The Code of Practice for Official Statistics set out practices for how ONS protects data from being disclosed. The principle includes a guarantee to survey respondents to 'ensure that official statistics do not reveal the identity of an individual or organisation, or any private information relating to them'. More information can be found on the Statistical Disclosure Control page of the ONS website. Summary of the HPI What it measures It provides comprehensive information on the change in house prices on a monthly and annual basis. It also includes analysis by country, region, type of buyer (first-time buyers and former owner-occupiers) and type of dwelling (new dwelling or pre-owned dwelling). Frequency Monthly. Period available The mix‐adjusted HPI series start in 1969 (on a quarterly basis) and from February 2002 on a monthly basis. Data sources Since October 2005 the ONS HPI (formerly the DCLG HPI) has been based on a sample of mortgage completions data from the Regulated Mortgage Survey as collected by the Council of Mortgage Lenders. Methodology The ONS HPI is mix-adjusted to allow for differences between houses sold in different months within a year. House prices are modelled using the hedonic model. Movements in these modelled house prices are chain-linked together to produce a consistent price index. Coverage The sample covers all the recorded mortgage transactions from the Regulated Mortgage Survey of the Council of Mortgage Lenders. This sample represents approximately 67% of all mortgage transactions in a given period. Re-weighting The ONS HPI is a weighted Laspeyres-type index. In January of each year the index weights are updated based on the relative numbers of transactions during the previous three years, which are weighted to total transactions obtained from Land Registry. Seasonal adjustment The housing market shows seasonal effects that affect house prices. These seasonal effects are estimated and adjusted for in order to calculate monthon-month price changes. Seasonally adjusted house price estimates are used to report monthly percentage changes. The ONS HPI follows a monthly publication schedule and is lagged by two Publication schedule months. Validation and quality assurance Accuracy (The degree of closeness between an estimate and the true value.) Estimates from the HPI are subject to various sources of error. The total error consists of two elements, the sampling error and the non-sampling error. Sampling error This occurs because estimates are based on a sample rather than a census; the precision is usually estimated through the calculation of standard errors. Standard errors are not currently calculated for HPI, although the production of standard errors is being investigated for future publication. Non-sampling error Non-sampling errors are not easy to quantify and include errors of coverage, measurement processing and non-response. Various procedures are in place to ensure that errors are minimised: - validation checks on data, based on extreme values within a cell are conducted to highlight potential unusual prices. The combination of each property size and region forms a cell for which an average price is collected; - data cleaning is done to remove cases with missing data and erroneous data; - the minimum and maximum values for house price, mortgage advance and total income are investigated and if they are deemed to be suspect, they are removed from the dataset; - the top and bottom 10 house price outliers are validated against external sources; and - ratio analysis (comparing house price to total income and mortgage advance to total income) is then carried out to check for consistency. Another aspect of quality is reliability. Assessing the difference between the first published estimate and the final revised figure provides an indication of reliability. House Price Index revisions policy, which is aligned with the Code of Practice, is to show significant revisions, but to suppress minor changes to avoid unnecessary inconvenience to users. In all cases, the revised figures are labelled with an 'R' and the reason for the revision explained under the 'New this month' section of the background notes. - At the end of every quarter, as well as releasing final figures for the latest month, ONS revises the figures from the previous two months. This is done because some mortgage lenders, which account for 1 to 2% of all records, provide their data on a quarterly rather than monthly basis. - Additionally, data will be revised for the previous month if more than 1,000 additional cases are received in a subsequent month. In July 2012 the methodology used to seasonally adjust the HPI was updated following a review, and brings the HPI in line with ONS best practice for seasonal adjustment. Seasonal factors are now estimated on a monthly basis and therefore may result in small revisions to the previous 12 months data. This updated process improves the accuracy of the seasonally adjusted figures. Other revisions to historical data (other than those currently due for revision) will be made only if the revision is substantial. The National Statistics website contains information on the HPI revisions policy15. Coherence and comparability (Coherence is the degree to which data that are derived from different sources or methods, but refer to the same topic, are similar. Comparability is the degree to which data can be compared over time and domain for example, geographic level.) Currently, there are a number of different sources of house price statistics published in addition to the ONS HPI. There will be differences in the data published by each source, as there are differences in both the data and methodology used. Therefore, the ONS HPI is not directly comparable with these other indicators. Further details on the differences between official house price statistics can be found in the article Official House Price Statistics Explained9. Land Registry House Price Index All residential property transactions in England and Wales are recorded by Land Registry. These transactions are used for calculating the Land Registry index. This index is based on repeat-sales regression, which calculates the change in price of any property transacted twice since 1995. Therefore, new build properties are excluded from the index. Land Registry publishes indices at a sub-regional level. The Land Registry HPI is normally published on the 20th working day of every month, and refers to all transactions of the preceding month. The Land Registry HPI can be accessed via the Land Registry's website16. Registers of Scotland Official Quarterly Housing Market Statistics Registers of Scotland record all the property transactions in Scotland. It produces average house prices based on arithmetic means of these transactions, which is published as the Registers of Scotland Official Quarterly Housing Market Statistics17 in the second month after the month to which the figures refer to. Northern Ireland Residential Property Price Index The Land & Property Services assisted by the Northern Ireland Statistics & Research Agency (NISRA) publish a quarterly Residential Property Prices Index (RPPI) for Northern Ireland18. The index measures change in the price of residential property sales recorded by Her Majesty's Revenue & Customs. This is a new official statistic, first published in quarter one of 2012. Halifax House Price Index and Nationwide House Price Index Both Halifax19 and Nationwide20 produce house price indices based on their own mortgage approvals only and therefore, like the ONS HPI, will not include any cash transactions. They both have UK-wide coverage, and since the Halifax and Nationwide use only their own in-house data they can process them immediately and do not have to await the receipt of data from other lenders. This means that they are timelier than the ONS HPI. LSL Acadata House Price Index The LSL Acadata House Price Index (formerly LSL Property Services/Acadametrics HPI) is the only house price index to reflect all transactions, as opposed to data samples, and provides mix and seasonally adjusted results at national, regional and county/unitary district/London borough levels. The index can be accessed at LSL Acad HPI21. In addition, other indices are also produced. Rightmove tracks the asking prices of properties on its website and the Royal Institute of Chartered Surveyors (RICS) produces an opinion survey of its surveyors regarding the direction that prices are moving in. Full details on the alternative house price statistics can be accessed via the National Statistician's Review of House Price Statistics. Concepts and definitions (Concepts and definitions describe the legislation governing the output and a description of the classifications used in the output.) The importance of this index is reflected in the development of a European regulation5, introduced in February 2013, which is the first stage in the introduction of owner occupiers' housing costs into the Harmonised Index of Consumer Prices. The regulation identifies house price indices as 'important indicators in their own right', reflecting the consequences for an economy of unstable or unsustainable house price development. The European regulation also requires state members to provide quarterly house price indices. Details on the official house price statistics can be found in the article Official house price statistics explained9. Furthermore, DCLG provides a list of definitions of general housing terms Other information Output quality trade-offs (Trade-offs are the extent to which different dimensions of quality are balanced against each other.) A trade-off of accuracy over timeliness is made to produce the monthly HPI. The collection of mortgage transaction data from a range of different lenders across the UK takes time and therefore delays the timely publication of the ONS HPI. Although the availability of accurate and timely house price statistics is desirable, there are a number of obstacles to their production. These are mainly due to the nature of housing compared with other goods. Further details on these issues can be found in the article Official house price statistics explained9. Assessment of user needs and perceptions (The processes for finding out about users and uses, and their views on the statistical products.) As stated previously, there are a number of key uses and users of the HPI. There are also a number of mechanisms via which users are able to provide views on the HPI: - public feedback/consultation are sought when methodological improvements are made to the HPI; and - suggestions and comments are sought from the public in each publication and via Twitter and Facebook. A dedicated HPI email address is provided for users to provide feedback: hpi@ons.gsi.gov.uk The Housing Statistics Network23 is used to canvass opinion and feedback from users to help improve the ONS HPI. Sources for further information or advice Accessibility and clarity (Accessibility is the ease with which users are able to access the data, also reflecting the format in which the data are available and the availability of supporting information. Clarity refers to the quality and sufficiency of the release details, illustrations and accompanying advice.) ONS recommended format for accessible content is a combination of HTML web pages for narrative, charts and graphs, with data being provided in usable formats such as CSV and Excel. The ONS website also offers users the option to download the narrative in PDF format. In some instances other software may be used, or may be available on request. Available formats for content published on the ONS website but not produced by the ONS, or referenced on the ONS website but stored elsewhere, may vary. For further information please refer to the contact details at the beginning of this document. The latest HPI Statistical Bulletin with accompanying briefing notes and reference tables can be downloaded for free from the ONS website from 9.30 am on the day of publication. There is a list of the names of those given pre-release access24 to the contents of this release available. The list is from August 2013. The following reference tables are available (please note that these are updated monthly): \| Table \| Excel sheet name \| Purpose \| \|--------------------------------\|------------------------------------------------\|------------\| \| Table 1-19 \| ONS HPI monthly and quarterly reference tables \| \| \| (3.32 Mb Excel sheet) \| \| \| \| 25 \| \| \| \| \| \| \| \| This reference table provides \| \| \| \| full historical series for the \| \| \| \| monthly tables accompanying \| \| \| \| the House Price Index \| \| \| \| statistical bulletin. \| \| \| \| Table 20-39 \| \| \| \| 25 \| \| \| \| \| \| \| \| This reference table contains \| \| \| \| all the annual live tables \| \| \| \| transferred to ONS from \| \| \| \| DCLG. \| \| \| General enquiries on the HPI series, compilation methods, developmental articles, quality information or difficulties in finding the latest figures can be emailed to the HPI team in ONS at hpi@ons.gsi.gov.uk. For information regarding conditions of access to data, please refer to the links below: - Terms and conditions (for data on the website)26; - Copyright and reuse of published data27; - Pre-release access (including conditions of access)28; and - Accessibility29. In addition to this Quality and Methodology Information, Basic Quality Information relevant to each release is available in the background notes of the ONS HPI statistical bulletin. Useful links HPI User Guidance webpage11. Definitions of general housing terms from DCLG.22 References 1. Office for National Statistics House Price Index http://www.ons.gov.uk/ons/rel/hpi/house-priceindex/index.html 2. Department for Communities and Local Department (DCLG) https://www.gov.uk/government/organisations/departmentfor-communities-and-local-government 3. Council of Mortgage Lenders (CML) http://www.cml.org.uk/cml/home 4. National Statistician's Review of House Price Statistics http://www.statisticsauthority.gov.uk/national-statistician/nsreports--reviews-and-guidance/national-statistician-sreviews/national-statistician-s-review-of-housing-marketstatistics.html 5. European Regulation http://eurlex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2013:033: 0014:0016:EN:PDF 6. Guidelines for Measuring Statistical Quality http://www.ons.gov.uk/ons/guide-method/methodquality/quality/guidelines-for-measuring-statisticalquality/index.html 7. UK National Statistics Publication Hub http://www.statistics.gov.uk/hub/index.html 8. Code of Practice for Official Statistics. http://www.statisticsauthority.gov.uk/assessment/code-ofpractice/index.html 9. Official House Price Statistics Explained http://www.ons.gov.uk/ons/rel/hpi/house-price-indexguidance/official-house-price-statistics-explained/index.html 10. Hedonic model http://www.ons.gov.uk/ons/guide-method/userguidance/prices/hpi/hedonic-model.pdf 11. HPI User Guidance webpage. http://www.ons.gov.uk/ons/guide-method/userguidance/prices/hpi/index.html 12. HPI Methodology from DCLG website https://www.gov.uk/housing-market-and-house-priceinformation-notes-and-definitions 13. Guide to seasonal Adjustment with X-12- ARIMA http://www.ons.gov.uk/ons/guide-method/methodquality/general-methodology/time-series-analysis/guide-toseasonal-adjustment.pdf 14. Statistical Disclosure Control http://www.ons.gov.uk/ons/guide-method/methodquality/general-methodology/statistical-disclosurecontrol/index.html 15. Revision policy http://www.ons.gov.uk/ons/guide-method/revisions/guide-tostatistical-revisions/index.html 16. Land Registry House Price Index http://www.ons.gov.uk/ons/external-links/other-governmentdepartments/index.html 17. Registers of Scotland Official Quarterly Housing Market Statistics http://www.ons.gov.uk/ons/external-links/other-governmentdepartments/ros--quarterly-housing-market-statistics.html 18. Northern Ireland Residential Property Price Index http://www.ons.gov.uk/ons/external-links/devolvedadmins/nisra/nisra--northern-ireland-residential-propertyprice-index.html 19. Halifax House Price Index http://www.lloydsbankinggroup.com/media1/economic_insigh t/halifax_house_price_index_page.asp 20. Nationwide House Price Index http://www.nationwide.co.uk/hpi/ 21. LSL Acadata House Price Index http://www.acadata.co.uk/acadHousePrices.php 22. Definitions of general https://www.gov.uk/definitions-of-general-housing-terms housing terms on DCLG website 23. Housing Statistics Network http://www.housingstatisticsnetwork.org/ 24. List of pre-release access .gov.uk/ons/rel/hpi/house-price-index/august-2013/preml 25. ONS HPI monthly and quarterly reference tables (3.32 Mb Excel sheet) http://www.ons.gov.uk/ons/rel/hpi/house-priceindex/index.html 26. Terms and conditions (for data on website) http://www.ons.gov.uk/ons/siteinformation/information/terms-and-conditions/index.html 27. Copyright and reuse of published data http://www.ons.gov.uk/ons/siteinformation/information/creative-commons-license/index.html 28. Pre-release access (including conditions of access) http://www.ons.gov.uk/ons/guide-method/the-nationalstatistics-standard/code-of-practice/pre-releaseaccess/index.html 29. Accessibility http://www.ons.gov.uk/ons/siteinformation/information/accessibility/index.html	en
0397-pdf	Disclosure ref: 5 Sent: 13th February 2019 ## Freedom Of Information Act 2000 Request The possibility of being able to obtain access to anonymised witness statements from cases in which there has been a successful prosecution in coercive control. Request I was wondering if there was any possibilities that I might be able obtain access to anonymised witness statements from cases in which there has been a successful prosecution in coercive control once I have had the opportunity to submit a full research proposal for your consideration first? Response The Crown Prosecution Service (CPS) prosecutes criminal cases that have been investigated by police and other investigative organisations in England and Wales. Witness statements are submitted to the CPS by the investigative organisation as part of a criminal case. In order to access the material referred to in your request it would be necessary to manually examine the relevant cases. As an indication of the work this would involve the CPS commenced prosecutions in the equivalent of 1,070 cases up to the end of March 2018 since the offence came into force. Section 12(1) of the FOI Act means public authorities are not obliged to comply with a request for information if it estimates the cost of complying would exceed the appropriate limit. The appropriate limit for central government it is set at £600. This represents the estimated cost of one person spending 3.5 working days determining whether the department holds the information, and locating, retrieving and extracting the information. We believe that the cost of reviewing the equivalent of 1,070 cases in order to retrieve the relevant material would exceed the appropriate cost limit. Consequently, we are not obliged to comply with your request. Under section 16 of the Freedom of Information Act we have a duty to advise what, if any, information may assist you with your request. Crown Prosecution Service, Information Management Unit, Floor 8, 102 Petty France, London SW1H 9AJ United Kingdom ## The annually published CPS Violence against Women and Girls' (VAWG) report contains data which you may find useful. Data for 2018/19 will be published later this year, however the most recent report for 2017/18 data can be accessed via the following link: https://www.cps.gov.uk/violence-against-women-and-girls-data The Ministry of Justice (MoJ) hold published case outcome statistics which show the prosecution outcome, including conviction, by individual offences. Their Case Outcomes by Offence Data Tool provides this information for the offence to which you refer. A request can be made to the MoJ via the following link: https://www.gov.uk/government/organisations/ministry-of-justice Information Management Unit 020 3357 0899 IMU@cps.gov.uk	en
2336-pdf	Criminal Justice and Public Order Act 1994 { 166(1) and (3) } Football (Offences) Act 1991 { 2 and 5 } Football (Offences) Act 1991 { 3(1) and 5 } Football (Offences) Act 1991 { 4 and 5 } Football Spectators Act 1989 { 14J } Football Spectators Act 1989 { 19(6) and (7) } Sporting Events (Control of Alcohol etc) Act 1985 { 2(1) } Sporting Events (Control of Alcohol etc) Act 1985 { 2(2) and 8 } Sporting Events (Control of Alcohol etc) Act 1985 { 2A } 1. Offences recorded in the Management Information System Offences Univ 2. Data relates to the number of offences recorded in magistrates' courts, in 3. Offences data are not held by defendant or outcome. 4. Offences recorded in the Offences Universe of the MIS are those which w is no indication of final outcome or if the offence charged was the substantive 1. CPS data are available through its Case Management System (CMS) and CPS does not collect data that constitutes official statistics as defined in the 2. These data have been drawn from the CPS's administrative IT system, w change as more information is recorded by the CPS. We are committed to i some future data sets. 3. The official statistics relating to crime and policing are maintained by the are maintained by the Ministry of Justice (MOJ). ## T Hearing At Magistrates' Courts Unauthorised persons ('ticket touts') selling or otherwise disposing of a ticket to a designated football match Throwing of missiles onto the playing area or into the crowd Indecent / racial chanting at a designated football match Going onto the playing area Football spectator failing to comply with banning order Fail to comply with requirements of a football restriction/banning order Possession of alcohol at or upon entering a designated sporting event Being drunk at a designated sporting event Having a flare or firework etc. whilst entering, trying to enter or being at a designated sports ground during the period of a designated sporting event verse are those which reached a hearing. There is no indication of final outcome or if the charged offence was the s n which a prosecution commenced, as recorded on the Case Management System. were charged at any time and reached at least one hearing. This offence will remain recorded whether or not that off e offence at finalisation. d associated Management Information System (MIS). The CPS collects data to assist in the effective management Statistics and Registration Service Act 2007. which (as with any large scale recording system) is subject to possible errors with data entry and processing. The figu mproving the quality of our data and from mid-June 2015 introduced a new data assurance regime which may expla Home Office (HO) and the official statistics relating to sentencing, criminal court proceedings, offenders brought to j April 16 - December 16 8 40 2 85 75 24 12 31 50 substantive charge at finalisation. fence was proceeded with and there of its prosecution functions. The ures are provisional and subject to ain some unexpected variance in ustice, the courts and the judiciary	en
2098-pdf	## Metadata For Data Fields This Worksheet Lists The Fields Of The "Quarterly Data Summary" Sheet And Provides Explanation Of The Metrics (Metdata). Dcms All Information Should Relate To The Latest Available Data PERIOD FOR DATA IN JULY QDS (REQUESTED) \| GROUP \| SUB-GROUP \| FIELD NAME \| TECHNICAL DEFINITION (REQUESTED) \| PERIOD OF DATA \| \|-------------------------------------------------------------------------------------------------\|-------------------\|---------------------\|------------------------------------\|-------------------\| \| REPORTED IN QDS \| \| \| \| \| \| (REQUESTED) \| \| \| \| \| \| DEPARTMENTAL \| \| \| \| \| \| COVERAGE OF DATA \| \| \| \| \| \| (REQUESTED) \| \| \| \| \| \| DATA SOURCE \| TYPE OF DATA \| \| \| \| \| (eg MI, Official \| \| \| \| \| \| Stats or \| \| \| \| \| \| National Stats) \| \| \| \| \| \| Spending \| Budget \| \| \| \| \| (Resource DEL excluding depreciation) + (Capital DEL) \| Full year outturn \| 2010/11 \| Full \| COINS \| \| information \| \| \| \| \| \| Total Departmental \| \| \| \| \| \| Expenditure Limit \| \| \| \| \| \| (DEL) \| \| \| \| \| \| of which Resource DEL \| \| \| \| \| \| (excl. Depreciation) \| \| \| \| \| \| (Resource DEL excluding depreciation) \| Full year outturn \| 2010/11 \| Full \| COINS \| \| information \| \| \| \| \| \| Top 5 contributory \| \| \| \| \| \| elements \| \| \| \| \| \| 5 largest areas of spending, as defined by the department, to cover a substantial proportion of \| \| \| \| \| \| DEL. \| \| \| \| \| \| Full year outturn \| 2010/11 \| Determined by top 5 \| \| \| \| programmes chosen \| \| \| \| \| \| COINS \| Management \| \| \| \| \| information \| \| \| \| \| \| Full year outturn \| 2010/11 \| Full \| COINS \| Management \| \| information \| \| \| \| \| Purchase of goods & services within Resource DEL RDEL, Purchase of Goods and services. Procurement spending should be recorded as a gross rather than net expenditure. This should be current procurement which falls within resource DEL, therefore excluding all Capital procurement. Should include entries against NAC Codes: "B3501" + "E20"; Expenditure should be recorded in £m. Payroll within Resource DEL Full year outturn 2010/11 Full COINS Management information Pay includes salaries, employers" National Insurance Contributions, and accruing pension costs in RDEL. NAC Codes - all codes under "A15". Expenditure should be recorded in £million and in real terms, with no normalisation applied. Grants within Resource DEL Full year outturn 2010/11 Full COINS Management information Grant payments or subsidies to individuals or bodies inside or outside the public sector within Resource DEL. The figure should not include any "capital" grants or subsidies. The NAC Code definition is complex but covers: - Current grants to local government spending NAC= "M10", "M15", "M20", "M30", "M40" - Current grants to persons and not for profit bodies NAC= "D10" - Current grants abroad NAC= "D20" - Subsidies to private sector companies NAC= "C10, C50" - Subsidies to public corporations NAC="C20, C35" of which Capital DEL (Capital DEL), taken from COINS. Full year outturn 2010/11 Full COINS Management information Top 5 contributory elements 5 largest areas of spending, as defined by the department, to cover a substantial proportion of Capital DEL. Full year outturn 2010/11 Determined by top 5 programmes chosen COINS Management information (Resource AME excluding depreciation) + (Capital AME), taken from COINS Full year outturn 2010/11 Full COINS Management information Total Annually Managed Expenditure (AME) Top 5 contributory elements 5 largest areas of spending, as defined by the department, to cover a substantial proportion of Total AME. Full year outturn 2010/11 Determined by top 5 programmes chosen COINS Management information Quarter Q4 2010/11 Full ePIMS - Property benchmarking Management information Data covers DCMS 'office estate'. Does not include ALBs Common Areas of Spend Office Estate Area The sum of Building Net Internal Area (NIA) for the buildings occupied by the organisation. NIA is the part of the net internal area in a building currently physically occupied by the organisation. This equates with an estate agent"s floor area available for letting. It is calculated by subtracting the vertical ducts, structural columns, plant areas, toilets, lifts, staircases and lift lobbies from the gross internal area. NIA is measured in sq metres. NIA should only cover those buildings used as office space and for buildings over 500m2. ePIMS - Property benchmarking Management information Quarter Q4 2010/11 Office Accomodation over 500m2 for entire family Office Estate Costs This is the sum of the following items: Service charges, Internal repair and maintenance costs, Security costs, Cleaning costs, Water and sewerage costs, Total energy costs, Net rent, Rates, Unitary Charges / Facilities Price. As defined by e-PIMS. This should be provided as £m and cover the cost for the NIA reported, for office buildings over 500m2. ePIMS - Property benchmarking Management information Cost of the Office Estate per M2 Derived from the cost and total m2. Quarter Q4 2010/11 Office Accomodation over 500m2 for entire family ePIMS - Property benchmarking Management information Cost of the Office Estate per full-time equivalent (FTE) Quarter Q4 2010/11 Office Accomodation over 500m2 for entire family Derived from cost of the estate and FTEs (sourced above). Office based staff (FTE), Permanent and temporary employees who are based in office accomodation with all the facilties they need to undertake thier job. This should include the time home workers spend in the office. This figure should exclude contractors, outsourced staff (who may not be listed on the pay-roll but seen as a "contract" costs and not "staff salary" cost) and home workers time spent working from home. Quarter Q4 2010/11 Full Commercial Function Management information Procurement spend The total value of payments made to third party suppliers, excluding VAT. This excludes payroll, non-cash expenditure (e.g. depreciation), grants and benefit payments, but should include capital, resource and programme spend on goods and services. Price of standard commodity items Price of a box of standard A4 white copier plain paper (typically 80 gsm) in £ units per 2,500 sheets of paper. Quarter Q4 2010/11 Full Commercial Function Management information Average price paid per KWH of energy in £ units. Total 3rd party ICT cost The total value of payments made to third party ICT suppliers, excluding VAT. Quarter Q4 2010/11 Full Commercial Function Management information Desktop Cost per fulltime equivalent Quarter Q4 2010/11 Full Commercial Function Management information Future work on ICT desktop will be based around IT assets definitions. Please provide data against the contemporary definitions used within your department, specifying the standard within the caveats section (column Q). Quarter Q4 2010/11 Full Finance Function Management Either use: (a) OEP definitions or (b) department own definitions. Please specify definitions within caveats section (column Q). information Corporate Service cost, broken out by functional area into HR, Finance, Procurement, Legal and Communications Fraud, Error, Debt Quarter Q4 2010/11 Full Finance Function Management Either use: (a) NFA definitions or (b) department own definitions. Please specify definitions within caveats section (column Q). information Total Identified Fraud (£million) Debt and debtor days should be those arising from Fraud and Error Total Known Errors (£million) Total Debt (£million) Total Debtor Days Quarter Q4 2010/11 Full Finance Function Management information Voluntary and community sector (VCS)/Small and medium enterprises (SME) Procurement spend with SME (£) Sum of procurement spend with SMEs (organisations with less than 250 employees per European Commission definition found at http://ec.europa.eu/enterprise/policies/sme/factsfigures-analysis/sme-definition/index_en.htm). Sum of procurement spend with VCS organisations. Procurement spend with VCS (£) Grants to VCS (£) Sum of grant spend with VCS organisations. VCS Organisations definition can be found at Charity Commission website. paybill costs for, eg, curators, academics, researchers in ALBs. Data is latest available, for 2009/10 and is obtained through the annual government property benchmarking exercise. 2010-11 data is expected to be available in September 2011. support, Service Desk, MSOffice software and ERDM Software plus desktop antivirus software Finance function includes staff working with the 50 plus ALBs, carrying out finance related work centrally rather than being embeded in the sponsor teams throughout the department; finance and procurement costs gathered annually The only fraud amounted to £44k in 2009/10 and £195 in 2010/11; error in both years amounted to less than £5k: rounded to £million gives the answer 0. Debt & debtordays arising from fraud are consequently also 0. We don't currently differentiate between grants given to VCS and other organisations. We expect to be able to do this from Q1 of 2011/12 Accuracy of Cash Forecasting Management information Financial Indicators Quarter Q4 2010/11 Large departments Departmental Cashflow Management outturns Cashflow Management Scheme: Departments with a gross cashflow of over £3bn p.a. provide daily and monthly forecasts of their gross cash payments and receipts up to six weeks ahead. The scheme monitors the difference between the forecast and outturn and expresses the difference as a percentage variance on forecast.. Target is for the outturn to be within 5% of the forecast. The percentage variance of forecast to actual working capital. Management information Working capital is calculated as : Total current assets less total current liabilities Annual - 2010/11 2010/11 All departments Management Information and Annual Accounts Working Capital Forecast [% variance of Actual v Forecast] Forecast: Current assets £60m; Current liabilities -£50m; Provisions -£4m =planned working capital of £6m. Actual: Current assets £13.8m + £21.6m = £35.4m; Current liabilities -£26.8m; Provisions -£3.4m=actual working capital of £5.2m: Percentage that actual falls below forecast is by -13% of forecast o Current Assets - Inventories - Current trade and other receivables - Cash and cash equivalents - Other current financial assets - Assets classified as held for sale o Current Liabilities - Current trade and other payables - Gilt edged stock - Other current liabilities The percentage variance of forecast to actual Net Book Value(NBV) of Fixed Assets. Management information Net Book Value (%) [% variance of Actual v Forecast] Annual - 2010/11 2010/11 All departments Management Information and Annual Accounts NBV of fixed assets is calculated as the historic cost or valuation (of the assets included) less accumulated depreciation (i.e. depreciation to date) of the assets. Note that in WGA, Fixed Assets are referred to as "Non-current assets" and include the following: - property, plant and equipment - investment property - intangible assets - non-current trade and other receivables capital programme as a percentage of the (75.9% of £5.484bn budget), with 76.2% progress. Therefore the ratio of spend to progress was 75.9/76.2 = 0.996. (A figure less than one means the progress achieved 12 Departments to carry out further work to identify which to include in the QDS, in line with guidance from the centre. Other data sets 1.Number of Local TV Services licensed Structural Reform Plan Actions Management information Total number of actions completed since April 2011 The number of actions completed between April-June 2011 as agreed alongside the Number 10 Business Plan monitoring process. Data for the 'Previous' cell is not applicable, due to actions being introduced for 2011/12. Quarter Q1 2011/12 Full Departmental internal reporting systems Total number of actions overdue Management information The number of actions overdue over the period as agreed alongside the Number 10 Business Plan monitoring process. Data for the 'Previous' cell is not applicable, due to actions being introduced for 2011/12. Quarter Q1 2011/12 Full Departmental internal reporting systems Management information The number of actions overdue over the period as agreed alongside the Number 10 Business Plan monitoring process that are due to external factors. Data for the 'Previous' cell is not applicable, due to actions being introduced for 2011/12. Quarter Q1 2011/12 Full Departmental internal reporting systems Number of overdue actions that are attributable to external factors Total number of actions ongoing Management information The number of actions ongoing over the period as agreed alongside the Number 10 Business Plan monitoring process. Data for the 'Previous' cell is not applicable, due to actions being introduced for 2011/12. Quarter Q1 2011/12 Full Departmental internal reporting systems Management information Total number of actions in the business plan that have yet to start The number of actions yet to start over the period as agreed alongside the Number 10 Business Plan monitoring process. Data for the 'Previous' cell is not applicable, due to actions being introduced for 2011/12. Quarter Q1 2011/12 Full Departmental internal reporting systems forecast for Q3 was £1.108m, actual was £1.083m; forecast for Q4 was £1.2m, actual was £1.209m Department plus agency The accounts for 2009/10 and 2010/11 have been restated due to the TV Licence Fee moving to a newTrust Statement prepared by the BBC. Prior to the restatement both debtor and creditor figures included large balances for licence fees in transit. Whilst we have both years' actual figures on the new basis, forecasts have not been adjusted. DCMS has not previously collected this information. Department plus agency 2009/10 PEOWP (Public Expenditure Outturn White Paper) forecast was for £63m; actual was £63.854m: variance of 1.36% 2010/11 PEOWP forecast was £64m; actual was £64.412m: variance of 0.64% The cause of variance in both years was the result of restatements by The Royal Parks agency planet) which are published two years after the reference date (2008 accounts were published in September 2010). This is the data that we need to examine in the account (specifically the Supply Use Tables) so we are using the most up to date data available. The TSA attempts to reconcile supply side data and demand side data and while we know that more up to date demand side data is available, for the purposes of the TSA it is important to perform this reconciliation using the same reference year i.e. 2008. Future work could use the estimates contained in the 2008 TSA and "nowcast" the results based on more up to date demand data on tourism expenditure. Not available until programme commences from August 2012. \| Payroll Staff \| The number of FTE staff working in the department, ALBs and NDPBs as at the reference date. \| \|-----------------------------------------------------------------------------------------------------------\|---------------------------------------------------------------------------------------------------\| \| Methodology as per ONS QPSES. \| \| \| Quarter \| Position as at March 31st \| \| 2011 \| \| \| Full \| HR Systems \| \| information \| \| \| Department and \| \| \| Agencies \| \| \| People \| Whole \| \| Department \| \| \| Family; \| \| \| Workforce Size \| \| \| Figs for DCMS & TRP combined. Key stats \| \| \| separated out are (DCMS current/DCMS \| \| \| previous/TRP current/TRP previous): payroll \| \| \| staff: 443/449/119/117; average staff costs: \| \| \| £53368/£54220/£43656/£44948; AWDL \| \| \| actual: 4.7/5/7.3/7.8 \| Non-departmental \| \| public bodies \| \| \| Department Family \| \| \| (Total) \| \| \| Average Staff Cost \| \| \| Please supply paybill per head - as defined in HMT"s Civil Service Pay Guidance. This is the \| \| \| total paybill cost divided by staff in post (FTE). \| \| \| Quarter \| Q4 2010/11 \| \| Function \| \| \| Management \| \| \| information \| \| \| The paybill costs should include: \| \| \| o Staff salaries; \| \| \| o Allowances; \| \| \| o Overtime payments; \| \| \| o Non-consolidated pot; \| \| \| o ERNIC; \| \| \| o Employers" pensions contributions. \| \| \| Contingent Labour \| Quarter \| \| 2011 \| \| \| Full \| HR Systems \| \| information \| \| \| Definition: Include the number of agency staff, specialist contractors, interim managers or \| \| \| consultants engaged - these non-payroll staff being commonly referred to as "contingent labour". \| \| \| For full definitions see annex. \| Department and \| \| Agencies \| \| \| Reference date for baseline value: 31 March 2010 \| \| \| Source: HR Systems (previously supplied to Cabinet Office in the June 2010 exercise) \| Non-departmental \| \| public bodies \| \| \| Department Family \| \| \| Workforce Shape \| The number of FTE staff working in the department disaggregated by the standard Civil Service \| \| responsibility levels. \| \| \| Quarter \| Position as at March 31st \| \| 2011 \| \| \| Full \| HR systems \| \| information \| \| \| Department & \| \| \| Agencies only; \| \| \| Headcount/part-time staff: technical definition as per QPSES \| \| \| Grade/responsibility level: technical definition as per ACSES \| \| \| - Administrative \| \| \| Assistants and \| \| \| - Executive Officers \| \| \| - Higher and Senior \| \| \| Executive Officers \| \| \| - Grade 7/6 \| \| \| - Senior Civil Servants \| \| \| Part Time \| Number of part time Employees (headcount) / Total number of employees (full-time and part- \| \| time: headcount) \| \| \| Quarter \| Position as at March 31st \| \| 2011 \| \| \| Full \| HR Systems \| \| information \| \| \| Workforce Dynamics \| The (cumulative) number of approved exceptions to the freeze on external recruitment to the Civil \| \| Service. \| \| \| Management \| \| \| information \| \| \| Recruitment Exceptions \| \| \| Quarter \| 31/03/2011 \| \| Recruitment \| \| \| Exceptions \| \| \| collection \| Definition and potential source: Cabinet Office Quarterly recruitment exceptions collection \| \| NB: The collection by the Cabinet Office is for the cumulative position over the year, to be \| \| \| provided each quarter. However, departments may have available the individual quarter's position \| \| \| and could choose to publish this figure alongside a cumulative position. \| \| \| Quarter \| Q4 2010/11 \| \| information \| \| \| Turnover Rate \| Annual turnover rate: The number of staff leaving the organisation during the year ending the \| \| reference period divided by the average staff in post over the year ending the reference period \| \| \| (where the average staff in post is calculated as the number of staff in post at the start and end \| \| \| of the relevant period divided by 2, and leavers are ALL leavers exiting the organisation during the \| \| \| period). \| \| \| In essence, each quarter"s information will show an annual turnover rate for the year ending that \| \| \| quarter. \| \| \| Definition: ACSES \| Workforce Diversity \| \| [Total] \| \| \| Quarter \| Position as at March 31st \| \| 2011 \| \| \| Full \| HR Systems \| \| information \| \| \| BME \| Number of staff recorded as Black and Minority Ethnic/ Total number of staff (headcount basis) \| \| Women \| Definition: QPSES \| \| Number of female staff / Total number of staff (headcount basis) \| \| \| Quarter \| Position as at March 31st \| \| 2011 \| \| \| Full \| HR Systems \| \| information \| \| \| Disabled \| \| \| Definition: ACSES \| \| \| Number of staff recorded as disabled / Total number of staff (headcount basis) \| \| \| Quarter \| Position as at March 31st \| \| 2011 \| \| \| Full \| HR Systems \| \| information \| \| \| Definition and source: SCS Database (CO) \| SCS collection \| \| information \| \| \| Workforce Diversity \| \| \| [Senior Civil Servants \| \| \| only] \| \| \| Biannual \| 30/09/2010 \| \| organisations are \| \| \| captured \| \| \| BME \| Number of SCS staff recorded as Black and Minority Ethnic / Total number of SCS staff \| \| (headcount basis) \| \| \| SCS collection \| Management \| \| information \| \| \| Women \| Number of female SCS staff / Total number of SCS staff (headcount basis) \| \| organisations are \| \| \| captured \| \| \| Women in Top \| \| \| Management Posts" \| \| \| Number of female SCS staff in the Top Management Posts Group (SCS2, SCS3, PS) / Total \| \| \| number of SCS staff in Top Management Posts" (SCS2, SCS3, PS) \| \| \| SCS collection \| Management \| \| information \| \| \| Biannual \| 30/09/2010 \| \| organisations are \| \| \| captured \| \| \| Disabled \| \| \| SCS collection \| Management \| \| information \| \| \| Number of SCS staff recorded as disabled / Total number of SCS staff (headcount basis) \| Biannual \| \| organisations are \| \| \| captured \| \| \| Attendance \| Definition and potential source: Cabinet Office Sickness Absence quarterly reports. See attached \| \| guidance. \| \| \| Management \| \| \| information \| \| \| Quarter (data provide a \| \| \| rolling annual position each \| \| \| quarter) \| \| \| 31/12/2010 \| All Civil Service \| \| organisations are \| \| \| captured \| Average Working Days \| \| Lost (AWDL) Actual \| \| \| Cabinet Office \| \| \| Sickness \| \| \| Absence \| \| \| quarterly reports \| \| \| Management \| \| \| information \| \| \| Definition and potential source: Cabinet Office Sickness Absence quarterly reports. \| \| \| NB: A standardised figure is only available centrally from Cabinet Office - departments cannot \| \| \| calulate this themselves. \| \| \| Quarter (data provide a \| \| \| rolling annual position each \| \| \| quarter) \| \| \| 31/12/2011 \| All Civil Service \| \| organisations are \| \| \| captured \| \| \| Average Working Days \| \| \| Lost (AWDL) \| \| \| Standardised \| \| \| Cabinet Office \| \| \| Sickness \| \| \| Absence \| \| \| quarterly reports \| \| \| Civil Service \| \| \| People Survey \| \| \| Census survey \| Metrics given are for DCMS survey only; \| \| TRP staff survey follows a different format \| \| \| and the two cannot be reconciled to \| \| \| produce overall fugres \| \| \| Department & \| \| \| Agencies only; \| \| \| People Survey \| \| \| Metrics \| \| \| Engagement Index \| The organisation's engagement index from the most recent annual Civil Service People Survey \| \| Government \| \| \| Departments, Executive \| \| \| Agencies & Crown \| \| \| NDPBs \| \| \| Theme Scores \| Census survey \| \| People Survey \| \| \| The organisation's theme score for the leadership and manging change" theme from the most \| \| \| recent annual Civil Service People Survey Figure as \| \| \| published in survey reports \| Leadership & Managing \| \| Change \| \| \| Annual \| 01/12/2010 \| \| Government \| \| \| Departments, Executive \| \| \| Agencies & Crown \| \| \| NDPBs \| \| \| Census survey \| My Work \| \| Service People Survey \| \| \| Civil Service \| \| \| People Survey \| \| \| Annual \| 01/12/2010 \| \| Government \| \| \| Departments, Executive \| \| \| Agencies & Crown \| \| \| NDPBs \| \| \| Census survey \| My Line Manager \| \| Civil Service People Survey \| \| \| Civil Service \| \| \| People Survey \| \| \| Annual \| 01/12/2010 \| \| Government \| \| \| Departments, Executive \| \| \| Agencies & Crown \| \| \| NDPBs \| \| \| Census survey \| Organisational \| \| Objectives & Purpose \| \| \| The organisation's theme score for the "organisational objectives and purpose" theme from the \| \| \| most recent annual Civil Service People Survey \| \| \| Civil Service \| \| \| People Survey \| \| \| Annual \| 01/12/2010 \| \| Government \| \| \| Departments, Executive \| \| \| Agencies & Crown \| \| \| NDPBs \| \| \| DCMS has declined to ask NDPBs to \| \| \| provide monthly for this exercise as it will \| \| \| be a new burden on them at a very \| \| \| challenging time when most of the bodies \| \| \| concerned have had their funding cut and \| \| \| are reducing staff or undergoing other \| \| \| restructuring. \| \| \| DCMS has declined to ask NDPBs to \| \| \| provide monthly for this exercise as it will \| \| \| be a new burden on them at a very \| \| \| challenging time when most of the bodies \| \| \| concerned have had their funding cut and \| \| \| are reducing staff or undergoing other \| \| \| restructuring. \| \|	en
0510-pdf	nd ## Details Into The Compensation Paid Out By The Cps Over The Last Few Of Years * Please Disclose The Total Amount Of Compensation Paid Out By The Cps In 2018, 2019 And To Date In 2020 And Please Provide The Number Of Payouts Made. \| Year \| Number of Cases \| Value of payouts £000 \| \|---------\|--------------------\|--------------------------\| \| 2017/18 \| 48 \| 243 \| \| 2018/19 \| 60 \| 1,340 \| Please note 2019/20 data will be published in the Crown Prosecution Service (CPS) annual report and accounts which are currently being prepared for audit and will be published later in the year. We are unable to provide this information as it is exempt under Section 22 'Information intended for future publication' of FOIA. Please refer to the attached section 17 refusal notice which explains this exemption in further detail. * Please disclose the total amount of compensation paid out by the CPS to date in 2017 and please provide the number of payouts made. In the 2016/2017 financial year, the total amount of compensation paid out by the CPS was £1,631,000 and this was for 49 payouts. * For 2019 and 2020, please disclose why each payout was made and disclose the amounts of each payout. No further details of each payment are provided as the detailed facts pertaining to these matters and settlement figures are exempt under Section 31 'Law Enforcement', Section 32 'Court Records', Section 40 'Personal Information' and Section 41 'Information provided in confidence'. Please refer to the attached Section 17 refusal notice which explains these exemptions in further detail. Information Management Unit 020 3357 0788 IMU@cps.gov.uk Crown Prosecution Service, Information Access Team, Floor 8, 102 Petty France, London SW1H 9AJ	en
1151-pdf	## During the month of October 2013, the following exceptions to the recruitment and consultancy freeze have been considered by the Chief Executive, in his capacity as Accounting Officer: Decision Approval date Ref: No. & directorate Summary of application Consultancy/ recruitment Recruitment Approved 09/10/13 311 CO HR Operations Manager - Grade D Recruitment Approved 14/10/13 312 RME Director of RME- SCS Consultancy Approved 24/10/13 313 RPP Consultancy support for determination of enhancements costs in 2013/14, £50,000 Consultancy Approved 24/10/13 314 RPP Review of Passenger information during disruption ATOC code of Practice, £84,000 Recruitment Approved 25/10/13 315 RME Principle Case Officer and Policy Lead Markets -	en
1617-pdf	The Institute of Paper Conservation is grateful to the American Institute for Conservation of Historic & Artistic Works (AIC) for allowing the use of the above text for the British edition. The original text was prepared by Betsy Palmer Eldridge, Nancy Schrock, and Shannon Zachary and modified for this edition by Frances Hinchcliffe ACR MIPC and Kate Colleran ACR MIPC. For additional information about AIC, please visit their website: http:/www.aic-faic.org. Suppliers of conservation quality storage materials: Conservation by Design Ltd Timecare Works, 5 Singer Way,Woburn Road Industrial Estate, Bedford MK42 7AW Telephone 01234 853555 Website: www.conservation-by-design.co.uk Conservation Resources (UK) Ltd Unit 2 Ashville Way, Oxford OX4 6TU Telephone 01865 747755 Website: www.conservationresources.com Preservation Equipment Ltd Vinces Road, Diss, Norfolk IP22 4HQ Telephone 01379 647400 Website: www.preservationequipment.co.uk Secol 13-16 Howlett Way, Thetford, Norfolk IP24 1HZ Telephone 01842 752341 Website:www.secol.co.uk John Purcell Paper 15 Rumsey Road, London SW9 OTR Telephone:0207 737 5199 www.johnpurcell.net For further information contact IPC email:information@ipc.org.uk www.ipc.org.uk Contact the Preservation Department Phone: +44 (0)20 8392 5200 email: preservation@nationalarchives.gov.uk www.nationalarchives.gov.uk The National Archives Kew Richmond Surrey TW9 4DU ## Caring For Your Books The book is an ingenious invention. Compact and portable, it has been the primary means of transmitting and preserving mankind's accumulated knowledge for hundreds of years. Printers and bookbinders have used a wide variety of materials and structures. Materials include paper, parchment, textile, leather, paste and glue. ## Causes Of Damage These organic materials can be damaged by light, fluctuating and extremes of temperature and humidity, dirt and dust, poor shelving and handling. Light causes rapid deterioration and fading. All lights cause some damage but daylight, containing high levels of ultraviolet radiation, is the most harmful. Hot and dry conditions desiccate and embrittle leather and paper; damp conditions encourage mould and insects. Accumulation of dirt and dust can trigger chemical degradation. Shelving and handling can also cause physical and chemical damage. Most of the dirt on book covers and pages is accumulated grime from oily fingertips. While invisible initially, finger grease becomes all too visible as it oxidises and collects dirt. Signs of damage Books packed tightly on a shelf are difficult to remove without harming them; removing a book by pulling on its headcap is apt to break it. Leaning books place stress on the entire book structure. Opening a book flat on a table stresses the structure, flattening the spine and stretching the joints. Placing books face down onto a flat surface, for example during photocopying, break the binding. Torn and loose pages, text blocks out of their covers, broken and detached spines and joints, yellowing self adhesive tapes or discoloured paper repairs, 'foxed' and brittle paper, stains, worm holes, mould all require attention. ## What Can You Do Felt tip pens and biros may stain; self-adhesive slips (post it notes) leave an invisible residue of adhesive on the page to attract dirt. Newspaper cuttings, flowers and other miscellaneous material left in books leave stains and stress the bindings. Unskilled, DIY repairs and indiscriminate rebinding can seriously reduce the value, particularly of rare or special items, and lose irretrievable bibliographic information. - Regular dusting is important and gives an opportunity to check the condition of books. When dusting the edge of a book, wipe away from the headcap towards the fore edge, using a clean cloth or soft brush such as a shaving brush. Dirt brushed down the spine of the book is trapped there forever. A vacuum cleaner can also be used with the lowest suction. Muslin or fine net can be tied over the nozzle to catch any loose bits that might accidentally break off. - Leather dressing is not recommended as it can cause stains, make the leather sticky and degrade paper. Recent tests have shown that such dressings are only cosmetic and do nothing to prolong the life of the leather. - Handle books with clean hands. Wearing white cotton gloves for handling rare binding is a good preventive measure, but turning fragile or brittle pages with gloves may cause damage and is not advised. - When opening a book on a flat surface, protect the structure from stress by placing another book or a rolled up towel on each side to support it. - When removing a book from the shelf, either push the two neighbouring books back in order to grab the spine in the middle. If there is room above the book, reach over the top of the book to the fore-edge and then pull it out. If there is no room, push back the books on either side of the one to be removed, to expose enough of its spine to allow you to get a firm grip on it. - Damaged book, detached spine or boards - to prevent further damage tie up firmly with a flat cloth tape and place in an envelope. Through prolonged exposure to light these leather volumes are now faded High levels of relative humidity will encourage mould growth ## Finding A Conservator - Reduce exposure to light by keeping lights turned off in rooms that are not in use; block daylight by using curtains or blinds. IPC operates a professional accreditation scheme to protect the users of conservation services, whether individuals or large public institutions. The scheme is run in partnership with other conservation bodies. Accredited members are designated as ACR MIPC. - Prevent exposure to rapid changes or extremes in temperature and humidity by keeping books away from sources of heat such as radiators and fireplaces. A cool, dry and stable environment is ideal. Temperatures between 13–19°C and a relative humidity of 45–60% are recommended. Avoid placing them next to damp external walls. Good air circulation is imperative to prevent stagnant air pockets, where condensation will collect and mould might grow. For this reason it is best not to push books right to the back of the shelf. IPC supplies free of charge, the names and addresses of ACRs either by geographical area or particular expertise. This service is open to both individuals and institutions, for a single item or for a large and diverse collection. ACRs may also give advice on preventive conservation, disaster planning, storage and display. - Ensure that books standing vertically on shelves are upright and supported by neighbouring books or bookends. It is best to lay large books horizontally in stacks of two or three. The Institute of Paper Conservation is the leading organisation devoted solely to the conservation and care of paper, books and related materials email: information@ipc.org.uk website: www.ipc.org.uk - Important and fragile books may require additional protection. A variety of wrappers and boxes are available from conservation suppliers. A conservator will be able to advise on custom-made boxes. The recommendations in this leaflet are intended as guidance only. IPC does not assume responsibility or liability. - If you have to pack books away for storage avoid wrapping them in common household plastics such as bin liners, plastic bags or cling film. These emit harmful gases as they degrade and may also encourage condensation. Don't place books on fore-edges, as this is likely to damage the structure of a book and loosen the binding. - Avoid storing boxes of books in attics, garages or basements where temperature and humidity fluctuations are great, where pests may be a problem, and where leaks or floods are common. Allow at least four inches of space between the boxes and the walls, ceilings and floors. Lift boxes up on wooden pallets. - If books get wet in a flood small numbers can be air-dried. Stand the books up, fanned open, alternating spine to fore edge, with sturdy bookends at each end to prevent them falling over. Fans can be used to circulate the air and increase evaporation. The room temperature needs to be as low as possible to discourage mould and use dehumidifiers or air conditioners to reduce humidity. A wet book may also be frozen to stabilise it, to be thawed and dried later. Wrap individual books in polythene and place it in a freezer. In the case of a serious flood or a fire, get help from a conservator as soon as possible. ## What You Can'T Do When it is too late for preventive conservation and the damage is already done, there is little that you as a collector can do. Resist the temptation to do home repairs with any of the wide variety of self adhesive tapes as these are likely to cause further damage and are difficult to remove. Contact an accredited book conservator through the Institute of Paper Conservation and they will advise on the most appropriate treatment for your book.	en
2672-pdf	MILNE'S HIGH SCHOOL WE ARE AN ASPIRATIONAL COMMUNITY WHERE THE INDIVIDUAL'S POTENTIAL IS REALISED THROUGH OPPORTUNITY AND EQUITY. facebook.com/milneshighschoolmoray MILNE'S HIGH SCHOOL West Street Fochabers Moray twitter.com/MilnesHigh TEL: 01343 820611 admin.milneshigh@moray-edunet.gov.uk www.milneshighschool.org.uk IV32 7DJ ## Contents Introduction Welcome Welcome : Head Teacher Welcome : Head Prefect A Brief History of Milne's Milne's High School and Map Accommodation and Location Our Staff 2 3 4 5 5 6 Aims, Vision and Values School Improvement & Contact Information School Information 7 8 8 9 School Term and Holiday Dates Transition - Primary to Secondary School House System Assemblies Guidance Named Person Careers Education Additional Support Needs Peer Support Anti-Bullying Health and Wellbeing High Quality Learning Experiences Curriculum for Excellence A Caring Supportive Community 10 10 11 11 11 12 12 13 13 14 15 15 16 16 17 17 18 18 Curriculum : Broad General Education Curriculum : Senior Phase Work Experience 16+ Learning Choice Physical Education Religious and Moral Education Additional Learning Experiences Residential & School Trips home and abroad 19 High Expectations of all our Young Behaviour 20 22 24 24 25 25 In Partnership with Parents General Information for Parents Attainment People Homework Study and Essential Equipment School Dress Merits Pupil Progress : Reports and Parents' Evenings Assessment and Attainment Pupil Participation and Responsibility Parent Council All General Information Privacy Statement 26 27 28 29 35 37 38 40 Statistical Information Appendix A COVID-19 Impact on Schools Information in this Prospectus All information given is correct at the time of publication. It is possible that over the course of the year some information will change. Please contact the school if any further advice or clarification is required. ## Welcome To Milne'S High School I am delighted to introduce this hand book which is designed to give you an overview of our school. Our vision is to provide a creative and ambitious learning environment where everyone is the best they can be. Our strategic aims are for all to: - • - • Develop relationships, knowledge and skills Feel safe, happy, healthy and confident Celebrate our success Be provided with pathways that lead to success We aim for all members of the school community to feel valued and so everything we do is underpinned by our core values of determination, resilience, leadership, honesty, service and respect. Patricia Cameron Head Teacher We can only achieve our vision through strong relationships and partnership working with pupils, staff, parents and the wider community to be an aspirational community where the individual's potential is realised through opportunity and equity. Our vision, values and strategic aims continue to guide our mission, even during challenging times. We endeavour to provide the best educational experience that we can while ensuring the safety of our school community. ## Welcome To Milne'S High ꢀChool On ꢁEhalꢂ Oꢂ The ꢃUꢃIls Here at Milne's, what we value most is creating an environment which allows students to learn, grow, and eꢄcel in a saꢂe, understanding sꢃaceꢅ We strive to helꢃ everyone to reach their ꢂull ꢃotential through oꢃꢃortunity and eꢆuityꢅ ꢇur core ꢃrinciꢃles are determination, resilience, honesty, service and resꢃect which shaꢃe our school into a ꢃlace where ꢃuꢃils thrive, and eꢄꢃectations are highꢅ ꢈhese values underlay our everyday at Milne's High, and maꢉe ꢂor an environment where ꢃuꢃils enꢊoy to learn and ꢃlayꢅ ꢇur community is very ꢂriendly and sociaꢁle, with the chance to ꢊoin cluꢁs, where we can ꢃartaꢉe in activities ꢂrom netꢁall to ꢁoard gamesꢅ ꢈhe arts are widely aꢃꢃreciated, with an eꢄceꢃtional music deꢃartment that oꢂꢂers the chance to ꢁe ꢃart oꢂ our ꢊaꢋꢋ ꢁand, orchestra, ꢂiddle grouꢃ and choirꢅ ꢌuꢃils can also ꢃarticiꢃate in a range oꢂ comꢃetitions which showcase our diverse talents, such as ꢃhotograꢃhy and mathematicsꢅ ꢇur staꢂꢂ are wonderꢂully suꢃꢃortive, volunteering their time to helꢃ run and organise these eventsꢅ ꢇur school ꢃrovides many oꢃꢃortunities ꢂor us to mould our eꢄꢃerience and taꢉe the initiativeꢅ We can ꢃlay a ꢃart in organising events and ꢂundraisers through various committees, as well as ꢁecome a ꢀtudent ꢍoice ꢎmꢁassador and imꢃlement ꢂeedꢁacꢉ ꢂrom staꢂꢂ and ꢃuꢃils aliꢉeꢅ ꢈhis allows us to have a ꢂleꢄiꢁle learning eꢄꢃerience and have a say in how our school is runꢅ ꢇne such initiative that has ꢁeen launched is the mental health ꢃrogrammeꢅ ꢀtudents can ꢁecome a Mental Health ꢏhamꢃion, training how to ꢃrovide helꢃ to those in need and oꢂꢂering suꢃꢃort to ꢂellow ꢃuꢃilsꢅ We are also ꢃroud to say that we oꢂꢂer leadershiꢃ oꢃꢃortunities throughout all year grouꢃsꢅ ꢌuꢃils can taꢉe uꢃ roles such as ꢊoining the ꢌreꢂect ꢈeam, ꢁe House ꢏaꢃtain, and a ꢀꢈꢐM ꢑeaderꢅ ꢈhese helꢃ us develoꢃ transꢂerraꢁle sꢉills that will ꢃreꢃare us ꢂor the wider worldꢅ ꢎs a school we recognise the oꢃꢃortunity to sꢃread awareness oꢂ the diꢂꢂerent needs oꢂ all ꢃuꢃils due to various ꢂactors such as dysleꢄia and learning diꢂꢂicultiesꢅ We wish to maꢉe this school as inclusive as ꢃossiꢁle, and accessiꢁle to allꢅ ꢏertain lessons have ꢁeen tailored to educate the wider audience in the school and allow ꢂor more understanding and emꢃathy towards other studentsꢅ We are a diverse, colourꢂul, amꢁitious school that welcomes all with oꢃen arms and suꢃꢃorts each ꢃuꢃil in ꢁlossoming as individuals and academicsꢅ ## ꢒ ꢐMily ꢓAle And ꢏOnnor ꢔUrgess ꢕIcꢉWood, Head ꢌReꢂEct ꢈEam A Brief History Of Milne'S High School Milne's High School was established in 1846 as a result of the generosity and benevolence of Alexander Milne who wished to see educational opportunities for young people in his home town of Fochabers. In the course of his life, Alexander Milne travelled far from his native community, yet it retained an affectionate place in his heart. As such, he bequeathed the money required to set up Milne's Institution,as it was then called. The original building is still a familiar and striking landmark in the main street through Fochabers. This building, which is now home to Milne's Primary School, has been renovated to a very high standard by the local authority. It has, however, kept its original external appearance, a magnificent facade designed by Thomas Mackenzie who was responsible for many fine buildings in Aberdeen and North-East Scotland during the 19th century. Although the secondary school is now based in a modern building on the south side of Fochabers, the school retains strong ties with its roots. Traditions are represented, for example in a continuation of high academic standards and the development of awareness in our young people of the needs of others in the school and wider community. ## Milne'S High School Badge The School Badge comprises three boars' heads with a pheon in the centre, set on a green background. Both the boars' heads and the green background are associated with the Gordon family. The badge reflects the fact that Fochabers and the area around it has been linked with the Gordon Family for several centuries. The pheon (a jagged arrow head or javelin) is set in the centre of the badge. As far as can be determined, the badge in its current form made its first appearance on a school publication in 1912. ## The School Motto "Alacritate-Ac-Studio" Means 'With Speed And Zeal' Milne'S High School Milne's High School provides comprehensive education for boys and girls from first to sixth year (aged 11 to 18 years). In addition to young people from Fochabers itself, the school zone includes Mosstodloch, Lhanbryde, Garmouth, Spey Bay, Kingston and Urquhart as well as smaller communities stretching towards the area surrounding Portgordon and Buckie. Essentially, the catchment area includes a large part of the eastern area of Moray's rich agricultural land involving farming, forestry and plant nursery developments as well as a range of industry including Baxters of Speyside which is less than a mile from the school. The school roll is presently 411. The local communities within the area are active supporters of the school and our underlying values.This is very much appreciated and where possible reciprocated through links from the school to the community. We celebrated our 170th birthday in 2016, but despite the rich traditions of its past from which it draws, it is a progressive, vibrant and forward looking school, anticipating a very positive future to complement its past successes. The current Milne's High School building is situated on the south side of the town of Fochabers. Travelling west from Aberdeen, turn left at the Square, continue up Charlotte Street, cross the narrow bridge at the end of the street. leading to West Street. Turn left at this point, then follow the line of the road which brings visitors to the school which is situated on the left hand side of the road. The Speyside Way runs alongside the west side of the school grounds. The school is set on a very attractive site with its own extensive playing fields and an all-weather pitch immediately accessible from the buildings. The area has been landscaped and is surrounded by trees which are now well established. The buildings themselves were constructed in phases between 1981 and 1989 when the school finally moved to its current site. A central teaching and management block is linked to the other teaching areas of the school. An extension has been built and this further enhances facilities and includes a community library, fitness gym, IT suite and multi-agency base.The map above shows the area of Moray which is served by Milne's High School. A more detailed map is held by the school office and advice is also available from Moray Council regarding the appropriate zoned school for each address within Moray. Information on our associated primary schools is given in the section headed 'Transition from Primary to Secondary School' ## Our Staff Senior Leadership Team Head Teacher Mrs P Cameron Physical Education Mr R Elder (Principal Teacher) Miss L Keay Depute Head Teacher Mrs S Burchell Ms A Kelbie Mrs F West Mr A Macleod Physics Mrs S Valentine Business Support Officer Mr M Van-Hoof Mr M Thomson (Principal Teacher) Mrs A Cunningham RME Teaching Staff Art & Design Ms A Neillie (Principal Teacher) Mrs C Young Biology Mr H Archibald (Principal Teacher) Design & Technology Miss S Smith (Principal Teacher) Additional Support Needs Mrs P Parrott (Acting Principal Teacher) Miss K Doyle Mrs A Gray (Principal Teacher) Dr B Orr Mrs S Laurie Business Education Miss C MacKenzie (Principal Teacher) Mrs L Watt Covid-19 Teacher Mr J Brady Guidance Mr W Young Chemistry Mrs C Sugg (Principal Teacher) English Mrs L MacDonald (Principal Teacher) Mrs G Humphrey Mrs S Grant (Principal Teacher) Mr C McGuire (Principal Teacher) Support Staff Senior Clerical Assistant Mrs E Kelly Clerical Assistants Mrs L Barber Mr P Jenkins Geography Mrs N Duff Mr B Donlin (Principal Teacher) Mr C Young Inclusion Co-ordinator VACANCY History and Modern Studies Mr M MacLeod (Principal Teacher) Ms K Marr Supervisory Technician Mr S Perry Technician Home Economics Mrs L Mair Mrs D Gordon (Principal Teacher) Mathematics Mr R Jagger (Principal Teacher) Miss C Crossman Technical Assistants Mrs L McWilliam Mrs S Mitchell Head Janitor Mrs E Fraser Mr R Young Mrs H Rongong Janitor Modern Languages Mrs L Lyall (Principal Teacher) Mrs N Maclean Mr G Chalmers Pupil Support Assistants Miss E Clark Music Mrs M Cooper Mr R Ross (Principal Teacher) Mrs V Slater Mrs S Cowie Mrs T Dickie Mrs J Duncan Mrs K Smith Mrs L Smith Catering Supervisor Mrs E Stewart Part-time Music Instructors Ms F Campbell (Percussion) Mr A Grant (Brass) Mr A Davidson (Violin) Mr C Henderson (Guitar) Ms J Theron (Woodwind) ## Aims, Vision And Values School Improvement & Contact Information Every year we make major decisions about our school to try and ensure that we are continually improving the quality of education we provide for all our young people. This is summarised in our School Improvement Plan. We make these decisions based on information we have gathered from parents, pupils, teachers, the Local Authority and members of the wider community. Our improvement plan is available from the school office or from our website (www.milneshighschool.org.uk - About us - Improvement Plan). Our Standards and Quality Report is designed to provide a summary of information about our school's progress over the last year. In particular: Continuous Improvement Progress with our school improvement priorities 2020-21 Our school improvement agenda 2020-21 Successes and achievements of our pupils both as individuals and through collective endeavours Communication with the School Should parents have queries, issues or information to share then the first point of contact should be the child's Guidance teacher. Should parents wish to raise concerns about how we have dealt with an incident then please contact a member of the Senior Leadership Team. Parents can send a letter, call or email the school office and it will be forwarded to the appropriate Depute Head Teacher. Please be aware that the Head Teacher will be fully aware and involved in dealing with any complaint. As our community has many different family structures, it is important that we are made fully aware of a situation which may require special communication arrangements. Our system is set up to have a main contact however, in the case of split families we can set up a process whereby both parents receive copies of written communication. We require parents to make this request by contacting the appropriate Guidance teacher. Please be aware that we will use the main contact in the first instance by telephone and we expect parents to communicate with each other as much as they can regarding their child in cases where families may be apart. All communication is channelled through our very skilled, discrete and professional team of office staff. 01343 820611 admin.milneshigh@moray-edunet.gov.uk School Contact Information Milne's High School,West Street, Fochabers IV32 7DJ Office Phone Number: Email: Canteen: 01343 821478 Website: www.milneshighschool.org.uk ## Other Useful Numbers Ms Kim Karam Head Teacher Education, Communities And Organisational Development Milne's Primary High Street Moray Council High Street Fochabers IV32 7EP 01343 820977 Elgin IV30 1BX 01343 563374 ## Ms Donna Mackay Head Teacher Mrs G Ross Head Teacher Mosstodloch Primary Mosstodloch Fochabers IV32 7JB 01343 820476 Lhanbryde Primary Garmouth Road Lhanbryde IV30 3PD 01343 842649 ## School Term And Holiday Dates School Term And Holiday Dates 2020 - 2022 \| Session 2020/2021 \| Session 2021/2022 \| \|------------------------------------------\|------------------------\| \| Autumn \| \| \| Term \| \| \| Starts \| \| \| Ends \| \| \| Autumn \| \| \| Holiday \| \| \| Starts \| \| \| Ends \| \| \| Starts \| \| \| In-Service Closure: Monday 10 Aug 2020 \| \| \| In-Service Closure: Tuesday 11 Aug 2020 \| \| \| Wednesday 12 August 2020 * \| \| \| Friday 9 October 2020 \| \| \| Monday 12 October 2020 \| \| \| Friday 23 October 2020 \| \| \| Monday 26 October 2020 \| \| \| Winter \| \| \| Term \| \| \| In-Service Closure: Monday 16 Nov 2020 \| \| \| Friday 18 December 2020 \| \| \| Ends \| Ends \| \| Christmas \| \| \| Holiday \| \| \| Starts \| \| \| Ends \| \| \| Monday 21 December 2020 \| \| \| Monday 4 January 2021 \| \| \| Spring \| \| \| Term \| \| \| Starts \| Tuesday 5 January 2021 \| \| Mid Term Holiday: \| \| \| Friday 5 & Monday 8 February 2021 \| \| \| Friday 26 March 2021 \| \| \| Friday 11 & Monday 14 February 2022 \| \| \| Friday 1 April 2022 \| \| \| Ends \| Ends \| \| Spring \| Starts \| \| Good Friday Holiday: Friday 2 April 2021 \| \| \| Friday 9 April 2021 \| \| \| Holiday \| \| \| Summer \| \| \| Term \| \| \| Ends \| \| \| Starts \| \| \| Monday 12 April 2021 \| \| \| May Day Holiday: Monday 3 May 2021 \| \| \| In-Service Closure: Thursday 13 May 2021 \| \| \| In-Service Closure: Friday 14 May 2021 \| \| \| Friday 25 June 2021 \| \| \| Ends \| \| \| Plus 1 occasional day holiday \| \| \| to be agreed by 30 March 2021 \| \| \| Plus 1 occasional day holiday when the \| \| \| following schools will be closed: \| \| Elgin Academy ASG Monday 14 June 2021 Thursday 4 February 2021 Elgin High ASG * Following the COVID-19 lockdown pupils will begin to return to school from Wednesday 12 August 2020. An announcement will be made by 30 July 2020 to confirm whether or not schools will return on a 100% basis from 12 August for pupils, or whether the contingency plans set by each school will require to be implemented. Contingency plans could mean smaller groups of pupils attending school on a timetabled or rotational basis. Given that the schools are returning a week earlier in summer 2020 an additional week of holiday has been agreed for summer 2021 with effect from Monday 28th June 2021 making a seven week summer break. As a result of the additional in-service day in August 2020 the planned 2 in-service days in November 2020 have been reduced to only Monday 16th November. Tuesday 17th November will become a normal teaching day. Telephone: (01343) 563374, Email: education@moray.gov.uk (all dates inclusive) Starts Ends Starts Ends Starts Autumn Term Autumn Holiday Winter Term In-Service Closure: Monday 16 Aug 2021 Tuesday 17 August 2021 Friday 8 October 2021 Monday 11 October 2021 Friday 22 October 2021 Monday 25 October 2021 In-Service Closure: Monday 15 Nov 2021 In-Service Closure: Tuesday 16 Nov 2021 Thursday 23 December 2021 Christmas Holiday Starts Ends Friday 24 December 2021 Friday 7 January 2022 Spring Term Starts Monday 10 January 2022 Mid Term Holiday: Starts Ends Starts Spring Holiday Summer Term Monday 4 April 2022 Friday 15 April 2022 (Good Friday) Monday 18 April 2022 May Day Holiday: Monday 2 May 2022 In-Service Closure: Thursday 12 May 2022 In-Service Closure: Friday 13 May 2022 Friday 1 July 2022 Ends ## Session 2022/2023 Schools work in a group format, based on a Secondary school and its associated Primary schools. This is known as an Associated School Group (ASG). More information is available on the Moray Council website at: www.moray.gov.uk/moray_standard/page_55590.html Transition from Primary to Secondary School The majority of pupils at Milne's High School come from our three associated primary schools. These are Lhanbryde Primary School, Milne's Primary School in Fochabers and Mosstodloch Primary School. T o assist with transition arrangements and the associated curriculum planning between the primary schools and the secondary, a number of structures are in place. In the summer term, visits by secondary staff are made to meet with Primary 7 pupils and their teachers. This is followed by pupil visits to Milne's High School to become familiar with their environment and help them feel more confident about their transition into secondary school. During the three days pupils will take part in activities which will enable them to: - Build new friendships - Team build - Become comfortable with their environment - Develop a knowledge and understanding of wellbeing The transition programme is aimed at making our new pupils feel welcome and to make the move from primary to secondary straightforward and enjoyable. Pupils enrolling from other primary schools are also invited to attend the visits to Milne's High School. A Parents' Information Evening is held to share information and help parents become familiar with the school. House System and Year Heads A considerable emphasis is placed on ensuring that new first year pupils settle in quickly and successfully to their new environment. Each pupil is placed in one of two 'Houses'. A member of the Senior Leadership Team has overall responsibility for each house group as House Head. Key personnel include: Head Teacher Mrs Patricia Cameron Depute Head (Tynet House) Mrs SusanValentine Depute Head (Spey House) Mrs Susie Burchell Depute Head (Pupil Support)Mr Adam Macleod Principal Teacher of Guidance Tynet - Mr Charlie McGuire Spey - Mrs Sharon Grant Assemblies During the weekly period of Wellbeing & Attainment throughout the school session, year group and House group assemblies take place. There are two principal purposes in holding such assemblies. First they are designed to encourage a sense of identity and belonging to the school. They are also intended to provide an opportunity for thought-provoking reflection. Members of our Chaplains' team are involved in assemblies at various times throughout the year. The themes of the assemblies will vary with a programme drawn up at the beginning of each school year. Guidance - Support for Pupils Our Guidance Team perform a key role in the link between home and school. Although all teachers in the school have responsibility for the health and wellbeing of pupils, it is the Guidance Team who are in a position to have a complete overview of progress during a pupil's secondary school career. They offer advice and direction on a range of issues including dealing with bullying and resolving friendship issues.They also assist pupils in the decision making process at all stages. Furthermore, they act as a link with many partner agencies such as Social Work, Health and Skills Development Scotland. Principal Teachers of Guidance have regular learning conversations during each stage of a pupil's school career. Where there are matters of concern about a pupil's wellbeing, the Guidance Team usually contact parents/carers by letter or by telephone. In return, parents/carers are asked to inform Guidance teachers of any circumstances which might affect a pupil's progress at school. All pupils entering Milne's High School are assigned to a House Group under the care of a Principal Teacher of Guidance and will normally remain in the same House throughout their education at the school. Should you have any concerns or questions, the Guidance teacher should be your first point of contact. They have the overview of your child and work closely with the Senior Leadership Team to resolve any issues. Named Person As part of the national Getting It Right For Every Child (GIRFEC) approach children and young people from birth to 18, or beyond if still in school, and their parents will have access to a Named Person to help them get the support they need. In secondary schools the Named Person will usually be a Principal Guidance Teacher and will remain throughout their time at school. The Named Person will be the single point of contact for children and young people, their parents/carers and the professionals who work with the child or young person. The GIRFEC approach (which includes the Named Person Service) aims to improve outcomes for children and their families based on a shared understanding of wellbeing. Most children receive the support they need from their own families and their community, in partnership with universal services such as health and education. Where extra support is needed, GIRFEC aims to make that support easy to access with the child or young person at the centre. It looks at a child or young person's overall wellbeing to establish how safe, healthy, achieving, nurtured, active, respected, responsible and included wellbeing indicators they are, to ensure that each and every child gets the right support, at the right time, from the right people. The Named Person Service supports this approach, offering a single point of contact for children and their families at a time when support may be needed. It also serves as a way to coordinate multi-agency support (eg from health,social work, police etc) if required. Should you have anything you would like to discuss regarding a child's wellbeing, please do not hesitate to contact your Named Person either by phone, email or alternatively a letter marked for the attention of your Named Person. Careers Education Skills Development Scotland (Careers) works in partnership with us to support key parts of both our Guidance work and Personal and Social Education. Our programme of careers education is enhanced by contributions from our careers coach from Skills Development Scotland. One-to-one careers guidance is also arranged with pupils at different stages in the school, especially in the Senior Phase. Parents/carers are also welcome to contact Jayne Porter for careers advice regarding their son or daughter. A well-stocked careers library contributes to this provision along with information on work and further/higher education which is available from a computer database. Pupils are encouraged to investigate careers areas independently. Senior pupils are encouraged to attend University Open Days and other careers events as appropriate. Careers talks from various outside agencies are also given each session. Senior pupils in particular are encouraged to attend. ## Additional Support Needs (Asn) In Milne's High School, the ASN Department reflects the inclusive policy of the Moray Council. We aim to provide equality of access to an appropriate and effective curriculum which is suited to the needs of young people. Support staff work across the breadth of the curriculum providing in-class support. ASN staff also work collaboratively with teachers in a planning and consultative role and with Principal Teachers of Guidance in their supportive and pastoral roles. Where a flexible curriculum is more appropriate, and in full consultation with parents/carers and young people, this can be provided within the department. In S1-S3, this curriculum parallels that of CfE and in S4, National 1 and 2 courses are provided as a route to qualification. The ASN department works closely with partner professionals whose expertise can enhance the provision for young people in school. They also work collaboratively with parents and young people, taking full account of their views in accordance with their rights and responsibilities. ## Information On Girfec ("Getting it Right for Every Child") is available at: http://www.scotland.gov.uk/Topics/People/Young-People/gettingitright Enquire - the Scottish advice service for additional support for learning. It offers independent, confidential advice and information on additional support for learning through: Telephone Helpline: 0345 123 2303 Email Enquiry Service: info@enquire.org.uk Advice and information is also available at www.enquire.org.uk Peer Support In June of each year, pupils entering sixth year are offered the opportunity to become members of the Peer Support Team in one of the following ways:: ## Paired Reading S5/6 Supporting Others In Curricular Classes Supporting others in curricular classes Senior students can help teachers in certain classes. A wide range of subject areas currently have senior student support and this particularly helps S1 but can also occur in S2-S4 classes where appropriate. The senior student is involved in many ways as agreed with the individual teacher. Anti-Bullying Policy At Milne's High School, all staff aim to give youngsters the best possible chance to gain valuable skills and qualifications and to equip them with a knowledge and understanding of their environment so that they can cope with and enjoy life in a fast changing world. Furthermore, we recognise that young people need to develop self-reliance while also appreciating the inter-dependence of individuals and acceptance of other people, their opinions and their cultures. Milne's High School Pupils' Definition of Bullying - We think bullying is behaviour that can leave people feeling hurt, frightened and left out. Such behaviour impacts negatively on our school community - Bullying can be characterised by intentionally aggressive behaviour that involves an imbalance of power and strength. It can be exemplified through physical, verbal/nonverbal, and/or relational means - Bullying can also be characterised as being prejudice because you are perceived to be different e.g. appearance, intelligence, sexuality, race, beliefs, disability or personality - Bullying can be any combination of the above negative behaviours and often it is a repeated offence, even when teachers observe it for the first time Milne's High School Statement Bullying occurs in every school and Milne's High is no exception. When bullying is identified here it will be dealt with quickly, firmly and sensibly This action includes: School Action: - Encouraging our young people to talk to someone they trust - Guidance teacher, wellbeing and attainment teacher, parent, relative, friend, prefect - Guidance teachers will talk through the issues and actions taken will depend on circumstances and the degree of bullying involved. This may include fact-finding, talking with others, problem-solving work, restorative work and talking to parents - We may involve others to work with us, such as Home School Link Worker or Police Scotland - Persistent or serious incidents will lead to referral to the Senior Leadership Team - Persistent or serious incidents will result in sanctions, restrictions, formal warnings, parental meetings and ultimately, exclusion from school - Incidents are recorded and filed for review. These are discussed on a regular basis by the Senior Leadership Team Parents/carers should be aware that they may contact the school at any time if their child reports being bullied or if they notice a change in the child's behaviour which might indicate bullying. The initial contact would normally be made with the child's Guidance teacher. Similarly, any member of the school staff will report incidences of bullying to the Guidance team if they witness it, if a child tells them about it or if they themselves sense that it may be happening. Everyone has a right not to be bullied. Our message to pupils is that they must tell an adult if they themselves are being bullied or if they know of other youngsters who are in this position. Health and Wellbeing - Guidance and Support for Pupils Throughout your child's time at Milne's High School your child's Guidance teacher along with all other members of the school community will have the responsibility of promoting positive health and wellbeing. Health and Wellbeing is a responsibility of all members of the school and the main areas that are addressed are separated into five areas: Mental Emotional Wellbeing - relationships, resilience, bullying, empathy and bereavement and loss Social Wellbeing - rights and responsibilities, diversity, peer education Physical Wellbeing - personal safety, internet safety, first aid and safe travel Planning for Choices and Change - decision making, making good choices, target setting, taking responsibility and independent learning Relationships - importance of making and keeping good relationships, respecting boundaries in a social context Pupils will experience the Health and Wellbeing outcomes through the general ethos and life of the school, curriculum and subject areas, interdisciplinary projects and studies and also through opportunities for personal achievement. Assemblies, the House System, careers education and peer support all contribute to the health and wellbeing approach in school. Curriculum for Excellence (CfE) CfE balances the importance of knowledge and skills. It aims to raise standards, prepare our children for the future and equip them for work in a fast changing world. Every teacher will be responsible for literacy and numeracy - the language and numbers skills that unlock other subjects and are vital to everyday life. ## Literacy CfE gives a new focus to literacy across learning. Literacy skills will be developed in all subjects and across the eight curriculum areas. Literacy experiences will promote the development of critical thinking, creative thinking, competence in listening and talking, reading and writing, personal, interpersonal and team-working skills as well as skills in using language. ## Numeracy CfE recognises the importance of numeracy and that our young people need to be confident when solving problems, making decisions and analysing situations that involve numbers. Throughout the curriculum the teaching of numeracy is organised into areas which include understanding and calculating numbers, applying numbers when working with money, time and measurement and understanding information to make decisions. CfE develops skills for learning, life and work to help young people go on to further study, secure work and navigate life. It brings real life into the classroom,making learning relevant and helps young people apply lessons to their life beyond the classroom. CfE links knowledge in one subject area to another, helping children understand the world and make connections. CfE develops skills so that children can think for themselves, make sound judgements, challenge, enquire and find solutions. We offer personal support to help young people fulfil their potential and make the most of their opportunities. There is much emphasis by all staff on looking after our children's health and wellbeing to ensure that the school is a place where children feel safe and secure. Ultimately, CfE aims to improve our children's life chances, to nurture successful learners, confident individuals, effective contributors and responsible citizens. Broad General Education (S1-S3) All pupils are entitled to a Broad General Education. In some subjects pupils are taught in class size groups of 30 and under; in practical size groups the maximum number is 20. Primary school reports are used along with information gathered by secondary staff during visits to associated primary schools to ensure that as far as possible, an appropriate measure for each youngster is established.The curricular areas studied are: - Languages and Literacy - English, Modern Language - Mathematics and Numeracy - Mathematics - Health and Wellbeing - Physical Education, Home Economics, Personal and Social Education - Religious and Moral Education - RME - Social Subjects - History, Geography, Modern Studies, Business Education, Religious and Moral Education - Expressive Arts - Art & Design, Music, Dance - Sciences - Biology, Chemistry, Physics - Technologies - ICT, Design and technology In the Autumn term of their second year, pupils are given further opportunities for personalisation and choice. An information booklet about the course choice available online for parents and pupils. Detailed advice about courses is given by Guidance and Subject staff, with every pupil studying English, Mathematics, a Modern Language and five other subjects which must ensure coverage of all eight curricular areas (see previous page). This provides an opportunity to study courses in depth. Senior Phase (S4-S6) In S4, pupils select six subjects to study with English and Mathematics/Numeracy being compulsory. Pupils will be presented in these subjects for the National Exams. Pupils also study three core subjects of Physical Education, Personal and Social Education and Religious and Moral Education. Pupils who reach the age of 16 years on or before the last day of February are entitled to leave school on the last day of term before the Christmas holiday of the previous year. Pupils who reach the age of 16 on or before the last day of September may leave school on the last day of May of the same year. Any pupil leaving Milne's High School at any time should collect and complete a leaver's form from the school office. All books and equipment belonging to the school should be returned. The vast majority of pupils remain in school for a fifth and sixth year to gain more advanced qualifications. In the senior phase, pupils may study from a range of SQA courses covering a variety of subjects and levels. Detailed course information is issued during the Autumn term to pupils in fourth and fifth year. Advice from Guidance Teachers and our Careers Adviser is also available to allow seniors and parents to make informed and achievable choices. During their fifth and sixth years, we hope that our seniors will develop more advanced and increasingly 'independent' study skills. They are encouraged to take responsibility for the organisation of their work and private study. We are conscious that education is about more than academic or vocational qualifications. Other skills and qualities which will enable young people to contribute to society and to make their own way in the world are also required. Senior students in particular are encouraged to make a contribution to the wider life of the school and community, developing skills of leadership and responsibility. It is encouraging to see that many seniors do take the opportunities to enrich the life of the school, working both alongside staff and independently, for the benefit of younger pupils while presenting themselves as positive role models. Work Experience All students in the Senior Phase have the opportunity for Work Experience at a time appropriate to their individual needs. 16+ Learning Choices It is the intent of the Scottish Government that every young person of school leaving age in Scotland will receive an offer of continuing education or training that is attractive,appropriate and relevant to their needs. It is felt that this is the best way of ensuring young people's long term employability. In partnership with Schools, Colleges, Skills Development Scotland (Careers), the private, voluntary and other public sectors, Moray is developing systems and plans that will translate that vision into reality. For many young people,schools will continue to be the main route for that progression beyond S4; for others, college will be the best option or it might be a combination of school and college. For some young people the best offer may lie outside of school and college and this is where alternative provision will be identified and developed. During a young person's final year of statutory schooling, school guidance staff and Skills Development Scotland (Careers) staff will be in discussion with pupils to identify the most appropriate pathway. Physical Education (PE) All pupils from S1 to S6 will follow a Core PE programme which involves participation in a wide range of activities and fitness work. The activities include: - Team games (outdoors and indoors) - Racquet Sports - Dance - Gymnastics - Athletics - Fitness Through these activities pupils will have the opportunity to develop their physical competencies, physical fitness, cognitive skills and personal qualities, as well as their ability to evaluate self and peers, and a range of leadership skills. Pupils will also gain an awareness of the physical, emotional, social and health benefits of participation in physical activity. It is hoped that pupils will identify activities that interest them and that may become part of a healthy lifestyle now and in the future. Pupils who have a particular interest in physical activity will be able to choose from a variety of courses to study specific aspects of PE in greater detail from S3 onwards. All pupils are required to change into appropriate clothing for PE, including different footwear as appropriate to the activity. Jewellery must be removed and long hair tied back for safety. Parents are requested to encourage participation and in the instance of illness or injury a note should be signed to explain inability to participate. The PE department supports many school and community clubs and organises a full Inter-House Sports Programme. Religious and Moral Education Religious and Moral Education encourages pupils to engage in a search for meaning, value and purpose in life. It aims to develop their understanding of a wide range of beliefs within Christianity and other world religions. In S1-3 pupils have one lesson a week of RME, where they explore a range of moral issues and religious beliefs. This course forms an important part of the Broad General Education, promoting tolerance and inquisitiveness towards different ways of living.The aim is for pupils to learn about the beliefs studied. In the senior phase, pupils have the option to continue learning in the department through studying Religious, Moral and Philosophical Studies, and/or Philosophy at National and Higher Levels. It is possible for parents/carers to request that young people are withdrawn from RME. This must be stated in a letter to the Head Teacher as soon as possible. Additional Learning Experiences A wide and varied programme of educational activities runs throughout the year at Milne's High School. Pupils are given the opportunity to participate in these exciting and valuable learning experiences. These extra-curricular activities are an important part of the education which we offer to all of our young people and we value parental support in encouraging participation. Many activities take place on a regular basis: others take the form of inter-house competitions or one-off events. Whilst some take place at lunchtime, others are after school or in some cases at the weekend. A number are competitive; others may involve attending a performance of a play or a workshop offered in school. A major activity such as a concert also involves considerable numbers of pupils in a valuable additional experience to the formal curriculum. A number of activities allow pupils to represent Milne's High School in inter-school competitions. Activities which have been running previously have included the following: Archery, athletics, badminton, basketball, football, hockey, rugby, netball, fitness We also hold an annual sports day, inter-house competitions and cross-country event. ## Duke Of Edinburgh,World Challenge, Book Group And Discos. At Milne's High School, we offer a number of extra-curricular activities in Music including the Jazz Band, Orchestra, Choir and Guitar Group - new members are always welcome. In addition to this, there are various performance opportunities throughout the year for all year groups. Activities Days First, second and third year pupils are given the opportunity to take part in a range of activities over two days in May. School Trips Home and Abroad Months of pre-planning really pay off in the enjoyment experienced on these trips, which are usually open to pupils from different year groups. In the past, we visited various locations such as London, Paris and India. ## These Are The Out Of Class Activities That We Are Currently Offering This Session. Out of Class Activities Target Activity Name Location Time Group Games Club Mrs Barber Room 30 Fiddle Group Music Room 13 Walking Group Active Sports Lorna Young Monday 1.30 pm-2.00 pm S1 Sewing Club Mrs Burchell Room 30 Tuesday 12.20 pm-1.10 pm S1-S3 Room 161 Ms Marr & Mr MacLeod Ms Marr & Mr MacLeod Room 161 Room 30 S3 Wednesday 12.20 pm-1.10 pm Mrs Burchell Tuesday 12.20 pm-1.10 pm S1-S2 Modern Studies Drop In BGE Modern Studies Drop In SP Dynamic Youth Award Room 13 Mr Ross Thursday 12.40 pm-1.10 pm New Voices S1-S3 Due to COVID-19 restirctions, many clubs are not currently running. This will be reviewed once the guidance is updated. Monday 12.45 pm –1.10pm S1-S3 Monday 1.30 pm–2.00 pm S1-S6 Tuesday 1.20 pm-2.00 pm S4-S6 ## High Expectations Of All Our Young People Behaviour Verbal warnings for persistent misbehaviour Withdrawal of privileges Referral to the senior leadership team Detention Parents/carers asked to discuss behaviour and agree future conditions Seclusion Exclusion from school Restrictions on use of school facilities at certain times Students are expected to follow the agreed code of conduct..Generally,pupilsare made aware that they are responsible for their own actions, and that breaking rules will lead to sanctions including: 1) 2) 3) 4) 5) 6) 7) 8) ## Any Incidents Involving Violence, Dangerous Weapons, Drugs Or Alcohol Are Reported Immediately To Moray Hq, And The Police May Also Be Involved. High Expectations Of All Our Young People Principal Teachers Class Teacher Pupils High Expectations Of All Our Young People "Every child has the right to an education that develops their personality, talent and abilities to the full." At Milne's High School, we believe that homework is an essential part of providing education that will meet the rights of all our children'. Article 29- the goals of education Study Out of Hours/FocussedTutorials Homework can be undertaken in the ICT Suites or by agreement with teachers in a classroom. This gives pupils the chance to complete their studying and homework in a suitable environment with Information Technology to hand. There is also the opportunity for pupils to attend lunchtime and after school tutorials in a wide variety of subjects, offered voluntarily by staff. Milne's Learning Centre The Milne's Learning Centre is available to all pupils to assist in their formal learning providing a rich source of materials. Individual study space is provided particularly for seniors. After consultation with the Library Resource Centre Coordinator, computers and internet access can be provided. Other facilities including games are available for pupil use at lunchtimes. Various clubs operate in the Milne's Learning Centre at lunchtimes which all pupils can join including a 'Homework only' session. Essential Equipment We expect that pupils will come to school equipped to take part in all lessons. The following should be brought every day: Schoolbag Pencils, pens, rubber, sharpener and ruler Books and jotters for timetabled classes Equipment for PE, Home Economics etc Calculator School Dress At Milne's High School, we encourage pupils to wear appropriate school wear and are delighted that our young people, supported by their parents, choose to do so on a daily basis. The following is the acceptable dress code for Milne's High School: - Black Footwear - Black trousers or skirt (no jeans or leggings) - Black V-neck jumper - White shirt or blouse - School tie - • S1/2/3 Black hoodie with school badge (Optional) S4/5/6 Blazer with school badge (Optional) - S6 Prefects - Blazer NB No article of clothing should feature any logos (apart from school logos). All articles of clothing Should be functional i.e. they should be of the type that is acceptable in all areas of the school in terms of safety, hygiene and, in particular, modesty. Please note school shirts, trousers, skirts, jumpers, cardigans, hoodies, blazers and school ties can be purchased from Price and Buckland. Please visit their website www.pbuniform-online.co.uk/milneshigh Some households may be entitled to clothing grants. Please refer to Appendix A for access to information and application forms. We also have a small stock for pupils who find themselves without uniform on a temporary basis. Merit System and Recognising Achievement The merit system aims to promote responsible behaviour, celebrate success and create a culture of achievement for all students. Underpinning the system are the four capacities of "A Curriculum for Excellence" -Successful Learners, Confident Individuals, Responsible Citizens and Effective Contributors. We want all our students to be successful and confident learners and believe they can be. Merits are awarded from teachers for work, behaviour or attitude they believe demonstrates improvement under one or more of the four capacities. Merits are recorded on the school system. We record the merits for pupils who are then awarded certificates (Bronze, Silver and Gold) as they progress. Every pupil's merit total contributes to the Inter House competition; at the end of the year the merits are converted into points which are added to the House totals alongside other points for recognition such as Sports Day. The House with most points is then recognised. Maximising Potential: Pupil Progress Reports on pupil progress and opportunities to meet with teaching staff are an important link in communication between home and school. Parents are invited at any time to contact the Principal Teacher of Guidance, House Head or Head Teacher should they wish further information on the progress of their son or daughter. Similarly, the school may find it necessary to contact parents/carers regarding pupil progress outwith formal reporting times.This session,interim reports were issued for all stages of the broad general education and provided basic information on behaviour, effort and homework with the option of attending two parents evenings from S1-3. Formal reports are issued annually and will provide information on progress, achievement, behaviour, homework as well as suggestions on 'next steps' for further improvement. The school encourages feedback from home on the content of the reports and how we can work together to assist pupils in meeting their 'next steps'. In addition to the reports, all departments negotiate targets with senior pupils to ensure they reach their potential and "aim high". These targets are revisited monthly during the session to assess progress being made towards working grades.Reports are currently being changed in line with the expectations of the Curriculum for Excellence. Parents will be kept up-to-date on developments. Arrangements for Profiling Profiling is a process which is intended to support pupils in their continuing development of skills, knowledge and understanding. The process involves engaging in learning conversations with teachers, reflecting on and evaluating students achievements. This might be after a key assignment or at the end of a unit and often focuses on how effective they have been using a wide range of skills. This is followed by pupils determining their next steps by identifying what they need to develop and make further progress. An action plan identifies how they will achieve this. Pupils then have an opportunity to update their profile,upating their targets,working achievements and linking these to the Moray Skills Framework. We would also expect pupils to access their profile at home to update their targets and achievements and upload evidence. Assessment During the Broad General Education phase (S1-3), most assessment is on a continuous basis in which all of the work produced in class, as homework or for special projects contributes to the overall assessment. This system has the advantage that it prevents pupils being pressurised to perform 'on the day', but does mean that students must work hard throughout the year to obtain good grades and reach their potential. All pupils will detail their successes in their 'online Profile' which will outline their targets, attainment, achievements and include reflective comments on how they can improve on their learning. SQA Qualifications: Senior Phase (S4-S6) Qualifications range from: National 1-5 Higher Advanced Higher How will these qualifications be assessed? Teachers will assess the courses and units at National 1 to National 4. SQA will verify the assessments to make sure they meet National standards. Courses at National 5, Higher and Advanced Higher levels may still include work that is assessed by teachers but pupils will also have to pass a course assessment for those qualifications - usually a question paper and/or coursework. This will be marked externally by the SQA. Assessment methods - such as assignments, case studies and question papers - will be appropriate to the subject and level pupils are studying. Courses at National 1-4 contain unit assessment which is marked throughout the year. These units are assessed as pass or fail. Courses at National 5, Higher and Advanced Higher will be graded A to D or 'No Award'. Pupil Participation and Responsibility We encourage all pupils to take responsibility for their own learning. Different ways we can support this are detailed in several sections of this prospectus. We also believe that pupils play an important leadership role in their participation of decision making within the school. This allows our students to develop as responsible citizens, effective contributors and confident individuals, while ensuring that we actively seek and value their opinions and contributions. ## Student Voice Forum Our Student Voice is made up of S1-6 Ambassasors who lead consultations with their peers through wellbeing and attainment classes. Previously our Student Voice Forum has had an input into our new Positive Relationships and Managing Behaviour Strategy and refreshed Homework Policy. They also assisted in scripting a wellbeing information performance which is now used in other Moray schools. Last session they created a whole school definition of bullying, created designs for the revamp of four toilet blocks and gave feedback on uniform which led to subsequent changes. ## Senior Students Senior students are given opportunities to assume significant leadership roles and responsibilities in terms of organising events in the school. There are also important S6 positions of responsibility which they can apply for such as Head Prefect, Depute Head Prefect, House Captains and Vice House Captains. S5 and 6 students can apply to become prefects. S6 students participate in supporting learning via paired reading or as peer supporters in classrooms. Many S6 students will chair and coordinate the running of various committees in the school. ## In Partnership With Parents We believe that an effective partnership between home and school is a very powerful support for our young people and their learning. Some of the ways in which parents can be involved have been set out elsewhere in this prospectus. There are, however, several ways in which parents are linked with the school in a more direct way and it is to be hoped that these links continue to develop over the coming years through our very supportive Parent Council. ## Parent Council Names Chairperson Nick Chambers Treasurer Linda Duncan Members Louise Powley Jill Armitt Angela McTurk Pleuni Nizet Also in attendance Patricia Cameron- Head Teacher Head Prefect You can email the parent council at mhsparentcouncil@gmail.com Our facebook page can be accessed on: www.facebook.com/mhsparentcouncil Parent Helpers The school invites all parents to make known to us any special interests or talents that may be used from time to time. We welcome the assistance of parents in appropriate ways and are grateful to those who already assist in a variety of ways in enriching school life. A PVG check (ProtectingVulnerable Groups) is required for all parents involved in working with young people. Unaccompanied Out of School Activities From time to time, pupils will be involved in learning experiences which will take them out of the school buildings. In such circumstances they will not always be under the direct supervision of teaching staff. Parents/Carers will be asked to give consent for such activities. Attendance and Absence All parents/carers have a legal responsibility for their son or daughter's education. Section 30 of The Education (Scotland) Act 1980 requires parents to ensure that their children attend school regularly. Regulation 7 of The Education (School and Placing Information)(Scotland) Amendment etc Regulations 1993 requires each child's absence from school to be recorded in the school register as authorised (e.g. approved by the local authority) or unauthorised (e.g. unexplained by the parent/carer (truancy) or excluded from school). Please note that it is not a legal right in Scotland for parents/carers to allow pupils to take time off school for holidays during term. The school has the ability to send text messages to advise parents/carers that their son/daughter is absent from school. Parents/carers are requested by the message to contact the school. Any absence notes, sickness notes or prearranged appointments should be handed into the school office, clearly marked with pupil's name and year/ house group School Telephone Information Line Instructions for Use 1. Dial 0870 054 9999 (Calls to this number will be charged at 2p per minute service charge plus your call provider's access charge) 2. Milne's High School's PIN Number 031060 3.You will get a confirmation message: "Selected Milne's High School" You will then enter a menu system: Press 1to hear severe weather information Press 2to leave a non-urgent message Press 3to hear general school information Press 4to enter a different school PIN number Press # to end call Further advice is issued in a separate letter to parents available from the school office. Safety and Security - Guidelines All clothes and possessions should carry name tags. Expensive or valuable items should be left at home. Money should not be left in coats or bags. As little money as possible should be brought into school. Sums of money being brought as payment for items connected with school can be brought in as a cheque made payable to Milne's High School or paid online via iPayImpact (Moray council school payment) Pupils are expected to follow all instructions given by staff in the event of an emergency evacuation of the building. A practice evacuation is carried out each term.Pupils must not leave the school premises without the permission of a teacher during the school day. The only exception is at lunchtime. In the event of a known appointment e.g. medical or dental, pupils are asked to bring a parental/carer note advising of the details. This should be handed in to the office for processing. Pupils should not behave in any way which might put themselves or others at risk.We regularly remind students to be safe and responsible online. Students should ensure that they do not use any device to threaten, harass, embarrass or redistribute materials involving other students. This can result not only in sanctions in school or action by the police but can also potentially affect future employment prospects due to the ever evolving importance of a "digital footprint" Mobiles With the increasing numbers of students owning a mobile phone and the ever-developing range of functions available, the undernoted guidance on appropriate use by pupils of mobile phones in school should be applied. - Children are permitted to take mobile phones to school. It is recognised that parents/pupils will have legitimate needs with regard to contact via telephone. However, any alteration to normal childcare arrangements at the end of a school day must continue to be communicated by parents directly to the school and not directly to the pupil. - In order to minimise disruption and safeguard the teaching and learning process, all mobile phones must be switched off during class time, unless authorised by the Class Teacher. - Mobile phones may be used during interval and lunch time, but not wilst walking around in the corridors - The taking of photographs and/or video footage is strictly forbidden unless the prior agreement of the subject has been obtained. Any unauthorised images shall be required to be removed by parents of the pupil owning the phone. - No pupil is permitted to take a mobile phone into any SQA examination. Even if the telephone is switched off, the pupil will be automatically disqualified from the examination. - The responsibility for the security of the telephone and appropriate insurance cover will rest with the parent and/or pupil. It is important for parents/carers, children and young people to appreciate that the misuse of mobile phones is in fact a breach of school discipline.Should pupils not comply with these instructions,staff may confiscate mobile phones until the end of the school day, when they will be returned. However, repeated noncompliance with the policy may result in the withdrawal of permission to take a mobile phone to school. In these circumstances, information will be confirmed in writing to the parents and will be time limited in the first instance. Child Protection At present the Child Protection Co-ordinator for Milne's High School is Mr Macleod. The Moray Council is guided by the North East of Scotland Child Protection Committee in Child Protection matters. See Moray Council Appendix A for further information. Lockers Lockers are provided for a small charge to allow pupils to have a suitable storage space for personal possessions. In order to fund the further purchase of lockers and to maintain the existing ones in good order, an annual fee payable at the start of the school session inAugust/September is charged. This will be £5 for the coming session. Higher Education Pupils applying to College/University should apply to the Student Award Agency for Scotland for information on funding. ## Education Maintenance Allowance (Ema) Students who are planning to stay on at school after 16 years of age and who are willing to participate in an approved learning agreement at school for a minimum of 21 guided learning hours per week may be eligible for an EMA. An EMA consists of a weekly allowance during term time. Please refer to Appendix A for information and application form. ICT Guidelines Moray Council Guidelines for Pupil Use of Internet and E-mail Pupils are responsible for good behaviour on the Internet just as they are in a classroom or a school corridor. General school rules apply. Moray school networks are provided for pupils to do school-related work including research and communication with others. For Internet access parents' permission is required. During school, teachers will guide pupils toward appropriate materials. However, not all Internet access is supervised and accordingly there is the need for an element for personal responsibility. Individual users of the Internet are responsible for their behaviour and communications over the network. E-mail use will only be permitted during designated times, or at the specific request of the class teacher. It is presumed that users will comply with school standards and will honour the agreements they have signed. Designated members of staff may on occasion access student files, where circumstances suggest that files may contain inappropriate content, in order to fulfil the school's duty of care. When students are using ICT equipment and services at school, the following are not permitted when using the Internet or email: 1. Searching, sending or displaying offensive messages, images or videos 2. Searching for inappropriate images or content 3. Sending messages likely to cause offence or using obscene, foul, racist or sexist language 4. Harassing, intimidating, bullying, insulting or attacking others 5. Sending unsolicited, spam or nuisance emails 6. Damaging computers, computer systems or computer networks 7.Violating copyright laws 8. Copying content found online without crediting the source 9. Using others' passwords 10.Trespassing in others' folders, work or files 11. Intentionally wasting limited resources 12. Downloading or uploading non approved software, games or screensavers 13. Trying to find ways to bypass the Council's security systems, virus protection systems and filtering tools 14. Posting information that identifies a person 15.Agreeing to meet in real life an unknown person who was met online Please note: 1.Additional disciplinary action may be added in line with existing practice on inappropriate language or behaviour 2.When applicable, police or local authorities may be involved 3.Violations of the above rules will result in a temporary or permanent ban on Internet/email use Moray school networks are provided for pupils to do school-related work, including research and communication with others. For Internet access, parental permission is required. Education, Communities and Organisational Development Education, Communities and Organisational Development is a single, integrated department which brings together Education; Social Work support for Children and Families; Community Care services for adults; and Lifelong Learning, Culture and Sports.Our vision:-To provide a creative and ambitious learning environment where efveryone is the best they can be. Our aims: •Ensuring people's outcomes remain at the heart of what we do •Ensuring effective partnership working •Supporting, enabling and encouraging people, their families and local communities to achieve what is important to them •Actively promoting early intervention •Delivering accessible, consistent, equitable and high quality services •Using our resources effectively and targeting our capacity appropriately and efficiently •Engaging and involving through effective communication with everyone we work with •Promoting equality •Sharing and using our information openly and fully •Creating a culture of self evaluation and continuous improvement School Cafeteria We are fortunate to have very good catering facilities in school. The cafeteria serves full meals at lunchtimes along with a wide range of snacks. At intervals, the cafeteria is also open for business and sells a wide range of items, many of which are freshly made. Healthy options are available at all times. Prices are competitive and represent very good value. It is ample testimony to the quality of the catering that the cafeteria is a very popular area at intervals and lunchtimes. For further information on catering in the school please contact Mrs Stewart. The cafeteria operates on a 'cashless catering' system. This means that pupils pay for their food by use of a National Entitlement Card. Parents can put money on to pupils accounts by logging into the school payments page on the Moray Council website (iPay).Pupils put money on their card by using any of the three machines located within the canteen area or by cheque made payable to Moray Council and handed to Mrs Stewart, Catering Supervisor. On enrolment, pupils will be issued with a pin number until their personal card (with photograph) has been processed. If you think your household income may mean your child is eligible for free school lunches, please refer to Appendix A to access information and a claim form from Moray Council. Transport Any child living more than two miles from the school is entitled to transport if the family live in the school's catchment area. Children living out with the zone are not entitled to transport. T o claim entitlement, please refer to Appendix A for information on how to request an application. Only students entitled to transport can travel on their allocated school buses.The school has no authority to allow priviledge transportation. Adverse Weather Conditions (bus pupils) During inclement weather it may be advisable to send pupils home early (particularly those who travel by bus). In such circumstances,the school will endeavour to contact parents/carers who live a distance from the school and whose children may be at risk. Parents/carers of bus pupils are asked to inform the school of any changes to emergency contacts. In cases where road conditions are bad in the morning, parents/carers who live a distance from the school are advised to use their discretion in keeping their son or daughter at home. In all that we do in this matter, we will err on the side of caution to ensure safety for pupils and staff. Additional School Activities Bus Travel Although the school subsidises transport for many activities throughout the year, a contribution will be required where there are travel costs to events/activities. In the case of sports teams representing the school, a token sum is asked for. In the case of an 'optional extra' such as a theatre trip, the proportion of subsidy will be less. It is important to say, however, that in cases where the costs of transport would prevent a pupil from taking part, an appropriate arrangement may be made. All of this is done in order to support additional school activities. Please note if a pupil's current or recent behaviour pattern is poor, the school reserves the right to refuse any pupil a place on a such trips. Practical Subject Costs As a result of the work undertaken in pupils take a finished product home in Home Economics and Art. The materials required for these subjects are purchased centrally by the departments in the interests of both economy and efficiency. Costs for these subjects are higher than other school subjects and it is for this reason that each pupil is asked to pay a contribution towards the course. Costs for session (2020-21) are as follows: Art and Design 3rd Year £4.00 Senior Phase Nat 4/5 Higher £15.00 Adv Higher Home Economics - All ingredients are provided. S3 Hospitality S3 Wider Achivement Bakery N4/5 Hospitality Practical Cookery NPA Bakery Pupils are asked to bring a suitable container for taking food home. Ice packs are recommended for the transportation of food to ensure food remains below 5˚C. It is recommended that prepared dishes are reheated to 82˚C before consumption. Aprons will be provided. Pupils are expected to remove nail varnish and jewellery before cooking. Long hair should be tied back. Physics Nat 4 Practical Electronics Nat 5 Practical Electronics In the interests of safety and cleanliness, protective clothing is provided, but pupils are expected to wear sensible clothing and shoes. Instrumental Instruction Parents of pupils wishing to be considered for musical tuition for the first time should contact Mr R Ross. Please refer to Appendix A for further information.In addition, at Milne's High School, guitar tuition is available for pupils in S1-S6 which is a private scheme. At present this is £6.00 per lesson. £8.00 £10.00 £30.00 £25.00 £50.00 £50.00 £10.00 per course £15.00 per course Notes for Parents/Carers The Moray Council has produced a 'Notes for Parents and Carers' booklet which is designed to provide basic information about the education system in Moray and also to detail specific areas of government legislation which may relate to your child's experience at school. This booklet is available from the school, from Education, Communities & Organisational Development , or the Moray Council website at: http://www.moray.gov.uk/moray_standard/page_47236.html This booklet is also available in other languages. ## Medicines In School In line with policy and agreed by the Senior Clinical Medical Officer, schools will only administer medicines with written approval of a medical practitioner. Painkillers such as aspirin and paracetamol fall into this category, and will therefore not be administered on pupil request. Should your child need to have medicines administered in school, then a form can be collected at the school office. Medicines are stored in a locked cabinet and administered as per the medical practitioners' directions or from the completed medical form. A copy of the "Supporting Pupils with Medical Needs in Schools including The Administration of Medicines" guidance document is available at the school. ## Data Protection Act Information on pupils and parents/carers is stored securely on A computer system.The information gathered is subject to the Terms of the Data Protection Act 2018. The information may be used for teaching, registration, assessment and other administrative duties. The information is shared with Moray Council for administrative and statistical purposes. Extracts of the information are shared with a range of partners such as Skills Development Scotland, the Scottish Qualifications Authority, and the NHS (for the dental and child health immunisation programmes). Information is also shared with The Scottish Government for statistical and research purposes, although individual children are not identified.The Data Protection Act ensures that information is collected fairly and lawfully, is accurate, adequate, up to date, not held for longer than necessary, and may only be disclosed in accordance with the Codes of Practice. More information is available on the Moray Council Internet site at: http://www.moray.gov.uk/moray_standard/page_75569. html Please note that the school is restricted by local and national authorities and legislation regarding sharing information.We will not discuss indivudual members of staff or another child with parents. ## Privacy Statement Milne's High School has a legal responsibility to deliver an effective educational programme to its pupils. In order to do this, we need to collect personal data about our pupils/children and their families so that we can help them learn, and keep them safe.The type of personal data we will collect include:- ## Data About Our Pupils/Children And Their Families This will include the name, address and contact details of the pupil/child and relevant family members. It will also include information about relevant medical conditions,any additional supports which are needed, and their family situation. We need this information to ensure we know our pupils/children and their families, and to ensure we are able to educate them appropriately, and keep them safe We will also collect personal data relating to personal characteristics, such as ethnic group to enable statistics to be reported.We need this information so the Council can ensure it is delivering education appropriately to all its citizens ## Data About Pupils/Children At School/Within Elc Setting This will include data about progress, assessments, and exam results. It will also include records of attendance, absence, and any exclusions.We need this information to understand how our pupils/children are progressing, and to assess how we can help them to achieve their best ## Data About When And Where They Go After They Leave Us This will include information about their next setting/school,career paths or intended destinations.We need this information to ensure we support our pupils/children in all their transitions and do all that we can to help their future be a success There will be times where we also receive information about them from other organisations, such as a pupil's previous school, the previous local authority where that school or ELC setting was based, NHS Grampian, Police Scotland, Social Work, Additional Support Services, and sometimes other organisations or groups connected to a pupil's education.We use this data similarly to the above: to support our pupils' learning, monitor and report on their progress, provide appropriate pastoral care; and assess the quality of our services. When we collect and use personal data within school/ELC setting, and for the reasons detailed above, we will normally be acting in accordance with our public task.Occasionally we are also required to process personal data because the law requires us to do so, or because it is necessary to protect someone's life. We will also take photographs in school/ELC setting and display them on our walls, and in newsletters and other communications. We do this in order to celebrate and share what we have done, including individual achievements and successes.We consider this use of images to be part of our public task as it helps us build an effective community which supports learning.We will not, however, publish these photographs on social media or in newspapers without permission. Consent for this use will be sought when a pupil/child joins Milne's High School and will be kept on record while they are with us. Consent can be withdrawn at any time, please just let us know. Sometimes we need to share pupil information with other organisations.We are required, by law, to pass certain information about our pupils to the Scottish Government and the Council.This data is for statistical purposes, and will normally be anonymised. It is normally required to enable the Council, and the Government, to understand how education is being delivered and to help them plan for future provision. If a pupil/child moves schools/ELC settings, we have a legal obligation to pass on information to their new school/education authority about their education at Milne's High School When we record and use personal data, we will only collect and use what we need. We will keep it securely, and it will only be accessed by those that need to. We will not keep personal data for longer than is necessary and follow the Council's Record Retention Schedule and archival procedures when records are identified to be of historical value and require to be retained in the Moray Council Archives. For moreinformation on how the Council uses personal data, and to know more about your information rights including who to contact if you have a concern, see the Moray Council's Information Management webpages. ## Sharing Personal Data To Support Wellbeing In addition to the above, Milne's High School has a legal duty to promote, support and safeguard the wellbeing of children in our care.Wellbeing concerns can cover a range of issues depending on the needs of the child. Staff are trained to identify when children and families can be supported and records are kept when it is thought that a child could benefit from help available in the school/ELC setting, community or another professional.You can expect that we will tell you if we are concerned about your child's wellbeing, and talk to you about what supports might help in the circumstances. Supports are optional and you will not be required to take them up. If it would be helpful to share information with someone else, we will discuss this with you and seek your consent before we share it so that you know what is happening and why.The only time we will not seek consent to share information with another organisation is if we believe that a child may be at risk of harm. In these situations, we have a duty to protect children, which means we do not need consent. On these occasions, we will normally tell you that information is being shared, with whom, and why - unless we believe that doing so may put the child at risk of harm. We will not give information about our pupils to anyone without your consent unless the law and our policies allow us to do so. ## Milne'S High School Attainment S4 % 2014 2015 90 60 86 57 35 28 38 40 38 1+ National 5 3+ National 5 5+ National 5 6 National 5 S5 % 2014 2015 49 35 47 38 1+ Higher 3+ Highers 5+ Highers 14 13 8 15 13 20 18 S6 % 2014 2015 56 36 28 22 57 43 34 27 1+ Higher 3+ Highers 5+ Highers 1+ Advanced Higher \| 2016 \| 2017 \| 2018 \| 2019 \| 2020 \| \|---------\|---------\|---------\|---------\|---------\| \| 86 \| \| \| \| \| \| 57 \| \| \| \| \| \| 81 \| \| \| \| \| \| 55 \| \| \| \| \| \| 80 \| \| \| \| \| \| 55 \| \| \| \| \| \| 75 \| \| \| \| \| \| 63 \| \| \| \| \| \| 32 \| \| \| \| \| \| 19 \| \| \| \| \| \| 95 \| \| \| \| \| \| 82 \| \| \| \| \| \| 64 \| \| \| \| \| \| 44 \| \| \| \| \| \| 2016 \| 2017 \| 2018 \| 2019 \| 2020 \| \| 52 \| \| \| \| \| \| 27 \| \| \| \| \| \| 44 \| \| \| \| \| \| 30 \| \| \| \| \| \| 48 \| \| \| \| \| \| 36 \| \| \| \| \| \| 49 \| \| \| \| \| \| 36 \| \| \| \| \| \| 61 \| \| \| \| \| \| 41 \| \| \| \| \| \| 2016 \| 2017 \| 2018 \| 2019 \| 2020 \| \| 51 \| \| \| \| \| \| 41 \| \| \| \| \| \| 32 \| \| \| \| \| \| 18 \| \| \| \| \| \| 53 \| \| \| \| \| \| 36 \| \| \| \| \| \| 22 \| \| \| \| \| \| 12 \| \| \| \| \| \| 52 \| \| \| \| \| \| 36 \| \| \| \| \| \| 28 \| \| \| \| \| \| 23 \| \| \| \| \| \| 51 \| \| \| \| \| \| 43 \| \| \| \| \| \| 30 \| \| \| \| \| \| 13 \| \| \| \| \| \| 51 \| \| \| \| \| \| 43 \| \| \| \| \| \| 34 \| \| \| \| \| \| 14 \| \| \| \| \| ## Moray Council Education, Communities & Organisational Development Address: Council Office, High Street, Elgin IV30 1BX Telephone: 01343 563374 Email: education@moray.gov.uk ## Moray Council A-Z Active Schools Telephone: 01343 563890 Email: Website: Active.schools@moray.gov.uk www.moray.gov.uk/moray_standard/page_52055.html Additional Support for Learning Telephone: 01343 563374 Email: education@moray.gov.uk www.moray.gov.uk/moray_standard/page_42567.html Website: Adverse Telephone: 0870 054 9999 (school information line) Weather Procedures Calls to this number will be charged at a 2p per minute service charge plus your call providers access charge Local school or 01343 563374 Email: Website: Local school or education@moray.gov.uk http://schoolclosures.moray.gov.uk/ www.moray.gov.uk/moray_standard/page_53021.html After School Clubs Telephone: 01343 563374 Email: Childcare.info@moray.gov.uk www.moray.gov.uk/moray_services/page_44889.html Website: Armed Forces Telephone: 01980 618244 (Children's Education Advisory Service) Families Email: enquiries@ceas.uk.com (Children's Education Advisory Service) www.moray.gov.uk/moray_standard/page_100164.html Information Attendance and Absence Website: Telephone: 01343 563374 Email: Website: education@moray.gov.uk www.moray.gov.uk/moray_standard/page_55580.html Bullying Telephone: 01343 563374 Email: Website: education@moray.gov.uk www.moray.gov.uk/moray_standard/page_52988.html Childcare Telephone: 01343 563374 Email: Website: Childcare.info@moray.gov.uk www.scottishfamilies.gov.uk/ Children and Telephone: 01343 554370 or out of hours emergency 03457 565656 Families Social Email: childrensaccessteam@moray.gov.uk www.moray.gov.uk/moray_standard/page_47606.html Website: Telephone: 01343 554370 or out of hours emergency 03457 565656 or Work Child Protection 101 (Police Scotland) Email: childrensaccessteam@moray.gov.uk Website: www.moray.gov.uk/moray_standard/page_55497.html Clothing Grants Telephone: 01343 563456 Email: revenues@moray.gov.uk Website: www.moray.gov.uk/moray_standard/page_55486.html Hours: 8.45am - 5.00pm Monday to Friday Website: www.moray.gov.uk Updated 15/10/2019 Moray Council A-Z Data Protection Telephone: 01343 563374 Email: Website: education@moray.gov.uk www.moray.gov.uk/moray_standard/page_75569.html Telephone: 01343 563374 Deferred Entry to Primary School Email: education@moray.gov.uk www.moray.gov.uk/moray_standard/page_52991.html Website: Disability Telephone: 01343 563374 Discrimination Email: Website: education@moray.gov.uk www.moray.gov.uk/moray_standard/page_43019.html Early Entry to Telephone: 01343 563374 Primary School Email: Website: education@moray.gov.uk www.moray.gov.uk/moray_standard/page_56925.html Early Learning & Telephone: 01343 563374 Childcare Email: education@moray.gov.uk www.moray.gov.uk/moray_standard/page_42682.html Website: Telephone: 01343 563338 EMAMoray@moray.gov.uk www.moray.gov.uk/moray_standard/page_40540.html Email: Website: Telephone: 01343 563374 (pre-school) Education Maintenance Allowance Exclusion from School Email: Website: education@moray.gov.uk www.moray.gov.uk/moray_standard/page_53001.html Telephone: 01343 563456 Free School Meals Email: revenues@moray.gov.uk www.moray.gov.uk/moray_standard/page_55486.html Website: Telephone: 01343 563374 Grants and Bursaries Email: education@moray.gov.uk www.moray.gov.uk/moray_standard/page_43903.html Website: Home Education Telephone: 01343 563374 Email: Website: education@moray.gov.uk www.moray.gov.uk/moray_standard/page_53000.html Telephone: 01343 563374 Instrumental Instruction Email: education@moray.gov.uk www.moray.gov.uk/moray_standard/page_53005.html Website: Placing Telephone: 01343 563374 Requests Email: Website: education@moray.gov.uk www.moray.gov.uk/moray_standard/page_49601.html Racial Equality Telephone: 01343 563374 Email: Website: education@moray.gov.uk http://www.moray.gov.uk/moray_standard/page_43019.html Telephone: 01343 557086 School Meals Email: Website: schoolmeals@moray.gov.uk www.moray.gov.uk/moray_standard/page_55540.html Telephone: 01343 563374 School Term and Holiday Dates Email: education@moray.gov.uk www.moray.gov.uk/moray_standard/page_55829.html Website: Telephone: 0300 123 4565 Transport (For Pupils) Email: transport@moray.gov.uk Website: www.moray.gov.uk/moray_standard/page_1680.html ## Covid-19 Impact On Schools If you have concerns about sending your child to school during Covid-19 you should refer to the National Parent Forum of Scotland back to school guidance which has helpful advice. To find out more information about Covid-19 from a health perspective you will find more information from the NHS. All Moray schools have restrictions in place which have been risk assessed. There are enhanced health and safety protocols, limited visitors and enhanced cleaning regimes. All measures have been put in place in order to reduce the risk of outbreak and transmission in schools. Copies of the following guides are available to support you and your children/young people at this time and may answer questions you may have. · Parent/carer guide · Learner guide · Learner top tips	en
0196-pdf	## Orr'S Rail Freight Customer Event October 2014 ## Summary This note sets out the main themes and issues arising from the ORR rail freight customer event on 9 October 2014. ## Background In support of our strategic objective to improve the services received by rail freight customers we held a rail freight customer event on Thursday 9th October 2014. The event was an opportunity for attendees to learn more about ORR's role; to express their views on what ORR's priorities should be in the next five years and to discuss how best the ORR can engage directly with freight customers in the future. ORR's chair, Anna Walker, gave some opening remarks on the importance of on-going engagement with freight customers and the lessons learnt from previous control periods, particularly in relation to charging structures in CP5. John Larkinson, director of economic regulation, gave an overview of the work that the office does and introduced ORR's potential new role on the strategic roads network. John and Anna were joined on the panel by our two guest speakers, Maggie Simpson, from the Rail Freight Group (RFG) and Chris MacRae, from the Freight Trade Association (FTA). Chris MacRae outlined the role of the FTA and some of the priorities its members have identified as crucial to the continuing growth of the domestic inter modal freight services. Maggie Simpson then went on to speak about the importance of strong rail regulation. She highlighted the importance of engagement between the rail regulator and freight customers - not only to ensure that ORR policy was informed by freight customer needs and commercial context but also so that freight customers had a clear understanding of the ORR's role and powers. The question and answer session, which followed the presentations, was focused around three core questions:  How engaged are you currently with other rail industry players?  What would you like to see from the regulator? What are the key things you think we should be aware of?  How do you want to engage with us in the future? ## Themes And Issues Raised Engagement with others in the industry  Freight customers were broadly content with current engagement with the industry but expressed a need for engagement with the Rail Delivery Group given the role it plays in shaping the future of the railways and the service it offers.  Freight customers said that there has been a step change in engagement with the freight team within Network Rail but they would like to have better engagement at route level.  Concern also at the problems in gaining traction for small scale investments which could bring major benefits to freight. Issues that the regulator should be aware of  There was a call for longer term commitment and protection of investment in rail and questions were raised over the length of ORR's control periods.  Having access to a 7 day service is important to freight customers.  There have been lessons learnt from CP5 as some confidence was lost here.  There were not only financial consequences but there were also issues in the way that charges were communicated to freight customers. This was a major cause for concern for freight customers and they wish to see greater and earlier engagement over CP6. Further engagement with the ORR:  ORR explained that 'freight customer' incorporated purchasers of rail freight services and their representative bodies but not the operators of the trains.  There was agreement in the room that more engagement between ORR and freight customers was welcome. Some wanted to see a package of engagement, including having both, regular and annual meetings. Broad agreement that this was to complement and not be substitute for direct engagement with the industry and that there would be circumstances in which the industry should also be present.  A freight customer landing page on the ORR website was seen as an essential and practical solution for communication.	en
3389-pdf	## Item 6 A Benefits Realisation Case Study Enterprise Solutions Project (Ca521) The Enterprise Solutions project was designed to support the radical reform of London's public services by supporting ground-breaking activities currently taking place in London's local authorities to develop public services run under innovative new social enterprise linked delivery models. The project was also designed to provide evidence led understanding for whether and how independent delivery models can deliver better public services, which could then be shared and embedded in future projects to improve public services. The project was led by Lambeth Council and involved partners from Richmond, Lewisham, and Ealing Councils, the latter being replaced by Kensington and Chelsea during the project. The RSA (and formerly Social Enterprise London) were the lead consultants in delivering the project. ## Reports And Findings There are four main reports produced as part of the Enterprise Solutions project. These look in detail at the learning to be drawn from the experiences of the four borough partners as they explored how some of their services might become independent social enterprises. One report compiles lessons learned in relation to barriers and solutions to mutualisation. A toolkit offers practical support for public service leaders considering the complex and highly demanding challenge of 'spinning out' of public ownership. Another report examines how commissioning might change to support public service mutuals in promoting social value, and the final report steps back, takes stock of where the mutualisation of public services has got to and looks forward. Barriers and solutions to public sector spin outs report looks at the range of challenges facing services considering spinning out and considers solutions. The results suggest that there are a number of key barriers that the four LAs encountered during the spin-out process. 1. The need to communicate effectively and ensure stakeholder buy-in, both internally (senior management, staff, elected members) and externally (service users, trade unions). 2. The capabilities of service staff and other relevant LA staff were found to be essential, both in planning the spinout and developing a robust business plan. There is also a need to identify what external expertise is required to deliver a successful spin-out. 3. The need to be fully aware of the local and national policy environments was also found to be important, both in securing buy-in and support at a local level and in being aware of the support that was available at a national level (i.e. Mutual Support Programme). The report also draws out the potential benefits of spinning out services which were clearly articulated by the participants, and which relate to independence, financial freedom, the ability to behave innovatively and to be responsive to service users. A practitioners' guide to spinning out from public ownership was developed to address the lack of easily accessible information for staff members, or guidance that honestly captures the frustrations, complications and excitement of the transition, that the boroughs who participated in the 'Enterprise Solutions' identified as being a gap. The guide was based on a co-design workshop which took place involving frontline professionals. The workshop attendees acknowledged that there is a growing literature of guides and toolkits already which contain comprehensive and detailed information on the technical aspects of spinning out, and there was no need to recreate another document that would do the same. Instead, they identified the need for a document that provides an honest and open account of the experience of exploring mutualisation, and the practitioners guide was developed to do so. New approaches to commissioning and public service mutuals: Lessons from cooperative councils considers where mutualised spin-outs might sit within new approaches to commissioning. As central government and local authorities are recognising that new and more strategic approaches to commissioning are vital for ensuring the long-term sustainability of public services and driving better outcomes for citizens, councils are exploring new ways of meeting the needs and aspirations of their residents, including a stronger role for new providers such as social enterprises and public service mutuals. As social value gains currency and cost-based and process-driven commissioning and procurement are increasingly challenged, many expected organisations such as public service mutuals to flourish, yet progress has been slow. This report looks at the experiences of three local authorities, including Lambeth, who are among a growing number of councils adopting a co-operative approach to local government. The report suggests how a clearer focus on social value during commissioning brings with it a clearer focus on where mutualisation could be strategically fruitful. Public service mutuals: Spinning out or standing still? produced by the University of Northampton and the Transition Institute, assesses how the evidence base and the policy arguments around mutualisation have evolved in recent years. The report starts by looking at the evolving policy environment within which public service mutuals have been conceived, reconsidered and encouraged, and finds strong continuities between the last Labour government and the Coalition. The report identifies ongoing concerns about successive governments' failure to ensure access to capital for the new organisations, it suggests that a maturing business support sector for mutuals gives grounds to believe that steady growth is nevertheless possible. The report goes on to look at how the evidence base around public service mutuals has evolved, particularly since the Coalition came to power, finding evidence for greater creativity and commitment in mutualised services, but also that the skills required for successful business planning may not be found in-house. The conclusion suggests that, just as the Enterprise Solutions project has itself seen, a range of solutions, including but not limited to mutualisation, so the future of spin-outs is likely to take a number of different forms. Employee-led mutuals may grow, but so too will collaborative models, joint ventures, asset transfers and in-house trading companies. Other project outputs and tools include an animation - Public service mutuals: The story of a spin-out - which gives a fictionalised account of what teams can expect if they decide to form an employee led mutual. The video is aimed at public service staff teams, for whom the idea of mutualisation can be alien and alarming, and is based on the real experiences of projects within the Enterprise Solutions project. ## Project Legacy The Enterprise Solutions project provided support to four London councils as they explored how they might establish some of their services as independent social businesses. LB Lewisham: Five libraries had already spun-out from the council when the project began. The unique model, which includes the development of community libraries and transferring the leases of the buildings to a social enterprise, was seen as being able to gives an insight into how councils can take an innovative approach to revitalising their services and delivering substantial efficiencies. Support was provided to a social enterprise assigned the lease of three of the buildings to help them develop a business plan. Lewisham were also actively involved, along with 2020PSH (RSA), in organising a roundtable event looking at the experiences of library services in trying new models of ownership and control - including mutualisation - to meet the challenges they face. The event was filmed and is available as a video. LB Lambeth: The Campaigns and Communications team, the focus of Lambeth's project, received support in the development of a business plan, and to meet their research requirements around TUPE implications and competing for contracts (which was written up as a project output). The team has now become a trading company owned by the council and has begun trading. It has a name, LamCo, and has clients. The plan, with the backing of the council, is to continue on the journey and become an independent organisation outside of the council in 2014. RB Kensington and Chelsea: RBKC joined the project in June 2012 when Ealing had to withdraw. Their youth service was already in the process of spinning-out from the council. The service received support in business planning and undertaking a skills audit. In addition a social value 'logic model' was developed for the youth service (which was written up as a project output) and staff training was provided on impact measurement and setting indicators. The youth service, now named EPIC, became an employee-led mutual in April 2013. LB Richmond: The purpose of Richmond's project was to identify whether a social enterprise spin out was possible within the adult social services department, specifically working with people with learning disabilities in the area of supported employment and training. Having explored spinning-out, senior management decided against doing so due to a lack of consensus on whether a spin-out was the best option for the service. There is evidence that the reports and other tools have been widely accessed. The animation, for example, has been viewed around 260 times and has been mentioned by colleagues in local government and policy circles. The report on the relationship between spin-outs and co-operative councils is to be uploaded on the website of the Co-operative Councils Innovation Network - a membership based council group with around 20 corporate members. The research presented in the 'Barriers and Solutions' report, undertaken by the University of Northampton, has been used as the basis of an academic article, currently with Policy and Politics journal for peer review, with publication likely in mid-2014. ## Full Copies Of The Reports And Further Information For full copies of all the reports that were products of the Enterprise Solutions Project and for further information, please see the following link: http://www.thersa.org/action-research-centre/community-and-public-services/2020-publicservices/past-projects/enterprise-solutions-public-service-mutuals ## Mark Picksley, Lambeth Council, December 2013	en
1996-pdf	# Criminal Court Statistics Quarterly, England And Wales January to March 2016 Ministry of Justice Statistics bulletin Published 30 June 2016 \| Contents \| \| \| 1 \| \|-------------------------------------------------------------------------------------------\|-----\|-----\|------\| \| \| \| \| \| \| Introduction \| \| \| 2 \| \| \| \| \| \| \| Changes and revisions in this publication \| \| \| 4 \| \| \| \| \| \| \| Key Findings \| \| \| 6 \| \| \| \| \| \| \| Criminal Courts \| \| \| 7 \| \| \| \| \| \| \| 1. \| \| \| \| \| Criminal cases in the magistrates' courts \| \| \| \| \| \| \| \| 7 \| \| \| \| \| \| \| 2. \| \| \| \| \| \| \| \| \| \| Criminal cases in the Crown Court \| \| \| \| \| \| \| \| 9 \| \| \| \| \| \| \| 3. \| \| \| \| \| \| \| \| \| \| Timeliness \| \| \| \| \| \| \| 16 \| \| \| Annex A: Enforcement of financial impositions \| \| \| \| \| \| \| \| \| \| 19 \| \| \| \| \| Annex B: Legal representation in the Crown Court (experimental statistics) 22 \| \| \| \| \| Annex C: Juror Statistics \| \| \| \| \| Annex D: Election of the defendant (experimental statistics) \| \| \| 23 \| \| Annex E: List of Accompanying Tables and CSV \| 24 \| \| \| \| \| \| \| \| \| Annex F: Explanatory notes \| \| 27 \| \| \| \| \| \| \| \| Previous editions \| \| 28 \| \| \| \| \| \| \| \| Contacts \| \| 28 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| ## Introduction The statistical bulletin This publication presents statistics relating to activity in criminal cases in magistrates' courts and the Crown Court in England and Wales. It provides provisional figures for the latest quarter (January to March 2016), and annual figures for 2015 with accompanying commentary and analysis. The figures themselves give a summary overview of the volume of cases dealt with by these courts over time. The statistics are used to monitor court workloads, to assist in the development of policy, and their subsequent monitoring and evaluation. Information on the enforcement of financial impositions can be found in Annex A. Figures on the criminal courts charge, which was introduced on 13 April 2015 and ceased on 24 December 2015, are separately identified within the publication. The annex provides updated management information on the collection of financial impositions through Her Majesty's Courts and Tribunals Service (HMCTS). Annex B presents experimental statistics on legal representation of defendants at the Crown Court. Management information on juror summons and the juror utilisation rate for 2015 can be found in Annex C. Experimental statistics splitting defendants dealt with in Crown Court trials by election type (direction of magistrates or by election by defendant) are available for the first time in Annex D. Criminal Courts; an overview Magistrates' courts Virtually all criminal court cases start in the magistrates' courts. The less serious offences are handled entirely in magistrates' courts, with over 90% of all cases being dealt with in this way. The more serious offences are passed on to the Crown Court, either for sentencing after the defendant has been found guilty in the magistrates' court, or for trial with a judge and jury. As part of wider measures in the justice system, committal hearings were abolished nationally1 at the end of May 2013. As a result of the change, triable-either-way cases can now be sent straight to the Crown Court as soon as it is clear the matter is serious enough, rather than having to await a committal hearing. ## The Crown Court The Crown Court Deals With Cases Received From The Magistrates' Courts For Sentencing, Trial Or Appeal Against Magistrates' Courts' Decision. Of those proceeded against in the magistrates' courts, 6% of defendants go on to the Crown Court for trial. Triable-either-way cases can be sent to the Crown Court for trial if the magistrates' courts decide the matter is serious enough or if a defendant elects to be tried by judge and jury. Indictable only cases can only be tried on indictment in the Crown Court as they cannot be heard summarily at the magistrates' courts. Committed for sentence cases are transferred to the Crown Court for sentencing only after a defendant has been convicted in a magistrates' court. This would occur where a magistrate believes that their sentencing powers are insufficient to apply an appropriate sanction to the defendant. In its appellate jurisdiction the Crown Court deals mainly with appeals against conviction and/or sentence in respect of criminal offences, including consequential orders, e.g. disqualification from driving, and against the making of certain standalone orders, e.g. Anti-Social Behaviour Orders. The Crown Court may dismiss or allow the appeal and vary all or any part of the sentence. Appeals are usually heard by a Circuit Judge sitting with no more than four lay magistrates (normally two). Average waiting time at the Crown Court 'Average waiting time' is the time between sending a case to the Crown Court and the start of the substantive hearing. Average hearing time at the Crown Court The 'average hearing time' relates to the average duration of all hearings heard in the Crown Court, including preliminary hearings, main hearings, and hearings where a sentence is given to a defendant. Data and court processes Information about the systems and data included in this publication can be found in the 'A guide to criminal court statistics' which is published alongside this report. It also includes a glossary which provides brief definitions for the terms used in this report. www.gov.uk/government/publications/a-guide-to-criminal-court-statistics ## Changes And Revisions In This Publication Revisions to Crown Court and representation tables Methodological improvements have been made to the collation process for these statistics, such as removing a small number of duplicate records. There have therefore been minor revisions to 2014 figures in the annual Crown Court tables AC2, AC6-AC8 and legal representation tables B1-B3, and to 2010 and 2011 figures in all Crown Court tables. Release of annual criminal court statistics quarterly tables Annual tables for magistrates' courts and the Crown Court, including tabulated breakdowns by region, have been published as typical for each year. Figures for 2015 have been revised accordingly across tables. See Annex E for a full list of tables released. Annual tables on legal representation in the Crown Court (Tables B1-B3) and juror statistics (Tables J1-J2) are also included, with commentary included in Annex B and Annex C for each respective area. First release of Crown Court receipts, disposals and outstanding tables by offence group (experimental statistics) The Crown Court table C1 is now available split by twelve offence groups (also used within the timeliness table T6). These cases have been categorised according to the latest Home Office offence classification. Separate tables C1a, C1b and C1c have been produced for receipts, disposals and outstanding cases, respectively, with commentary included in the 'Criminal cases in the Crown Court' section of this bulletin. The statistics are badged as "experimental statistics" and do not display the National Statistics logo, as data are still being evaluated and remain subject to further testing in terms of their reliability and ability to meet customer needs. First release of statistics on Crown Court trials by election type (experimental statistics) As part of the annual tables, the publication includes for the first time the number of defendants dealt with in triable-either-way trial cases at the Crown Court split by those who were sent on the direction of a magistrate and those where the defendant elected to be sent to the Crown Court. The statistics are badged as "experimental statistics" and do not display the National Statistics logo, as data are still being evaluated and remain subject to further testing in terms of their reliability and ability to meet customer needs. The statistics can be found in Table D1, and commentary included in Annex D. Transparency and timeliness files Due to some LCJB, LJA and court names changing over time, some local areas have been adjusted to reflect the most recent name change. This enables consistency over quarters and easier comparison between LCJB, LJA or court across time. Future changes to timeliness methodology Following a consultation in early 2015, a proposal was agreed to make changes to the timeliness methodology within this publication, for example removing the ten year threshold from the validation scripts applied to published estimates. We previously announced our intention to implement the changes for the start of 2016/17 reporting period. As such, the changes are planned to be implemented in the next publication in this series, scheduled for release on 29 September 2016 covering the period April to June 2016. ## Key Findings This report presents statistics relating to activity in criminal cases in the magistrates' courts and the Crown Court in England and Wales in the first quarter of 2016 (January to March).  The decrease in receipts and increase in disposals in magistrates' courts in the latest quarter resulted in the outstanding magistrates' court caseload dropping to 304,300 at the end of Q1 2016, the lowest figure since Q1 2014.  Outstanding cases in the Crown Court have been gradually decreasing since Q4 2014. Between Q4 2014 and Q1 2016 they declined by 16% to 46,500 cases. This decline reflects the number of disposals being greater than the number of receipts for the last 5 quarters.  The average time from receipt by the Crown Court to main hearing and main hearing to completion increased between Q3 2013 and Q2 2015, driving the overall increase in the number of days from first listing to completion across this period. More recently, there has been a decrease in the average number of days from receipt by the Crown Court to completion - from 199 days in Q2 2015 to 177 days in Q1 2016.  From Q1 2011, average hearing times for not guilty plea trials slowly increased to 14.9 hours in Q4 2013. Since then, hearing times have fluctuated between 12.5 and 15 hours with a peak of 15.4 hours in Q1 2016. ## Criminal Courts At the first quarter of 2016, there were around 240 magistrates' courts and approximately 80 Crown Court locations across England and Wales. 1. Criminal cases in the magistrates' courts Figure 1 below shows the magistrates' courts caseload for England and Wales. ## Receipts In The Magistrates' Courts (Figure 1) Receipts Throughout 2012 And Going Into Q1 2013 Were Stable, But Fell By 4% At Q2 2013. This Was Followed With A 7% Rise Between Q2 2013 And Q1 2014, After Which They Remained Stable At Around 400,000 A Quarter Until Q1 2015. More Recently, The Number Of Receipts Fluctuated Throughout 2015, With A Decline Of 4% Between Q4 2015 And Q1 2016. Disposals (Figure 1) Following A Dip In Disposals Across 2013 To 378,200 In Q4 2013, Disposals Have Fluctuated But Gradually Increased Since Then, With An Overall Rise By 9% Between Q4 2013 And Q1 2016. There Were 412,400 Disposals In Q1 2016, A Quarterly Peak Since 2012. Outstanding cases (figure 1) The number of outstanding cases fell between 2012 and Q3 2013 - over a period when quarterly disposals were greater than receipts - down to 281,600 cases at the end of Q3 2013. Outstanding caseload then rose to 328,300 at the end of Q1 2015, followed by quarterly fluctuation up to the end of 2015. The decrease in receipts and increase in disposals in the latest quarter resulted in the outstanding caseload dropping to 304,300 at the end of Q1 2016, the lowest figure since Q1 2014. Annual table: effectiveness of magistrates' courts trials by region (figure 2) In comparison to the other regions within England and Wales, London had the largest proportion of effective trials in 2015 (55%). It also had the lowest proportion of cracked trials (30%). In contrast, the North East had the lowest proportion of effective trials (40%) whilst Wales and the North East had the highest percentage of cracked trials (43%). The South East had the greatest percentage of ineffective trials (18%) whereas Wales had the lowest (7%). 2. Criminal cases in the Crown Court Figure 3 below shows the annual Crown Court caseload from 2000 to 2015, whilst figure 4 shows the quarterly Crown Court caseload from Q1 2010 to Q1 2016. Annual trends in the Crown Court from 2000 to 2015 (figure 3) Receipts Overall, receipts rose by 36% from 2000 to a peak of 152,800 in 2010. The level then decreased by 13% between 2010 and 2012. This was followed by a smaller increase of 5% to 2013. The number of receipts then fell from 2013 to 2015, with the receipt level at 2015 being the lowest since 2006 at 130,000 cases. Disposals Following a similar pattern to receipts, there was an overall rise by 32% between 2000 and 2010. Between 2010 and 2012, disposals decreased by 10%. They were fairly stable between 2013 and 2014, but then increased in 2015. Disposals were higher than receipts in 2015 for the first time since 2012. Outstanding cases Between 2000 and 2009, there was a 53% rise in outstanding cases. Following a decrease in outstanding cases between 2010 and 2012, cases subsequently rose between 2012 and 2014, but decreased again by 8% from 2014 to 2015. This decline reflects the number of disposals being higher than receipts over this period. Since 2010, there has been an overall increase of 8% in outstanding cases to 2015. ## Recent Quarterly Trends (Figure 4) Receipts Receipts in Q1 2016 were 8% lower than in Q4 2015, and 12% lower than the first quarter of 2015. This figure of 29,800 was the lowest of the quarterly time series (since 2010). Disposals Disposals at Q1 2016 were the highest since the first quarter of 2015, and had increased by 2% from Q4 2015. Outstanding cases Outstanding cases have been decreasing since Q4 2014. Between Q4 2014 and Q1 2016 they declined by 16% to 46,500 cases. Receipts by case type (figure 5) Triable-either-way and indictable only (IO) cases drive the overall trend in receipts. Following a decline of 32% in triable-either-way receipts between Q1 2010 and Q1 2013, the level of receipts rose between Q1 to Q3 2013 and then remained relatively stable until Q2 2015. Receipts decreased through 2015 and into Q1 2016. Since the peak in IO receipts in Q2 2013, there have been an overall downward trend over the subsequent two years, with a 24% decline from Q2 2013 to Q1 2016. Cases committed for sentence have declined by 30% between the peak in Q3 2011 and Q1 2016, and appeals have declined by 30% since Q1 2010. Disposals by case type (figure 6) Between Q1 2010 and Q1 2013, disposals in triable-either-way cases decreased by 28%. They then rose from Q2 2013, resulting in triable-either-way disposals being higher than receipts across 2015 and into Q1 2016. The overall number of indictable only disposals was been broadly stable between Q1 2013 and Q1 2015, at around 8,300. They have since declined to Q3 2015 and risen again, up to 8,100 in Q1 2016. Committed for sentence cases and appeals have also declined, by 17% and 18% respectively between Q1 2010 and Q4 2015. Committed for sentence cases show a 2% rise between Q4 2015 and Q1 2016, whereas appeals show an 8% decline in the same period. Outstanding cases by case type (figure 7) The trend in triable-either-way outstanding cases drives the trend in the overall number of outstanding cases. Following a 30% decrease between Q1 2010 and Q1 2013, cases increased substantially, by 76%, between Q1 2013 and Q1 2015. This was followed by a declining trend thereafter, with a 20% decrease between Q1 2015 to Q1 2016, over the period that disposals for triable-either-way cases have been greater than receipts. Indictable only cases also followed this pattern but to a lesser magnitude, decreasing by 6% between Q1 2010 and Q1 2013 and then increasing by 15% to Q1 2015. There was then a decrease by 12% between Q1 2015 and Q1 2016. Committed for sentence cases and appeals have remained relatively stable across time. ## Receipts, Disposals And Outstanding Cases By Offence Group (Experimental Statistics) (Figure 8) 9000Violence against the personSexual offencesRobberyTheft OffencesCriminal damage and arsonDrug offencesPossession of weaponsPublic order offencesMiscellaneous crimes against societyFraud OffencesSummary Non-MotoringSummary motoringUnknown In Q1 2016, violence against the person had the highest volume of receipts and disposals, followed by miscellaneous crimes, drug offences and theft. Outstanding cases followed a different pattern. Violence against the person had the highest amount of cases, followed by sexual offences and miscellaneous offences. There may have been a greater number of sexual offence cases outstanding due to the length of time these cases take to complete in comparison to other offence groups. Annual tables: Crown Court caseload by region (figures 9, 10 & 11) Several of the annual tables cover regional breakdowns of Crown Court caseload in England and Wales for 2015. In 2015, London had the highest volume of receipts, disposals and outstanding cases, due to the population of the region. Triable-either-way and indictable trials accounted for the highest proportion of caseload when compared to the other regions (71% receipts, 72% disposals, 87% outstanding). Wales had the lowest volume of receipts, disposals and outstanding cases, and the lowest proportion of trial outstanding cases of the regions, alongside the South West (82%). The South West had the lowest proportion of trial receipts (63%), and also the lowest proportion of disposals, equal to the North East (66%). 3. Timeliness Offence to completion in the magistrates' courts For cases in the magistrates' courts, the (mean) average number of days from offence to completion increased by 7 days between Q1 2013 and Q4 2015, a 5% rise. Despite remaining at 158 days in both Q3 2015 and Q4 2015, the average increased by a further 5 days to 163 days in Q1 2016. Crown Court criminal cases - First listing in the magistrates' courts to completion in the Crown Court (figure 12) For cases completing at the Crown Court, the average number of days from first listing to completion increased from 152 to 204 days between Q3 2013 and Q2 2015, followed by a decrease to 183 days in Q1 2016. The average time from first listing at the magistrates' court to receipt by the Crown Court fell from 26 days in Q1 2013 to 6 days in Q3 2015, and remained at 6 days into Q1 2016. The average time from receipt by the Crown Court to main hearing and main hearing to completion, however, increased between Q3 2013 and Q2 2015, driving the overall increase in the number of days from first listing to completion across the period. More recently, there has been a decrease in the average number of days from receipt by the Crown Court to completion - from 199 days in Q2 2015 to 177 days in Q1 2016. Annual table: Breakdown of average number of days from offence to completion for criminal cases by region (figure 13) In England and Wales at 2015, the South East had the longest mean time spent from offence to completion at 180 days. The North East had the shortest timeliness of 154 days, which was partially influenced by having the shortest 'offence to charge' stage of the regions (92 days). Wales had the greatest amount of time spent at 'offence to charge' (102 days), but the shortest time from 'first listing to completion (17 days). Average waiting times at the Crown Court (figure 14) Average waiting times for all trial cases increased between 2013 and 2015. Waiting times for triable-either-way cases increased by 6 weeks and indictable only cases by 4.1 weeks between Q4 2013 and Q4 2015. For non-trial cases waiting times have remained fairly steady over the same period with an overall increase of 0.2 weeks for committed for sentence cases and 1.1 weeks for appeals. In Q1 2016 the waiting times for trial cases fell by 0.7 weeks in triable-either-way cases and 1.4 weeks in indictable only cases, from Q4 2015. The waiting times in non-trial cases increased by 0.2 weeks for cases committed for sentence and 0.4 weeks for appeal cases. Average hearing times at the Crown Court (figure 15) From Q1 2011, average hearing times for not guilty plea trials slowly increased to 14.9 hours in Q4 2013. Since then, hearing times have fluctuated between 12.5 and 15 hours with a peak of 15.4 hours in Q1 2016. Hearing times for guilty plea trials have remained fairly steady at 1.5 hours into Q1 2016. ## Annex A: Enforcement Of Financial Impositions The following section provides updated management information on the collection of financial impositions through Her Majesty's Courts and Tribunals Service (HMCTS). Figures on criminal courts charge are shown separately in this bulletin but following the announcement by the Secretary of State for Justice on 3 December this charge ceased to exist on 24 December 2015. Impositions made in this time period are reported, and payment information will continue to be recorded. Financial impositions are ordered by the criminal courts for payment by offenders at sentencing and include financial penalties such as fines, prosecutors' costs, compensation orders and victim surcharge. Financial penalties are the most commonly used sentence and form a significant part of HMCTS' collection and enforcement business. Accounting centres also enforce penalty notices for disorder and fixed penalty notices registered as fines for enforcement. The financial imposition statistics presented here do not include confiscation orders. Figure 16 shows the financial impositions for each quarter split by imposition type. \| Criminal Court Charge \| Other \| Costs \| Fines \| Victim Surcharge \| Compensation \| \|-------------------------\|---------\|---------\|---------\|--------------------\|----------------\| Notes: Criminal Court Charge ceased to exist on 24 December 2015 but impositions still appear due to when the data are entered onto the system. Financial impositions and amounts paid (Table A1) Financial penalties can be imposed by the magistrates' courts and the Crown Court; although they are all collected and enforced by the HMCTS National Compliance and Enforcement Service. Trends in the amount paid have risen between 2004 and 2015 by 60% to £360 million at 2015. Between 2014 and 2015 the amount paid rose by 20%. This is partly due to a large value of criminal court charge payments following the implementation of the imposition in Q2 2015. The total value of financial penalties paid in Q1 2016, regardless of the age of the imposition, was £109 million; a 27% increase when compared with the same quarter in 2015 and a 14% increase since Q4 2015. Financial impositions and amounts paid by imposition type (Table A2, figure 16) The total amount of impositions imposed increased between 2012 and 2015 by 42% to £573 million. Alongside the implementation of the criminal courts charge in Q2 2015, which inflated the 2015 figure, impositions for the remaining charges have also shown an overall increase since 2012. The total value of impositions in Q1 2016 (£153 million) decreased by 13% when compared to Q4 2015. This is mainly due to the ceasing in December 2015 of the criminal courts charge that was introduced in April 2015. In Q1 2016, 13% (£20 million) of all financial impositions imposed by the criminal courts were paid within the imposition month. Financial impositions (£ million) for victim surcharge (Table A2, figure 17) Victim surcharge is an additional surcharge which is added to the fines that are imposed. The receipts obtained from the collection of these monies by HMCTS are passed to the Justice Policy Group of the MoJ to fund victims' services. The amount imposed has been increasing since its scope and amounts payable were extended in October 2012. Although increases have slowed and stabilised at this higher level in 2015, impositions are 4% higher at Q1 2016 than at Q4 2015. While the amount imposed has remained high, the proportion of impositions collected within the imposition month has decreased from 12% in Q1 2015 to 11% in Q1 2016. Financial imposition accounts opened and closed (Table A3) An account is opened when a financial penalty is ordered in court and is closed when the imposition against the account has been paid or the imposition ceases. Where a defendant has more than one financial penalty and/or account, these can be consolidated into one account. The number of accounts has risen since 2013. There were 1,285,000 accounts opened in 2015, 3% more than in 2014. There were 326,000 accounts opened in Q1 2016, an increase of 4% since Q4 2014, but a decrease of 1% when compared to the same period in the previous year. Of the accounts opened in Q1 2016, 10% (32,600) were closed within the imposition month. Outstanding financial impositions (Table A4) The amount outstanding is irrespective of the age of the imposition or the payment terms, and excludes all impositions already paid as well as both legal and administrative cancellations. Payment terms may include arrangements for offenders to pay amounts owed over a period of time. In Q1 2016, the total value of financial impositions outstanding in England and Wales was £680 million. Although they had been decreasing from April 2011, the amount of outstanding financial impositions has been increasing since Q1 2014, and show an increase of 19% between Q1 2015 and Q1 2016. The increase in outstanding impositions from 2015 is partially due to owed criminal court charge payments. ## Annex B: Legal Representation In The Crown Court (Experimental Statistics) Representation by year The proportion of defendants dealt with in the Crown Court who are known to have had legal representation2 has decreased by 2 percentage points between 2010 and 2015. During 2015, 93% (89,400) of defendants were represented by an advocate at the first hearing whilst 7% (7,000) of defendants had no advocate or unknown representation at first hearing. This compares to 95% and 5% respectively in 2010. The proportion of defendants represented at first hearing by an advocate only, with no solicitor representation, has increased since 2010. Of those in 2015, 18% (16,500) did not have a solicitor, compared to 2% (2,300) in 2010. ## Representation And Hearings In 2015, 27% of represented defendants had two or less hearings, compared with 17% of defendants whose representation was unknown or were known to be unrepresented. Conversely, 20% of represented defendants had six or more hearings, compared with 25% who had no or unknown representation. ## Annex C: Juror Statistics There were 361,300 juror summons issued in 2015, a 2% increase compared to the number of juror summons issued in 2014. In the same year around 27% of all juror summons were excused, an increase of 1 percentage point when compared with the previous year. In 2015 there were 179,200 jurors supplied to the court. The juror utilisation rate is the number of sitting days divided by the sum of sitting, non-sitting and non-attendance days. Since 2006 the juror utilisation rate has, overall, risen by 12 percentage points to the current rate of 71% in 2015, although it has been around this level since 2011. The increase may be the result of the introduction of a programme on the part of HMCTS to avoid placing more of a burden on jurors than necessary and make the best use of their time. ## Annex D: Election Of The Defendant (Experimental Statistics) Triable-either-way cases can be sent to the Crown Court for trial if the magistrates' courts decide the matter is serious enough, or if a defendant elects to be tried by judge and jury. In Q1 2016, there were 15,200 defendants dealt with in either-way trial cases in the Crown Court. Of these, 14,200 defendants were sent on the direction of magistrates and 960 defendants had elected to be sent to the Crown Court (there were a small number of cases where information on election type is missing). Excluding those defendants where election type was unknown, direction by magistrates resulted in 94% of defendants dealt with, with 6% of defendants having elected to be sent for trial. The proportion of defendants sent on the direction of magistrates has increased by 2 percentage points between Q1 2014 and Q1 2016 (from 92% to 94%), with a corresponding decrease of 2 percentage points in defendants electing for trial (from 8% to 6%). Of the 14,200 defendants sent on the direction of magistrates in Q1 2016, 9,900 (69%) pleaded guilty and 3,700 (26%) pleaded not guilty1. Of the 960 defendants who elected to be sent for trial, 420 pleaded guilty (44%) and 470 (49%) pleaded not guilty. 1 Note not all defendants have a plea recorded - for example, if a case is discontinued. ## Annex E: List Of Accompanying Tables And Csv Accompanying this publication are the following tables: \| Table M1 \| Receipts, disposals and outstanding criminal cases in the magistrates' \| \|--------------------------------------------------------------------------------\|-------------------------------------------------------------------------------\| \| courts in England and Wales, annually 2012 - 2015, quarterly Q2 2012 - Q1 \| \| \| 2016 \| \| \| Table M2 \| Effectiveness of magistrates' courts' trials in England and Wales, annually \| \| 2003 - 2015, quarterly Q1 2010 - Q1 2016 \| \| \| Table M3 \| Key reasons for ineffective magistrates' courts' trials in England and Wales, \| \| annually 2006 - 2015, quarterly Q1 2010 - Q1 2016 \| \| \| Table M4 \| Key reasons for cracked magistrates' courts' trials in England and Wales, \| \| annually 2010 - 2015, quarterly Q1 2010 - Q1 2016 \| \| \| Table AM1 \| Annual table: Effectiveness of magistrates' courts' trials in England and \| \| Wales by region, 2015 \| \| \| Table C1 \| Receipts, disposals and outstanding cases in the Crown Court in England \| \| and Wales, annually 2000 - 2015, quarterly Q1 2010 - Q1 2016 \| \| \| Table C1a \| Receipts by offence group in the Crown Court in England and Wales, annual \| \| 2014 - 2015, quarterly Q1 2014 - Q1 2016 \| \| \| Table C1b \| Disposals by offence group in the Crown Court in England and Wales, \| \| annual 2014 - 2015, quarterly Q1 2014 - Q1 2016 \| \| \| Table C1c \| Outstanding cases by offence group in the Crown Court in England and \| \| Wales, annual 2014 - 2015, quarterly Q1 2014 - Q1 2016 \| \| \| Table C2 \| Effectiveness of Crown Court trials in England and Wales, annually 2007 - \| \| 2015, quarterly Q1 2010 - Q1 2016 \| \| \| Table C3 \| Key reasons for ineffective Crown Court trials in England and Wales, \| \| annually 2007 - 2015, quarterly Q1 2010 - Q1 2016 \| \| \| Table C4 \| Key reasons for cracked Crown Court trials in England and Wales, annually \| \| 2007 - 2015, quarterly Q1 2010 - Q1 2016 \| \| \| Table C5 \| Defendants dealt with in trial cases in the Crown Court by plea in England \| \| and Wales, annually 2001 - 2015, quarterly Q1 2010 - Q1 2016 \| \| \| Table C6 \| Defendants dealt with in trial cases by stage at which guilty plea was \| \| entered and accepted in the Crown Court, by receipt type, England and \| \| \| Wales, annually 2010 - 2015, quarterly Q1 2010 - Q1 2016 \| \| \| Table C7 \| Defendants dealt with in trial cases where a guilty plea was entered before a \| \| trial, during trial or at a cracked trial, and accepted in the Crown Court, by \| \| \| receipt type, England and Wales, annually 2010 - 2015, quarterly Q1 2010 - \| \| \| Q1 2016 \| \| \| Table C8 \| Average waiting times in the Crown Court in England and Wales, annually \| \|-------------------------------------------------------------------------------\|----------------------------------------------------------------------------------\| \| 2000 - 2015, quarterly Q1 2010 - Q1 2016 \| \| \| Table C9 \| Average waiting times (weeks) in the Crown Court for defendants dealt with \| \| in trial cases, by plea and remand type, England and Wales, annually 2007 - \| \| \| 2015, quarterly Q1 2010 - Q1 2016 \| \| \| Table C10 \| Average hearing and waiting times for trial cases in the Crown Court by plea \| \| in England and Wales, annually 2000 - 2015, quarterly Q1 2010 - Q1 2016 \| \| \| Table C11 \| Average hearing times (hours) in the Crown Court for cases disposed of, by \| \| case type and plea, England and Wales, annually 2007 - 2015, quarterly Q1 \| \| \| 2010 - Q1 2016 \| \| \| Table C12 \| Appeals (against decisions of magistrates' courts) dealt with in the Crown \| \| Court, by appeal type and result, England and Wales, annually 2007 - 2015, \| \| \| quarterly Q1 2010 - Q1 2016 \| \| \| Table AC1 \| Annual table: Receipts, disposals and outstanding cases in the Crown Court \| \| by region, 2015 \| \| \| Table AC2 \| Annual table: Cases disposed of in the Crown Court by case type and \| \| number of defendants involved, 2007- 2015 \| \| \| Table AC3 \| Annual table: Cases dealt with in the Crown Court by type of judge and \| \| region, 2015 \| \| \| Table AC4 \| Annual table: Cases disposed of and proportion heard by High Court judges \| \| in the Crown Court, by class and region, 2015 \| \| \| Table AC5 \| Annual table: Effectiveness of Crown Court trials by region, 2015 \| \| Table AC6 \| Annual table: Defendants dealt with in trial cases in the Crown Court \| \| showing result according to plea, 2007- 2015 \| \| \| Table AC7 \| Annual table: Defendants acquitted in trial cases in the Crown Court after a \| \| not guilty plea, by manner of acquittal, 2007-2015 \| \| \| Table AC8 \| Annual table: Defendants convicted after a not guilty plea in trial cases in the \| \| Crown Court, by number of jurors dissenting to the verdict, 2007-2015 \| \| \| Table AC9 \| Annual table: Summary statistics on hearing times, waiting times, plea rates \| \| and juror utilisation in the Crown Court, by region, 2007-2015 \| \| \| Table T1 \| Average number of days from offence to completion, percentage of \| \| proceedings completed at first listing and average number of hearings for \| \| \| criminal cases at the magistrates' courts by initial plea, England and Wales, \| \| \| annually 2010 - 2015, quarterly Q2 2010 - Q1 2016 \| \| \| Table T2 \| Average number of days taken from offence to completion for all criminal \| \| cases at the magistrates' courts in England and Wales, annually 2010 - \| \| \| 2015, quarterly Q2 2010 - Q1 2016 \| \| \| Table T3 \| Average number of days taken from offence to completion for all summary \| \|-------------------------------------------------------------------------\|--------------------------------------------------------------------------------\| \| cases at the magistrates' courts in England and Wales, annually 2010 - \| \| \| 2015, quarterly Q2 2010 - Q1 2016 \| \| \| Table T4 \| Average number of days taken from offence to completion for Crown Court \| \| criminal cases in England and Wales, annually 2010 - 2015, quarterly Q2 \| \| \| 2010 - Q1 2016 \| \| \| Table T5 \| Average number of days taken from offence to completion for criminal cases \| \| in England and Wales, annually 2010 - 2015, quarterly Q2 2010 - Q1 2016 \| \| \| Table T6 \| Average number of days taken from offence to completion for all criminal \| \| cases by offence group, in England and Wales, Q1 2015 and Q1 2016 \| \| \| Table AT1 \| Annual table: Average number of days taken from offence to completion for \| \| criminal cases by region, 2015 \| \| \| Table A1 \| Enforcement of financial penalties in the magistrates' courts, England and \| \| Wales, annually 2004 - 2015, quarterly Q1 2010 - Q1 2016 \| \| \| Table A2 \| HMCTS management information: Financial impositions and amounts paid \| \| by imposition type, England and Wales, annual 2011 - 2015, quarterly Q2 \| \| \| 2011 - Q1 2016 \| \| \| Table A3 \| HMCTS management information: Number of financial imposition accounts \| \| opened and closed, annually 2011 - 2015, quarterly Q2 2011 - Q1 2016 \| \| \| Table A4 \| HMCTS management information: Total amount of financial impositions \| \| outstanding, annually 2011 - 2015, quarterly Q2 2011 - Q1 2016 \| \| \| Table B1 \| Advocate and solicitor representation, at first hearing, of defendants dealt \| \| with in the Crown Court, England and Wales, annually 2010 - 2015 \| \| \| Table B2 \| Representation status, at first hearing, of defendants dealt with in the Crown \| \| Court, England and Wales, annually 2010 - 2015 \| \| \| Table B3 \| Number of hearings in the Crown Court, by representation status at first \| \| hearing, England and Wales, annually 2010 - 2015 \| \| \| Table J1 \| Summary jury summonsing figures \| \| \| \| \| in the Crown Court, 2007 - 2015 \| \| \| Table J2 \| Juror sitting days and juror utilisation in the Crown Court, England and \| \| Wales, 2006 - 2015 \| \| \| Table D1 \| Number of defendants dealt with in either-way-trial cases in the Crown Court \| \| by plea and election type, England and Wales, Q1 2010 to Q1 2016 \| \| There are also a number of csv files that support this publication, these include:  National and court level workload activity and case progression data  National and court level timeliness data ## Annex F: Explanatory Notes The United Kingdom Statistics Authority has designated these statistics as National Statistics, in accordance with the Statistics and Registration Service Act 2007 and signifying compliance with the Code of Practice for Official Statistics. Designation can be broadly interpreted to mean that the statistics:  meet identified user needs;  are well explained and readily accessible;  are produced according to sound methods, and  are managed impartially and objectively in the public interest. Once statistics have been designated as National Statistics, it is a statutory requirement that the Code of Practice shall continue to be observed. The statistics in this bulletin relate to cases in the magistrates' courts and the Crown Court in England and Wales. Calendar year statistics are also provided. Breakdowns of many of the summary figures presented in this bulletin, such as split by court or by HMCTS area, are available in the Comma Separated Value (CSV) files that accompany this publication. Revisions The statistics in the latest quarter are provisional, and are therefore liable to revision to take account of any late amendments to the administrative databases from which these statistics are sourced. The standard process for revising the published statistics to account for these late amendments is as follows:  An initial revision to the statistics for the latest quarter may be made when the next edition of this bulletin is published. Further revisions may be made when the figures are reconciled at the end of the year. If revisions are needed in the subsequent year this will be clearly annotated in the tables. For more information please see the Guide to criminal court statistics. Symbols and conventions The following symbols have been used throughout the tables in this bulletin: .. = Not applicable - = Not available 0 = Nil (r) = Revised data (p) = Provisional data Previous editions Previous editions of Court Statistics Quarterly can be found at: www.gov.uk/government/collections/court-statistics-quarterly#court-statisticsquarterly-reports Future publication The next publication of Criminal court statistics quarterly is scheduled to be published on 29 September 2016, covering the period April to June 2016. Contacts Press enquiries on the contents of this bulletin should be directed to the Ministry of Justice or Her Majesty's Courts and Tribunal Service (HMCTS) press offices: Ministry of Justice News Desk Tel: 020 3334 3536 Email: newsdesk@justice.gsi.gov.uk Other enquiries about these statistics should be directed to the Justice Statistics Analytical Services division of the Ministry of Justice: David Jagger Ministry of Justice 102 Petty France London SW1H 9AJ Email: statistics.enquiries@justice.gsi.gov.uk General enquiries about the statistics work of the Ministry of Justice can be emailed to statistics.enquiries@justice.gsi.gov.uk General information about the official statistics system of the UK is available from www.statistics.gov.uk ## Feedback The structure and content of this report is continually being reviewed to reflect user requirements. If you have any feedback about these changes, or the report more generally, please contact the production team through the Justice Statistics Analytical Services division of the Ministry of Justice: Email: statistics.enquiries@justice.gsi.gov.uk © Crown copyright Produced by the Ministry of Justice Alternative formats are available on request from statistics.enquiries@justice.gsi.gov.uk	en
1084-pdf	# Hammersmith & Fulham Executive Summary Of Ofsted Self-Evaluation - September 2020 ## Vision And Priorities Children's Service Vision: to improve the lives and life chances of our children and young people intervene early to give them the best start in life and promote their wellbeing to ensure children and young people are protected from harm and ensure that all children have access to an excellent education that helps them achieve their potential all of this will be done whilst reducing costs and improving service effectiveness Socio-demographic and factual data H  There are 36,898 children under the age of 18 (20% of the total H&F population)  32% of all children are of an ethnic minority  The average deprivation levels (expressed as an IDACI score and percentage) of children living in H&F for 2019 was 18.6%. This is a decrease from 26.7% in 2015 and makes H&F the 14th most deprived borough in London.  945 children and young people had been identified as needing specialist support from the local authority, at 31 March 2020.  141 (39 per 10,000 children) children and young people were the subject of a child protection plan  252 (68 per 10,000) children and young people were looked after by the local authority, an increase from 245 (66 per 10,000 children) at 31 March 2019.  Since the last inspection, two serious incident notifications have been submitted to Ofsted and two rapid reviews have been completed, and we are currently completing two serious case reviews (commissioned prior to new arrangements).  93% of state funded schools in the borough are rated as good or outstanding. ## Hammersmith & Fulham Context  Hammersmith and Fulham is an ambitious authority with the high level of support from the political leadership.  Children's Services have a new DCS who joined in November 2019, and is leading an experienced management team.  Children's services is innovative and ambitious and is continually striving to improve our service delivery.  We are proud to lead stable and robust services , with a strong focus on recruiting and retaining staff with a high skill level to deliver excellent services.  Our well embedded Systemic Practice model helps to build effective relationships and contributes to achieving positive and sustained changes for families.  We take pride in our focus on supporting our children and young people to achieve improved outcomes.  Hammersmith and Fulham continues to strengthen the voice of children and young people in our decision making and service development processes.  In May we formed Vulnerable Children's Working Group in response to C19 to ensure that we worked closely with schools to track attendance and ensure robust oversight of all our vulnerable children during COVID-19. ## Shared Services Shared Services With Bi-Borough LSCP MASH Fostering & Permanence Missing Coordinator GMACE Emergency Duty Team (EDT) Centre for Systemic Social Work Children's Placement Team ## Shared Service With Ealing, Hounslow And Brent Adoption Service (since October 2019) ## Focus On Practice - Service Developments Trailblazer Mental Health Support Teams - H&F is part of both the first and second mental health trailblazer programmes. The first wave started in September 2019 and the second wave will start later this year. The programme complements existing mental health services and targeted at meeting low-to-moderate levels of need in schools including alternative provisions. Transition and Resilience service – successful bid by Family Support, funded by the Youth Endowment Fund. Aims to tackle youth violence by reducing school exclusions. It will do this by providing intense support to children and young people during key moments of transition and brain development. Specialist Behaviour Service - new multi-disciplinary behaviour support service to support children and young people with learning disabilities and autism who are at risk of tier 4 hospital admission or residential placement. Oversight of complex and high risk cases - a panel, with membership at assistant director level, that offer strategic oversight and operational direction to managing complex and high-risk cases that the existing frameworks and processes are proving ineffective in safeguarding and supporting the children and young people. NHSE Keyworker pilot - successful bid for a NHSE keyworker pilot. This will bring a new model of co-ordination across the NHS and LA for children and young people who are on the Dynamic Support Register. ## This Service Will Be Jointly Delivered With Hounslow. Focus On Practice - Service Developments Response to serious youth violence - new Gangs Violence and Exploitation Unit became operational in August 2020. Joint Local Authority and Metropolitan Police initiative to focus on early intervention and diversion of young people who are at risk of involvement in serious youth violence. Supporting Families Against Youth Crime (SFAYC) - funded by MHCLG through successful bid. And commenced in October 2019. A Contextual Safeguarding Coordinator works with selected Voluntary and Community Sector partners to support children and young people at risk of or involved in offending and their families. As at 30/06/20, the project has worked with 55 children and young people, with reported significant reductions in involvement in crime. 78% reduction in reported crime among the engaged cohort in the first quarter. Family Support Digital Service - COVID: Home learning activities and past virtual sessions Alby TV and interactive Facebook sessions Time to Connect and Overloaded toolbox for families Building Resilience: Returning to School Programme: guidance and training to help prepare schools and staff post lockdown Counselling and educational materials for home-schooling to support families no longer able to access Children's Centres ## Corporate Parenting And Participation Development Of Corporate Parenting Board And Steering Group  Agenda led by young people  Well supported by political senior leaders & other LA departments.  You said we did informing practice changes ## Youth Take Over Challenge Day  Biggest Youth Take Over Challenge - With Me 4 Me - event in November 2019.  120 children from diverse backgrounds including those in care, care leavers, children in need and those not involved with service ## Children'S Advocate - Advocates For Looked After Children And Children Subject To Child protection plan. ## Participation Officer  Coordinates CiCC & Care Leavers Group; consultation activities; drop in/group sessions (health and wellbeing, cooking, quiz nights, trips to the zoo etc); achievement event.  Gary Lineker event; care leaver apprenticeship at Otto's  Activities continued virtually during COVID - lockdown survey  Virtual achievement event in July - 78 awards for children & young people ## Restoration Lead - Consultation And Engagement For Children & Young People Involved With Yos Lscp Engagement Officer – Recruiting Young Safeguarding Scrutineers Corporate Parenting And Participation Children Looked After And Care Leavers Virtual Awards 2020  The Corporate Parenting Board held a virtual version of our highly successful achievement and celebration event for children looked after and care leavers on 29th July 2020.  Seventy-eight of our children and young people were nominated for their fabulous achievements across seven categories: significant contribution, young leader, education, young artist, making a difference, overcoming adversity, and achievement in sports.  We had an incredible 98 people on the Microsoft Teams event with staff, carers and young people joining in. The evening included individual awards for 78 young people, videos from members of the Children in Care Council sharing their achievements, a beautiful song written and performed by one of our young people, and some of the amazing submissions from the creative challenge. ## Focus On Outcomes Children needing help and protection  Timeliness of assessments increased from 75.5% at the end of March 2020 to 94% YTD.  Re-referrals YTD is 18% - this is lower than the SN and national average of 19.0% and 23.0% respectively.  ICPCs timeliness of 86% - higher than the SN and inner London average at 74.0% and 76.0% respectively.  There is good engagement between Family Support, statutory social care and partners agencies with 20% of cases jointly allocated with social care Looked After Children:  At the end of August 2020, 8.3% children and young people had three or more placements. This represents strong performance as London and national average stands at 10% and 10.4% respectively.  40% of our children looked after achieving grade 4 or above in English and Mathematics GCSE this year, with 25% achieving grade 5 and above (compared to 7.2 nationally in 2019).  In 2019/2020 we had 3 adoptions, 22 SGOs and 4 CAOs.  No permanent exclusions. Fixed term exclusions reduced from 21 to 11 children. Care Leavers:  Provision of high quality accommodation to support care leavers to live independently  60% are EET  94% are in suitable accommodation  We are in touch with all care leavers except with those who are long term missing  32 are attending university ## Operating Context High CLA rate Historically high rate of CLA. 242 (66 per 10,000) CLA as at 31/08/20. A decrease from 252 (68 per 10,000) in March 2020. Increasing rate of CPP 180 children subject to a child protection plan as at 31/08/20. An increase of 27.7% since March 2020. ## Key Learning– Areas Of Development Adolescent and edge of care  To provide timely and effective support to children at risk of coming into care and families finding it hard to manage adolescent behaviours  A workstream has started and is pulling together all services for adolescents in order to design a more effective offer for adolescents Permanence planning and oversight  To improve timeliness and oversight of permanence planning  The terms of reference for the Permanency Tracker Panel and Permanence Board have been updated to track, monitor and respond to likely delays earlier in the journey of the child Independent living skills training and transitions  To ensure that young people can move and live successful adult lives  A workstream has been launched to review the existing offer and develop a more holistic independent living skills programme Disproportionality  We have high rates of children from Black, Asian and Minority Ethnic groups in our children looked after and youth offending cohorts  We have started pulling together data and responses from services, including multiagency partners, to understand why this is so and agree a workable intervention plan Business intelligence  To ensure we have full suite of performance report for strategic and operational managers to understand and improve services for children and families  A business intelligence activity plan and timetable has been implemented with operational oversight from the Mosaic Board and senior oversight from the steering group and Statutory Accountabilities Board ## Availability Of Robust Performance Data We have committed a significant investment of resources enabling us to provide access to a wider range of reliable data and live tools, and to strengthen our performance framework. Delivery Milestone  A specialist children's social care BI lead and data analyst have brought in sector expertise to enhance the pace of development of a full suite of high-quality performance reports  We have invested in the roles of Assistant Director for Performance and Improvement and Head of Performance and Improvement to enhance the pace and commitment, and to embed a stronger performance culture  We have developed a much stronger collaboration with the BI and Mosaic teams to jointly own the improvement work which is overseen by a steering group of senior officers  A new performance management framework has been in place since December 2020  Data now available includes weekly performance summaries, a monthly performance report, a Covid-19 and vulnerable children dataset and a developing suite of live dashboards  Managers are supported to use the new tools and held to account for their team's performance at monthly practice boards  An ambitious timeline has been agreed for completion of the full performance suite by April 21– Appendix 4. The work is supported by the Mosaic Board and overseen by the Performance Management Board, chaired by the DCS Impact  Availability and access to performance reports are leading to a better understanding and responses from managers including improvements in the timeliness of visits, assessments and supervision  Live performance dashboards accessible to team managers  Improved intelligence is supporting better understanding and strategic planning ## Case Recording, Including Supervision Records And Robust Recording Of The Management Of Allegations Delivery Milestone  Weekly Mosaic training and surgeries are being delivered to social workers and a Mosaic Change Board involving heads of service and the Mosaic team is taking place  Changes have been made to Mosaic steps and quick reference practice guides produced on specific areas of work  A new manual recording system and an action plan for the management of allegations has been implemented. A plan to develop a case management system on Mosaic is underway  Oversight has been strengthened by Independent Reviewing Officers (IROs) through mid-point reviews, IRO conflict resolution/escalation protocol and a Mosaic recording step Impact  Performance reports show sustained improvements in timeliness of assessments, supervision and visits  Practice week audit in February 2020 showed improvements in case recording, updated chronologies, the timeliness of supervision and management oversight.  Supervision audits reported improvements in the timeliness of supervision and management oversight ## Ofsted Recommendation 3 Capacity Within The Early Help And Contact And Assessment Services - Delivery Milestone  Family Support (early help) capacity was reviewed in January 2020 and capacity increased by 17%. We are currently reviewing the Family Support offer because of budgetary constraints. This will impact on staffing levels but ensure better interface with social care and a focus on vulnerable families  New centralised allocations and workload management systems in Family Support commenced in March 2020  An external audit of Family Support was completed in February 2020. The review highlighted positive practices and recommended areas for improvement. An action plan is in place  A Social Care caseload benchmarking and workload management system is currently in development  Family Support has recruited a senior Business Intelligence lead to help the service better understand the families they are working with and to target the right families. This work will improve the interface between the Family Support and Family Services and help us to better understand the impact of our early help service Impact Timely responses to families with many cases resolved without needing allocation  New centralised allocation system leading to effective and coordinated responses  Workload management ensures timely and proportionate allocation of cases.  Timely and improved performance reporting is enabling managers to track allocations and capacity and allowing flexibility when needed. This has ensured that social workers have manageable caseloads and assessment timeliness significantly improved ## Consistency Of Multi-Agency Information Sharing And Participation At Strategy Discussions Delivery Milestone Work has taken place at Safeguarding Partnership meetings to increase participation at strategy discussions Participation is discussed quarterly at Safeguarding Partnership Meetings and with CCG and Police leads A thematic audit of strategy discussion and section 47s has been completed and learning shared. The September 2020 Practice Week will dip sample strategy discussions and section 47s to assess their quality A one-minute guide on section 47s has been developed Impact Participation/attendance at strategy discussions/meetings by health & Police has significantly improved, enhanced by the switch to virtual meetings since COVID-19 Virtual strategy discussions/meetings are being established as part of our practice model ## The Quality Of Planning For Children In Need Delivery Milestone This is an area where we still have insufficient data and, as a result, our oversight of practice is not as strong as we would want. We have therefore commissioned an external auditor to review CIN work and thresholds. This work started in September 2020, after a delay due to the COVID-19 lockdown The BI team is developing reporting capability for CIN plans and reviews. Good quality examples of CIN plans are shared with social workers Team managers are routinely checking quality, outcomes and duration of CIN at supervision The Vulnerable Children's working group, in response to COVID-19, RAG rated all cases, including children in need. The RAG ratings are subject to regular reviews Impact Increased oversight by team managers Improved CIN plans ## Learning And Improvement Framework. How We Know About Our Performance? Performance Management Framework Performance Management Board - It Scrutinises High Level Business And Performance reports and identifies key lines of enquiries for further interrogation and reporting Improvement Board - It brings challenge and rigour to the improvement process and provides assurance and monitoring of improvement activities. Practice Forum - focuses on in-depth interrogation of performance by service area. Performance and Quality Forum brings together all managers including Independent Reviewing Officers (IROs) and Child Protection Advisers (CPAs) to review key performance, themes from audits and to share learning Learning and Improvement Workshops bring together social workers and managers to consider key performance, themes from audits and reviews, and the resultant learning External audits and reviews - CIN reviews, high risk cases review, family support audit. Engagement of children and families – Practice Week, Customer Care month, FS Trustpilot Complaints and compliments – delay in annual reporting External audits/reviews - Family Support, Complex & high risk cases (September 2020). Serious case/child safeguarding reviews Governance and accountability arrangements - Cabinet Member Briefings, Statutory Accountability Board, Local Children Safeguarding Partnership, Corporate Parenting Board, Bi-monthly Children and Education Policy and Accountability Committee (CEPAC) ## Learning And Improvement Framework. How We Know About Our Performance? Audit Framework  Practice Week It had shown that social workers and practitioners know their cases well, appropriately assessing need and risk. The voice of the child and their lived experience were evident in 85% of cases Good management guidance was reported in 95% of cases  Mental Health Audit Social workers have good knowledge of children' need and advocated on their behalf, Good care arrangements and input from carers advocated, evidence of effective multi agency work Good care  Supervision Audit showed improvements in case recording, updated chronologies, the timeliness of supervision and management oversight  COVID Audit Framework A range of audit activities were carried out from April 2020 to provide assurance that safeguarding practice was robust during the COVID lockdown  Effectiveness of Child Protection Plans Thresholds were found to be appropriately applied during this period in respect of ICPCs. Risk assessments were completed, and RAG rating updated following each visit. The Quality Assurance function had been strengthened with Child Protection Advisors conducting mid-point monitoring on child protection plans ## Learning And Improvement Framework. How We Know About Our Performance?  Child Protection Visits Visits audited during lockdown were of good quality and those that were conducted virtually were found to be insightful and addressed risks. There was positive engagement with the families. Social workers engaged with children and families in a range of innovative ways such as a fitness session and a video CV writing session with a hard to reach young person/ Good co-working and joint visits were undertaken with partner agencies including the Violence Intervention Project (VIP) and with CaMHS  Repeat Child Protection Plans In all the cases a repeat CPP decision was appropriate at the time however in some cases more could have done either before or after step down of the preceding CPP; responses could have been sharper when concerns started to re-emerge after step-down/closure; or other planning frameworks could have been considered  Missing Children There was a co-ordinated response based on the local COVID missing list and the MASH list compiled by the Missing Child Co-ordinator. The Missing Child Co-Ordinator reported an improvement in the recording of missing episodes in terms of accuracy and stronger management oversight, especially in the Looked After Children service. Cross- borough work was facilitated by the Missing Child Co-ordinator and there was strong examples of cross borough strategy meetings and mapping work. There was evidence of good quality Return Home Interviews. of ICPCs - Risk assessments were completed, and RAG rating updated following each visit. - The Quality Assurance function had been strengthened with Child Protection Advisors conducting mid-point monitoring on child protection plans ## Governance And Accountability Arrangements The council maintains a high support, high challenge and high expectations culture that combines being compassionate and financially ruthless. This culture runs through the council's leadership, governance and oversight arrangements, including:  Cabinet Member Briefing, where the Lead Member for children and education meets with the Director of Children Services and Assistant Directors fortnightly to discuss strategic issues and interrogate performance  Statutory Accountability Board, where directors and chief officers have sight of key reports and performance to interrogate and understand performance in relation to children and families and recommend next steps  Local Children Safeguarding Partnership. This remains a Tri-borough partnership arrangement. An independent review, which includes consideration of a move to a sovereign arrangement, is taking place with a report due imminently  Corporate Parenting Board quarterly forum where the Lead Member, councillors, senior leaders and children in care council meet to question and review practice and outcomes for children looked after and care leavers and agree areas for further development. The Board has met virtually during the COVID-19 lockdown  Bi-monthly Children and Education Policy and Accountability Committee (CEPAC) where councillors and residents scrutinise performance and hold senior managers to account and develop policy recommendations to improve our services	en

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## ## Suggested search terms for records on Nazi-era cultural property A Aachen Advance reparation deliveries Ahnenerbe Alfred Rosenberg Allied commission for Austria Allied expeditionary force Allied kommandatura berlin Allied high commission for Germany Alt aussee American commission for the protection of artistic and historic monuments in Europe American council of learned societies Amsterdam art society Anglo-Jewish Association Antiques Archive Art Artist Art objects Austria Axis Axis Victims League Assets B Beaux arts Behr, Kurt von Belgium Belongings Berlin Board of Review Board of Deputies of British Jews Bonds Book Booty Boymans museum, Rotterdam British museum Brueghel Buende Bunjes papers Business C Carpet Central British Fund for Jewish Relief Central collecting point Cézanne Chagall Chateau China Churchill, Winston Claim Claimant Client Coins Collecting point Commission for the protection and restitution of cultural materials Company Concentration camp Conference of allied ministers of education Control commission for Germany Control commission for Austria Control office for Germany and Austria Convention for the protection of historic buildings and works of art in time of war Cooper, Douglas Cranach Credit Cultural objects Cultural property Currency Custodian D Damage Dealer Debt Delivery Denkmalpflege Depository Devisenschutzkommando [foreign currency control] Directorate of civil affairs Dispossessed Dispossession Drawing Dresden Duerer Durer E Enemy Einsatzstab Reichsleiter Rosenberg Err European advisory -council Export F Faience Far eastern commission Federation of Persecutees of the Nazi Regime Firm Fischer, Theodore Florence France Freeze Fuehrer Fuehrermuseum Furniture G Gemaeldegalerie General order German Restitution Office Germany Ghent Goering, hermann Goudstikker Grothe, Walter H Haberstock, Karl Hesse, Philipp Von Heydt, Edmund von der Historic building Historic site Hitler, Adolf Hofer, Walter Andreas Holland I Import Inter-allied declaration against acts of dispossession committed in territories under enemy occupation and control [inter-allied declaration against axis looting] Inter-allied reparations agency Intergovernmental Study Group on Germany Italy J Japan Jewellery Jewels Jewish Jewish Restition Successor Organisation Jewish Trust Corporation K Karinhall Kesselring, Albert Klee Kultur Kunst Kunsthalle ## Kunsthistorisches Museum, Vienna Kunstschutz L Laender Land Leonardo Liaison officer Library Linz List Loire London Loot Lord Macmillan Loss Louvre M Macmillan committee Mann, James G. Mannheimer collection Maps Market Masterpieces Matisse Memling Metternich, Franz Wolff Michelangelo Miedel, Alois Minden Ministry of supply Misappropriation Monet Monte cassino Monuments Monuments, fine arts and archives Muehlmann, Dr Kajetan Museum Mussolini, Benito N National gallery Netherlands Nsdap O Occupied territory Old masters Ornaments Overseas Reconstruction Committee P Painting Paris Pau Pétain, Henri Picasso Picture Pinakothek Poland Porcelain Posse, Hans Possessions Post-hostilities planning sub-commission Prague Prints Property Property rights Provenance R Raphael Reconstruction commission Reichsbank Relics Rembrandt Renoir Reparation Reparations, deliveries and restitution division Repository Reproduction Restitution Restitution law Restitution mission Restoration Rijksmuseum, Amsterdam Ribbentrop, Joachim von Roberts Commission Rome Roosevelt, Franklin D. Rothschild collection Royal academy of arts Rubens S Safehaven Schenker papers Schloss Sculpture Secretary of state for war Securities Seizure Seyss-Inquart, Arthur Shaef Silver Sourches Spiridon Ss Stalin, Joseph Steering committee Stocks Stout, George T Tanzenberg Library Tapestries Tate gallery Textile Theft Titian Trade Trading with the Enemy Department Transfer Treasure Trophies Tuscany U Uffizi Unidentified property UK United Nations United Restitution Office Us USSR Utikal, Gerhard V Valland, Rose Valuables Van gogh Vatican Vaucher Commission Vaucher, Paul Vermeer Victoria and Albert Museum Villa Voss, Hermann W Wallace collection Wallraf-Richartz Museum, Cologne Ward-perkins, J. B. War Loss and Damage Register Warsaw Washington Watercolour Watteau Wehrmacht Wildenstein collection Woolley, Leonard Works of art World Jewish Congress Y Yugoslavia Ziegler, Adolf Records selection, introduction and descriptions reproduced by the kind permission of the Commission for Looted Art in Europe. The National Archives gives no warranty as to the accuracy, completeness or fitness for purpose of the information provided.

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## Update Of Major Projects Over The Page Is A Summary Of The Council'S Major Projects: Please Note Before Reviewing The "Large" Project Information: - The Summary of "Large" projects will evolve over time as projects progress, are completed and new projects are initiated and is provided to inform the committee in performing its role of risk and assurance of the project management approach. - Any project that achieves a score of 80 or more out of 160 qualifies as a "Medium/Large" or Major project and is included in this list. - Executive is responsible for scheme financing/policy and Scrutiny will perform detailed reviews of any relevant project. - The status (RAG - Red, Amber or Green) is provided as an overview. (RAG description, below, as agreed at the July 2016 A&G committee) Green All the elements of delivery are within acceptable parameters with risks managed. Amber There are risks/issues with one or more elements of delivery. There is a plan in place to bring the project back within acceptable parameters and it is in the control of the project team. Red There are issues with one or more elements of delivery and there is no plan in place to mitigate or there is a plan emerging, but it is out of the control of the project team ## The Coporate Projects Portfolio Was Significantly Affected By The Unprecedented Challenges Of The Covid- 19 Pandemic During This Period | Large projects summary | Previous | |----------------------------------|-------------| | period | | | (RAG) | | | Older Person's Accommodation | | | Phase 2(ASC) | | | York Central | | | Amber | Amber | | Same | | | Castle Gateway | | | Amber | Amber | | Same | | | Local Plan | | | Amber | Amber | | Same | | | Guildhall | | | Green | Green | | Same | | | Community Stadium | | | Green | Green | | Same | | | Adult Social Care - Future Focus | | | Green | Green | | Same | | | Outer ring road (A1237) | | | Amber | Amber | | Same | | | Housing Delivery Programme | | | Amber | Amber | | Same | | | Centre of Excellence | | | Green | Green | | Same | | | Provision of School Places 2017- | | | 2023 | | | Housing ICT Programme | | | Amber | Amber | | Same | | | Smart Travel Evolution Programme | | | (STEP) | | | Flood Risk | | | Green | Green | | Same | | | City Centre Access Project | | | Amber | Amber | | Same | | | Parking Review | | | Green | Green | | Same | | | Children in Care Residential | | | Commissioning | | | Inclusion Review | | | Green | Green | | Same | | | Be Independent | | | Amber | Amber | | Same | | | Procurement of MSA and Strategic | | | Engagement Technology Partner | | | Hyperhubs | | | Amber | Green | | Better | | This period (RAG) Direction of travel Green Green Same Amber Amber Same Amber Amber Same Amber Amber Same Green Green Same ## Detailed Updates Project Title Older Persons' Accommodation Programme Phase 2 Reporting period March 2020 ## Description To provide, and ensure the provision of, a range of accommodation to address the housing (and care) needs of the city's older residents. The Council's Executive on 30th July 2015 approved the Business Case for the Older Persons' Accommodation Programme in order to prepare the city for a 50% increase in the size of the over 75 population. This will:  Deliver a 10 unit extension and refurbishment of Lincoln Court Independent living scheme  Build a 29 unit extension to the Extra Care scheme at Marjorie Waite Court, plus provide 4 bungalows on the site  Carry out community and stakeholder engagement to establish the demand for specialist older person's housing and the issues facility residents of the city in relation to age related housing.  Complete procurement of a new residential care facility as part of the wider Health and Wellbeing Campus at Burnholme; and  Encourage the development of additional residential care capacity, extra care and age related housing, supporting older people to continue to live independently in their own home.  Complete the transfer of Haxby Hall care home to a care provider who will extend and enhance the provision on site.  Review the Council's Independent Living stock to ensure it meets the needs of existing and new tenants and to seek opportunities to increase its capacity. | Overall status this period (Mar) | | Overall status previous period (Feb) | |----------------------------------------------------------------|---------------------------------------------------------------------|-----------------------------------------| | | | | | Financial | Non | Tasks | | | Scope | Quality | | | | | | Benefits | | | | | | | | Milestones | | | | | | | | Mar | | | | | | | | | | | | Feb | | | | | | | | | | | | - | | | | | The date for the transfer of Haxby Hall has now been agreed and the | | | transfer is now scheduled for 31 May 2020. | | | | | | | | | | | | | | | | | | | | Tasks & | | | | Milestones | | | | - | | | | | The Oakhaven scheme has not progressed since the initial | | | procurement. Work is now being undertaken to establish how to | | | | ensure the delivery of older person's accommodation through an | | | | alternative route. | | | | Status | | | | Explanation | | | | - | | | | | Lowfield care home procurement did not secure a developer. Work is | | | now underway to establish how the site can best deliver Older | | | | Person's Accommodation. | | | | - | | | | | All other elements of the programme are on schedule. | | ## Current Status Programme Wide 1. Plans are being developed by the Housing delivery programme for properties on Burnholme, Ordanance Lane and Duncombe Barracks. The Older Person's Accommodation Programme has been involved in determining the design, layout and home numbers to enable older people to live well in each of these developments. 2. Development of Bungalows at Lowfield Green is progressing well with these being the first phase of the development to be completed. ## Burnholme Health & Wellbeing Campus 1. Care Home Construction Progressing Well. Marjorie Waite Court Extra Care Scheme. 1. The switch over of the power supply has been completed. Both the existing and the new parts of the building are now connected to the new plant room. 2. Bathroom and communal space detail has been agreed to support those living with dementia and cognitive impairments to live well independently. 3. Residents continue to be kept informed of the work programme, 4. Improvements to the existing building being agreed with contractor and tenants. ## Lincoln Court 1. Work is progressing well on site. Topping out celebrations were held on 19th February. 2. The connection to the electricity substation is underway. 3. Adverse weather led to some work rescheduling and some internal works being carried out early. ## Haxby Hall 1. The executive have agreed to acquire properties on York Rd and lease these and Haxby Hall to Yorkare Homes. 2. Legal negotiations with Yorkare Homes are progressing well. 3. A programme of meetings with staff and residents has begun. 4. Operational arrangements are being put in place for the handover to Yorkare in the spring. ## New Independent Sector Provision 1. The partnership working with JHRT for nominations to apartments at New Lodge is going well. 2. Work is progressing well on site to construct a new care home on the former Fordlands care home site. 3. The Council's planning department is working on applications for extra care properties on Shipton Rd and a 60 bed care home in Strensall. 4. A commercial developer held a public open day showing their proposals for an extra care scheme on Tadcaster Road on 19th February. This was very well attended. - Burnholme Care Home Topping Out ceremony will take place on 11th March/11 June. - A report on the options for the Lowfield Green Older Person's Accommodation site will be discussed by the executive on 18th March. - Lincoln Court electricity supply connection will be complete. - Lincoln Court roofing will be completed. - Marjorie Wait Court residents and neighbours newsletter will be distributed. - The post of extra care change manager to support the development of the CYC extra care model prior to the opening of MWC extension will be advertised. Reports to Executive, CMT, Project Board, DMT Exec member Cllr. Carol Runciman and Cllr Denise Craghill Corporate Director of Health, Housing and Adult Social Care: Sharon Houlden Director responsible Dependencies Burnholme Health & Wellbeing Campus Capital Programme Executive July 2015 https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=88 40&Ver=4 Link to paper if it has been to another member meeting (e.g. executive, council, a scrutiny committee) Executive October 2015 - Grove House and Oakhaven Older Persons' Homes https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=88 42&Ver=4 Executive May 2016 - Delivery of Community Facilities at the Burnholme Health & Wellbeing Campus http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=8884& Ver=4 Executive July 2016 Demonstrating Progress on the Older Persons Accommodation Programme https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 03&Ver=4 Executive November 2016 (Willow house OPH) http://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MI d=9307&Ver=4 Executive December 2016 - Older Persons' Accommodation Programme Update / Burnholme Health & Wellbeing Campus: Key Decisions to further progress this development / Lowfield Green Development: Moving forward to deliver a care home, health facility and housing / Haxby Hall Older Persons' Home: A Sustainable Future https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 08&Ver=4 Executive Feb 2017 - Sale of Land at Fordlands Road as Part of the Older Persons' Accommodation Programme https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 10&Ver=4 Executive March 2017 - Oakhaven Extra Care Facility: the sale of land to facilitate the development https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 11&Ver=4 Executive March 2017 - Burnholme: the sale of land to facilitate the development of a Care Home; agreement to management arrangements for the Community & Library facilities; disposal of the Tang Hall Library site https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 11&Ver=4 Executive August 2017 - Investment in New Extra Care Accommodation for Older People at Marjorie Waite Court Following the Closure of Burton Stone Lane Community Centre https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 190&Ver=4 Executive August 2017 - A Further Phase of the Older Persons' Accommodation Programme Deciding the Future of Woolnough House Older Persons' Home . https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 190&Ver=4 Executive September 2017 - Demonstrating Delivery of the Older Persons' Accommodation Programme https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 191&Ver=4 Executive October 2017 - Disposal of Willow House, Walmgate, York https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 192&Ver=4 Executive December 2017 - A Further Phase of the Older Persons' Accommodation Programme: Deciding the Future of Windsor House Older Persons' Home https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 194&Ver=4 Executive January 2018 - Securing a Sustainable Future for Haxby Hall Older Persons' Home https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 195&Ver=4 Executive February 2018 - Disposal of Willow House http://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=101 96&Ver=4 Executive March 2018 - Investment at Lincoln Court to Create an Independent Living with Support Facility http://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=101 89&Ver=4 Executive April 2018 - Deciding the Future of Morrell House Older Persons Home http://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=101 97&Ver=4 Executive July 2018 - Delivering Improved Sports and Active Leisure Facilities at Burnholme https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 470&Ver=4 Executive September 2018 - Demonstrating Delivery of the Older Persons' Accommodation Programme and Preparing for Further Action https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 472&Ver=4 Executive November 2018 - A Further Phase https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 474&Ver=4 Executive March 2019 - Investment in the Redevelopment of Lincoln Independent Living Scheme https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11 469&Ver=4 Executive January 2020 - The Transfer and Transformation of Haxby Hall Care Home (by way of long lease) and associated land transactions. https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11 115&Ver=4 Executive March 2020 - Lowfield Green: Responding to Older Persons' Accommodation Needs. https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11 117&Ver=4 ## Project Title York Central Reporting period March 2020 Description York Central is a key strategic development site for economic growth and housing delivery for the city. The majority of the land is in the ownership of Network Rail and Homes England. CYC have a role to play in de-risking the site and accelerating delivery with public sector partners. In recent months, the site and the opportunity it presents have been positioned at all levels of Government as a priority site for support to enable delivery of locally-led regeneration and development schemes. The capacity for the site to contribute to the achievement of the local plan housing targets is also a key consideration. Overall status this period (Mar) Overall status previous period (Feb) | | | | | | Financial | Non | Tasks | | | |--------------------------------------------------------------------------|--------------------------------------------------------------------------|---------|-------|-----------|--------------|-----------|----------|-------|--------| | | Scope | Quality | Costs | Resources | Benefits | Financial | & | Risks | Issues | | | | | | | | | | | | | Benefits | | | | | | | | | | | | | | | | | | | | | | Milestones | | | | | | | | | | | | | | | | | | | | | | Mar | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | Feb | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | Tasks | | | | | | | | | | | & | | | | | | | | | | | - | | | | | | | | | | | | The programme is driven by partner organisational delivery | | | | | | | | | | imperatives and funding availability. The programme indicates | | | | | | | | | | | that milestones are achievable but there is very little float/ scope for | | | | | | | | | | | slippage and the project is complex with many communities of | | | | | | | | | | | interest. | | | | | | | | | | | | | | | | | | | | | | Milestones | | | | | | | | | | | Status | | | | | | | | | | | - | | | | | | | | | | | | The project remains on target to deliver infrastructure works to funding | | | | | | | | | | deadlines and housing/economic benefits to City. | | | | | | | | | | | | | | | | | | | | | | Explanation | | | | | | | | | | | | | | | | | | | | | | - | | | | | | | | | | | | City of York Council and WYCA have released additional funding | | | | | | | | | | whilst the HIF announcement is awaited, to support scheme off plot | | | | | | | | | | | infrastructure detailed design and Reserved Matters Planning | | | | | | | | | | | Application. | | | | | | | | | | | | | | | | | | | | | | Risks | | | | | | | | | | | Status | | | | | | | | | | | Explanation | | | | | | | | | | | | | | | | | | | | | | Risks associated with the project are complex and interdependent. Active | | | | | | | | | | | risk management is ongoing. | | | | | | | | | | | Issues | | | | | | | | | | | Status | | | | | | | | | | | Planning RMA submission March 2020, Partnership Agreement to be | | | | | | | | | | | signed, S106 to be signed, and HIF funding awaited. | | | | | | | | | | | Explanation | | | | | | | | | |  The Outline Planning Application was approved by Planning Committee in March 2019. The Reserved Matters Application for phase 1 off plot infrastructure is being prepared and will be submitted in March 2020.  Public Engagement on the RMA commenced in February 2020.  John Sisk Ltd have been appointed as infrastructure delivery partner for Phase 1 Infrastructure, they have reported on Buildability issues and these have been approved by Board for development into the Stage 4 Design.  The WY+TF Full Business Case has been conditionally approved by WYCA.  The Outline Planning Application was approved by Planning Committee in March 2019.  The Reserved Matters Application for phase 1 off plot infrastructure is being prepared and will be submitted at the end of March 2020.  Public Engagement on the RMA will continue through March 2020.  John Sisk Ltd have been appointed as infrastructure delivery partner for Phase 1 Infrastructure, they have reported on Buildability issues and these have been approved by Board for development into the Stage 4 Design which is underway.  The WY+TF Full Business Case has been conditionally approved by WYCA.  TCF SOC for accessible Western Station Entrance being submitted Reports to York Central government structures and the Executive. Exec member Cllr Keith Aspen Neil Ferris - Corporate Director of Economy and Place Director responsible Dependencies Local Plan Policy, Economic Strategy, City Transport Policy and external funding bids. Executive December 2015 - York Central and Access Project http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=8844& Ver=4 Executive July 2016 - York Central http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=9303& Ver=4 Link to paper if it has been to another member meeting (e.g. executive, council, a scrutiny committee) Executive November 2016 Consultation on access options / Third party acquisitions http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=9307& Ver=4 Executive July 2017: Project and Partnership Update http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10188 &Ver=4 Executive November 2017 - Preferred Access Route and Preparation for Planning http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10193 &Ver=4 Executive March 2018 - York Central Access Construction http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10189 &Ver=4 Executive June 2018 - Masterplan and Partnership Agreement http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10469 &Ver=4 Decision Session August 2018 - York Central Design Guidelines http://modgov.york.gov.uk/ieListDocuments.aspx?CId=875&MID=10847 #AI49619 Executive August 2018 York Central Update - Western Access http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10471 &Ver=4 Executive November 2018 - York Central Enterprise Zone investment Case http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10474 &Ver=4 Executive January 2019 York Central Partnership Legal Agreement http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10476 &Ver=4 Executive July 2019 - York Central Partnership Update http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11107 &Ver=4 Executive October 2019 - Update http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11111 &Ver=4 ## Project Title Castle Gateway Reporting Period March 2020 Description City of York Council (CYC) are one of the principal land owners in the area around Piccadilly, the Eye of York, St George's Field and the Foss Basin. This area is being referred to as the "Castle Gateway" and many parts of the area are underused, semi derelict or of poor quality. Many of the properties are for sale or owned by investors and there is a risk that the area will continue to be blighted or that important sites will be developed in a piecemeal manner. The area is urgently in need of a fresh vision to improve the locality and create a socially and economically sustainable future. As the principal landowner, CYC will be instrumental in delivering a joined-up regeneration of the area which will maximise social and economic benefits for the City. | Overall status this period (Mar) | | Overall status previous period (Feb) | |---------------------------------------------------------------------------|-------|-----------------------------------------| | | | | | Financial | Non | Tasks | | | Scope | Quality | | | | | | Benefits | | | | | | | | Milestones | | | | | | | | Mar | | | | | | | | | | | | Feb | | | | | | | | | | | | | | | | Financial | | | | Benefits | | | | Status | | | | Explanation | | | | A GVA assessment of the proposed masterplan has been undertaken by | | | | WYCA. They assess the GVA benefits of the proposals to be £360m for | | | | the Leeds City Region. However, realising these benefits is dependent on | | | | the successful delivery of the whole masterplan which will require | | | | significant investment from the council and other public bodies. | | | | | | | | | | | | Risks Status | | | | Explanation | | | | This is a complex project to deliver an ambitious masterplan, and as such | | | | it has significant risks to its delivery. A detailed risk workshop | | | | was facilitated by Veritau in September and the risk register has | | | | been fully overhauled and updated. Whilst mitigation and monitoring of | | | | these risks is being undertaken, the project is likely to remain at risk | | | | throughout delivery. | | | | Issues | | | | Status | | | | Explanation | | | | | | | | Issues remain under review. | | | | | | | Delivery strategy - Work is progressing on preparing the tender documents to procure construction partners for the projects in phase one. The successful contractors will undertake the RIBA stage 4 design of St George's Field and Castle Mills and provide a tender price for the build phase. These tender submissions will then enable the Executive to make an informed decision based on actual costs before drawing down the full budget in late 2020. A further report will also be brought back to Executive in the summer of 2020, setting out the proposed delivery model for 17-21 Piccadilly, and the business case and funding strategy for phase two of the masterplan - the new public realm to replace Castle Car Park. Castle Mills - The planning application was submitted in November. Due to the proximity of the new riverside park to the flood zone, the Environment Agency have requested further technical information to allow them to formally comment on the application. A meeting with the Environment Agency was due to take place in February but was postponed until March due to their capacity being taken up by responding to the recent floods. Due to that delay it is anticipated that the application will now be considered at May 2020's planning committee. St George's Field - The planning application for the multi-storey car park was submitted in mid-September. The majority of issues with the application have now been resolved. However, as the application is to be considered at the same planning committee as Castle Mills it is expected to be determined in May 2020. West Yorkshire Transport Fund - the strategic outline case to the West Yorkshire Transport Fund for the junction improvements and other highway interventions in the Castle Gateway was approved in February. This is a key funding source for the delivery of the Castle Gateway masterplan and work can now proceed to outline and full business case stages. Public engagement - The public brief which will shape the new public space at Castle car park has now been published and is open to public comment. This brief is the result of the events that took place in 2019. Castle Gateway events - a lease has been agreed for the Cbeebies roadshow to take place on Castle Car Park in September 2020. The announcement has attracted significant positive publicity and again showcases the potential of the space to be used in the future for events. St George's Field and Castle Mills - Officers will continue to respond to any comments or objections relating to the planning applications and will work with planning officers to resolve any issues to ensure the successful achievement of planning permission. Phase one delivery - the tender documents will be finalised to allow the procurement of contractors to undertake the detailed design and provide a final price for the construction of St George's Field and Castle Mills. 17-21 Piccadilly - the RIBA stage 2 design work will commence to ascertain the development capacity of the site and allow a decision as to whether the council should proceed with development or dispose to the market to deliver. A proposed 2 year extension of Spark: York's lease - subject to planning - was approved in February by the Executive Member for Finance and Performance to allow the site to remain in use until it is ready for redevelopment. This extension will only commence once they have complied with all outstanding planning issues relating to the site. Reports to The Executive sponsor for the Castle Gateway is the Leader of the Council in his remit as Executive Member for Finance and Performance. The Executive have approved a whole series of recommendations over the last three years to advance the project, with delivery of these being the responsibility of the Castle Gateway Working Group. This working group was established in January 2017 and serves as the project board and meets on a monthly basis. It is chaired by the Director for Economy and Place, and the wider interests of the council are represented by the Assistant Directors for Regeneration and Asset Management; Planning and Sustainable Development; and Transport, Highways and the Environment. The group also has Heads of Service for legal, finance and property. The working group is the key interface point with wider stakeholders, with the project manager and Assistant Director for Regeneration and Asset Management chairing the Castle Gateway Advisory Group (which consists of key stakeholders and principal custodians of the city) and the My Castle Gateway public engagement partnership. The interests of the formal partnership with York Museums Trust will also be represented by the same individuals and outcomes and decisions fed back in to the working group. The Castle Gateway project manager has defined expenditure levels under the Council's Contract Procedure Rules. Any decisions that are outside the remit of previous recommendations from the Executive are taken to the appropriate decision making route as set out by the council's governance and decision making framework. Dependent on the nature and scope of the issue this may be an officer decision, Executive Member decision, or require a full Executive decision. Exec member Cllr Nigel Ayre Neil Ferris - Corporate Director of Economy and Place Director responsible Dependencies Local Plan Policy, City Transport Policy Executive October 2015 - York's Southern Gateway http://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=884 2&Ver=4 Link to paper if it has been to another member meeting Executive November 2016 - Land Assets on Piccadilly https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 07&Ver=4 Executive January 2017 - Update York Castle Gateway https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 09&Ver=4 Executive August 2017 - Proposed Temporary Use of Part of Castle Car Park https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 190&Ver=4 Executive April 2018 - Castle Gateway Masterplan http://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=101 97&Ver=4 Executive October 2018 - Proposed Temporary Uses of Part of Castle Car Park https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 473&Ver=4 Executive October 2019 - Update http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11111 &Ver=4 Executive January 2020 - Castle Gateway Phase One Delivery Strategy https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11 115&Ver=4 ## Project Title Local Plan Reporting Period March 2020 Description The 'Local Plan' is a citywide plan which sets the overall planning vision and the spatial land use strategy for the city. It provides a portfolio of both housing and employments sites for at least a 15 year period and will set the Green Belt boundaries for York. In addition it incorporates both policies and approaches to set the context for development management decisions. Effectively, it sets out the opportunities and policies on what will or will not be permitted and where, including new homes and businesses. The Local Plan must be accompanied by an infrastructure delivery plan setting out the Council's approach to strategic infrastructure and its funding. All housing and employments sites included must be viable and deliverable this is directly linked to future approaches to planning gain i.e. CiL and S106. In response to both the Council resolution in autumn 2014, and the changed national and local context, officers have initiated or a series of work streams to inform the next stages of plan production. This relates to housing need, economic growth and the related need for employment land, and detailed site assessments. The production of the plan has to be in accordance with statute and national guidance. This includes a legal requirement to work with neighbouring authorities. It also means that the plan must be subject to Sustainability and Environmental Assessments. It will also ultimately be subject to an independent examination by a government inspector. | Overall status this period (Mar) | | Overall status previous period (Feb) | |--------------------------------------------------------------------------|-------|-----------------------------------------| | | | | | Financial | Non | Tasks | | | Scope | Quality | | | | | | Benefits | | | | | | | | Milestones | | | | | | | | Mar | | | | | | | | | | | | Feb | | | | | | | | | | | | Scope | | | | Status | | | | Take the Local Plan through examination in public (EIP) and to adoption | | | | as statutory development plan for York. | | | | Explanation | | | | Costs | | | | Status | | | | | | | | Cost associated with EIP, modifications consultation and adoption. | | | | Explanation | | | | Tasks & | | | | Milestones | | | | Status | | | | Appointed planning inspectors are undertaking an independent | | | | examination of York's Local Plan. Initial hearing sessions took place at | | | | York Racecourse from 10th to 18th December 2019. | | | | Explanation | | | ## Risks Status Risks associated with examination of Local Plan by Planning Inspectorate. ## Explanation Current Status Appointed planning inspectors have completed phase 1 of the examination of York's Local Plan. The initial hearing sessions took place at York Racecourse from 10th to 18th December. More information about the hearings is available to view at: www.york.gov.uk/localplanexamination The Local Plan sets strategic priorities for the whole city and forms the basis for planning decisions; it must be reviewed at regular intervals to be kept up to date. The first phase hearing sessions covered the strategic principal matters identified by the inspectors including:  legal compliance  housing need and  the York Green Belt. The inspectors took into account the comments submitted to-date, as far as they related to soundness considerations such as whether the plan is justified, effective and consistent with national policy. Following the submission of the required 'homework' items discussed in the Phase 1 hearing sessions it is anticipated that the Inspector will issue the Council with an interim Inspectors report in March 2020. Further phase 2 hearing sessions on the remainder of the Plan will then be requested by the Inspector but the timing of these is dependent on the outcome of the phase 1 Inspectors report. Reports to Executive, Local Plan Working Group Exec member Cllr. Keith Aspden, Cllr Andrew Waller and Cllr Nigel Ayre Neil Ferris - Corporate Director of Economy and Place Director responsible Dependencies Deliverability of York Central Executive July 2015 https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=88 40&Ver=4 Link to paper if it has been to another member meeting Executive June 2016 City of York Local Plan - Preferred Sites Consultation http://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=919 1&Ver=4 Executive December 2016 - Update on Preferred Sites Consultation and Next Steps https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 08&Ver=4 Executive January 2017 - Update on Local plan https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 09&Ver=4 Executive July 2017 https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 188&Ver=4 Local Plan Working Group January 2018 http://democracy.york.gov.uk/documents/s120857/LP%20LPWG%20FI NAL%20REPORT.pdf Executive January 2018 - Update https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 195&Ver=4 Executive May 2018 City of York Local Plan - Submission https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 198&Ver=4 Executive September 2018 Supplementary Planning Documents to support the emerging York Local Plan https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 472&Ver=4 Executive March 2019 - Update https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 479&Ver=4 Project title The Guildhall Reporting period March 2020 Description City of York Council vacated the Guildhall in April 2013, moving to West Offices as part of the Admin Accommodation programme, in order to make approx. £1m pa savings. An evaluation of potential future uses had already been undertaken, and following further feasibility work and review a decision on the Future of the complex was taken by Executive in October 2015. Approval was granted for detailed project development work to secure the future of the Guildhall as a serviced office venue; with virtual office and business club facilities, maximising the benefits of the different spaces within the complex, its heritage appeal, and also ensuring ongoing council use and public access in a mixed use development. Overall status this period (Mar) Overall status previous period (Feb) | | | | | | Financial | Non | Tasks | | | |----------------------------------------------------------------------------|-------|---------|-------|-----------|--------------|-----------|----------|-------|--------| | | Scope | Quality | Costs | Resources | Benefits | Financial | & | Risks | Issues | | | | | | | | | | | | | Benefits | | | | | | | | | | | | | | | | | | | | | | Milestones | | | | | | | | | | | | | | | | | | | | | | Mar | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | Feb | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | Tasks & | | | | | | | | | | | Milestones | | | | | | | | | | | Status | | | | | | | | | | | Explanation | | | | | | | | | | | Obstacles encountered during the jack piled section of the underpinning | | | | | | | | | | | have delayed the operation requiring alternative approach to core | | | | | | | | | | | through the obstructions, initial coring of the first of the three pile | | | | | | | | | | | locations on the critical path has been successful the jack piling through | | | | | | | | | | | the cored hole was also successful the remaining 2 piles will be | | | | | | | | | | | attempted on Monday the 9th of March, we are reasonably confident that | | | | | | | | | | | these piles will be successfully completed allowing the north range | | | | | | | | | | | demolition to proceed. | | | | | | | | | | |  | | | | | | | | | | | | | | | | | | | | | | The construction budget is now set. | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | Risks Status | | | | | | | | | | |  | | | | | | | | | | | | | | | | | | | | | | The contract has now moved into the construction phase, a | | | | | | | | | | | collaborative risk workshop has been undertaken and a revised risk | | | | | | | | | | | register has been agreed. | | | | | | | | | | | Explanation | | | | | | | | | | |  | | | | | | | | | | | | | | | | | | | | | | The underpinning of the north range is well advanced and this risk | | | | | | | | | | | should hopefully be removed by the next reporting date. | | | | | | | | | | |  | | | | | | | | | | | | | | | | | | | | | | The river conditions posed a high level of risk for crane erection, the | | | | | | | | | | | levels are less critical for daily use of the river hence the lowering of | | | | | | | | | | | the risk to amber. | | | | | | | | | | ## Current Status Statutory Consents / Approvals  Executive approval February 2019 to advance to the construction stage.  Planning and LBC approvals granted 16 Feb 17.  Executive approval for scheme delivery 16 Mar 2017.  Full Council approval of budget requirement 30 Mar 2017.  Grant Agreement letter signed with WYCA 7 Apr 2017 securing £2.347m of LGF funding from LCR LEP to support project delivery. ## Project Progress Construction Commenced On The 16Th Of September 2019. Future Outlook.  Complete the North Range Underpinning, Demolish the North Range Annexe, and commence the south range substructure. Reports to The Guildhall board reports to Economy and Place DMT and PM updates Executive member and Executive when required for updates and approvals. Exec member Cllr Nigel Ayre Neil Ferris - Corporate Director of Economy and Place Director responsible Dependencies Local plan Executive October 2015 - The Future of York's Guildhall & Riverside http://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=884 2&Ver=4 Scrutiny - 13 June 2016 http://modgov.york.gov.uk/ieListDocuments.aspx?CId=144&MId=9420& Ver=4 Link to paper if it has been to another member meeting (e.g. executive, council, a scrutiny committee) Exec July 2016 - Detailed Designs & Business Case http://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=930 3&Ver=4 Executive March 2017 - The Development of the Guildhall Complex https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 11&Ver=4 Executive May 2018: The Development of the Guildhall Complex https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 198&Ver=4 Executive February 2019: Redevelopment Tender Evaluation & Project Business Plan Appraisal https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11 007&Ver=4 ## Project Title Community Stadium Reporting Period March 2020 Description The Community Stadium project will deliver a new football and rugby stadium for professional sport and community sport and leisure facilities for the city of York. The project also includes a new athletics facility for use by York Athletic Club as well as many community uses and work with community partners. The core project objectives are to provide a new Community Stadium within a new leisure facility complex on the grounds of the existing Huntington Stadium / Waterworld swimming pool. This project represents an opportunity to create one of the country's most far reaching community stadium complexes. | Overall status this period (Mar) | | Overall status previous period (Feb) | |---------------------------------------------------------------------------|------------------------------------------------------------------------|-----------------------------------------| | | | | | | | | | | Scope | Quality | | | | | | Mar | | | | | | | | | | | | Feb | | | | | | | | | | | | Costs | | | | Status | | | | Explanation | | | | - | | | | | Adoption and design issues with the site road and drainage could lead | | | to delay and increased cost. Outcome of any claim for time and delay | | | | could result in additional cost. Commercial land receipt awaiting | | | | confirmation of further tenants. | | | | | | | | | | | | | | | | | | | | | | | | Tasks & | | | | Milestone | | | | Status | | | | - | | | | | Build delay confirmed which moves the summer 2019 completion and | | | subsequent handover to an early 2020 opening. This is due to a | | | | number of build factors and the extent is still to be fully determined. | | | | Delay confirmed by the construction company, this means the | | | | previously reported summer 2019 opening can no longer be achieved. | | | | Full testing and commissioning programme to be completed early | | | | 2020. This is now ongoing. | | | | Explanation | | | | | | | | - | | | | | Licensing, commissioning, testing and certification of the site is | | | ongoing and opening will follow the certificated completion of these | | | | requirements. | | | | | | | | | | | | | | | | | | | | Risks | | | | - | | | | | Build completion is behind schedule with mitigation measures and | | | impacts still being assessed by the consortium. Completion and | | | | opening is now early 2020. Full extent of the delay is still to be | | | | confirmed. Commissioning and testing period through early 2020 now | | | | ongoing and started 6 January 2020. | | | | Status | | | | Explanation | | | | - | | | | | The commercial development has made a number of changes to the | | | build and fit out of the structure. This has meant a re-timed opening for | | | | the commercial element from July 2019 to December 2019 onwards | | | | with several units opening through 2020. | | | | | | | | | | | | - | | | | | Issue of the highways works is significant but is now being progressed | | | to completion. | | | | | Financial | Non | Tasks | | |------------|--------------|--------|----------|--------| | Benefits | Financial | & | Risks | Issues | | | | | | | | Benefits | | | | | | | | | | | | Milestones | | | | | | | | | | | Issues Status - Site is subject to delay, however, testing and commissioning is now ongoing, started 6 January 2020 with site delivery early 2020. Explanation - NHS design and build is progressing to completion. In the last six months of the project progress has been made as follows:  Internal fit outs are ongoing.  Tenant now secured for the lantern unit with legal agreements ready for execution.  Additional tenant for the lantern remainder area now being progressed as well as gym usage.  Build delay now confirmed on the stadium and leisure site with delay currently being notified by the GLL consortium. This is subject to further review and scrutiny. Confirmation of full delay and completion is awaited from GLL.  Original deadline of May 2019 for build completion has passed.  Build main structures are all complete, and commissioning and testing programme started early 2020.  Pitch construction now complete.  Floodlights all in and complete.  All 3 pools complete.  Seats now complete in all stands.  Sponsorship and naming rights contract complete and approved.  Cinema complete and open as of December 2019.  Starbucks restaurant complete and open as of December 2019.  External site works to complete early 2020. The next steps for the project are as follows:  Completion of the road and connections early 2020.  Completion of the commercial build early 2020.  Snagging for all stadium and leisure areas ongoing through early 2020.  Confirmation of tenants for the commercial unit early 2020.  Lantern tenant now confirmed with additional tenant now progressing.  Stadium and leisure site build completion early 2020.  Commercial tenants fit out July 2019 to June 2020.  Stadium, Leisure and Hub Tenant fit out expected early/ mid 2020.  Stadium and Leisure Site predicted open and operational early 2020.  Commercial site Cinema opened December 2019, rest to follow in 2020. Reports to Project team report to the Director of Finance and prepare reports to the project Board. The project Board Chair updates Exec and Full Council when needed. Subject to Audit and Governance scrutiny. Exec member Cllr. Nigel Ayre Ian Floyd - Deputy Chief Executive & Director of Customer & Corporate Services Director responsible Dependencies Yearsley review. The continued operation of Yearsley is Potentially linked to the DBOM contract proposed. Full Council March 2016 http://modgov.york.gov.uk/ieListDocuments.aspx?CId=331&MId=8836& Ver=4 Executive December 2016 - Update report http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=9308& Ver=4 Link to paper if it has been to another member meeting (e.g. executive, council, a scrutiny committee) Executive March 2017 http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=9311& Ver=4 Executive July 2017 - Community Stadium & Leisure Facilities Report http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10406 &Ver=4 Executive October 2017 - Project Report http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10192 &Ver=4 Executive September 2018 - Project Update http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10472 &Ver=4 ## Project Title Asc - Future Focus Reporting Period March 2020 Description Demand for Adult Social Care rises each year. People are living longer into old age requiring support, there are more people living longer with complex long term conditions and there are increasing numbers of young adults in transition to adult services with complex needs. This increased demand for services coincides with significant financial pressure arising from reduced Local Authority funding, legislative changes driven by the Care Act and an increased public expectation of Adult Social Care and rightly an expectation of high quality, personalised and flexible support for those who are eligible for care. The goal of health and care services is to help older, vulnerable or disabled adults who have ongoing support needs to live well and have a good life. A "good life" means living independently at home wherever possible, with opportunities to spend time with other people and to do things which are meaningful to that individual. Current ways of supporting adults do not consistently result in everyone achieving all of their goals and living well where they want to live. People and families are not always helped enough to look after themselves and each other. Services can be overly paternalistic and lack the choice and control that services users rightly demand. Social care is often a vital part of enabling people to live independent lives but it is far from being the only component to enable people to live fulfilled lives. We must be ready to have different conversations which take full account people's assets, strengths, knowledge and skills to build and harness the contributions of people, their personal networks, social capital and their local communities. This will support greater wellbeing and independence. The nature and scale of these challenges requires a fundamental shift in how Adult Social Care is delivered to ensure financial sustainability and to help those with social care needs, their families and carers have a better quality of life. There is an emerging consensus that community based models of social work based on Asset Based Conversations that will support a collaborative approach alongside communities, families and carers are the most effective way to approach the challenges outlined above. A review of national best practice and emerging evidence to identify the elements of such approaches that are likely to be of key importance for any operating model that seeks achieve both improved lives and financial sustainability for Adult Social Care. To be successful this will entail: Changing culture and reducing bureaucracy, with an emphasis on having deeper and more specific conversations based upon what people, their families and carers want in terms of their outcomes; Focussing on maximising the Assets, Skills Knowledge and Strengths of individuals and their communities in maintaining health, wellbeing and independence and thereby helping people develop and maintain skills that will maximise their independence in the long term; Reaching people earlier and being more accessible in local communities; Helping people access community solutions and improve their connections with others to reduce isolation and loneliness; Emphasising the importance of being highly responsive when people are in crisis and developing a plan that helps them to regain as much independence as possible; Making the best use of digital and technological solutions to support employees to be more effective and efficient in their work, and help people lead independent lives. Working closely with Community and Health Partners to make best use of resources and ensure that people receive the right care, in the right place at the right time. Overall status this period (Mar) Overall status previous period (Feb) | | | | | | Financial | Non | Tasks | | | |------------|-------|---------|-------|-----------|--------------|-----------|----------|-------|--------| | | Scope | Quality | Costs | Resources | Benefits | Financial | & | Risks | Issues | | | | | | | | | | | | | Benefits | | | | | | | | | | | | | | | | | | | | | | Milestones | | | | | | | | | | | | | | | | | | | | | | Mar | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | Feb | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |  The project has continued to prepare for moving to a business as usual footing.  Benefits realisation work has begun through a Strength Based / Holistic review of all cases.  Resources have been agreed to manage ongoing requirements and benefits post project.  The project will move to a business as usual footing by the end of the month.  Resources are planned to move into BAU to manage ongoing changes and to support the delivery of planned benefits.  Project closure report will be delivered to project sponsor and project owner by 31 March 2020. Reports to The Programme uses existing Management Structures in the HHASC Directorate and uses DMT as its Programme Board. Exec member Cllr. Carol Runciman Sharon Houlden: Corporate Director of Health, Housing and Adult Social Care Director responsible Dependencies Market development, Comprehensive Information, Advice and Guidance for ASC Executive Sept 2016 - Progress toward a new Operating Model for Adult Social Care http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=9305& Ver=4 Additional Adult Social care Support and Resources Executive May 2018 http://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10198&Ve r=4 Link to paper if it has been to another member meeting (e.g. executive, council, a scrutiny committee) ## Project Title Outer Ring Road (A1237) Reporting Period March 2020 Description This project combines the previously separate schemes - YORR roundabout upgrades & YORR dualling (phase 1). This project has already delivered an upgrade of the Wetherby Road roundabout in 2018/19 to the new standard 3 lane approaches and 2 lane exits on the A1237. This project will continue by upgrading the stretch of the A1237 to dual carriageway standard between the A19 junction and Little Hopgrove junction, including the upgrade of the 5 roundabouts on this stretch to the standard already set by the Wetherby Road upgrade. This project will increase the capacity of the ring road, particularly of the roundabouts being upgraded, to reduce orbital and radial journey times. The A1237 roundabout at Great North Way will also be improved as part of this project (although this lies outside the stretch which is to be dualled). Overall status this period (Mar) Overall status previous period (Feb) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Mar Feb Tasks & Milestones Status The combined scheme is now being addressed in various disciplines however there is slight slippage on the programme presented in autumn 2019. Explanation Risk Status Risks are being monitored daily. Explanation Issues Status Explanation The project is to be amalgamated with the proposals for dualling the A1237. This issue means that the most efficient manner of joining the two schemes is being considered. 1. The report about combining the Dualling with the Junction Improvement Scheme was accepted by CYC Executive in Feb 2020. 2. As a consequence of 1 above, the two schemes are being amalgamated and re-organised to proceed in the most efficient manner. 3. Negotiations with landowners to attempt to purchase land continue. 4. Development of a new procurement strategy and working with Procurement and Legal Depts to ensure compliance. 5. A meeting took place with funding partners (WYCA & DfT) to co-ordinate governance on the joint scheme. 6. Developing public engagement strategy. 7. Met with Earswick Parish Council & J Sturdy MP about the proposed dualling. 8. Held a meeting about overarching design issues e.g. speed limits and drainage. 1. Continue to attempt to purchase land by private agreement. 2. Prepare report to April CYC Executive about procurement and public engagement strategy. 3. Prepare and develop statutory undertaker engagement plan. 4. Make preparations for undertaking a tree survey to incorporate the combined scheme. 5. Liaise with CYC Planning Authority about pre Planning Application process. 6. Commence engagement with Network Rail about proposed Scarborough Line Bridge. Reports to Project reports into the Transport board, Project Board and Lead Members Board Exec member Cllr Andy D'Agorne Director responsible Neil Ferris - Corporate Director of Economy and Place Dependencies LTP4, Local plan Executive West Yorkshire Transport Fund - 24 November 2016 http://democracy.york.gov.uk/documents/s110381/WYTF%20Exec %20Nov%202016%20v5.pdf Link to paper if it has been to another member meeting (e.g. executive, council, a scrutiny committee) Executive July 2017 - Proposed York Outer Ring Road Improvements / Approach to Deliver https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId =10188&Ver=4 Executive December 2018 A1237 Outer Ring Road - Dualling Update https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId =10475&Ver=4 Executive September 2019 York Outer Ring Road Improvements Update https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId =11109&Ver=4 Executive February 2020 - Dualling from A19 Rawcliffe to A64 Hopgrove https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId =11116&Ver=4 ## Project Title Housing Delivery Programme Reporting Period March 2020 Description The accelerated delivery of mixed tenure housing across multiple sites in the city. Overall status this period (Mar) Overall status previous period (Feb) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Mar Feb Financial Status Explanation High level financial modelling has been undertaken to inform the delivery programme. Risks remain around build costs for the remainder of the programme as well as sales receipts from open market and shared ownership homes. Non Financial Status Commitment to deliver added social value through the Housing Delivery Programme. This needs to be embedded into all design and construction work and the sales and lettings process. Explanation Risks Status Explanation Detailed risk register has been formulated to identify all key risks, assign responsibilities and determine potential mitigation measures.  Construction work continues at Lowfield. The site set-up is complete and initial infrastructure work and housing foundation works are underway. Brickwork on the first few homes is now up to damp proof course.  Design work has continued at Burnholme, Duncombe Barracks and the Ordnance Lane sites. Regarding the Ordnance Lane site, two public engagement events have taken place and been very well attended. This consisted of a full day design workshop and an evening follow up event. At Duncombe Barracks an evening event has taken place to keep residents up to date on progress and to obtain views.  A procurement process to appoint external conveyance support has taken place and is close to completion.  A public engagement event will take place at Burnholme to update local residents and stakeholders on the development of the plans for the site and to obtain their views.  Design work will continue at Burnholme, Duncombe and Ordnance Lane. Discussions with key stakeholders will increase as plans start to be firmed up and plans are made for preparing planning applications.  Business case work will increase as the financial and social implications of the proposed developments are brought together in advance of preparing a report for Executive. Risks will be re-assessed and mitigated where possible.  A contract will be signed with the conveyance company following the recent procurement process. Reports to Project team consisting of officers at the council who will advise on specialisms such as legal, housing, finance, and procurement. This project team feeds into the Housing Delivery Programme Board, which consists of senior officers and managers. The board guides decisions shaping the programme, setting objectives, scope, and timelines for projects. The board reports into the HCA as part of the partnership arrangement as well as One Public Estate. When milestones are met the programme will report into 'Capital and Asset Board' and 'Health, Housing and Adult Social Care' and 'Employment and Place' Management Teams for coordination and major project issues. Decisions taken by the Council Management Team followed by Executive. Exec member Cllr. Denise Craghill Director responsible Sharon Houlden: Corporate Director of Health, Housing and Adult Social Care Dependencies None March 2017 Executive Meeting https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 11&Ver=4 December 2017 Executive Meeting - Delivering Health and Wellbeing facilities for York - Establishing a Delivery Model and the Scope of the Programme Link to paper if it has been to another member meeting (e.g. executive, council, a scrutiny committee) - Delivering the Lowfield Scheme https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 194&Ver=4 July 2018 Executive Meeting - Proposals https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 470&Ver=4 October 2018 Executive Meeting - Duncombe Barracks, Burton Stone Lane https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 473&Ver=4 January 2019 Executive Meeting- Building More Homes for York - removal of the HRA borrowing cap https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 476&Ver=4 ## September 2019 Executive Meeting - Housing Delivery Programme Update Https://Democracy.York.Gov.Uk/Ielistdocuments.Aspx?Cid=733&Mid=11109& Ver=4 ## Project Title Centre Of Excellence Reporting Period March 2020 Description City of York Council with its partners are planning to: a. Deliver a feasibility study to explore the opportunities and benefits of building a Specialist Disabled Children Short Break Facility in York. b. To expand the Family Intensive Rapid Support Team (FIRST) to incorporate a therapeutic short break residential element and to explore the opportunities and benefits of increasing the service offer to neighbouring Local Authorities across the region. The project is part of the wider development of services for disabled children and young people across the city and provides the council with an opportunity to:  Invest capital in developing a 'Disability Centre of Excellence' which has the potential to be a leader in innovative practice both regionally and nationally.  Make York Home for more disabled children and young people by reducing out of Area placements.  Develop and invest in service provision in order to generate future savings and income generating potential.  Deliver better outcomes for disabled children and young people including those with the most complex needs. FIRST is a specialist Clinical Psychology led service that supports families with children/ young people who have a learning disability, autism and the most complex behavioural needs. FIRST provides intensive assessment and intervention for children and their family at the point of potential placement breakdown. The proposed Specialist Disabled Children Short Break Facility would potentially incorporate and replace the short break residential provision currently provided at The Glen and Glen House. Overall status this period (Mar) Overall status previous period (Feb) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Mar Feb ## Current Status Finance  Client contingency is being monitored closely to ensure risk items and provisional sums remain within contingency budget.  There is an agreed payments schedule, linked to build milestones to draw down NHSE Transforming Care Capital Grant. ## Risks  Substation risk has been closed. Legal agreement between all parties has been resolved and planning application is agreed.  There is certainty to drainage risk. Additional costs have been agreed and plans put in place to mitigate the programme delays.  Ground risks highly unlikely to materialise.  Inclement weather remains a risk to the construction timetable until the development is watertight ## **Programme**  Project end date has been updated to reflect finish when new service is open  Push to mitigate delay to programme caused by drainage redesign, all other elements of programme are on or ahead of schedule  Substructure; steel frame system installed; underfloor heating and floor screed in place; roof to be sealed early March  Delay to roof installation due to inclement weather has not affected completion date ## Communication And Engagement  First brick was laid by children who will use the new centre  Regular residents newsletter agreed and circulated  Email address promoted for public to contact the project team ## School Playing Fields  Development of the school playing fields at the back of the school as a mitigation measure for playing fields used at the front has been completed on time and budget. ## Legal  All outstanding legal issues have been agreed. ## Governance  Risks and decisions are being monitored, recorded and agreed through quarterly Project Board.  System established for decisions to be made outside of meetings  Building to be sealed and watertight in early March and first fix due to complete in mid-April  Liaison between Service and contractor to identify items of furniture and equipment which are a) within the contract; b) to transfer or c) to be purchased  Finalise specifications and costs for Provisional Sum items  Continued robust monitoring of budgets for construction and fit-out elements of the project  Partnership to collaborate with children and parents to develop arts proposal and bid to Arts Council for delivery funding Reports to  The project is accountable to a Project Board chaired by Amanda Hatton - Director CEC.  The project Board contains representation from Children's Social Care, Health, Education, Adult Services and Finance.  The project Board is accountable to CEC DMT chaired by Amanda Hatton, Director of Children, Education and Communities.  The project Sponsor is Amanda Hatton. Exec member Cllr Ian Cuthbertson Director responsible Amanda Hatton - Corporate Director of Children, Education and Communities Dependencies None Executive August 2017 - Re-Commissioning a Short Break Service for Adults with a Learning Disability based at Flaxman Avenue, York https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 190&Ver=4 Link to paper if it has been to another member meeting (e.g. executive, council, a scrutiny committee) Executive January 2018 Develop a Centre of Excellence for Disabled Children and their Families in York https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 195&Ver=4 Executive April 2018 - Revised Recommendation in Relation to the Capital Budget http://democracy.york.gov.uk/documents/s122950/Centre%20of%20Ex cellence%20for%20Disabled%20Children%20Executive%20Paper%20 April%202018%20Final.pdf ## Project Title Provision Of School Places Reporting Period March 2020 Description The need to provide sufficient school places for current and future residents is a key statutory duty of CYC and will build an educational infrastructure for the city by forecasting likely demand and supply of school places over the medium term (until 2022/23). The aims of this project are to identify where and when additional school places will be required, and work with central government and the school community to provide places in good or outstanding schools. CYC is provided with some 'Basic Need' funding from central government for this purpose and will need to ensure that this and other sources of funding are used to best effect in those areas of greatest need, and to ensure that all educational provision is sustainable in the longer term, working with the school community. The project represents a significant priority for City of York council in delivering educational opportunities for residents. Overall status this period (Mar) Overall status previous period (Feb) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Mar Feb Cost Status Explanation Future Basic Need funding is likely to be very limited and housing developer contributions may not meet the expected requirements for educational infrastructure across all sites. This is being addressed through the Local Plan required infrastructure process, but these requirements exceed any current capital for the costs. ## Current Status Capacity  Identification and prioritisation of schools requiring a review of net capacity has been assessed and visits have now been completed for those schools in the highest 2 priority categories, with assessments fed back to schools. Of those schools in the lowest prioritisation category, there remains only one assessment to finalise. ## Communication  There has been continued communication with developers of some proposed and forthcoming housing sites this period, and with those officers overseeing the draft Local Plan and future infrastructure plan for the city.  Communication is also ongoing to discuss solutions to address the pressures around secondary school place requirements in the south east of the city and put plans in place. Communication continues around plans to increase secondary school places in the east and west of the city.  Communication has taken place this month with a number of primary schools to discuss the implications of the newly released forecasts on their schools. ## Data Modelling  Formal sign off of the annual SCAP process has not yet been received and is expected later in the year.  Work continues to improve the forecasting process. ## Policy  The review of the S106 Policy is under way with more work completed this period.  The Capital Programme for 2020/21 is going through the approval process.  The admission arrangements for the school year 2021/22 have now been reported to the Executive and the determination notice published. The main focus of this period: ## Capacity  Following the initial submission of the annual 'SCAP' return, await and respond to any further queries from the Department for Education. This process continues for 2019 in coordination with the DfE, with final submission expected to take place imminently.  Feedback net capacity assessments for the final identified school. ## Communication  Continued engagement with local schools and academy trusts to gather their views and identify any potential plans about how they could assist in providing for future need.  Continue communication regarding the proposal to address secondary school place requirements in the Secondary Planning Area - East York.  Continue to liaise regarding the proposal to address secondary school place requirements in the Secondary Planning Area - South East York.  Continue to move forward proposals to address the secondary school place requirements in the Secondary Planning Area - West York.  A paper will be prepared for YSAB regarding surplus primary school places in the north of the city. ## Forecasting  Forecasts will continue to be reviewed and released. ## Policy  Continued work around a refined planning policy approach re: Housing Developer Contributions (HDCs) for current and future developers is in review with colleagues in Planning to ensure compliance with wider CYC policy and agreements re: Local Plan.  Work will continue on the admission arrangements for the school year starting September 2021. ## Project Plan  Further develop, communicate and agree the project plan. ## Reports to Project is overseen by Children, Education and Communities Directorate Management Team and Executive Member for Children and Young People as necessary. Exec member Cllr Ian Cuthbertson Amanda Hatton - Corporate Director of Children, Education and Communities Director responsible Dependencies Local Plan Policy, Economic Strategy, City Transport Policy Link to paper if it has been to another member meeting (e.g. executive, council, a scrutiny committee) Executive February 2018 Admission arrangement for the 2019/20 school year https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=101 96&Ver=4 Executive July 2019 The Provision of School Places and Allocation of School Capital Budgets 2019-2023 to Address Secondary Place Pressures https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=111 07&Ver=4 Executive October 2019 Archbishop Holgate's School - Expansion 2020-21 https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=111 11&Ver=4 ## Project Title Housing Ict Programme Reporting Period March 2020 Description The Housing ICT Programme is a major ICT enabled business transformation and culture change programme which will deliver a new operating model and systems for the Housing and Building Services teams within the Housing Services Department. Procurement of a new ICT solution will enable customer centric, holistic services to be delivered with first point of contact resolution at a place, time and manner that suits the customer. Overall status this period (Mar) Overall status previous period (Feb) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Mar Feb Quality Status Explanation  The programme has identified significant pressure against the current timeline around the quality of the programme. A full detailed review of the current programme timeline and impact assessment against the quality that the programme will deliver based on the current timeline will be completed as soon as possible.  All business requirements, ICT and BI requirements validated, signed off and ITT issued. Risks Status Explanation  Increased risk profile on the programme now we are in intricate and complex implementation activity. Lots of risks around the pressure on the current timeline and programme team are being reviewed. The overall programme status has remained at amber this month. The risk profile of the programme remains high now that the programme is well underway with an ambitious implementation plan. The programme is running at full capacity to deliver on time with minimal contingency around timeline or programme resources and has identified significant pressures on the current timeline and programme team. Although running at full capacity and the delivery risk remains high, the programme is making good progress towards the implementation date. The programme remains on track to deliver the Capita Open Housing system on Monday 23rd November 2020. A full impact assessment of the current timeline and resources is being carried out. In the next month the programme will:  Continue detailed configuration activity.  Plan and progress detailed actions following Data Cut 1 (first migration of data into new test system).  Start to plan out detailed training and testing activity.  Carry out full detailed impact assessment of the programme timeline and resources. Reports to Programme reports to the Housing ICT Programme Board. This group is chaired by the Assistant Director of Housing with key representatives from the HHASC senior management team. The Programme Manager attends the monthly HHASC Senior Management Team (SMT) and both Housing and Building Services department team meetings to update on the programme. Exec member Cllr. Denise Craghill Sharon Houlden: Corporate Director of Health, Housing and Adult Social Care Director responsible Dependencies Digital Services Programme - for delivery of other interdependent projects and technical resources N/A Link to paper if it has been to another member meeting ## Project Title Smart Travel Evolution Programme - Step Reporting Period March 2020 Description STEP is a programme of delivery that will prepare York for the coming revolution in adoption of connected and autonomous vehicles and managing whole city mobility. The project aims to achieve this by:  Improving communications to transport infrastructure and collecting more transport data.  Building a transport data platform to assist the City to meet big data challenges and making more of this data accessible.  Improving transport modelling, that allows us to run City wide models at varying scales, in near real time. This allows us to understand the way the transport network is performing and is expected to improve our transport planning activities. Overall status this period (Mar) Overall status previous period (Feb) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Mar Feb Resources Status Internal strategic modelling resource not in place. Modeller being appointed and should be with team in 3 months. Explanation - Public Transport Fare and Patronage data required for model build but requires the bus operators to co-operate in a timely manner. Risk Status - Internal Modelling resource required to ensure models can be adequately accepted and used going forward. Explanation - GLOSA is a project deliverable but is not deployed outside of research within the UK. Research has been carried out and solution is now identified, but it still presents a risk as it's new to UK. ## Current Status In The Last Reporting Period:  GLOSA tender awarded.  Real-time Time Speed Data (RTSD) quotes obtained and data put together from CYC traffic counters for comparing accuracy in next period.  Data platform specification worked on further.  RTSD contract to be appointed.  Data platform specification to be ready in draft.  GLOSA inception meeting and contracts to be signed. Reports to The STEP board reports in to Economy and Place DMT and PM updates executive member and Executive when required for updates and approvals. Key decisions are agreed by the Transport Board before reaching executive member or Executive. Exec member Cllr Andy D'Agorne Neil Ferris - Corporate Director of Economy and Place Director responsible Dependencies The Transport Capital Programme and TSAR Project Link to paper if it has been to another member meeting ## Project Title Flood Risk - York 5 Year Plan Reporting Period March 2020 Description CYC are working closely with the Environment Agency to deliver a range of localised improvements to the cities flood defences, this work - the York Five Year Plan - has been developed following the floods and is supported by Government investment. In addition to this we are working with the EA on a catchment scale study to identify opportunities for wider interventions across the River Ouse catchment to further reduce future flood risks into the long term. Overall status this period (Mar) Overall status previous period (Feb) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Mar Feb  The 19 flood cells have a range of challenging technical and environmental elements, the speed of delivery of the whole programme further complicates the delivery. Costs Status Explanation  Value engineering and robust challenge of all solutions is being carried out across all flood cells but delivery of the core outputs with the available funding will continue to be challenging.  Existing cells being taken to planning or where construction has commenced represent value for money and will deliver a robust set of flood risk management interventions, this is reviewed closely by the programme board and assured by the EA Large Project Review Group.  The project team are closely monitoring the available funding and its ability to deliver the programme of works across all flood cells.  CYC continue to work closely with the EA on the delivery of the York Flood Alleviation Scheme as part of the York Five Year Plan.  CYC are members of the Programme Board and EA continue to attend quarterly Executive Member for the Environment Decision Sessions and Economy & Place Overview and Scrutiny bi-annually.  19 flood cells have been identified and schemes to improve existing or build new defences are in varying stages of development in a prioritised manner across the city to deliver the projects stated required outcomes, as determined by Defra, to better protect 2000 homes and businesses in the city.  The Outline Business Case has been agreed by the EA Large Project Review Group for all 19 flood cells.  Planning applications are being submitted for a range of cells, construction has begun on two flood cells - North Street/Memorial Gardens and St Peters School. Planning permissions are being considered for Clementhorpe and Clifton Ings.  Several key flood cells are lined up for planning approvals in April/May, works will commence in the Clifton Ing's cell in the new financial year. Reports to The Project board sits within the Environment Agency. The Environment Agency has a formal programme board in compliance with PRINCE2 methodology, CYC are a member of the board. The lead Executive member receives a quarterly report and it is the subject of a bi-annual report to Economy and Place scrutiny committee. This approach to governance has been approved and adopted by Executive. Exec member Cllr Andrew Waller Neil Ferris - Corporate Director of Economy and Place Director responsible Dependencies None Executive February 2017: CYC Response to the Independent Flood Inquiry https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=9310& Ver=4 Link to paper if it has been to another member meeting ## Project Title City Centre Access Reporting Period March 2020 Description Project involves the feasibility and design of static and automated measures to be implemented into the area around Spurriergate, Coney Street, Parliament Street and York Racecourse to provide public protection from potential vehicle attack. The proposals follow firm Police and Counter Terror Unit advice to implement measure to protect areas of high footfall. The automated measures will retain vehicle access outside the footstreets hours and allow emergency and other urgent access during footstreets hours through a system of control by CYC. Overall status this period (Mar) Overall status previous period (Feb) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Mar Feb Scope Status Explanation Scope has been extended to include support for HVM measures for Xmas Market and Xmas Lights Switch on and this impacted on the progress of the project. Resources Current lack of CYC engineering support risks progress. Status Explanation Tasks & Work ongoing to refine programme plan. Milestones Status Explanation Risk Status Explanation Risks associated with successful implementation - Trial holes will assist in firming this up. Issues Status Clarity of scope of principal designer has been improved but is still an issue and timescales remain challenging. Explanation  Trial hole information with designers  Detailed design continuing utilising trial hole information  Procedures and protocols for city centre access being developed  Racecourse design substantially completed and tender documents prepared  Tender issue for Racecourse  Tender issue for city centre  Procedures and protocols development Reports to Programme reports to the Transport Board and is advised by the York Counter Terrorism Working Group There is a CYC internal working group working on the detail. This group is chaired by the Assistant Director for Transport, Highways and Environment. Neil Ferris - Corporate Director of Economy and Place Exec member Cllr Andy D'Agorne Director responsible Executive February 2018: City Transport Access Measures http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10196& Ver=4 Executive September 2018: City Centre Access Update and Priority 1 Proposals http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10472& Ver=4 Dependencies None Link to paper if it has been to another member meeting (e.g. executive, council, a scrutiny committee) Executive August 2019: City Centre Access Experimental Traffic Order Conclusion and Phase 1 Proposals http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11108& Ver=4 Executive February 2020: Phase 1 Proposals (Update) https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=111 16&Ver=4 ## Project Title Parking Review Reporting Period March 2020 Description This project is to research, procure and implement a new parking back office system to replace the current system that is now out of date. In turn this new system will help to bring around a change in how parking is managed and how our customers interact with us by taking forward a customer self service system, such as the purchasing of parking permits and dealing with PCNs (Penalty Charge Notices). Historically there have been a number of issues relating to the delivery of the Parking Services back office system due to issues with the supplier. Motivation for this approach is also brought about by the fact that more than 25% of footfall in the customer centre is for parking related matters. This has been attributed to complex policy, under performing IT systems and associated processes and lack of available on-line services for customers. There is an opportunity to resolve a number of issues with this change project with the delivery of an ICT back office system to deliver this change and as the catalyst to support the development of a new parking strategy and technological roadmap for the next 10+ years in line with the Local Plan and Local Transport Plan 4. As part of this project the Council ICT team are looking into how this system could interface with existing CYC systems, such as FMS and CRM but looking forward, how these systems can interface with other systems such as parking machines and the wider Smart City work the Council is taking forward (STEP). Overall status this period (Mar) Overall status previous period (Feb) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Mar Feb There is potentially some delay to the implementation of this system partly due to finalising some detailed points to allow the contract to be signed with WSP and officers being asked by Members to investigate in more detail pay monthly options for resident parking permits. This may likely be a direct debit option but this will be finalised prior to Exec Member approval at the next March project board. ## Key Progress From Last Month:  Decisions presented to board and guidance received  Continued exploration for offline user options  Further definition of UAT scripts to be shared with supplier for feedback  Integration investigations began  Identification of key business change areas for Parking to begin scoping  Further definition of internal and external communications plans  Initial budget for scoped changes received, further information required  Review of test strategy from supplier  Contract finalisation and signed  Initial scoping of key priority business change elements and handover to Parking for completion  Finalise configuration documents  Finalise the detailed scope for this phase of implementation Reports to The project is steered by the Parking working group and reports to the Transport Board Exec member Cllr Andy D'Agorne Neil Ferris - Corporate Director of Economy and Place Director responsible Dependencies None Executive February 2016: Parking Review https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=8846&V er=4 Link to paper if it has been to another member meeting. Executive November 2019: Parking Update https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11112& Ver=4 ## Project Title Children In Care Residential Commissioning Reporting Period March 2020 Description City of York Council utilises many placement options in order to look after children and young people who are not able to live within their immediate birth family. City of York Council's mainstream and short break foster carers are recruited and trained to look after York's most vulnerable children and young people. To deliver on our commitment to the Making York Home vision and the aims of the Child in Care Strategy our priorities are;  The recruitment of new foster carers  The retention of the current fostering workforce, and  Increasing the options and flexibility of other placement provisions including residential. Overall status this period (Mar) Overall status previous period (Feb) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Mar Feb Tasks & Milestones Status The rating is amber to account for some property related issues that will impact on the project plan Explanation  Current focus is on the Supported Living Accommodation due to the fact that the contract for the current provider ends in December 2020 and cannot be extended. Risk Status Explanation  Lots 1 and 2 will come on line as the properties are identified and until then existing placement commissioning frameworks are in place.  Nonetheless, searches of properties for Lots 1 and 2 have only identified one suitable property to date and so new criteria is being trialled to see if this reveals more choice. Any increase in costs will need to be agreed via the project board.  Foster care recruitment campaign is on track. ## Current Status Foster Care Recruitment  Project implementation plans developed with agreed milestones and KPIs  Website and Facebook Channels now live  Recruitment campaign has gone live and data is now being received and reviewed to identify themes, trends and respond quickly if required ## Residential - Property  The property identified for Lot 1 is no longer progressing following the consultation with the local community  Property searches are continuing for Lots 1 and 2. No other suitable properties have been identified  Property Services are trialling searches based on an increase in the property values in order to see if this reveals more suitable properties. This will also broaden the geographical range ## Residential - Procurement  Market engagement completed with 16 suppliers  Specifications drafted for residential and supported accommodation  Procurement timetable developed  Review Procurement Timetable  Develop procurement documentation for Supported Living accommodation  Review Supported living specification, identify evaluation criteria for bidders and agree costs/pricing  Children's Services lead to visit the existing accommodation to consider layout/adaptations required Reports to CEC DMT and Project Board Exec member Cllr Ian Cuthbertson Amanda Hatton - Corporate Director of Children, Education and Communities Director responsible Dependencies None Executive July 2019 - Children in Care Residential Commissioning Plan https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11 107&Ver=4 Link to paper if it has been to another member meeting ## Project Title Inclusion Review Reporting Period March 2020 Description The purpose of the inclusion review will be to ensure that The Local Authority and School Community work together to maximise the opportunity for early intervention and prevention and to improve the outcomes of children and young people with special educational needs and/or disabilities (SEND). The review will examine the current configuration of services and the use of funding to support SEND to ensure that there is greater clarity and accountability around the use and impact of resources. The pressures on the High Needs funding block within the designated schools grant (DSG) means that there are accelerating financial pressures in meeting the needs of children and young people with SEND. A key purpose of the Inclusion Review is ensuring that the pressures on High Needs funding are being managed effectively whilst ensuring that the local authority is able to deliver its statutory duties articulated in the Children and Families Act, 2014 and the SEND code of practice. Overall status this period (Mar) Overall status previous period (Feb) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Mar Feb - The actions to reduce the financial pressures are underway but are at an early stage. Detailed financial modelling will need to take place to cost the provision pathways being developed through the Steering Group meetings. This work is progressing at a slow pace due to pressures of year-end close down of accounts. Quality Status Explanation - The work that has started with IMPOWER and the commissioning contract being established with Danesgate will identify opportunities to reduce financial pressures. An element of the work with IMPOWER will be to benchmark the current financial model underpinning the SEN banding to identify opportunities to reduce costs. - Demand management is key to the management of financial pressures, currently there are increasing requests for statutory assessment and costs associated with the SEMH cohort. - Work with IMPOWER is being used to review opportunities for earlier intervention and to ensure that all processes are financially efficient. - The IMPOWER review has identified 4 fast forward projects which can be linked to managing cost pressures - these are being shared with stakeholders and a forward plan is being established. - The findings from the Local Area SEND Inspection will also be aligned with the Inclusion Review through the Written Statement of Action which needs to be submitted to Ofsted by 3rd June. Costs Status Explanation - The reduction in costs to the high needs DSG will need to be profiled over time as the changes to provision and processes will require a period of transition, particularly related to the development of capacity in mainstream settings and schools. The development of commissioning specifications for alternative provision will be developed as part of this work as will a review of ERP contracts. - Work with IMPOWER will focus on the financial models linked to current banding to identify whether York's financial banding is too generous when compared with other LAs. - IMPOWER and the SEN transport consultant have identified areas for potential savings - these will need to be brought in to the programme and will deliver opportunities in the medium to longer term. - The development of project plans needs to align closely with the Council's governance and decision making processes to ensure that capital works can take place. This needs to be carefully mapped to align with the school year. Risk Status Explanation - An internal planning group has been established to manage the capital programmes - this meets monthly and will keep an overview of all school capital projects including the SEND projects. - The Millthorpe satellite has been approved. - Developing the SEMH pathway needs to take place to begin to inform earlier intervention and better use of the MSP to meet need and reduce pressure for statutory assessment. - Further work to respond to findings in the LA SEND inspection needs to take place particularly in relation to co-production and joint commissioning. Issues Status Explanation - There is a need to ensure that a single plan is developed to incorporate the outcomes from the SEND inspection and the IMPOWER review. - The Written Statement of Action needs to focus on the four priority areas for improvement identified by Ofsted - some of these areas are not consistent with the IMPOWER review.  Phase 3 of the Inclusion Review has started and a steering group appointed. The programme plan will be developed by this group using the recommendations from phase 2 of the review.  The strategic principles developed in stage 2 have been agreed and shared with the Council's Executive, Schools forum and members of the York Schools and Academies Board.  Capital works have taken place at Hob Moor Oaks primary special school (August 2018) and capital works have been agreed to support the development of the post 19 local education offer at Blueberry academy and Askham Bryan College.  Expressions of interest for secondary satellite provision have been received and a project plan is in the early stages of development.  A feasibility study is taking place with a primary school to support the development of a proposed primary ERP provision.  Preliminary work to review the Behaviour and Attendance Partnership protocols and processes is underway.  A steering group has been established to oversee the academy conversion of the Danesgate Community. This will put in place a commissioning agreement with the South Partnership Multi-Academy Trust which will define the future relationship between the local authority and Danesgate when it becomes an alternative provision academy. The provision plan for implementation in September 2021 has been drafted and will be presented to the DCS and shared with headteachers in March 2020. The draft plan has been formed using the following principles:  Value for Money: managing pressures on the High Needs block although accepting this may be impacted by the guarantee of high quality, full provision for all.  Right students in the right settings through early and secure identification with a flexibility for those in more specialist settings to return to mainstream.  Meeting parental and student need for changes in specialist provision on offer and responding to our identified gaps in provision for CYP with C&I Needs (with and without a diagnosis) and SEMH (including ADHD).  Clarity and transparency of entry and exit routes to specialist provision and their funding arrangements.  Developing independence and preparation for adulthood - mapping the 'what next?' at each key stage to prevent future gaps in provision.  The mainstream settings improving their offer and their expertise and 'owning' their CYP more. The provision plan maps strategic routes for adapting provision within the city in two areas of need - Communication and Interaction and SEMH. The draft proposals that are very much needs led and these proposals will form the basis of the paper to be presented to Schools Forum in May 2020. Reports to CEC, DMT Exec member Cllr Ian Cuthbertson Amanda Hatton - Corporate Director of Children, Education and Communities Director responsible Dependencies None Executive November 2018: The Inclusion Review and the Special Needs Capital Grant https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=1 0474&Ver=4 Executive August 2019: Executive Report Danesgate Land Academy Conversion https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=1 1108&Ver=4 Link to paper if it has been to another member meeting (e.g. executive, council, a scrutiny committee) Executive November 2019: Millthorpe School - Enhanced Resource Provision https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=1 1112&Ver=4 ## Project Title Be Independent Reporting Period March 2020 Description Be Independent (BI) is the provider of the Council's community alarm and equipment service. This includes a 24 hour response service, assessment and installation of equipment, telecare and assistive technology services. These services play a key role in supporting better outcomes for individuals either in their own homes, supported living or in residential and nursing homes across the City. The aim is to prevent, reduce or delay the need for care, enabling people to be as independent as possible. Previously provided in-house, the service was externalised in 2014 and the Council supported the establishment of a social enterprise in the form of a Community Interest Company (CIC) to deliver the service. In June 2018 the Executive agreed to the transfer of Be Independent service back to the Council and the direct management of Health, Housing & Adult Social Care. All assets and liabilities will be transferred from Be Independent to the City of York Council and staff transfers will be agreed under TUPE. Following the transfer which was completed in August 2018, an operational review of the service has commenced to understand its core functions, purpose, strengths and areas for improvement to ensure that it is sustainable. Whilst the overarching vision for the service will be coproduced in line with the Council's vision, a 3 month IT scoping project has been commissioned to review the systems/processes currently in use as this is a key priority to move the service forward. Be Independent needs to have a robust IT infrastructure in line with CYC protocols to enhance and grow the business, and improve the customer experience of this Community Equipment & Response Service. By utilising the latest technology (GDPR compliant), workers will become agile and customers will have a seamless service from all teams including Business Support, Response, Assessment and Control Teams, where an overburden on paperwork is phased out. IT aims to integrate different software systems used for call handling, stock management and financing linked to a service manager with comprehensive performance reporting tools. Streamlining software systems and providing teams with the appropriate hardware (with internet connection) is a primary focus in order for the teams to perform efficiently and effectively. This will improve the use of resources, develop capacity and ensure a strength based approach can be implemented in the future. Overall status this period (Mar) Overall status previous period (Feb) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Mar Feb Costs Status Explanation A significant cost is involved with upgrading new servers and software with current systems in place. This needs to be evaluated and reviewed against alternative solutions in line with the vision of the service area. - The main focus of the project is to review the software system in place to enable a mobile workforce in line with the vision and direction of the service area to ensure it is future proof and fit for purpose. - Participants for the Internet of Things (IoT) trials will be included as part of wider research to consolidate the vision internally. Tasks & Milestones - Devices have been ordered, some delays with expected delivery times. Status Explanation - Mosaic user access will be live upon completion of training by all staff members. - Ongoing proof of concepts with assistive technology to further grow and develop Be Independent's ability to offer more choice for residents. Risk Status Explanation - Current infrastructure has a range of risks identified which are impacting on the efficiency of the service. Issues Status - Issues remain under review. Explanation  Call handling system upgrades have been put on hold due to review of the server hardware age and cost implications of upgrading both hardware and software  Survey questions are live with Age Friendly York Citizen group as part of wider research around how people view technology in social care their expectations and whether they feel it can help people live more independently.  Mosaic user access has completed the user acceptance phase. Training and plan moving forward will be established with the support of adult social care teams and feedback for the use cases.  "Internet of Things" trials are actively being progressed  Paper forms are being reviewed ahead of mobilising the workforce on laptops  Review current position and progress Reports to Head of ICT/Director level/CMT/Executive Exec member Cllr Carol Runciman Sharon Houlden - Corporate Director of Health, Housing and Adult Social Care Director responsible Dependencies None Executive June 2018 - Transfer of Be Independent to the direct management of City of York Council https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=1 0469&Ver=4 Link to paper if it has been to another member meeting ## Project Title Procurement Of Msa And Strategic Engagement Technology Partner Reporting Period March 2020 Description To develop a specification, procure and appoint a technology provider to deliver the City of York Council's (CYC) essential managed network services arrangements (MSA) this includes connectivity, voice and data services. CYC's current MSA contract expires following an extension period, on 31 August 2020. The contract is currently worth £2million per year and the new contract is likely to run for at least a minimum of 10 years. The procurement process was approved by Executive in November 2017, and progressed proper in April 2019 after the appointment of commercial procurement partners to support internal capacity, with the view to develop an Invitation to Tender for both CYC and Harrogate Borough Council. The scope of the review then changed in July 2019 to proceed to meet CYC requirements only, due to a change in Harrogate's local circumstances. There is continuing good relationships between the two councils and a shared management team. The new provider will be a strategic technical delivery partner enabling CYC to achieve its strategy for the delivery of digital services to its residents, businesses and partners. Progress of the original project to date includes documenting the requirements of both councils and production of a draft ITT. The changing scope of the procurement has allowed a pause in proceedings to allow for the following:  A review of work done to date and a revision of the scope of the project.  Bringing the project in line with Council's All About Projects approach  Addressing of known risk as per independent legal and technical advice commissioned given the time taken to date and learning from recent procurement practice elsewhere. The aim of this revised project is to recommence the procurement with a robust approach and assurance that the Council can secure the best MSA going forward given changed scope and lessons learned. Overall status this period (Mar) Overall status previous period (Feb) Quality Costs Resources Financial Tasks Risks Scope Benefits Non & Issues Financial Milestones Benefits Mar Feb 1. A decision taken by Project Sponsor and team to ensure separation of roles around Business as Unusual (BAU) issues with the incumbent. There is a clear lead for BAU issues which sits outside of the core project team. For any BAU issues which might impact the procurement there is a lead within the core group. 2. Expression of Interest (selection questionnaire) phase of the procurement completed 2nd of March 2020. 3. Project team assessed the selection questionnaires to ensure that they can proceed to ITT stage and there are no issues, this will be presented to the Project Board on the 17th March 2020. 4. Further refinements to the draft specification and the associated documentation continue to take place. Also work on the financial modelling for the MSA continues. 1. Next Project Board 17th March 2020 will have completed, this will include a review of all project risks and an assessment of progress so far. 2. ITT stage begins on 20th March. 3. Deadline of 8th April for all clarification questions to be submitted by suppliers. The project team will answer these questions and ensure circulation to all suppliers. 4. ITT submission deadline 17th April. Reports to  Project Board chaired by a Project Sponsor and meets on a monthly basis.  Project Steering Group chaired by the Project Manager meets weekly.  Project Sponsor and Project Manager meet weekly.  Legal and Finance/Procurement are represented at both meetings at both strategic and operational levels.  Oversight is provided by the Council's Corporate Project & Programmes' manager.  Independent assurance provided by an external adviser/consultant. Exec member Cllr Nigel Ayre ## Ian Floyd - Deputy Chief Executive & Director Of Customer & Corporate Services Director Responsible Dependencies Link to paper if it has been to another member Exec Dec 2017 - Procurement of ICT Managed Services https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId= 10194&Ver=4 ## Project Title Hyperhubs Reporting Period March 2020 Description By providing Hyper Hubs at Poppleton and Monks Cross Park and Ride sites, a solar canopy would be erected over approximately 100 parking spaces, providing space for 1,400 m2 of solar panels. This canopy is an elevated structure - essentially a roof below which cars can still park - with solar panels on the top. Adjacent to the canopy, but not on land currently used for parking, there would be an energy storage facility - a battery. At each site there would also be eight charging points for electric vehicles. Electricity generated by the solar panels would be used to hyper charge vehicles plugged in to the charging points. Electricity not used immediately would be stored in the battery. When the battery is full, this electricity could be fed into the national grid. The solar canopies would use the free space immediately above the vehicles to harvest solar energy to the site. Batteries would then store the electricity, providing it either to hyper charge electric vehicles when plugged in, or feeding it into the UK electricity grid. The electric vehicle infrastructure element of the project is to purchase and install the DC 'hyper' charging points (faster than current 'rapid' charge speed points at 50kW) which will supply the energy to the vehicles. These will be installed in a Hub of eight car bays which can supply up to 150kW power output per car, with a typical charging session taking 10-20 minutes. By way of comparison, a typical home charging point takes around eight hours to charge an electric vehicle. Overall status this period (Mar) Overall status previous period (Feb) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Mar Feb Risk Status Explanation Risks updated to reflect most significant current risks to the project.  Tender assessment has been completed.  Tender report has been produced.  Draft contract variations completed.  ERDF and OLEV progress report made.  Feedback will be issued to all tenderers during second week of March and standstill period will begin.  Contract award 25th March.  Project plan to be updated following inception meetings with appointed contractor. Reports to The project will report to the Transport board. This is an internal board that is chaired by the Assistant Director for Transport, Highways and Environment. The members also include the Head of Transport, who acts as the City of York Council client for the project and the Head of Programmes, who is responsible for the delivery of projects within the Economy and Place Directorate. The Project Manager will report to the Sustainable Transport Manager (who reports to the Head of Transport) and will be held to account for delivery by the Head of Programmes, who will also provide Project assurance. Finance also are members of the board to provide any technical input. Exec member Cllr Andy D'Agorne Neil Ferris - Corporate Director of Economy and Place Director responsible Dependencies Link to paper if it has been to another member Executive March 2019 - A Sustainable Future for York with Hyper Hubs https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11469& Ver=4 Executive Sept 2019 - Reducing York's Carbon Footprint with Electric Vehicles https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11109& Ver=4 Executive March 2020 - Electric Vehicle Charging Strategy https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11117 &Ver=4

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## Scope Of Archive Service Accreditation Scheme 1. Formal Definitions Records 1.1 "information created, received, and maintained as evidence and information by an organization or person, in pursuance of legal obligations or in the transaction of business" (ISO15489-1) ## Archives 1.2 "Materials created or received by a person, family or organisation, public or private, in the conduct of their affairs and preserved because of the enduring value contained in them or as evidence of the functions and responsibilities of their creator, especially those materials maintained using the principles of provenance, original order and collective control; permanent records." [our emphasis] (ISO 16175-1:2010) 1.3 Archives may be informal in terms of their format and the 'business' to which they relate: for example, a group of love letters may be created and maintained for 'the conduct of...affairs' of a personal and private nature. ## Archive Service 1.4 The word 'Archives' is also commonly used to refer to the place or institution where such material is kept. As the word is often misused to refer to mere 'dumping grounds' for older records which have ceased to be properly managed, but not yet destroyed, this scheme prefers the term 'archive service ', meaning: "An organisation, or part of an organisation, with a remit to manage and promote the preservation and use of archives in its custody" 1.5 Archive Services will normally have custody of the archives of their own parent organisation but may also have custody (but not necessarily ownership) of the archives of other organisations or persons. 1.6 Archive Services must offer some access to their archive collections beyond members of their own institution or organisation to seek formal accreditation under this scheme: however, this need not be their primary function, and may be more limited than services to specific user groups. ## Records Management 1.8 "field of management responsible for the efficient and systematic management and control of the creation, receipt, maintenance use and disposition of records, including the processes for capturing and maintaining evidence of and information about business activities and transactions in the form of records" (ISO 15489-1) 1.9 All individuals and organisations maintain records in order to carry out their day to day activities. Only a small minority of these will have sufficient permanent cultural or operational value to justify their preservation as archives. 1.10 While records management as a day to day business function is outside the scope of the Archive Service Accreditation Scheme, it recognises that archival activity forms part the wider records management function, and that archival institutions will be unable to carry out their own functions successfully if the records management of organisations and individuals for whose archives they have responsibility is poor. The scheme therefore brings within scope those parts of the records management function relating to the selection and transfer of records to an archival institution at the appropriate point in the records lifecycle. 2. Identifying Archives in Practice 2.1 This section is intended to assist those working in related cultural domains or other organisational functions to identify archives which may be in their custody, and therefore to what extent they meet the eligibility criteria for the scheme. (See Eligibility: Criterion 1) 2.2 As the definitions of archives given above are functional rather than physical, when assessing whether any given object can be defined as (part of) an archive, it may be helpful to consider the following questions. If the answer to any of the items other than 7 below is NO, the object is probably not archival: 1) Was it primarily created to record information or evidence, or is it linked (physically, or in terms of prior use) to something else which conveys information when the two are taken together? 2) Does the information or evidence it (they, if linked) contains relate to something specific done by the creator, or the person receiving it, in the course of their day to day business, rather than by people in general? 3) Has it been kept by its creator or the person receiving it because it provides information, or serves as evidence, which supports the transaction of their personal or work business? 4) Can the creator or receiver still be identified (at least in general terms, not necessarily a full biography), either from the object, or other information in/likely to come into your possession? 5) Does it still convey the information/evidence originally intended? 6) Is it likely to be of permanent value, either to the creator/receiver in respect of its original purpose, or to anyone else, for any purpose related to its function as a record? 7) Is it unique in content? (not conclusive, but if no, it is usually less likely to be an archive). The examples in Appendix A illustrate the principles underlying these questions in a practical context, and are indicative only. ## Appendix A - Identifying Archives 1 Principles 1.1 Function Not Format Physical format is not fundamental in identifying archives. Records (and hence archives) are defined primarily by the function for which they were originally created and used. Anything used as a substitute for fallible human memory in conveying information and evidence in a specific context may be a record, although some types of physical object are more commonly used for that purpose. 1.1.1 While usually thought of as handwritten or typed documents on paper (perhaps bound into files or volumes) they may also commonly include:  Printed documents (or books, pamphlets etc)  Photographs  Digital objects (such as e-mail, databases etc)  Audio/visual material  Sketches, drawings  Maps and plans The list is not exhaustive and may include more exotic items, such as the knotted cords used for record keeping by Andean cultures or a variety of types of object. 1.1.2 By the same token, not all material in these formats will constitute records. In some cases there will be an overlap, or potential overlap, with physically similar, but functionally different, items, in others, the same physical item could be regarded as archival or not depending upon the context in which it is managed and the purposes it serves. Some examples of this are given in the following sections. ## 1.2 Information And Memory Archives are usually things which have been created, or at least adapted, to convey information (written, numerical, visual etc) so that people can remember what was said, done, or seen. ## 1.3 Specific Context And Purpose They will usually have been created and used in a specific context , as part of wider recordkeeping systems consisting of multiple objects. The context, relationships, rules, and practices associated with such systems are an essential part of what makes them a record. Some of these may be explicit (for example, a formal filing scheme) others may be implicit (if it's on my desk, it's something to do with my job). If this context is compromised, the individual objects may no longer function effectively as records. 1.3.1 Example 1 The Bank of Puddleby keeps a register containing personal ID details of all its customers and their bank account numbers. It also keeps a ledger containing details of activity on each account number. These were created and used by bank staff to keep track of the state of their financial transactions with their customers and as evidence in case of dispute. If one of these items is destroyed, or knowledge of the relationship between them is lost, they can no longer serve that function, although they may still convey more limited information (the register will at least indicate who their customers are). If they are not physically marked to indicate this context (for example, by being labelled "Bank of Puddleby: customer register") then if displaced from the custody of the Bank, where staff know what they are, they may lose their "recordness" - becoming mere lists of unidentified names and figures. ## 1.4 Uniqueness In practice it is unusual for an organisation or individual to create and retain for reference multiple identical copies. Where this happens, it is usually where a small number of copies are created to serve different functions in different parts of an organisation. The basic principle of a record being used for the transaction of specific business by specific persons is retained therefore. 1.4.1 Example: Blankshire Museum staff have local copies of their timesheets, to manage their own work attendance. A copy, known as "the blue copy" is sent regularly to county council HR, where it supports a variety of functions such as staff absence, payroll adjustment etc. ## 1.5 Use And Permanent Preservation Archives are records which someone has decided to preserve permanently for some reason associated with their function as a record. They need not necessarily be 'old' (yet). Preservation may be on grounds of primary use (the records are of continuing value for the transaction of the same business functions in respect of which they were originally created or retained) or secondary use (anything else). In practice, the same records will often have value for both ongoing primary and secondary uses. Only a small proportion of the records maintained by most organisations or individuals will be worth preserving permanently (typically 2-5% of the total). 1.5.1 Example: A medieval market charter may have value for historical research (secondary use), while remaining of value for the legal enforcement of current market rights by the holder (primary use). ## 2 Some Common Object Types Which May Be Archives 2.1 Printed Documents (Including Books, Pamphlets Etc) The publications (electronic or hard copy) which make up the bulk of library collections would not normally be considered as 'archives' (although deposit libraries or those with major special/rare books collections have similar preservation functions to archive services and museums in that they hold material which is unique, close to unique or intended for permanent preservation as a representative of a much later print run). However, there may be instances where they need to be treated as archival or quasi-archival objects, and may be worth preserving permanently as a key record. 2.1.1 Example: master sets A publishing house keeps a set of every publication it issues, in order to carry out its business functions (such as checking for textual errors, supporting intellectual property litigation, or actions for defamation, assessing the need for further editions etc). Note that it is important that this record set is maintained intact as an accurate and complete record of what it published - if it got mixed up with another printing or edition, it could no longer support that specific business need. Its archival value derives from the context in which it is created and maintained - each item may derive from a print run of thousands of identical copies basically produced for resale. Similar considerations might exist in respect of a set maintained by an individual author. 2.1.2 Example: Annotations Author A and author B are engaged in a vigorous public debate through their written works. Author B keeps a set of author A"s works (purchased on Amazon in the normal way) in which he has marked out various phrases and passages with which he disagrees, to act as an aide memoire in writing his own counterblast. These annotations will be unique, and form a record of the things he objects to. If the works became divorced from the context of who owned and annotated them, the annotations would lose their meaning as a record of author B"s thoughts and activities, and the works would become little different to any other copy of the same work. If author A and author B are important enough, this specific set of annotated works might be retained as a permanent archival record of their controversy, along with associated correspondence etc. 2.1.3 Example: printed base Blankshire Borough highways department buys large quantities of published Ordnance Survey maps (or more likely these days, a licence for digital versions). It then adds annotations to these for various purposes eg it marks the footpaths and roads which the council has a responsibility to maintain in different colours, to help plan its highways maintenance process. These are records, and may well be kept permanently eg to indicate historic access rights. ## 2.2 Photographs Most libraries and museums will hold quantities of photographs. Whether these can be regarded as archives may vary depending upon the nature of the item itself, and the way in which it has been managed within the institution. It would not be uncommon for an institution to hold both archival and non-archival photographs. In practice, the record status of photographs is frequently compromised by the fact that few people ever label their photos in any way, making identification (let alone decisions on record status) difficult. 2.2.1 Example: archival vs non-archival Blankshire Local Studies Library holds thousands of photos. One of these is an unused Victorian picture postcard showing a local rural scene. It was taken by a local photographer at a specific time and place, but this is one of hundreds run off as stock in trade, and has not been used as a record by anyone. It is not regarded as archival in nature. Another copy of the same postcard has been written on and sent to someone in Australia, who kept it among their personal archive as a record of their birthplace and the activities of the family they left behind when they emigrated. A descendent later donated it to the library for its unique value as part of the documentary heritage. The original negative of the photo has also been acquired, along with a whole series of others, kept by the photographer as a permanent record of his output, along with a host of other related records such as customer order books, purchase ledgers etc. the whole forming his business archive. 2.2.2 Example: record vs art object John Smith takes his camera on holiday to Bournemouth and takes lots of photos. When he comes home, he stores them all away (perhaps in an album/ a box/ his PC hard drive) so that in future years he can take them out and remind himself of his holiday and what he was doing. He has no intention of discarding them. They form part of his personal archive. After his return, he sees a nice photo of the Eiffel Tower in a shop. He takes it home and hangs it on his wall in a frame because it looks nice. This is not part of his personal archive, because it was not created in the course of his own daily activity, and he is keeping it for aesthetic reasons, not as a reminder of his own activity. 2.2.3 Example : record vs stock photo Blankshire County Council gets a lot of lawsuits from people who trip over cracks in the pavements, so it take photos of potential hazards, which are used by staff to prioritise repairs, or as evidence to defend the council in court. These may well be preserved permanently as archives The BCC press department buys a stock photo of happy children from an agency to put on the front of the council"s annual report. The photo is left with a pile of material in a cupboard and never looked at again. It is not a record (though a set of annual reports including the one with it on the cover might be, if retained as the record set, see above). 2.2.4 Example: Negatives vs Prints In the examples above, Blankshire County Council may create a copy negative purely to facilitate production of additional copy prints for various purposes, but would regard the original negative as the record (and might need to produce it in court if someone suing the council over a pavement fall claimed that they had "doctored" the prints produced to the court). Conversely, John may retain the print as his record and discard the negatives. Some of the copy prints might become records in their own right: for example, John sends a copy of one of his prints to his Aunt in Australia. She keeps it as part of her personal archive (a permanent record of what members of her family have been doing). ## 2.3 Digital Objects The Archive Service Accreditation encompasses both non-digital archives and digital archives, but not Archive Services who hold digital archives alone in its initial roll-out. 2.3.1 The main source of confusion here is the distinction between *digitisation* (the process of creating some kind of digital copy or version of an existing hard copy record) and digital archives (records originally created in digital form, such as email received in the course of business, and preserved permanently). Digital objects produced by digitisation projects are unlikely to constitute archives, being merely a copy of the original objects. It may be inconvenient if the digitised copy is destroyed or damaged, but it does not affect the preservation of the original record. 2.3.2 Occasionally, a person or organisation may decide to digitise hard copy records (for example, to scan all incoming correspondence) and retain the digital copy instead of the hard copy for normal business purposes, in which case the resulting digital objects will have become records, and may be worth preserving permanently as archives. Note that there may be issues of reliability, authenticity and integrity in this process, as the resulting digital objects may not 'work' as records if the digitising is not properly carried out. 2.3.3 However, since the 1990s many, if not most, records created or received by organisations and individuals will originate in digital formats of various kinds. In principle, this has no effect on their archival/record status: however, the ease with which digital objects can be transmitted, copied, altered, merged or destroyed, combined with the fact that the information content is not inherently linked to the physical medium and its context makes them problematic as records. It can also be difficult to identify the boundaries of a digital 'object' which may in fact consist of a temporary aggregation of different digital information pulled from a variety of contexts. 2.3.4 The key point for digital record keeping (and permanent preservation as digital archives) is that the physical medium is of less importance than that systems, processes and 'metadata' are in place to establish the context in which digital information was created and used, and retain integrity, authenticity and reliability to a degree which enables it to be considered a record. While identical duplicate digital objects may exist in large numbers, it is these external factors which will determine which (if any) of them constitute a record. ## 2.4 Audio-Visual Material Again, purpose is the main issue here. Has the item been created and referred to for the conduct of the day to day affairs of an individual or organisation, or has it been produced (for example) for aesthetic or entertainment reasons? 2.4.1 Example: record vs publication Puddleby Community History Group has been conducting recorded oral history interviews, with a view to maintaining these recordings as a permanent resource for local history research. The master recordings will be archives of the Group: they may also create various copies for sale, or for distribution to other LHS"s, or for taking out to use in school sessions, but these are not archives. Again, some of their interviewees may keep the copies of the recordings which Group have given them as part of their own personal or family archive, to be handed on to their grandchildren etc. ## 2.5 Drawings, Paintings And Sketches 2.5.1 Similar considerations may apply to drawings, paintings or sketches, which can be created for basically aesthetic purposes (a portrait) or for the conduct of business (a police sketch of a suspect). ## 2.6 Maps And Plans 2.6.1 Manuscript maps and plans drawn up for reference and evidential purposes in the transaction of specific business are records, and will often be of sufficient value to retain as archives. Printed maps with extensive annotations made in the transaction of business may also be of sufficient value to retain as archives. As with printed books, printed record copies of maps may be retained as a core part of broader archives, such as mapmakers'. 2.6.2 Example: annotations Puddleby Borough Council highways department has a copy of the printed 1937 6" Ordnance Survey map on which they have marked those roads which are private, those maintained by the county council and those which PBC have obligations to maintain. This is a record, created and maintained for the transaction of their road maintenance activity. 2.6.3 Example: print for specific transaction Lord Puddleby sold off his estate in the 1940"s, and for purposes of the auction, had a plan of the estate drawn up and printed in small numbers for circulation to potential bidders. The copy kept by his estate office at Puddleby Hall for permanent reference forms part of his estate archive. ## 2.7 Other Objects Occasionally, objects which are not in themselves designed for the recording of information may be used as part of a record-keeping system. In most cases where a series of such objects is extensive, it may be more practical, however, to consider the objects and the recordkeeping system separately (an extensive series of rock core samples, or a herbarium, and the associated records detailing where and when each one was taken, for example). This is a grey area, but it may be helpful to consider to what degree the ongoing value of the objects derives from their intrinsic properties, and to what extent it derives from their conscious organisation into a reference system, and the degree of permanence of the latter 2.7.1 Example: object attached to file Puddleby Borough Police keeps a series of crime files (in crime number order) which mostly contain witness statements, reports, notes of phone conversations and other documents created or received in the course of an investigation. However, in a few cases they might also contain eg a blood-stained knife, along with the accompanying forensic report, or small samples of mud stains found at the crime scene. Although the blood-stained knife was not created as a record, it may in some senses have acquired record status by virtue of its association with the crime file, and may be preserved permanently as part of the PBC archive. (There may, of course be some curatorial and health and safety issues in preserving it physically in the file on a permanent basis). ## 2.8 Artificial Collections In some cases, cultural or heritage institutions with an explicit function to record the past may acquire some or all of the types of material listed above, with the aim of preserving it permanently. It is a moot point whether this constitutes an archive, as the material was not originally created or received in the course of business by that institution. However, there may be coherent archives within the artificial collection. 2.8.1 Example: community archive Puddleby Community History Group operates a small heritage centre in Puddleby village. Here they collect all sorts of material including beer mats from the Puddleby Brewing Company, old postcards of Puddleby, and some pattern books from the old Puddleby Textile Company. All this is being permanently preserved as part of the day to day business of the PCHG, but the first two items are not archives (the PBC advertising department might have kept a record set of beer mats for reference, but there is nothing to suggest that this formed part of it) while the third set of items probably is, although a very fragmentary one. ## 2.9 Internal Records Of Cultural/Heritage Institutions Cultural and heritage institutions will themselves create, receive and maintain records in the course of their normal business. Some are like those of any other organisation (HR staff files, annual accounts, receipts etc). Others are used to administer their collections, which are being permanently preserved, and therefore need to be retained permanently for that purpose (primary use), These records will therefore form part of the archive of the institution itself and may have secondary values over and above that of the collections to which they relate(for example, the study of library history). There may, of course, be practical issues relating to the management of records which remain permanently 'current'. 2.9.1 Example: museum archive Puddleby Museum originated in the gift of the private local archaeology collection of Colonel Blunt to the town in 1867. In addition to the main series of accession records, still used for day to day administration of the collections (primary use), there are a variety of other records which have value for a variety of primary and secondary purposes such as those relating to former staff, some of whom went on to become nationally famous, past exhibitions and events etc. Together these form the Museum"s own archive, which is substantial in its own right. 2.9.2 Example: private library archive Lord Puddleby used to own a nationally famous collection of rare books, but when the family fell on hard times after the war, most of these were all sold off to various collectors, and the last librarian retired in 1955. However, the librarian"s correspondence still survives, along with the old MS catalogue and other records relating to the library, and these remain of value, both in administering the remains of the collection (primary use) and for those with an interest in library and bibliographic history. Although the library no longer survives as a distinct entity within the estate management, these remaining records still form part of the overall family archive.

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## Efficiency And Reform In The Next Parliament The recent publication of a report by government into efficiency and reform in the next Parliament provides an overview of its proposals to transform service delivery across the public sector and presents an opportunity to reflect on the implications such initiatives are likely to have on London boroughs within the context of significant reductions in core funding. With one eye on London Councils' continuing work to secure greater devolution for the capital, this briefing outlines the government's thinking and highlights the issues for boroughs. ## Overview On 3 December 2014, HM Treasury and the Cabinet Office published a report titled Efficiency and Reform in the next Parliament. This set out the government's ambition to save £10 billion for 2017-18 and £15-20 billion for 2019-20 and proposed that these savings will be achieved through: improved procurement for common goods and services; a continued process of asset rationalisation; a focus on reducing fraud and debt; and, an accelerated shift towards the use of digital technology. Subsequently, on the 18 December, the Department for Communities and Local Government released the provisional local government finance settlement for 2015/16. London Councils' recent estimate, drawing on this data, is that between 2010 and 2016, borough's core funding will have fallen in real terms by 45 per cent. Against this stark financial background, this briefing provides an overview of the government's thinking on efficiency and reform in the next Parliament, considers the potential opportunities for London arising from these proposals and reflects on the alignment between nationally led proposals for service transformation alongside growing calls for greater devolution to councils. ## Analysis At the heart of the government's proposals for improving efficiency within the public sector is an accelerated shift towards the use of digital technology. Essentially, the government's aspiration is to make dealing with the public sector online as easy and efficient as the best services offered by the private sector. By 2020 the government aims to provide a series of cross-departmental digital platforms covering services such as payments, messaging and appointments booking, supported by shared programmes to keep information secure, provide postcode look-ups and supply location data. To this end, the government intends to: - Increase digital uptake of government public services by 10 per cent by mid-2016, and bring average digital uptake to 90 per cent among those who are online by 2020. - Make it easier to make payments to government online, especially from a mobile phone or device, with a new common payments platform introduced from 2016 and eventually offered to the wider public sector. - Ensure that every new digital service is available via an open Application Programme Interface (API) as well as a web browser to encourage private sector innovation. - Nominate a Government Chief Data Officer to define data standards for the public sector. - Accelerate the move of existing IT services into the Cloud using suppliers sourced through the 'G-Cloud' procurement framework and the Crown Hosting Service to reduce costs and keep information secure. " The government will continue with its process of asset rationalisation, by accelerating its programme of moving to Civil Service hubs, reducing office space per FTE to an average of eight square metres by 31 March 2018 and announcing that it expects a further £5 to 6 billion of receipts from property sales by 2020. Following the introduction of a 'Right to Contest' the public can now challenge the government's use of land and property. If a challenge is successful a Department must release the asset for sale. The government's intention is to work towards the extension of this approach across the wider public sector. The future policy direction suggested by this report presents a number of opportunities for London local government to advance and engage with the government's efficiency and reform agenda " The government also intends to improve its procurement processes. It currently spends over £40 billion on goods and services per year and its aim is to transition up to £10 billion of annual spend on common goods and services from Departments to the Crown Commercial Service by 2019-20. An ambition is to further expand the work of the Crown Commercial Service into the wider public sector, to support the NHS, local authorities, schools and the police to maximise their buying leverage. Part of this approach will be a focus on data transparency to build a culture of "comply or explain". In advance of the introduction of Universal Credit, the DWP and HM Revenue and Customs will look to see how they can reduce fraud and error in the legacy benefits system. This will be facilitated through the use of Real Time Information systems about individuals' employment and earnings. To tackle uncollected debt, the government will introduce a Debt Market Integrator to enable debt collection through a single, co-ordinated private sector approach. Finally, the government has proposed to continue exploring whether it is best placed to deliver public services in-house. This will potentially mean opening up the public sector in areas ranging from operational delivery to 'back office' services, with the ambition to save costs, improve quality and redesign services around users. This may mean the expansion of alternative delivery models such as joint ventures and mutuals, particularly across the local government sector. The future policy direction suggested by this report presents a number of opportunities for London local government to advance and engage with the government's efficiency and reform agenda. For a start, the use of digital technology in the delivery of public services continues to be an area of significant opportunity. Adopting strategies employed by market leading software companies - Amazon, Google, Microsoft and Facebook - the shift towards 'Government as a Platform' has the potential to radically transform public service delivery and improve the relationship between provision and public use. As providers and commissioners of public services, as producers of service information and as local centres of expertise and data analysis there may be a case to be made for London local government to develop a shared public service platform distinct from the GLA, but aligned with best practice developed at a city-wide and national level. Asset rationalisation also continues to offer the opportunity for London boroughs to reduce overheads and generate capital receipts. More ambitiously it creates a potential role where borough chief executives might lead local asset rationalisation schemes across the whole public sector within their borough's boundaries. The use of real-time information in tackling fraud and reducing outstanding debt has the potential to support borough resilience. Access to this information could be secured if not already available and the potential to establish an integrated debt collection service for all the London boroughs could be explored. " Efforts to improve shared procurement across London are already in place and will no doubt continue to be developed. It might be useful to explore potential synergies with the government's approach and the opportunity on offer from developing a pan-London purchasing platform for common items. ## Commentary For many in local government the proposals outlined in the government's report will be strikingly familiar " The government's efficiency and reform agenda presents a broad picture of a leaner, smarter and more effective public sector. The push to make better use of digital technology, alongside common sense approaches to asset rationalisation and joint procurement chime with thinking that has proved to be increasingly popular in recent years. However, while the scale of the potential savings on offer through these approaches underlines the extent to which Departments stand to benefit from reform, it also contributes to the sense that Whitehall has, so far, been relatively protected from the severest cuts to budgets. For many in local government the proposals outlined in the government's report will be strikingly familiar. The experience of designing and delivering efficient services within the context of declining budgets and rising demand has encouraged most if not all to explore the potential savings to be gained through such approaches. Some may even welcome the government's steps to bring Departmental practice more closely into line with the performance of local councils, who are widely recognised as one of the most efficient parts of the public sector. Others are likely to feel frustrated and concerned by the apparent focus on 'quick wins' at a time of unprecedented financial challenge. In areas such as digital technology, procurement and asset rationalisation, there is already the sense that some London boroughs are ahead of the government. These areas have delivered savings, particularly in central services, but they stand in the face of rising demand for statutory services such as those for vulnerable adults and children that have cost implications which run to the billions. Ultimately therefore, while the government's focus on increasing the efficiency of Whitehall is to be welcomed, public service reform through devolution to local councils remains the missing piece of the puzzle. Unfortunately, it seems that on this side of the general election at least, Ministers remain cautious about trusting local leaders with further devolution. With manifestos due to be published shortly, it will interesting to see which of the national parties recognises the advantages of acting radically by devolving to reform. Author: Philip Clifford, Policy and Project Manager(T: 020 7934 9792) Click here to send a comment or query to the author ## Links: Efficiency and reform in the next Parliament (policy paper) ## This Member Briefing Has Been Circulated To: Portfolio holders and those members who requested policy briefings in the following categories: Leadership, devolution and democracy

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nd Whether the CPS looked into the circumstances of a person's death having been found 'fit to work' by the DWP or following a benefit sanction by the DWP. ## Request 1. Since 2010 have the CPS looked into the circumcisers [circumstances] of a person's death having been found 'fit to work' by the DWP or following a benefit sanction by the DWP 2. Has [Have] any guidelines for handling of DWP Relate[d] cases been created? Response We, the Crown Prosecution Service (CPS), have interpreted 'looked into' to mean investigated. The CPS is a prosecuting authority and therefore has not investigated the circumstances described in part one of your request. The Police and/or the Health and Safety Executive (HSE) may be able to provide data relating to investigations into the circumstances described in part one of your FOI request. The organisations can be contacted via the following links: http://www.hse.gov.uk/foi/index.htm https://foi.directory/police-forces/ A guide to co-operation between the CPS, the Department for Work and Pensions (DWP) and the Fraud Investigation Service (FIS) exists in the format of a Memorandum of Understanding (MOU). This document is published on the Crown Prosecution Service (CPS) website and for your information can be accessed via the following link: https://www.cps.gov.uk/socpa-information Information Management Unit 020 3357 0899 IMU@cps.gov.uk Crown Prosecution Service, Information Management Unit, Floor 8, 102 Petty France, London SW1H 9AJ

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## Hm Revenue & Customs Business Expenses: 1St April 2010 - 30Th June 2010 Please note - these figures may not include some costs that have yet to be invoiced and will be updated to reflect any additional spend. ## Lesley Strathie - Chief Executive And Permanent Secretary | DATES | DESTINATION | PURPOSE | TRAVEL | OTHER (Including | |-----------------|----------------|---------------|-----------|---------------------| | Hospitality | | | | | | Received/Given) | | | | | | Total | | | | | | Cost £ | | | | | | | | | | | | | | | Air | Rail | | Meals | | | | | | | | | | | | Other | | | | | | 13/04/10 | London | Departmental | | | | Business | | | | | | | | | £52.10 | | | 16/04/10 | Darlington | Staff Event | | £371.67 | | 27/04/10 | Sunningdale | Civil Service | | | | Business | | | | | | | £20.15 | £14.08 | | | | 04/05/10 | London | Departmental | | | | Business | | | | | | | | £18.05 | | | | 19/05/10 | London | Departmental | | | | Business | | | | | | | | £23.55 | | | | 10/06/10 | Birmingham | Staff Event | | £56.01 | | | | | | | ## Dave Hartnett - Permanent Secretary For Tax | DATES | DESTINATION | PURPOSE | TRAVEL | OTHER (Including | |-----------------|----------------|--------------|-----------|---------------------| | Hospitality | | | | | | Received/Given) | | | | | | Total | | | | | | Cost £ | | | | | | | | | | | | | | | Air | Rail | | Meals | | | | | | | | | | | | Other | | | | | | 08/04/10 | London | Meeting | | | | 13/04/10 | London | Departmental | | | | Business | | | | | | | | | £52.10 | | | 15/04/10 | Leeds | Meeting | | £116.00 | | 15/04/10 | London | Meeting | | | | 16/04/10 | London | Conference | | | | 20/04/10 | Sunningdale | Meeting | | £4.00 | | 20/04/10 | London | Meeting | | | | 21/04/10 | Lincoln | Speaking | | | | Engagement | | | | | | | £25.00 | £88.00 | | | | 26/04/10 | London | HMRC Board | | | | 28/04/10 | | | | | | - | | | | | | 29/04/10 | | | | | | France | Meeting | £133.00 | | £30.00 | | 29/04/10 | London | Meeting | | | | 05/05/10 | Switzerland | Meeting | £173.00 | £52.00 | | 17/05/10 | London | Meeting | | | | 18/05/10 | London | | | | | Departmental | | | | | | Business | | | | | | | | £9.00 | | | | 20/05/10 | London | Departmental | | | | Business | | | | | | | | £8.00 | | | | 20/05/10 | London | Office Visit | | | | 21/05/10 | | | | | | Cambridge | Conference | | | £37.00 | | | | | | | | 25/05/10 | Netherlands | Speaking | |-------------|----------------|-------------| | Engagement | | | | £118.00 | | £72.00 | | 01/06/10 | London | Meeting | | 03/06/10 | | | | - | | | | 04/06/10 | | | | Copenhagen | Speaking | | | Engagement | | | | £113.00 | | £33.00 | | 06/06/10 | | | | - | | | | 07/06/10 | | | | Switzerland | Meeting | £277.00 | | 10/06/10 | | | | - | | | | 11/06/10 | | | | France | Meeting | £125.00 | | 18/06/10 | London | Meeting | | 22/06/10 | | | | - | | | | 24/06/10 | | | | France | Conference | £139.00 | | | | | ## Bernadette Kenny - Director General, Personal Tax | DATES | DESTINATION | PURPOSE | TRAVEL | OTHER (Including | |-----------------|----------------|---------------|-----------|---------------------| | Hospitality | | | | | | Received/Given) | | | | | | Total | | | | | | Cost £ | | | | | | | | | | | | | | | Air | Rail | | Meals | | | | | | | | | | | | Other | | | | | | 15/04/10 | Shipley | Office Visit | | £135.55 | | 28/04/10 | London | Awards Dinner | | | | 27/05/10 | Newcastle | Office Visit | £180.49 | £52.00 | | | | | | | ## Steve Lamey - Director General, Benefits And Credits | DATES | DESTINATION | PURPOSE | TRAVEL | OTHER (Including | |-----------------|----------------|-------------|-----------|---------------------| | Hospitality | | | | | | Received/Given) | | | | | | Total | | | | | | Cost £ | | | | | | | | | | | | | | | Air | Rail | | Meals | | | | | | | | | | | | Other | | | | | | 07/04/10 | London | Meeting | | | | 15/04/10 | Washington | Staff Event | | £362.35 | | 23/04/10 | Preston | Staff Event | | £115.66 | | 28/04/10 | Preston | Staff Event | | £85.66 | | 12/05/10 | | | | | | - | | | | | | 13/05/10 | | | | | | Preston | Meeting | | £86.56 | £63.00 | | 14/05/10 | Croydon | Staff Event | | £7.90 | | 19/05/10 | Liverpool | Staff Event | | £232.94 | | 27/05/10 | Preston | Staff Event | | £127.56 | | | | | | | ## Melanie Dawes - Director General, Business Tax | DATES | DESTINATION | PURPOSE | TRAVEL | OTHER (Including | |-----------------|----------------|--------------|-----------|---------------------| | Hospitality | | | | | | Received/Given) | | | | | | Total | | | | | | Cost £ | | | | | | | | | | | | | | | Air | Rail | | Meals | | | | | | | | | | | | Other | | | | | | 19/04/10 | | | | | | - | | | | | | 20/04/10 | | | | | | Newcastle | Staff Event | | £168.75 | £21.00 | | 21/04/10 | Home | Speaking | | | | Engagement | | | | | | | | £11.00 | | | | 26/04/10 | | | | | | - | | | | | | 28/04/10 | | | | | | Riga | Meeting | £647.10 | £48.00 | £6.50 | | 01/06/10 | London | Meeting | | | | 09/06/10 | London | Meeting | | | | 10/06/10 | East Kilbride | Office Visit | £77.80 | £18.00 | | 17/06/10 | Lincoln | Staff Event | | £48.52 | | | | | | | ## Mike Eland - Director General, Enforcement And Compliance | DATES | DESTINATION | PURPOSE | TRAVEL | OTHER (Including | |-----------------|----------------|--------------|-----------|---------------------| | Hospitality | | | | | | Received/Given) | | | | | | Total | | | | | | Cost £ | | | | | | | | | | | | | | | Air | Rail | | Meals | | | | | | | | | | | | Other | | | | | | 26/04/10 | London | Departmental | | | | Business | | | | | | | £1.80 | £90.54 | | | | 28/04/10 | London | Office Visit | | | | 29/04/10 | London | Office Visit | | £3.60 | | 12/05/10 | London | Office Visit | | £3.60 | | 09/06/10 | | | | | | - | | | | | | 10/06/10 | | | | | | Birmingham | Departmental | | | | | Business | | | | | | | £69.57 | | £87.00 | | | 24/06/10 | Coventry | Office Visit | | £82.12 | | | | | | | ## Simon Bowles - Chief Finance Officer | DATES | DESTINATION | PURPOSE | TRAVEL | OTHER (Including | |-----------------|----------------|------------|-----------|---------------------| | Hospitality | | | | | | Received/Given) | | | | | | Total | | | | | | Cost £ | | | | | | | | | | | | | | | Air | Rail | | Meals | | | | | | | | | | | | Other | | | | | | NIL RETURN | | | | | | | | | | | ## Mike Falvey - Chief People Officer | DATES | DESTINATION | PURPOSE | TRAVEL | OTHER (Including | |-----------------|----------------|--------------|-----------|---------------------| | Hospitality | | | | | | Received/Given) | | | | | | Total | | | | | | Cost £ | | | | | | | | | | | | | | | Air | Rail | | Meals | | | | | | | | | | | | Other | | | | | | 21/04/10 | Nottingham | Office Visit | | £216.35 | | 13/05/10 | Newcastle | Office Visit | | £229.00 | | | | | | | ## Anthony Inglese - General Counsel And Solicitor | DATES | DESTINATION | PURPOSE | TRAVEL | OTHER (Including | |-----------------|----------------|--------------|-----------|---------------------| | Hospitality | | | | | | Received/Given) | | | | | | Total | | | | | | Cost £ | | | | | | | | | | | | | | | Air | Rail | | Meals | | | | | | | | | | | | Other | | | | | | 26/04/10 | London | Departmental | | | | Business | | | | | | | | £8.20 | | | | 27/04/10 | London | Meeting | | | | 05/05/10 | London | Speaking | | | | Engagement | | | | | | | | £20.53 | | | | 24/05/10 | Sunningdale | Speaking | | | | Engagement | | | | | | | | £77.99 | | | | 07/06/10 | Zurich | Departmental | | | | Business | | | | | | £325.98 | | | | | | 21/06/10 | Sunningdale | Speaking | | | | Engagement | | | | | | | £16.68 | | | | | | | | | | ## Phil Pavitt - Chief Information Officer | DATES | DESTINATION | PURPOSE | TRAVEL | OTHER (Including | |-----------------|----------------|--------------|-----------|---------------------| | Hospitality | | | | | | Received/Given) | | | | | | Total | | | | | | Cost £ | | | | | | | | | | | | | | | Air | Rail | | Meals | | | | | | | | | | | | Other | | | | | | 13/04/10 | | | | | | - | | | | | | 14/04/10 | | | | | | Telford | Staff Event | | | £176.32 | | 26/04/10 | London | Departmental | | | | Business | | | | | | | £3.60 | | | | | 28/04/10 | | | | | | - | | | | | | 29/04/10 | | | | | | Telford and | | | | | | Shipley | | | | | | Staff Visit | | £3.60 | £136.77 | £85.75 | | 30/04/10 | Southend | Staff Visit | | | | 05/05/10 | Liverpool | Staff Visit | | | | 10/05/10 | Worthing and | | | | | London | | | | | | Staff Visit | | £3.60 | | £7.50 | | 12/05/10 | Telford | Staff Visit | | | | 17/05/10 | | | | | | - | | | | | | 18/05/10 | | | | | | Telford | Staff Visit | | | £146.93 | | 24/06/10 | Exeter | Departmental | | | | Business | | | | | | | £75.00 | | | | | 26/05/10 | Lincoln | Speaking | | | | Engagement | | | | | | | | | £16.41 | | | 30/06/10 | London | Departmental | | | | Business | | | | | | | £3.60 | | | | | 06/07/10 | | | | | | - | | | | | | 07/07/10 | | | | | | Newcastle | Staff Visit | | £229.45 | | ## Mike Clasper - Non Executive Chairman | DATES | DESTINATION | PURPOSE | TRAVEL | OTHER (Including | |-----------------|----------------|--------------|-----------|---------------------| | Hospitality | | | | | | Received/Given) | | | | | | Total | | | | | | Cost £ | | | | | | | | | | | | | | | Air | Rail | | Meals | | | | | | | | | | | | Other | | | | | | 13/04/10 | London | Departmental | | | | Business | | | | | | | | £11.32 | £52.10 | | | 27/04/10 | | | | | | - | | | | | | 28/04/10 | | | | | | Sunningdale | Civil Service | | | | | Business | | | | | | | | £39.00 | | | | 29/04/10 | London | Departmental | | | | Business | | | | | | | | £42.27 | | | | 11/05/10 | London | Meeting | | | | 19/05/10 | London | Departmental | | | | Business | | | | | | | | £32.39 | | | | 21/06/10 | Liverpool | Office Visit | | £74.00 | | 22/06/10 | Preston | Office Visit | | £42.00 | | | | | | | ## John Spence - Non Executive Director * John Spence is registered blind therefore the expenses claimed are higher than that of other Non Executive Directors | DATES | DESTINATION | PURPOSE | TRAVEL | OTHER (Including | |-----------------|----------------|--------------|-----------|---------------------| | Hospitality | | | | | | Received/Given) | | | | | | Total | | | | | | Cost £ | | | | | | | | | | | | | | | Air | Rail | | Meals | | | | | | | | | | | | Other | | | | | | | | | | | | 08/04/10 | London | HMRC Board | | £14.50 | | 13/04/10 | London | Departmental | | | | Business | | | | | | | | £34.50 | £52.10 | | | 19/04/10 | London | Meeting | | £14.50 | | 21/04/10 | London | Meeting | | | | 06/05/10 | London | HMRC Board | | £14.50 | | 18/05/10 | London | Meeting | | £12.80 | | 26/05/10 | London | Meeting | | £18.50 | | 27/05/10 | London | Meeting | | £16.75 | | 03/06/10 | London | HMRC Board | | £14.50 | | 23/06/10 | London | Meeting | | £14.50 | | 24/06/10 | London | Meeting | | £14.50 | | | | | | | ## Phil Hodkinson - Non Executive Director | DATES | DESTINATION | PURPOSE | TRAVEL | OTHER (Including | |-----------------|----------------|--------------|-----------|---------------------| | Hospitality | | | | | | Received/Given) | | | | | | Total | | | | | | Cost £ | | | | | | | | | | | | | | | Air | Rail | | Meals | | | | | | | | | | | | Other | | | | | | 13/04/10 | London | Departmental | | | | Business | | | | | | | | | £52.10 | | | 03/06/10 | London | HMRC Board | | £23.50 | | | | | | | ## Mark Haysom - Non Executive Director | DATES | DESTINATION | PURPOSE | TRAVEL | OTHER (Including | |-----------------|----------------|--------------|-----------|---------------------| | Hospitality | | | | | | Received/Given) | | | | | | Total | | | | | | Cost £ | | | | | | | | | | | | | | | Air | Rail | | Meals | | | | | | | | | | | | Other | | | | | | 13/04/10 | London | Departmental | | | | Business | | | | | | | | | £52.10 | | | | | | | | | | | | | | ## Colin Cobain - Non Executive Director | DATES | DESTINATION | PURPOSE | TRAVEL | OTHER (Including | |-----------------|----------------|------------|-----------|---------------------| | Hospitality | | | | | | Received/Given) | | | | | | Total | | | | | | Cost £ | | | | | | | | | | | | | | | Air | Rail | | Meals | | | | | | | | | | | | Other | | | | | | NIL RETURN | | | | | | | | | | | ## Philippa Hird - Non Executive Director * Philippa Hird does not make individual claims for business expenses. | DATES | DESTINATION | PURPOSE | TRAVEL | OTHER (Including | |-----------------|----------------|--------------|-----------|---------------------| | Hospitality | | | | | | Received/Given) | | | | | | Total | | | | | | Cost £ | | | | | | | | | | | | | | | Air | Rail | | Meals | | | | | | | | | | | | Other | | | | | | 13/04/10 | London | Departmental | | | | Business | | | | | | | | | £52.10 | | | | | | | | | | | | | | ## Dame Sue Street - Non Executive Director * Dame Sue Street does not make individual claims for business expenses. ## | DATES | DESTINATION | PURPOSE | TRAVEL | OTHER (Including | |-----------------|----------------|--------------|-----------|---------------------| | Hospitality | | | | | | Received/Given) | | | | | | Total | | | | | | Cost £ | | | | | | | | | | | | | | | Air | Rail | | Meals | | | | | | | | | | | | Other | | | | | | 13/04/10 | London | Departmental | | | | Business | | | | | | | | | £52.10 | | | | | | | | | | | | | | | | | | | |

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## A3131 Expenditure Over Threshold RUN AT 01/02/2018 12:15:48 Department family Entity Date Expense Type Expense area Supplier Transaction number AP Amount (£) Department of Health NHS Newark & Sherwood CCG 31/01/2018 Travel Booking Services PATIENT TRANSPORT ARRIVA TRANSPORT SOLUTIONS 20301451 58,297.86 Department of Health NHS Newark & Sherwood CCG 31/01/2018 Travel Booking Services PATIENT TRANSPORT ARRIVA TRANSPORT SOLUTIONS 20301454 58,393.72 Department of Health NHS Newark & Sherwood CCG 31/01/2018 Travel Booking Services PATIENT TRANSPORT ARRIVA TRANSPORT SOLUTIONS 20301457 57,896.01 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS DES Minor Surgery PRC DELEGATED CO-COMMISSIONING BARNBY GATE SURGERY 20504774 1,702.97 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING BARNBY GATE SURGERY 20504774 94,040.45 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING BARNBY GATE SURGERY 20504774 8,194.56 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING BARNBY GATE SURGERY 20504774 10,221.35 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS DES Minor Surgery PRC DELEGATED CO-COMMISSIONING BILSTHORPE SURGERY 20502964 1,702.97 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING BILSTHORPE SURGERY 20502964 27,549.77 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS Prem Clinical Waste PRC DELEGATED CO-COMMISSIONING BILSTHORPE SURGERY 20502964 125.47 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING BILSTHORPE SURGERY 20502964 7,576.30 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS Prem Other PRC DELEGATED CO-COMMISSIONING BILSTHORPE SURGERY 20502964 398.70 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING BILSTHORPE SURGERY 20502964 3,467.33 Department of Health NHS Newark & Sherwood CCG 31/01/2018 Clinical&Medical-Independent Sector ACUTE COMMISSIONING BMI HEALTHCARE COLLECTIONS 20436556 127,646.77 Department of Health NHS Newark & Sherwood CCG 31/01/2018 Clinical&Medical-Independent Sector ACUTE COMMISSIONING CARE UK CLINICAL SERVICES LTD 20436705 28,197.49 Department of Health NHS Newark & Sherwood CCG 31/01/2018 Clinical&Medical-Clinical Other LEARNING DIFFICULTIES CAS BEHAVIOURAL HEALTH LTD 20572572 (60,118.29) Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-Independent Sector - CQUIN CLINICAL ASSESSMENT AND TREATMENT CENTRES CIRCLE NOTTINGHAM LTD 20436400 2,594.42 Department of Health NHS Newark & Sherwood CCG 31/01/2018 Clinical&Medical-Commercial Sector CLINICAL ASSESSMENT AND TREATMENT CENTRES CIRCLE NOTTINGHAM LTD 20436400 153,866.67 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING COLLINGHAM MEDICAL CENTRE 20504758 56,017.68 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS Prem Clinical Waste PRC DELEGATED CO-COMMISSIONING COLLINGHAM MEDICAL CENTRE 20504758 544.40 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING COLLINGHAM MEDICAL CENTRE 20504758 9,091.67 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING COLLINGHAM MEDICAL CENTRE 20504758 6,448.22 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS Cost of Drugs -Dispensing PRESCRIBING COLLINGHAM MEDICAL CENTRE 20625969 (46,173.96) Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS PrscChrgsCll&RmttdbyGPCntra PRC DELEGATED CO-COMMISSIONING COLLINGHAM MEDICAL CENTRE 20625969 (3,070.20) Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS Cost of Drugs -Dispensing PRESCRIBING COLLINGHAM MEDICAL CENTRE 20625970 96,424.23 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING COLLINGHAM MEDICAL CENTRE 20625970 14,099.75 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS PrscrptnChrgsColl&RmttdbyGP PRESCRIBING COLLINGHAM MEDICAL CENTRE 20625970 3,070.20 Department of Health NHS Newark & Sherwood CCG 31/01/2018 Rent ESTATES AND FACILITIES COMMUNITY HEALTH PARTNERSHIPS LTD 20598934 40,211.00 Department of Health NHS Newark & Sherwood CCG 31/01/2018 Hcare Srv Rec Fdtn Trust-CQUIN ACUTE COMMISSIONING DERBY TEACHING HOSPITALS NHS FT 20436544 925.89 Department of Health NHS Newark & Sherwood CCG 31/01/2018 Hcare Srv Rec Fdtn Trust-Contract Baseline ACUTE COMMISSIONING DERBY TEACHING HOSPITALS NHS FT 20436544 48,710.81 Department of Health NHS Newark & Sherwood CCG 31/01/2018 Clinical&Medical-Independent Sector NHS 111 DHU 111 (EAST MIDLANDS) CIC 20436483 27,853.82 Department of Health NHS Newark & Sherwood CCG 31/01/2018 Hcare Srv Rec Fdtn Trust-CQUIN ACUTE COMMISSIONING DONCASTER AND BASSETLAW HOSPITALS NHS FOUNDATION TRUST 20436718 2,734.00 Department of Health NHS Newark & Sherwood CCG 31/01/2018 Hcare Srv Rec Fdtn Trust-Contract Baseline ACUTE COMMISSIONING DONCASTER AND BASSETLAW HOSPITALS NHS FOUNDATION TRUST 20436718 268,145.00 Department of Health NHS Newark & Sherwood CCG 31/01/2018 Hcare Srv Rec NHS Trust-CQUIN AMBULANCE SERVICES EAST MIDLANDS AMBULANCE SERVICE NHS TRUST 20436708 4,244.83 Department of Health NHS Newark & Sherwood CCG 31/01/2018 Hcare Srv Rec NHS Trust-Contract Baseline AMBULANCE SERVICES EAST MIDLANDS AMBULANCE SERVICE NHS TRUST 20436708 339,625.17 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING HILL VIEW SURGERY 20504764 22,405.74 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING HILL VIEW SURGERY 20504764 1,805.20 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING HILL VIEW SURGERY 20504764 2,383.33 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING HILL VIEW SURGERY 20504764 2,559.10 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS DES Minor Surgery PRC DELEGATED CO-COMMISSIONING HOUNDSFIELD SURGERY 20504776 1,098.25 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING HOUNDSFIELD SURGERY 20504776 32,608.91 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING HOUNDSFIELD SURGERY 20504776 2,643.25 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING HOUNDSFIELD SURGERY 20504776 2,826.49 Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS Cost of Drugs -Dispensing PRESCRIBING HOUNDSFIELD SURGERY 20625979 (44,782.70) Department of Health NHS Newark & Sherwood CCG 31/01/2018 C&M-GMS PrscChrgsCll&RmttdbyGPCntra PRC DELEGATED CO-COMMISSIONING HOUNDSFIELD SURGERY 20625979 (3,311.00) | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS Cost of Drugs -Dispensing | PRESCRIBING | HOUNDSFIELD SURGERY | 20625980 | 84,054.30 | |------------------------|-----------------------------|--------------|------------------------------------------------|---------------------------------------------|-----------------------------------------------|------------|-------------| | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS Prof Fees Dispensing | PRC DELEGATED CO-COMMISSIONING | HOUNDSFIELD SURGERY | 20625980 | 13,413.30 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS PrscrptnChrgsColl&RmttdbyGP | PRESCRIBING | HOUNDSFIELD SURGERY | 20625980 | 3,311.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Hcare Srv Rec Fdtn Trust-Contract Baseline | MENTAL HEALTH CONTRACTS | LINCOLNSHIRE PARTNERSHIP NHS FOUNDATION TRUST | 20489550 | 31,200.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS Global Sum | PRC DELEGATED CO-COMMISSIONING | LOMBARD MEDICAL CENTRE | 20504772 | 122,882.49 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS MPIG Correction Factor | PRC DELEGATED CO-COMMISSIONING | LOMBARD MEDICAL CENTRE | 20504772 | 4,915.11 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS Prem Clinical Waste | PRC DELEGATED CO-COMMISSIONING | LOMBARD MEDICAL CENTRE | 20504772 | 6,658.51 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | LOMBARD MEDICAL CENTRE | 20504772 | 15,213.30 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS DES Minor Surgery | PRC DELEGATED CO-COMMISSIONING | MAJOR OAK MEDICAL PRACTICE | 20504766 | 2,531.46 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS Global Sum | PRC DELEGATED CO-COMMISSIONING | MAJOR OAK MEDICAL PRACTICE | 20504766 | 52,273.81 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS Prem Actual Rent | PRC DELEGATED CO-COMMISSIONING | MAJOR OAK MEDICAL PRACTICE | 20504766 | 8,218.60 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS Prem Rates | PRC DELEGATED CO-COMMISSIONING | MAJOR OAK MEDICAL PRACTICE | 20504766 | 700.46 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS Prem Water Rates | PRC DELEGATED CO-COMMISSIONING | MAJOR OAK MEDICAL PRACTICE | 20504766 | 88.36 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | MAJOR OAK MEDICAL PRACTICE | 20504766 | 6,463.24 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS DES Minor Surgery | PRC DELEGATED CO-COMMISSIONING | MIDDLETON LODGE SURGERY | 20504756 | 3,321.17 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS Global Sum | PRC DELEGATED CO-COMMISSIONING | MIDDLETON LODGE SURGERY | 20504756 | 100,431.96 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS Prem Clinical Waste | PRC DELEGATED CO-COMMISSIONING | MIDDLETON LODGE SURGERY | 20504756 | 750.32 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS Prem Notional Rent | PRC DELEGATED CO-COMMISSIONING | MIDDLETON LODGE SURGERY | 20504756 | 4,483.33 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | MIDDLETON LODGE SURGERY | 20504756 | 12,520.01 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Clinical&Medical-Commercial Sector | OUT OF HOURS | NEMS COMMUNITY BENEFIT SERVICE | 20547578 | 125,808.67 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Basic Sal-Rechgs to-from Other NHS | INTERPRETING SERVICES | NHS MANSFIELD & ASHFIELD CCG | 20425034 | 31,879.12 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | E'ers NHI-Rechgs to-from Other NHS | INTERPRETING SERVICES | NHS MANSFIELD & ASHFIELD CCG | 20425034 | 3,433.56 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | E'ers Pen-Rechgs to-from Other NHS | INTERPRETING SERVICES | NHS MANSFIELD & ASHFIELD CCG | 20425034 | 4,774.68 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Basic Sal-Rechgs to-from Other NHS | Service Planning & Reform | NHS MANSFIELD & ASHFIELD CCG | 20425042 | 25,358.22 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | E'ers NHI-Rechgs to-from Other NHS | Service Planning & Reform | NHS MANSFIELD & ASHFIELD CCG | 20425042 | 3,189.48 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | E'ers Pen-Rechgs to-from Other NHS | Service Planning & Reform | NHS MANSFIELD & ASHFIELD CCG | 20425042 | 3,265.31 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Recharge : Provided | Service Planning & Reform | NHS MANSFIELD & ASHFIELD CCG | 20425042 | 258.55 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Basic Sal-Rechgs to-from Other NHS | MEDICINES MANAGEMENT - CLINICAL | NHS MANSFIELD & ASHFIELD CCG | 20425082 | 21,541.09 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | E'ers NHI-Rechgs to-from Other NHS | MEDICINES MANAGEMENT - CLINICAL | NHS MANSFIELD & ASHFIELD CCG | 20425082 | 2,288.53 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | E'ers Pen-Rechgs to-from Other NHS | MEDICINES MANAGEMENT - CLINICAL | NHS MANSFIELD & ASHFIELD CCG | 20425082 | 3,091.99 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Recharge : Provided | MEDICINES MANAGEMENT - CLINICAL | NHS MANSFIELD & ASHFIELD CCG | 20425082 | 223.53 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Basic Sal-Rechgs to-from Other NHS | CLINICAL SUPPORT | NHS MANSFIELD & ASHFIELD CCG | 20425095 | 23,015.06 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | E'ers NHI-Rechgs to-from Other NHS | CLINICAL SUPPORT | NHS MANSFIELD & ASHFIELD CCG | 20425095 | 2,582.45 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | E'ers Pen-Rechgs to-from Other NHS | CLINICAL SUPPORT | NHS MANSFIELD & ASHFIELD CCG | 20425095 | 3,309.57 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Recharge : Provided | CLINICAL SUPPORT | NHS MANSFIELD & ASHFIELD CCG | 20425095 | 272.12 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Basic Sal-Rechgs to-from Other NHS | COMMISSIONING | NHS MANSFIELD & ASHFIELD CCG | 20468239 | 58,440.68 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | E'ers NHI-Rechgs to-from Other NHS | COMMISSIONING | NHS MANSFIELD & ASHFIELD CCG | 20468239 | 6,196.70 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | E'ers Pen-Rechgs to-from Other NHS | COMMISSIONING | NHS MANSFIELD & ASHFIELD CCG | 20468239 | 8,302.55 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Recharge : Provided | COMMISSIONING | NHS MANSFIELD & ASHFIELD CCG | 20468239 | 895.10 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Basic Sal-Rechgs to-from Other NHS | FINANCE | NHS MANSFIELD & ASHFIELD CCG | 20468243 | 56,929.79 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | E'ers NHI-Rechgs to-from Other NHS | FINANCE | NHS MANSFIELD & ASHFIELD CCG | 20468243 | 6,545.62 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | E'ers Pen-Rechgs to-from Other NHS | FINANCE | NHS MANSFIELD & ASHFIELD CCG | 20468243 | 8,135.56 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Recharge : Provided | FINANCE | NHS MANSFIELD & ASHFIELD CCG | 20468243 | 228.63 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Cont Care-Funded Nursing Care Allow | FUNDED NURSING CARE | NHS RUSHCLIFFE CCG | 20436743 | 78,322.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | NHS CHC/FNC Risk-Sharing Recharge between CCGs | FUNDED NURSING CARE | NHS RUSHCLIFFE CCG | 20436743 | 19,790.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Clinical&Medical-Independent Sector | Learning Difficulties - S117 | NHS RUSHCLIFFE CCG | 20439775 | 61,525.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Clinical&Medical-Independent Sector | Mental Health Services - S117 Mental Health | NHS RUSHCLIFFE CCG | 20439775 | 135,709.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Cont Care- Adult 100% Fully Funded | CHC AD FULL FUND PERS HLTH BUD | NHS RUSHCLIFFE CCG | 20439775 | 7,000.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Cont Care- Adult 100% Fully Funded | CHC ADULT FULLY FUNDED | NHS RUSHCLIFFE CCG | 20439775 | 149,484.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Cont Care- Adult Joint Funded | ADULT JOINT FUNDED CONTINUING CARE | NHS RUSHCLIFFE CCG | 20439775 | 16,015.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Cont Care- Adult Joint Funded | Adult Joint Funded Continuing Care Personal Health Budgets | NHS RUSHCLIFFE CCG | 20439775 | 3,501.00 | |------------------------|-----------------------------|--------------|-------------------------------------------------|--------------------------------------------------------------|-------------------------------------------|------------|--------------| | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Cont Care- Children | Children's Continuing Care | NHS RUSHCLIFFE CCG | 20439775 | 29,752.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Cont Care- Children | Children's Continuing Care Personal Health Budgets | NHS RUSHCLIFFE CCG | 20439775 | 1,935.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Cont Care- Palliative Care | CHC ADULT FULLY FUNDED | NHS RUSHCLIFFE CCG | 20439775 | 48,644.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Cont Care-Learning Disab(65+) | ADULT JOINT FUNDED CONTINUING CARE | NHS RUSHCLIFFE CCG | 20439775 | 15,357.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Cont Care-Learning Disab(<65) | ADULT JOINT FUNDED CONTINUING CARE | NHS RUSHCLIFFE CCG | 20439775 | 367,482.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Cont Care-Learning Disab(<65) | CHC AD FULL FUND PERS HLTH BUD | NHS RUSHCLIFFE CCG | 20439775 | 24,747.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Cont Care-Learning Disab(<65) | CHC ADULT FULLY FUNDED | NHS RUSHCLIFFE CCG | 20439775 | 22,585.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Cont Care-Mental Health (65+) | ADULT JOINT FUNDED CONTINUING CARE | NHS RUSHCLIFFE CCG | 20439775 | 6,399.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Cont Care-Mental Health (65+) | CHC AD FULL FUND PERS HLTH BUD | NHS RUSHCLIFFE CCG | 20439775 | 3,538.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Cont Care-Mental Health (65+) | CHC ADULT FULLY FUNDED | NHS RUSHCLIFFE CCG | 20439775 | 255,203.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Cont Care-Mental Health (<65) | ADULT JOINT FUNDED CONTINUING CARE | NHS RUSHCLIFFE CCG | 20439775 | 10,901.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Cont Care-Mental Health (<65) | CHC ADULT FULLY FUNDED | NHS RUSHCLIFFE CCG | 20439775 | (29,547.00) | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Cont Care-Physical Disab (65+) | ADULT JOINT FUNDED CONTINUING CARE | NHS RUSHCLIFFE CCG | 20439775 | 11,678.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Cont Care-Physical Disab (65+) | CHC AD FULL FUND PERS HLTH BUD | NHS RUSHCLIFFE CCG | 20439775 | 64,515.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Cont Care-Physical Disab (65+) | CHC ADULT FULLY FUNDED | NHS RUSHCLIFFE CCG | 20439775 | 8,228.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Cont Care-Physical Disab (<65) | ADULT JOINT FUNDED CONTINUING CARE | NHS RUSHCLIFFE CCG | 20439775 | 36,053.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Cont Care-Physical Disab (<65) | Adult Joint Funded Continuing Care Personal Health Budgets | NHS RUSHCLIFFE CCG | 20439775 | 1,945.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Cont Care-Physical Disab (<65) | CHC AD FULL FUND PERS HLTH BUD | NHS RUSHCLIFFE CCG | 20439775 | (13,738.00) | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Cont Care-Physical Disab (<65) | CHC ADULT FULLY FUNDED | NHS RUSHCLIFFE CCG | 20439775 | 28,431.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | NHS CHC/FNC Risk-Sharing Recharge between CCGs | ADULT JOINT FUNDED CONTINUING CARE | NHS RUSHCLIFFE CCG | 20439775 | (124,965.00) | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | NHS CHC/FNC Risk-Sharing Recharge between CCGs | Adult Joint Funded Continuing Care Personal Health Budgets | NHS RUSHCLIFFE CCG | 20439775 | 6,436.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | NHS CHC/FNC Risk-Sharing Recharge between CCGs | CHC AD FULL FUND PERS HLTH BUD | NHS RUSHCLIFFE CCG | 20439775 | 30,796.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | NHS CHC/FNC Risk-Sharing Recharge between CCGs | CHC ADULT FULLY FUNDED | NHS RUSHCLIFFE CCG | 20439775 | 5,167.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | NHS CHC/FNC Risk-Sharing Recharge between CCGs | Children's Continuing Care | NHS RUSHCLIFFE CCG | 20439775 | 33,813.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | NHS CHC/FNC Risk-Sharing Recharge between CCGs | Children's Continuing Care Personal Health Budgets | NHS RUSHCLIFFE CCG | 20439775 | 4,905.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Prescribing | PRESCRIBING | NHS RUSHCLIFFE CCG | 20612220 | 26,198.11 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Hcare Srv Rec NHS Trust-CQUIN | ACUTE COMMISSIONING | NOTTINGHAM UNIVERSITY HOSPITALS NHS TRUST | 20439755 | 26,663.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Hcare Srv Rec NHS Trust-Contract Baseline | ACUTE COMMISSIONING | NOTTINGHAM UNIVERSITY HOSPITALS NHS TRUST | 20439755 | 1,105,443.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Hcare Srv Rec NHS Trust-Over/ Under Performance | ACUTE COMMISSIONING | NOTTINGHAM UNIVERSITY HOSPITALS NHS TRUST | 20553918 | 378,025.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-Independent Sector - CQUIN | ACUTE COMMISSIONING | NOTTINGHAM WOODTHORPE HOSPITAL | 20436511 | 800.61 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Clinical&Medical-Independent Sector | ACUTE COMMISSIONING | NOTTINGHAM WOODTHORPE HOSPITAL | 20436511 | 64,049.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Clinical&Medical-Othe Public Sector | PROGRAMME PROJECTS | NOTTINGHAMSHIRE COUNTY COUNCIL | 20307727 | 246,443.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Hcare Srv Rec Fdtn Trust-Contract Cost per Case | LEARNING DIFFICULTIES | NOTTINGHAMSHIRE HEALTHCARE NHS TRUST | 20436341 | 20,006.78 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Hcare Srv Rec Fdtn Trust-Contract Cost per Case | MENTAL HEALTH SERVICES - OTHER | NOTTINGHAMSHIRE HEALTHCARE NHS TRUST | 20436341 | 11,768.53 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Hcare Srv Rec Fdtn Trust-Contract Baseline | COMMUNITY SERVICES | NOTTINGHAMSHIRE HEALTHCARE NHS TRUST | 20436538 | 883,756.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Hcare Srv Rec Fdtn Trust-Contract Cost per Case | LEARNING DIFFICULTIES | NOTTINGHAMSHIRE HEALTHCARE NHS TRUST | 20436665 | 19,361.40 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Hcare Srv Rec Fdtn Trust-Contract Cost per Case | MENTAL HEALTH SERVICES - OTHER | NOTTINGHAMSHIRE HEALTHCARE NHS TRUST | 20436665 | 11,388.90 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Hcare Srv Rec Fdtn Trust-CQUIN | MENTAL HEALTH CONTRACTS | NOTTINGHAMSHIRE HEALTHCARE NHS TRUST | 20439767 | 25,342.47 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Hcare Srv Rec Fdtn Trust-Contract Baseline | MENTAL HEALTH CONTRACTS | NOTTINGHAMSHIRE HEALTHCARE NHS TRUST | 20439767 | 1,029,743.86 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Hcare Srv Rec Fdtn Trust-Non Contract | IMPROVING ACCESS TO PSYCHOLOGICAL THERAPIES | NOTTINGHAMSHIRE HEALTHCARE NHS TRUST | 20489609 | 30,906.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-APMS Contract Value | PRC DELEGATED CO-COMMISSIONING | PRIMARY INTEGRATED COMMUNITY SERVICES LTD | 20369336 | 51,000.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-APMS DES Minor Surgery | PRC DELEGATED CO-COMMISSIONING | PRIMARY INTEGRATED COMMUNITY SERVICES LTD | 20369336 | 527.16 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-APMS Prem Actual Rent | PRC DELEGATED CO-COMMISSIONING | PRIMARY INTEGRATED COMMUNITY SERVICES LTD | 20369336 | 12,629.17 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-APMS Prem Clinical Waste | PRC DELEGATED CO-COMMISSIONING | PRIMARY INTEGRATED COMMUNITY SERVICES LTD | 20369336 | 70.95 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-APMS Prem Rates | PRC DELEGATED CO-COMMISSIONING | PRIMARY INTEGRATED COMMUNITY SERVICES LTD | 20369336 | 886.73 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-APMS Prem Water Rates | PRC DELEGATED CO-COMMISSIONING | PRIMARY INTEGRATED COMMUNITY SERVICES LTD | 20369336 | 98.44 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-PMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | PRIMARY INTEGRATED COMMUNITY SERVICES LTD | 20369336 | 3,223.37 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-APMS Contract Value | PRC DELEGATED CO-COMMISSIONING | PRIMARY INTEGRATED COMMUNITY SERVICES LTD | 20547559 | 25,679.24 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS Global Sum | PRC DELEGATED CO-COMMISSIONING | RAINWORTH HEALTH CENTRE | 20504762 | 46,614.11 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS Prem Actual Rent | PRC DELEGATED CO-COMMISSIONING | RAINWORTH HEALTH CENTRE | 20504762 | 16,020.32 | |------------------------|-----------------------------|--------------|--------------------------------------------------|----------------------------------|---------------------------------------------------|------------|--------------| | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS Prem Rates | PRC DELEGATED CO-COMMISSIONING | RAINWORTH HEALTH CENTRE | 20504762 | 1,000.25 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS Prem Water Rates | PRC DELEGATED CO-COMMISSIONING | RAINWORTH HEALTH CENTRE | 20504762 | 158.40 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | RAINWORTH HEALTH CENTRE | 20504762 | 5,629.06 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Hcare Srv Rec Fdtn Trust-Contract Baseline | ACUTE COMMISSIONING | SHEFFIELD TEACHING HOSPITALS NHS FOUNDATION TRUST | 20436689 | 28,047.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Hcare Srv Rec Fdtn Trust-CQUIN | ACUTE COMMISSIONING | SHERWOOD FOREST HOSPITALS NHS FOUNDATION TRUST | 20436494 | 49,109.07 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Hcare Srv Rec Fdtn Trust-CQUIN | COMMUNITY SERVICES | SHERWOOD FOREST HOSPITALS NHS FOUNDATION TRUST | 20436494 | 1,585.46 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Hcare Srv Rec Fdtn Trust-Contract Baseline | ACUTE COMMISSIONING | SHERWOOD FOREST HOSPITALS NHS FOUNDATION TRUST | 20436494 | 5,212,380.64 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Hcare Srv Rec Fdtn Trust-Contract Baseline | COMMUNITY SERVICES | SHERWOOD FOREST HOSPITALS NHS FOUNDATION TRUST | 20436494 | 204,626.83 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Hcare Srv Rec Fdtn Trust-Over/ Under Performance | ACUTE COMMISSIONING | SHERWOOD FOREST HOSPITALS NHS FOUNDATION TRUST | 20553919 | 184,169.29 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS DES Minor Surgery | PRC DELEGATED CO-COMMISSIONING | SHERWOOD MEDICAL PARTNERSHIP | 20504768 | 4,364.16 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS Global Sum | PRC DELEGATED CO-COMMISSIONING | SHERWOOD MEDICAL PARTNERSHIP | 20504768 | 117,093.34 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS Prem Clinical Waste | PRC DELEGATED CO-COMMISSIONING | SHERWOOD MEDICAL PARTNERSHIP | 20504768 | 900.28 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS Prem Notional Rent | PRC DELEGATED CO-COMMISSIONING | SHERWOOD MEDICAL PARTNERSHIP | 20504768 | 3,583.33 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | SHERWOOD MEDICAL PARTNERSHIP | 20504768 | 13,279.06 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS GP Statutory Levy | PRC DELEGATED CO-COMMISSIONING | SOUTHWELL MEDICAL CENTRE | 20504777 | (794.42) | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS Voluntary Levy | PRC DELEGATED CO-COMMISSIONING | SOUTHWELL MEDICAL CENTRE | 20504777 | (120.52) | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | ME - GMS TPS Added Years Adj EEs | PRC DELEGATED CO-COMMISSIONING | SOUTHWELL MEDICAL CENTRE | 20504777 | (478.21) | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | ME-GMS GP Pension EEs | PRC DELEGATED CO-COMMISSIONING | SOUTHWELL MEDICAL CENTRE | 20504777 | (11,707.98) | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | ME-GMS GP Pension ERs Adjustments | PRC DELEGATED CO-COMMISSIONING | SOUTHWELL MEDICAL CENTRE | 20504777 | (12,586.90) | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS DES Minor Surgery | PRC DELEGATED CO-COMMISSIONING | SOUTHWELL MEDICAL CENTRE | 20504778 | 2,615.20 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS Global Sum | PRC DELEGATED CO-COMMISSIONING | SOUTHWELL MEDICAL CENTRE | 20504778 | 80,371.80 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS MPIG Correction Factor | PRC DELEGATED CO-COMMISSIONING | SOUTHWELL MEDICAL CENTRE | 20504778 | 5,113.55 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS Prem Notional Rent | PRC DELEGATED CO-COMMISSIONING | SOUTHWELL MEDICAL CENTRE | 20504778 | 17,670.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS Prem Other | PRC DELEGATED CO-COMMISSIONING | SOUTHWELL MEDICAL CENTRE | 20504778 | 775.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | SOUTHWELL MEDICAL CENTRE | 20504778 | 10,040.61 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS Cost of Drugs -Dispensing | PRESCRIBING | SOUTHWELL MEDICAL CENTRE | 20625981 | (42,752.00) | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS PrscChrgsCll&RmttdbyGPCntra | PRC DELEGATED CO-COMMISSIONING | SOUTHWELL MEDICAL CENTRE | 20625981 | (3,354.00) | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS Cost of Drugs -Dispensing | PRESCRIBING | SOUTHWELL MEDICAL CENTRE | 20625982 | 89,269.41 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS Prof Fees Dispensing | PRC DELEGATED CO-COMMISSIONING | SOUTHWELL MEDICAL CENTRE | 20625982 | 13,369.65 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS PrscrptnChrgsColl&RmttdbyGP | PRESCRIBING | SOUTHWELL MEDICAL CENTRE | 20625982 | 3,354.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS DES Minor Surgery | PRC DELEGATED CO-COMMISSIONING | THE ABBEY MEDICAL GROUP | 20504760 | 9,167.62 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS Global Sum | PRC DELEGATED CO-COMMISSIONING | THE ABBEY MEDICAL GROUP | 20504760 | 94,053.51 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS PCO Locum Adop/Pat/Mat | PRC DELEGATED CO-COMMISSIONING | THE ABBEY MEDICAL GROUP | 20504760 | 2,900.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS Prem Notional Rent | PRC DELEGATED CO-COMMISSIONING | THE ABBEY MEDICAL GROUP | 20504760 | 16,604.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS Prem Water Rates | PRC DELEGATED CO-COMMISSIONING | THE ABBEY MEDICAL GROUP | 20504760 | 2,261.35 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | THE ABBEY MEDICAL GROUP | 20504760 | 10,605.28 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS GP Statutory Levy | PRC DELEGATED CO-COMMISSIONING | THE FOUNTAIN MEDICAL CENTRE | 20504769 | (919.81) | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS Voluntary Levy | PRC DELEGATED CO-COMMISSIONING | THE FOUNTAIN MEDICAL CENTRE | 20504769 | (139.54) | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | ME - GMS GP Prior Year ERs | PRC DELEGATED CO-COMMISSIONING | THE FOUNTAIN MEDICAL CENTRE | 20504769 | (3,956.64) | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | ME - GMS TPS Added Years Adj EEs | PRC DELEGATED CO-COMMISSIONING | THE FOUNTAIN MEDICAL CENTRE | 20504769 | (975.00) | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | ME-GMS GP Pension EEs | PRC DELEGATED CO-COMMISSIONING | THE FOUNTAIN MEDICAL CENTRE | 20504769 | (8,942.08) | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | ME-GMS GP Pension ERs Adjustments | PRC DELEGATED CO-COMMISSIONING | THE FOUNTAIN MEDICAL CENTRE | 20504769 | (9,101.10) | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | ME-GMS GP Prior Year EEs | PRC DELEGATED CO-COMMISSIONING | THE FOUNTAIN MEDICAL CENTRE | 20504769 | (4,097.92) | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS DES Minor Surgery | PRC DELEGATED CO-COMMISSIONING | THE FOUNTAIN MEDICAL CENTRE | 20504770 | 6,552.42 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS Global Sum | PRC DELEGATED CO-COMMISSIONING | THE FOUNTAIN MEDICAL CENTRE | 20504770 | 98,082.62 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS Prem Notional Rent | PRC DELEGATED CO-COMMISSIONING | THE FOUNTAIN MEDICAL CENTRE | 20504770 | 6,833.33 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | C&M-GMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | THE FOUNTAIN MEDICAL CENTRE | 20504770 | 12,566.63 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Hcare Srv Rec NHS Trust-CQUIN | ACUTE COMMISSIONING | UNITED LINCOLNSHIRE HOSPITALS NHS TRUST | 20436429 | 2,886.68 | | Department of Health | NHS Newark & Sherwood CCG | 31/01/2018 | Hcare Srv Rec NHS Trust-Contract Baseline | ACUTE COMMISSIONING | UNITED LINCOLNSHIRE HOSPITALS NHS TRUST | 20436429 | 391,732.42 | TOTAL 14,305,367.17

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The London Challenge Making Devolution Work Easy Read ## The London Challenge Making Devolution Work Devolution is where some power or responsibility is passed down to local government from central government. This could mean that work that used to be done by the Government would start to be done by a Local borough council or in Scotland or Wales by their own parliaments. London Councils thinks that some of the work that is being done by central government could be done better if it is done by local councils. ## London Councils London Councils is made up of of the 32 London Boroughs and the City of London. It works with the Mayor of London. London Councils is an organisation that can work on projects that help all of London. ! ## Helping People With Complex Needs To Get A Job. We think that it would be much better if all of the work to help people with complex needs to get a job in London is done by London Boroughs. At the moment the Department for Work and Pensions **(DWP)** pays a few large companies to help people with complex needs to find work. At the same time some London Boroughs have been running projects which help people to overcome the barriers to getting work. We think that there should be one fund of money for employment services in London. This should include the money that is spent by central government and the money that is being spent by London Boroughs. The money would be spent by people in **London Boroughs** who understand the local conditions and local problems. ! ## Who Is This For? There are about half a million people in London who want a job but have difficulties in finding one. This includes people with: - Disabilities and learning difficulties - Health problems - Difficult housing problems - Problems with drugs and people who do not speak English as their first language. ## Local Employment Projects Some London Boroughs have been running projects that show that local organisations can really help people to find a long term job. For example: - Wandsworth's Workright. This project helps people with disabilities to get a real job in the council. Council departments and schools were asked to look at work that could be more flexible. Over 3 out of 10 people got a long term job. - Southwark's Vocational Recovery Service. This is a specialist training and advice programme for people with mental health problems. Nearly 3 out of 10 people got a long term job. - **Brent in 2 Work** is a network of organisations who are supporting the hardest to reach people to get a job. They were helping more than 1000 people a year into work. 4 out of every 10 people got a long term job. ## Pilot Projects A **'Pilot Project'** Is A Small Project That Shows How Things could be done better. We have been working with central government on projects that will show how working together locally will help more Londoners with complex needs find work. - **ESA Pilot** - From April 2015, eight London Boroughs will work with people who have not been able to find work under the Work Programme. They will test whether a local project is better at helping people to find work than the government scheme. ESA stands for Employment and Support Allowance and it is a government benefit for people whose illness or disability affects their ability to work. The **Work Programme** is a Government scheme which uses mostly large companies to help people who have been unemployed for a long time to get a job. - **Mental Health Trailblazer**. This scheme will look at local support for people with mental health problems - Flexible Support Funding Pilot - we are working with the DWP and London Boroughs to agree how to use this fund for unemployed Londoners - Local Support Services Framework - We are looking at how Universal Credit can be used to help employment schemes. Universal Credit is a new welfare benefit from the government. It replaces 6 former benefits. ## In The Future We would like to do more:- - One funding pot for employment services in London - Involving local Government in decisions about new national employment programmes - We want to be able to work with local employers and look at how we can help people to have the skills that local employers need. ## Other Ideas We think that there are lots of other ways that we can improve services and cut costs by moving power and responsibility from central government to the local level. For example: London Councils 59 Southwark Street, London SE1 0AL

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Wi-Fi providers. This file provides information aggregated to local authority level about public Wi-Fi networks that are purposely made available to members of the public. The data is based on data collected from BT, Arqiva, Sky, Virgin Media, O2 and KCOM over a months' period in June 2015 (please note that there may be other hotspots provided by different operators that are not captured here, so the number should be seen as a reliable minimum.) This data should be viewed alongside the Connected Nations Report 2015 and methodology document, which summarise our approach to the data analysis and details how each of the metrics

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Peak District National Park Authority Tel: 01629 816200 E-mail: customer.service@peakdistrict.gov.uk Web: www.peakdistrict.gov.uk Minicom: 01629 816319 Aldern House . Baslow Road . Bakewell . Derbyshire . DE45 1AE Your ref: APP/M9496/Y/18/3201092 Our ref: NP/HPK/0316/0215 Date: 11th December 2018 Hazel Stanmore-Richards Eagle 3D Temple Quay House 2 The Square Bristol BS1 6PN Dear Hazel ## Re: App/M9496/Y/18/3201092 Appeal By David Lewis Associates At Edale House, Hope Road, Edale, S33 7Ze 1. Thank you for your letter dated 15th November 2018 in relation to the above appeal made by David Lewis Associates, I am now writing to confirm the Authority's statement of case. 2. The Authority refused listed building consent for the proposed works on the 30th October 2017 and the attached delegated report explains the Authority's reasons for refusing listed building consent (Document 1). Decision notice reference NP/HPK/0316/0215 is also attached for the Inspector's information (Document 2). 3. The Authority requests that the delegated report is treated as the Authority's statement of case alongside this covering letter. ## Statement Of Common Ground 4. The application which is the subject of this appeal sought listed building consent for various works as amendments to listed building consent reference NP/HPK/0714/0707 which are described within the submitted heritage statement. The application also refers Member of National Parks UK Holder of Council of Europe Diploma Chief Executive: Sarah Fowler Chair: Andrew McCloy Deputy Chair: David Chapman Working together for the Peak District National Park: - To speak up for and care for the Peak District National Park for all to enjoy forever ▪ to amendments to the planning permission reference NP/HPK/0714/0706 but the submitted application relates only to listed building consent. 5. The various works are referred to as listed building consent applications (numbered 1 – 13) in the heritage statement, however these works form part of a single application for listed building consent rather than separate applications. The delegated report and appeal documents refer to the same numbered works and for clarity this statement will refer to the works in the same way. APP/M9496/Y/18/3201092 6. The delegated report makes clear that some of the proposed works were considered to be acceptable, that the submission of further details were required for some of the proposed works and that some of the proposed works are unacceptable. This is common ground between the Authority and the applicant. For clarity the position on each of the proposed works is summarised below. ## Works Considered To Be Acceptable 1. (1a and 1b), Retrospective and new alternative proposal: reduced width of wall in opening in hall. 2. Retrospective: Retain Chimney-Breast in first floor enlarged study. 5. Retrospective: Omission of door from utility room to the basement staircase landing. 7. Retrospective: Introduce flitch plate to strengthen the historically reduced trimmer to the staircase aperture in the attic floor. 8. Retrospective: Rebuilding the wall to the bathroom at second floor level. 9. New: Restoration of ceiling cornice mouldings in eastern-most ground floor room (considered to be acceptable in principle subject to additional details). ## Works Where Submission Of Further Information Is Required Before The Authority Could Take A Positive Decision About The Principle Of Proposed Works 12.New: Proposed replacement of windows along with proposed double glazing on north and east elevations. ## Works Considered To Be Unacceptable 3. Retrospective: Duct to conceal pipework in master en-suite bathroom. (Originally designated bedroom 2) 4. Retrospective: Revised door location into master bedroom en-suite bathroom, and variations to the bathroom layout. 6. Retrospective: New wall, proposed further adjustment of the approved relocation of the door to first floor family bathroom, the provision of boxed-out service ducting and altered layout of the bathroom fittings. 10.Retrospective: Exchanging locations of the approved wet-room in the existing room in the north-west corner of the basement and the approved wine store in the room to the south of the central basement landing. 11.Retrospective: Exchanging locations of the approved gym and the approved cinema room in the basement. 13.New: Proposed exchanging the location of the entrance door currently on the east elevation and the window currently on the north elevation of the existing porch including providing a new door and associated making good of stonework. ## Statement Of Case Proposed Work 3: Duct To Conceal Pipework In Master En-Suite Bathroom. (Originally Designated Bedroom 2). 7. This element of the proposed works relates to the installation of stud walling within the en-suite bathroom to the master bedroom. The Authority's Officers took photographs of this work during construction and during the application site visit (Document 3). Photographs have also been provided by the appellant (see photographs 36 - 40 in appendix A8 of the appellant's submission). 8. The Authority accepts that the en-suite bathroom was created during the twentieth century at the north end of the first floor bedroom which itself is located in the midnineteenth century western extension to the house. The Authority also agrees that the proportions of the en-suite bathroom itself is not of significance in relation to the heritage asset. 9. The proposal is to retain stud walling installed within the en-suite principally to conceal pipework. The stud walling has been installed and projects out from the original walls of the mid-nineteenth century extension. The stud walling here is full height along the north wall and as a result it is not possible to distinguish the position of the original north wall or identify that the stud walling is a later alteration. 10.Consequently the proposed stud walling impacts upon the proportions of the original room within the mid-nineteenth extension by altering the apparent position of the north wall and the window reveal. The Authority considers that this has a harmful impact upon the historic plan form and also a harmful impact upon the relationship of the wall with the window opening within the en-suite. Both the plan form and window opening make a positive contribution to the significance of the listed building and the proposed works have resulted in a harmful impact upon that significance. ## Proposed Work 4: Revised Door Location Into Bedroom 2 (Originally Designated Master Bedroom) En-Suite Bathroom, And Variations To The Bathroom Layout. 11.This element of the proposed works relates to the alteration of the position of door openings into bedroom 2 and its en-suite bathroom along with changes to the en-suite including installation of stud walling. The Authority's Officers took photographs of this work during construction and during the application site visit (Document 4). Photographs have also been provided by the appellant (see photographs 28, 41 - 44 in appendix A8 of the appellant's submission). 12.The Authority accepts that the door in the corridor between the laundry and the en-suite remains in its existing position and therefore cannot be required to be moved. The Authority suggested to the applicant that this could be moved as the approved scheme positioned the door to open from the hallway which is considered to be an enhancement. There are no objections to the revised door location into the en-suite bathroom or the retention of the position of the door into the master bedroom. There is also no objection to the half-height stud walling to the west wall. 13.During works an existing chimney-breast was revealed in the north wall. The Authority agrees that it is appropriate to retain the chimney breast as part of the historic fabric. However the application proposes to retain new stud walling installed along the north and eastern walls of the house principally to conceal pipework and it is these elements that are of concern to the Authority. 14.This stud walling has been installed along and projects out from the external walls of the house. The stud walling along the north wall is full height and as a result it is not possible to distinguish the position of the original north wall or identify that this part of the stud walling is a later alteration. 15.The stud walling along the eastern wall is also full height but has been constructed to finish just short of the northern part of the window reveal and so it is possible to view the projection of the stud walling from the original external wall. 16.Consequently the proposed stud walling impacts upon the proportions of the room altering the apparent position of part of the north wall and the part of the east wall north of the window. The relationship of the stud walling to the east wall is obvious due to the projection of the stud walling resulting in an incongruous and unbalanced relationship with the window opening and reveal. 17.The Authority considers that this has a harmful impact upon the historic plan form and upon the relationship of the wall with the window opening within the en-suite. Both the plan form and window opening make a positive contribution to the significance of the listed building and the proposed works have resulted in a harmful impact upon that significance. ## Proposed Work 6: New Wall, Proposed Further Adjustment Of The Approved Relocation Of The Door To First Floor Family Bathroom, The Provision Of Boxed-Out Service Ducting And Altered Layout Of The Bathroom Fittings. 18.This element of the proposed works relates to the re-building of the wall to the family bathroom and alteration of the position of the door to the bathroom, the provision of stud walling to the east and west walls of the bathroom and the creation of a room for a cupboard in the hall. The Authority's Officers took photographs of this work during construction and during the application site visit (Document 5). Photographs have also been provided by the appellant (see photographs 46 - 48 in appendix A8 of the appellant's submission). 19.The Authority has stated that there are no objections to the re-building of the wall to the bathroom or the re-positioning of the doorway. The Authority however does maintain objections to the proposed retention of stud walling to the east and western walls of the bathroom and to the retention of the small room formed within the hall. 20.The stud walling has been installed along and projects out from the eastern and western walls of the bathroom. These walls appear on the drawings dating from 1956 and appear to form part of the original plan form and consequently are of high significance. The stud walling that has been installed is full height and as a result it is not possible when within the room to distinguish the position of either the original eastern or western walls or to identify that the stud walling is a later addition. ## App/M9496/Y/18/3201092 21.The Authority maintains its concerns that it is inevitable that the proposal has resulted in a change to the original form and proportions of the bathroom which becomes more apparent when considering that the window no longer appears central on the southern wall of the bathroom and when looking from the hall where the position of the western wall in the bathroom is more clearly different. 22.The Authority considers that this has a harmful impact upon the historic plan form and upon the relationship of the walls to the window opening within the bathroom. Both the plan form and window opening make a positive contribution to the significance of the listed building and the proposed works have resulted in a harmful impact upon that significance. 23.A small room has been formed within the hall to be used as a cupboard. The Authority maintains its concerns that the proposed cupboard has a very clear and harmful impact upon the proportions and character of the first floor landing and also acts to obscure the reading of the original walls. The installation of the cupboard has also meant that the fulllength steps up to the easternmost rooms have not been reinstated, which was part of the package of enhancements in the previously approved scheme. The Authority considers that this has a harmful impact upon the historic plan form and upon the spatial character of the hall which make a positive contribution to the significance of the listed building and that the proposed works have resulted in a harmful impact upon that significance. ## Proposed Work 10: Exchanging Locations Of The Approved Wet-Room In The Existing Room In The North-West Corner Of The Basement And The Approved Wine Store In The Room To The South Of The Central Basement Landing. 24.The proposal is to retain works carried out to facilitate the use of parts of the basement as a wet-room and wine store respectively. 25.The Authority does not possess photographs of either of these two rooms within the cellar prior to the work taking place. A photograph has been provided by the appellant (see photograph 66 in appendix D20 of the appellant's submission and the appeal statement). The photograph shows blockwork either side of a corner which does not appear to match up with the areas indicated on drawing EDB-001 T-002 Rev F and it is not clear which room this photograph shows. 26.The Authority does however possess a file note in relation to pre-application discussions between the Authority's Historic Buildings Architect (now retired), the owners and the previous agent (Document 6). This file note refers to proposals within the cellar and says "Whereas the rear and gable sections of cellar have been effectively spoilt, this area plus the proposed Wine Cellar are relatively unaltered and should be left this way. This implies no lining out of the walls, or visible heating." 27.This assessment is followed through in the heritage and design and access statement and approved plans submitted with the previous approved listed building consent application (NP/HPK/0714/0707) which states that the least altered cellar is to be retained 'as it is' as a wine cellar. 28.There are no objections to the use of the approved wet room as a wine cellar. This room was accepted to have been significantly altered in the past and therefore that dry lining to facilitate conversion to habitable accommodation would not be harmful to the significance of the listed building. The use of the space as either a wet room or wine cellar does not change this conclusion. 29.The Authority maintains its concerns in relation to the works to facilitate the use of the room formerly proposed to be used as a wine cellar as a wet room. These works are detailed on drawing EDB-001 T-002 Rev F and include tanking the external walls and constructing an independent internal wall constructed with studs and waterproof plasterboard to avoid penetration of the tanking system and to conceal pipework. 30.From the evidence available this part of the cellar was relatively unaltered and as such will have retained its original character and made a positive contribution to the significance of the listed building, especially taking into account that large parts of the remainder of the cellar had been altered. In the Authority's view the works to facilitate conversion to a wet room have resulted in a clear and harmful change to the character of this part of the basement and to the significance of the listed building. 31.The appeal statement and drawing EDB-001 T-002 Rev F refer to information provided by the owner in relation to water penetration and historic works including lining some of the walls in the basement with concrete blocks and floor sumps. Drawing EDB-001 T-002 Rev F does not indicate that any of these historic alterations had been carried out within this part of the cellar. 32.The statement goes on to say that to address the water penetration problem the basement was fully tanked including the floor and internal and external walls and describes this work as essential. 33.The evidence within the appeal describes the scope and extent of water penetration with water pumps placed within the proposed wine cellar and gym and frequent flooding in the proposed gym, wine cellar, stair area and utility. However, critically, there is no indication of water penetration or flooding within the proposed wet room, and there is no assessment of the different options available to address the water penetration issue and the relative impacts of these options upon the character and significance of the listed building. 34.Similarly no issues in regard to water penetration within the proposed wet room were described either during the course of the approved listed building consent application or during pre-application discussions with the Authority's Historic Buildings Architect. 35.There is therefore no evidence to support the assertion within the appeal statement that the works undertaken were clearly essential to sustain and enhance the significance of the heritage asset. There is also no evidence or assessment to support the assertion that this basement room had no special architectural or historic interest. ## Proposed Work 11: Exchanging Locations Of The Approved Gym And The Approved Cinema Room In The Basement. 36.The proposal is to retain works carried out to facilitate the use of parts of the basement as a gym and cinema room respectively. ## Continued Overleaf… Page 7 App/M9496/Y/18/3201092 37.The Authority possesses one photograph of the room proposed to be used as a gym prior to the work taking place (Document 7), the photograph shows a large gritstone slab which is referenced in the file note by the Authority's Historic Buildings Architect. A photograph has been provided by the appellant (see photograph 66 in appendix D20 of the appellant's submission and the appeal statement), but this photograph shows blockwork either side of a corner, which does not appear to match up with the areas indicated on drawing EDB-001 T-002 Rev F or the Authority's photograph and it is not clear which room this photograph shows. 38.The file note in relation to pre-application discussions between the Authority's Historic Buildings Architect, the owners and the previous agent (Document 6) is also relevant to this proposal. 39.There are no objections to switching the use of the rooms to a gym and cinema room respectively. Both rooms were approved with works to facilitate conversion to habitable rooms, the main change, now being that the walls to the proposed gym would be dry lined and plaster boarded, whereas as approved they were to be damp proofed and finished in lime plaster. 40.The main proposed change is therefore the treatment of the proposed gym and the appeal seeks to retain the tanking and plaster board finish that has been installed. 41.Authority maintains its concerns in relation to these works. The appellant states that this room was unlikely to have been considered an important or architecturally interesting space and that prior to the works taking place this room was not more interesting or significant than the other cellar rooms where dry lining was approved (as part of listed building consent NP/HPK/0714/0707). However this is an assertion and supposition by the appellant and there is no assessment of the character or significance of the room prior to works taking place. 42.The appellant's assessment conflicts with the file note provided by the Authority's Historic Building's Architect who describes the room following a site visit as relatively unaltered, implying that this part of the cellar retained at least a significant part of its original character. 43.From the evidence available, therefore, this part of the cellar appears to have been relatively unaltered and as such would have retained its original character and made a positive contribution to the significance of the listed building, especially taking into account that large parts of the remainder of the cellar had been altered. In the Authority's view the works to install tanking with a plasterboard finish have potentially resulted in a harmful change to the character of this part of the basement and to the significance of the listed building. 44.The appeal statement and drawing EDB-001 T-002 Rev F refer to information provided by the owner in relation to water penetration and historic works including lining some of the walls in the basement with concrete blocks and floor sumps. The statement goes on to say that to address the water penetration problem the basement was fully tanked including the floor and internal and external walls and describes this work as essential. Continued overleaf… Page 8 APP/M9496/Y/18/3201092 45.The evidence within the appeal describes the scope and extent of water penetration with water pumps placed within the proposed wine cellar and gym and states that there was frequent flooding in the proposed gym, wine cellar, stair area and utility. However, there is no assessment of the different options available to address the water penetration issue and the relative impacts of these options upon the character and significance of the listed building. 46.Other options for finishes within the proposed gym were considered appropriate during the previous application, with damp proofing with a lime plaster treatment proposed rather than dry lining with plaster board. 47.There is therefore no evidence to support the assertion within the appeal statement that the works undertaken were clearly essential to sustain and enhance the significance of the heritage asset. There is also no evidence or assessment to support the assertion that this basement room (i.e. the proposed gym) had no special architectural or historic interest. ## Proposed Work 12: Proposed Replacement Of Windows Along With Proposed Double Glazing On North And East Elevations. 48.The proposal is to replace windows indicated on the drawings along with the provision of double glazing on the north and east elevations. The approved scheme (listed building consent NP/HPK/0714/0707) proposed new window openings but did not propose to replace existing windows. 49.The Authority has no objection in principle to the replacement of these windows. However the proposal involves the provision of double glazing to the replacement windows. The acceptability of double glazing in this case is heavily dependent upon assessment of the existing window frames and the detailing proposed which must represent an enhancement over the existing various frame designs. 50.The Authority possesses various photographs of the affected elevations (Document 8). Assessment of these photographs shows that the north elevation windows to the east side of the current porch are not original, contrary to the assertion in the appeal statement. A photograph from 1993 shows the first floor landing window as a 6-paned door. A scanned black and white photograph from 1993 and photographs from 1999, following removal of the former brick built porch, show that the ground floor window consisted of a lower, 6-paned opening light and an upper 2-paned light. 51.Between 1993 and 1996, the first floor window (above the former glazed door) was replaced with the existing 6-paned light. The Authority granted listed building consent in 1999 (application number NP/HPK/1099130) for the replacement of the former brick porch and three windows (Document 9). The elevation drawings approved by that consent show that this window was to have been replaced with a 6-paned light, and that the ground floor window was to be replaced with a 6-paned light, with sill raised and with stone lintel to match that above: the 2 windows would therefore have matched each other. ## Continued Overleaf… Page 9 APP/M9496/Y/18/3201092 52.The photographs (Document 8) show that the original north elevation casement windows in locations N3, N4 and N5 (positions on appeal drawing EDB-000 T-100), in situ when the building was listed, had narrow frames and glazing bars, putty rather than beads and traditional moulded detailing to the glazing bars and internal frames. These windows, and the two narrow windows (N1 and N2, which were inappropriate top-hung outward-opening lights when listed, inserted as new openings in 1956) were replaced in 1999, as part of separate grant-aided works. These works were to replace the windows 'like for like' which would not have required listed building consent. 53.A condition of the grant was that the replacement windows were to be single glazed and exact copies of the existing with details and sections sizes of frames and glazing bars to be agreed with the Authority's Architect prior to manufacture. The glazing bars were to have a moulded profile repeated around the inside of the window frames. However, the windows that were installed were made and installed with thick glazing bars, nontraditional routed joints and non-traditional moulding details, and with glazing held in place with beads rather than putty (these are the existing windows). The Authority assessed that these were not in accordance with the grant conditions and grant was not paid for these new windows. 54.The existing windows to the north gable appear to have been in situ when the building was listed. 55.In assessing proposals for replacement windows an assessment of the significance of the existing lawful windows is required. Any proposal for replacement windows must conserve or enhance the listed building. Historic windows of traditional frame design, glazing and furniture will typically make an important positive contribution to significance and normally as such should be retained or re-instated where there is evidence of unauthorised works. 56.The Authority's position is that double glazing to listed buildings (typically slim profile units with individual panes of glass held in place with glazing compound, between glazing bars) can be acceptable when these will result in an enhancement to the character of the listed building. For example when modern windows of inappropriate design in place at the time the building was listed are replaced with windows of a more appropriate traditional design and detailing. 57.The evidence available is that the north elevation windows N3, N4 and N5 were of traditional design and detailing when the building was listed and that these were replaced incorrectly with windows to a similar design but with inappropriate detailing in 1999. The Authority would welcome the re-instatement of windows to match those in situ when the building was listed (with traditional detailing) would, therefore, be welcomed, but there is no justification for double-glazing these windows. Any replacement windows in these locations should, therefore, be single-glazed. 58.Any proposal to double-glaze any of the other windows to the north or east elevation would require a very strong justification in terms of achieving an enhancement to the listed building. This has not been provided to date. 59.The Authority therefore maintains its position that replacement of the existing windows is acceptable in principle, however that the principle of the proposed design and double glazing has not been established. In the absence of this the Authority's view is that the proposed works would harm the significance of the listed building. ## Continued Overleaf… Page 10 App/M9496/Y/18/3201092 Proposed Work 13: Proposed Exchanging The Location Of The Entrance Door Currently On The East Elevation And The Window Currently On The North Elevation Of The Existing Porch, Including Providing A New Door And Associated Making Good Of Stonework. 60.The proposal is to retain the porch which was proposed to be demolished in the approved scheme (listed building consent NP/HPK/0714/0707) and alter it by moving the position of the entrance door currently on the east elevation to the position of the window on the north elevation. A window would be inserted in the position of the door. 61.The Authority accepts that the porch can be retained as there was no planning condition requiring the works to demolish the porch to be carried out within a specified timeframe and therefore the focus of this proposed work relates to the proposed alterations. 62.The existing porch was approved as part of a proposal to remove a flat roofed porch and external stair of brick construction (Document 8). The replacement porch that exists today represented a significant enhancement over the brick constructions in terms of materials, form and detailing. As part of the design the position of the door was changed to the east elevation with a window in the north elevation to make the porch appear less obvious as an entrance to the building. 63.The Authority maintains concerns in relation to the proposed alterations to the porch because this would reverse the position of the openings and make this element of the building read much more obviously as a main entrance to the house. The Authority's Supplementary Design Guidance, "Alterations and Extension", advises that lean-to porches are appropriate on less formal elevations where the door is not central to the composition. The principal elevation and main entrance to Edale House is on the south elevation, whereas the north is clearly a rear, lower-status elevation. 64.The purpose of locating the doorway on the side (gable) elevation of the existing lean-to porch at Edale House was to ensure that the north elevation retained its character as the informal rear of the property, and that the relationship between more formal, higher status south entrance and lower-status rear entrance was maintained. The Authority also has significant concerns about the width of the proposed door into the porch which would be considerably wider than the inner door from the porch or the front door to the property. ## Conclusion 65.The Authority maintains that it was right to refuse listed building consent on the basis that when taken as a whole the proposed works would harm the significance of the listed building. In this case there are no overriding public benefits to justify the harm that has been identified. Therefore the Authority maintains that the proposal is contrary to Core Strategy policy L3, Saved Local Plan policy LC6 and the National Planning Policy Framework. 66.The Authority respectively requests that the appeal is dismissed. APP/M9496/Y/18/3201092 ## Draft Conditions (Without Prejudice) 1. The works hereby approved shall not be carried out other than in complete accordance with the following approved plans: drawing numbers T-000 Rev B, T- 002 Rev F, T-003 Rev C and T-005 Rev B, subject to the following conditions or modifications: 2. Prior to the commencement of works to install ceiling cornice mouldings in the eastern-most ground floor room a detailed drawn scheme of the design and profile of the ceiling cornice to be installed shall be submitted to and approved in writing by the National Park Authority. The works thereafter shall not be carried out in accordance with the approved scheme. 3. The replacement windows hereby approved shall not be carried other than complete accordance with approved plan: drawing number T-000 Rev B. 4. At the time of erection the replacement window frames shall be finished to match the colour of the existing window frames on the south elevation of the house. 5. Prior to the commencement of works to alter the porch a detailed drawn scheme of the size and detailed design of the new door shall be submitted to and approved in writing by the National Park Authority. The works thereafter shall not be carried out in accordance with the approved scheme.

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# The Office Of Rail And Road 166Th Board Meeting 10 December 2019, 09:00 - 13:45 ORR London Office, 10th floor, 25 Cabot Square, London E14 4QZ Non-executive members: Declan Collier (Chair), Stephen Glaister, Anne Heal, Bob Holland, Michael Luger, Justin McCracken Executive members: John Larkinson (Chief Executive), Graham Richards (Director Railway Planning and Performance); Ian Prosser (Director Railway Safety). In attendance: Russell Grossman (Director of Communications), Freya Guinness (Director Corporate Operations), Dan Brown (Director, RME and Strategy), Tess Sanford (Board Secretary). Other ORR staff in attendance are shown in the text. Item 1 WELCOME AND APOLOGIES FOR ABSENCE ## 1. The chair welcomed everyone to the meeting. 2. Graham Mather had sent apologies for the meeting. Item 2 DECLARATIONS OF INTEREST ## 3. No new relevant interests were declared. ## Item 3 Approval Of Previous Minutes And Matters Arising 4. The minutes were agreed and the chair would sign them1. 5. The chair reported on two meetings the previous day which closed matters arising. - The meeting with the Chair and CEO of Network Rail (NR) to discuss the notices on track worker safety had gone well. The FOI request in relation to Margam had been mentioned: documents to be released would be shared in advance as a courtesy for information only. The board asked to see the legal advice in relation to disclosure [Action]. - Declan Collier had observed the meeting of Route Supervisory Board chairs (including the system operator) with the chair of NR. He reported on shared areas of concern which emerged. The board noted the variety of approach between the route boards and the way the nature of the RSBs had changed since the original concept had been included in NR's plans for route based devolution. These changes meant that they would be of inconsistent value to ORR as an indicator of the quality of stakeholder engagement at a route level in terms of providing input to ORR holding NR to account. There was a new performance architecture emerging within NR and it was important that ORR found sources of the necessary information to hold NR to account. Staff were asked to circulate the background briefing given to the chair to other board members [action]. ## Item 4 Executive Director Updates2 6. John Larkinson reported on an approach by BEIS to explore whether ORR wished to take on additional enforcement powers on consumer matters in Europe. The exact proposition was still unclear and the obligations that would go with the powers needed to be understood before any advice could be prepared for the board (to whom the response on changes to powers is reserved). The board noted the report. 7. John reported on a conversation with the Rail Minister on the delay to opening of Worcestershire Parkway. John had been able to assure the Minister that the delay was not in relation to ORR processes. The board asked to see the current authorisations tracker to help them understand how the executive tracked and reported on this important work. [Action - include all parts including rolling stock] 8. John also reported on a recent meeting with the Minister in Scotland, which he would be following up in correspondence with evidence to counter some of the claims made by Transport Scotland officials in the meeting. 9. Ian Prosser reminded the board of the policy position on DCO and said that the last trap and drag incident involving DCO had been in 2015. He would write to RMT to counter the recent misrepresentation of the safety record in the media [action]. The board discussed the desirability of challenging untrue statements made in the media both with the individual making the claim and with the broadcaster/publisher. The current approach of pragmatic intervention on claims that were repeated was a balance between stopping false stories and the available resources. Strong relationships with media outlets and a reputation for helpfulness and objectivity were key in maintaining this balance. 10. Ian reported on a near miss on a level crossing in East Anglia: a further report on the technical issues (track geometry and wheel profile) which this had highlighted would be included in the January report [Action]. Some mitigation measures have been put in place by operators, including manning some high-risk crossings. 11. Graham Richards reported that NR were reviewing how scorecards were built and agreed, noting that the Secretary of State approved them each year. The board discussed risks around the forthcoming December timetable change, particularly train crew availability and the openness with which operators communicated with the PMO as well as the PMO's ability to challenge. ORR would include these concerns in the forthcoming letter to NR on the system operator. [Action] This issue would be covered in the January reports: it was anticipated that the new System Operator managing director would drive improvements in behaviours over time. 12. Dan Brown reported that Ministers had signed derogations for rolling stock, but not replacement bus services, although these were understood to be pending. ORR would write to TOCs after purdah asking TOCs to demonstrate their position on providing information to passengers on derogations. 13. Russell Grossman reported on recent activity and the imminent launch of the stakeholder survey. The board asked to see the proposed question list for information [Action]. 14. Freya Guinness updated the board on remaining snagging at 25CS and work to hand back OKS to the landlord by the end of the week. New printers and other IT kit were being rolled out in the regions 15. Freya also reported on the headline results of the staff survey which had just been received by directors. The headlines figures had improved, particularly on areas that had been subject to focus in-year. Renco would see and discuss the full results in January. [forward prog] ## Item 5 Memorandum Of Understanding: Btp/Raib/Orr 16. Ian Prosser explained that this was an update on an existing MOU which reflected the improvement in relationships and was now principlerather than process-based. 17. Justin McCracken confirmed that Health and Safety Regulatory Committee had also discussed the MOU at its meeting the day before. The board agreed to adopt the MOU and delegated [Ian Prosser] to sign it. ## Item 6 Hs1 - Pr19 Final Determination Steve Fletcher, Carl Hetherington, Feras Alshaker, Joe Quill, Debbie Daniels, Laura Majithia, Steven Dennis joined the meeting for this item. 18. Graham Richards introduced the item. HS1 had produced an updated 5YAMS (the November 5YAMS) in response to the draft determination issued by the board in September. HS1 had not adjusted it to reflect all of the provisions in the draft determination and this meant that the board was required to determine whether to impose some of the detail of the determination. This was a novel intervention for ORR, leading it to direct a limited company to change its five year plan. Such direction would also introduce a further consultation stage, as a consequence of the contractual requirements for implementing the periodic review, which had not been envisaged at the time of the original plan. This consultation would require the board to meet and review any responses to the consultation very early in the New Year in order to meet the timetable required by the concession agreement for issuing the final determination. The decisions made today would be consulted on with key stakeholders before Christmas and the board would be asked to consider any new evidence and representations made before confirming the final determination. 19. The November 5YAMS had been received on 29 November. ORR's due diligence had identified some errors in HS1's financial model and HS1 had now agreed to get third party assurance of the model. The board asked that the team consider the quality of this assurance, when issued. The quantum of errors in the model included a £4m wrongside cost shift in O&M. The team explained that the percentage changes in charges shown in the paper remained a broadly applicable guide to the impact on operators. 20. The board reminded itself of its role and duties in regard to the PR19 determination, including those areas it could not take into account. It discussed the importance of weighing up the different interests and of understanding fully the commercial and operational impact of any decision - particularly on the level of charges to be levied and affordability for operators. The board also noted that the current set of decisions were for the next five year period and could be reviewed and re-set at the next review if events delivered different outcomes from those currently projected. 21. The decisions before the board now comprised three sets: ten issues to be confirmed as set out in the draft determination, five issues where HS1 had not accepted or adjusted their November 5YAMS to reflect ORR's draft determination and three issues where staff advice had changed since the draft determination as a result of further information received. Matters to be approved because there is alignment between the draft determination and the November 5YAMS. 22. No new evidence had been offered by stakeholders on the treatment of the new signalling system. **The board approved** its earlier decision that the new ETCS signalling system should be treated as a Specified Upgrade. It noted that this required a decision by DfT. 23. Staff had reviewed HS1's evidence underpinning the 4.33% risk premium figure, which was reduced from 5% in CP2. No evidence of double counting of risk had been identified. **The board approved** a level of 4.33% contract risk allowance between HS1 and NR(HS). 24. Eurostar had argued that the efficiency target of 6.7% was less challenging than it should be, but not provided any evidence to support this argument. No benchmarks could be identified to assess this claim. **The board approved** HS1's proposals for operations and maintenance efficiency as set out in the 5YAMS at 6.7%. 25. The board noted that no response was received on funding for preparations for future control periods **and approved** a figure of £5.6m. 26. The board noted that HS1 would be required to develop business cases for future projects to ensure best value for money from its budget. No new evidence had been offered in relation to this decision. **The board approved** delivery integrator costs as 10% management fee and 10% risk funding. 27. The board discussed again the proposal to adopt a 40 year approach to renewals funding for the HS1 network. This is consistent with the concession agreement and also aligns with the government's treatment of stations. The board noted that no comparable concession agreements internationally had been identified for use as benchmarks. Counsel's advice had been sought and no further challenge had been presented to this interpretation of the Concession Agreement. This was an important issue in securing the best interests of future users as funding over 40 years better achieves sustainable asset stewardship. **The board approved** a 40 year approach to renewals funding for the HS1 Network. 28. The board approved an increase of £1.2m to the renewals annuity to address underfunding of the escrow account in CP1 and CP2, as built into the November 5YAMS by HS1. 29. The board noted that there had been no further evidence offered by EIL on the issue of the renewals fund adjustment to avoid an 'overdrawn' escrow account. EIL had previously offered to fund spending directly as it became necessary. This offer was rejected on principle as it was not securing the funding needed in advance. Although it was tempting to ease-in operators in relation to the increase in annuity, it is in the public interest to ensure sufficient funding. The board discussed the importance of efficient management of the escrow account and noted that the highest future balance in the current model was about £140m. Future thinking on funding would be able to further reflect this issue. **The board approved** an increase of £0.4m to the renewals annuity to remove a predicted 'overdrawn' escrow account in the future. 30. The November 5YAMS included a frontier shift of 0.5% from CP4-CP10 - to reflect the expectation that an efficient company today would be more efficient in future. The board noted other regulators' approaches and the broad basis of the figure. This was a 'best judgement' figure and there was no evidence to support an alternative. **The board approved** a 0.5% annual efficiency overlay for frontier shift from CP4 onwards. 31. The November 5YAMS had adopted the charging model for directly incurred costs on a per train km basis3. This change did not include non-direct costs, which continue to be charged on a per train-minute basis and HS1 intends to conduct a structure of charges review in CP3. **The board approved** HS1's revised charging model in accordance with Commission Implementing Regulation 2015/909. Matters to be determined because the draft determination and the November 5YAMS do not align and there is inconsistency with the General Duty as a result 32. The board heard about work done by staff to assess the underlying asset life modelling undertaken by HS1 and the application of best practice in terms of rates and volumes of renewals which would be necessary to maintain asset quality. It is too early in the life of the system to make definitive judgements about future asset life and this was one area open for discussion at the next control period. There is the opportunity to revisit in the 5YAMS for PR24. For now, **the board agreed to determine** a less conservative approach to asset life modelling over 40 years. 33. The board noted the parallel with its earlier decision on delivery integrator costs for CP4-10, the availability of relevant benchmarking data, and the potential for portfolio management to reduce costs overall. The board also noted that the projects planned for CP3 are straightforward, non-complex projects. **The board determined** an allowance of 10% for project management costs in CP3. 34. The board discussed again the commitment required in the draft determination for HS1 to maintain adequate levels of research and development in CP3, in line with industry best practice and, over time, to deliver technical innovation and improvements leading to overall efficiencies for its customers. HS1's proposal in the November 5YAMS included £2m for CP3 only in O&M, ORR staff proposed that the funds should be managed through the escrow account to provide additional governance and transparency to the spending on research projects. The board noted this was a direct imposition of additional costs on operators, and that it was part of an overall package designed to deliver a package of benefits to future users and operators. The board determined that HS1 should be funded for £2m of research and development in CP3. 35. Staff reported on discussions with HS1 around the allowance for risk in CP4- 10 renewals costs. **The board determined** a 13% risk allowance for CP4-10 and approved a rate of 12.6% in CP3 to reflect the different inputs. 36. The board discussed the interest rate assumptions made by HS1 and the basis of any recommendation to use different rates. Better evidence had been offered to support the rates for CP3 investments on the basis of an agreed investment strategy between HS1 and operators. Carl Hetherington tabled a new slide setting out the evidence to change the assumptions for CP3. The board approved that average interest rate assumption for deposits and bonds to be 1.22% for CP3, as set out in the November 5YAMS instead of the 2.5% from the draft determination but determined the allocation of 80%-20% between deposits and bonds and the current account from the draft determination. 37. The board discussed the process leading to the proposed rate of 2.5% for CP4-10 and asked that it be clearly set out in the final determination. The governance of investment is set out in the concession agreement. The board determined that an average interest rate assumption of 2.5% should be used for 'deposits and bonds' for CP4-10. Matters to be determined because further evidence provided since publication of the draft determination means ORR had changed its position as expressed to achieve consistency with the General Duty. 38. In the draft determination deferrals had been proposed from CP3 to CP4 workbank to address issues around deliverability. **The board approved** HS1's revised CP3 plans as acceptable. 39. The board noted the proposed adjustment from 26% in CP3 to 12.6% to reflect current modelling. This reflected some double counting in the original figures. The board approved a 12.6% risk allowance for CP3 renewals as consistent with the General Duty. 40. The board noted that the November 5YAMS included additional un-evidenced costs. **The board determined** that HS1's internal costs remain as set out in the draft determination save the reduction in pass-through costs. Discussion of the overall impact on charges 41. The board noted that the exact charges levied on operators would be levied by HS1 following the implementation of the final determination. The impact of the changes on the overall annuity figure gave a final annuity of £26.3m. The likely impact of this was increases in charges in the order of 18% for international passenger operators, 15% for domestic passenger operators and 13% for freight operators. 42. The board noted that the determination was commercially sensitive but that all stakeholders would be consulted before the board was asked to approve the final determination on 2 January 2020. This very short timetable was required by the terms of the track access agreements. ## Item 7 Williams White Paper 43. The board received an update on progress with the draft white paper from Dan Brown and John Larkinson. There had been little further detail on the implementation phase yet. It looked as if a number of policy issues would only be covered at a high level with further consultations on the detail. 44. The chair also updated the board on his discussions with senior DfT officials on the emerging picture for ORR. 45. ORR needed to be ready to brief its own people on what the published document might mean for them. It would also be essential to mobilise a team quickly to respond to the emerging policy implementation challenges. 46. The main focus of activity for ORR should be around how assurance and scrutiny of the new rail body could be carried out to safeguard the long term public interest. 47. At this stage, best estimates were that it would take at least 18 months to deliver primary legislation and a further minimum 18 months on implementation. 48. The board noted the report. The amount of resource dedicated to next steps would depend on the outcome of the election on 12 December. ## Item 8 Feedback From Committees And Panels 49. The board deferred feedback from the committee meetings to their meeting on 26 January 2020. ## Item 16 Any Other Business 50. There was no other business and the meeting closed.

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## Delivering Savings, Better Outcomes And Growth Using the new EU procurement rules - a guide for councillors and senior managers ## Contents | Why this guide? | 3 | |--------------------------------------------------|-----| | How are we working with others? | 5 | | What improvements can we make to the way we buy? | 7 | | What are our options for major projects? | 11 | | How should we use technology? | 14 | | How do we maximise social value? | 16 | | Annex: The EU rules in a nutshell | 19 | ## Why This Guide? Councils in England are facing an unprecedented set of challenges and leadership by councillors and senior managers has never been more important than now. The drive to provide better outcomes for citizens in key public services and to promote local economic growth must continue at the same time as realising savings on a very large scale. As a consequence, public services are being 'rewired' and innovative new models of service delivery are being developed ('commercialisation'). This includes the devolution of further responsibilities to the local level, increased integration of services across health and social care and beyond and the creation of vehicles for trading and income generation. This guide provides a briefing for councillors and senior managers on some recent changes to the public procurement rules (the 'EU rules') which will help councils and their partners respond boldly to the challenges which lie ahead. The guide has been produced to support implementation of the 'National Procurement Strategy for Local Government in England 2014' and the modernisation theme in particular. The EU procurement rules were reformed in 2014 and the changes for councils (goods, services and works contracts) have been implemented in this country in the Public Contract Regulations 2015 ('PCR 2015'). The reform was carried out with a number of objectives in mind: • simplify the rules for bidders and contracting authorities and make them more flexible • enable 'strategic' use of public procurement (delivering social and environmental objectives, supporting SMEs, stimulating innovation) • incorporate European case law (exclusion of 'in house' contracts between public bodies, limits on changes to contracts) • introduce stronger measures on conflicts of interest, procurement fraud and corruption etc. New options and flexibilities are now available which councils can make use of. These are outlined in the guide. The guide is in the form of a checklist that councillors and senior managers can use to check whether their own council is taking full advantage of the new rules to secure better outcomes and savings and to promote local economic growth. An annex explaining the EU rules 'in a nutshell' has been included for those less familiar with the procurement rules. A toolkit is being launched in parallel with this guide to provide more in depth coverage of the topics. Its audience is those in service delivery, programme and project management roles who need to be familiar with procurement routes as well as procurement and commissioning professionals. Councillors and senior managers who would like to explore the new possibilities in further depth can access the toolkit through: www.local.gov .uk/web/lg-procurement. Look for 'PCR 2015 - Local Government Toolkit'. In addition they can access the Government's guidance and training slides through: www.gov .uk/guidance/transposing-eu-procurement-directives However, the EU rules are complex and the first point of contact for councillors and seniors managers should be the council's own procurement team. More general guidance for councillors on good practice in local government procurement can be found in 'A councillor's guide to procurement' (LGA/LP , 2013). Note that the information provided here is intended to be only a general guide to opportunities presented by PCR 2015. It is not legal advice. Councils should take their own legal advice. ## How Are We Working With Others? What Is The Challenge? Councils need to consider whether they are making use of the best available models for joint working on procurement. By working together on procurement and on contract and supplier management councils and their public sector partners can make best use of commercial skills, benefit from economies of scale, achieve efficiencies in the use of resources and realise savings. A lot has been achieved already, but councils need to review their use of joint procurement models including: • professional buying organisations (PBOs) like the local government PBOs like YPO, ESPO, NEPO and CBC and the Government's Crown Commercial Service (CCS) • shared management and shared services models for procurement (for examples, see: www.local.gov .uk/shared-services-map) • occasional joint procurement projects, eg for waste management. In any model, the keys to success are joint planning (across council departments and across authorities and other public sector organisations), including early stakeholder and user involvement, and a joint approach to market engagement. This can then inform a joint procurement strategy as part of the business case for the procurement. Traditionally, much collaborative activity has been focused on the buying of 'commodities' (commonly-used goods and services). The challenge for the future is for councils and others to work together to a greater extent on strategic requirements including infrastructure projects, back office functions and social care (a national category strategy for social care is being developed as part of the 'National Procurement Strategy'). The establishment of combined authorities together with the devolution of further responsibilities to the local level and the continuing integration of services (including health and social care) provides a further opportunity to consider city-region and county-region models for procurement including the joint commissioning of major projects in the region (see **What are our options for major projects?**). ## How Can We Use The New Eu Rules? PCR 2015 is clear about the importance of public authorities working together on procurement and they enable the full range of models for joint working to be used. Councils and other public authorities can: ## Choose The Best Model For Joint Working On Procurement • buy goods and services directly from a 'central purchasing body' (CPB) • buy goods, works and services through contracts, framework agreements and 'dynamic purchasing systems' (see How should we use technology?) set up by a CPB. CPBs are contracting authorities that carry out centralized purchasing on a permanent basis. PCR 2015 also clarifies roles and responsibilities where authorities undertake 'occasional joint procurement' and where authorities in different countries work together on international procurement. ## What Improvements Can We Make To The Way We Buy? What Is The Challenge? Councils need to be sure that they are focusing their efforts in the right places and keeping the procurement process itself as simple as possible. In the public sector the importance of 'procurement' in the narrow sense (the stage between the contract notice and contract award) has often been overstated. Overall, the real keys to commercial success (striking a good deal and making sure it is delivered) are pre-procurement planning (including being clear about the outcomes you want), good contract design and specification, effective market engagement and robust contract and supplier management. The main objective in the procurement phase should be to minimise the time, cost and effort to procure for both the authority and bidders including, in particular, SME bidders. The pre-procurement focus should be on: • signalling of future requirements to the marketplace • market shaping ('market facilitation' in the social care context) to stimulate activity where there are gaps • two-way engagement with potential suppliers ('market engagement') • getting the contract design, specification and other procurement documents right. All the benefits of this planning will be lost without effective contract and supplier relationship management once the contract has been awarded. This includes performance management, continuous improvement and cost control (see, for example, LGA: 'Making savings from contract management'). As mentioned above, all of this activity can be undertaken by authorities working together. Among other things, a joint approach enables councils to take a more strategic approach to the management of key suppliers to the local government sector. Finally, councils need to have confidence that they have appropriate strategies and internal controls in place to manage the risk of fraud and corruption in both procurement and contract management as the losses in this area can be significant not to mention damage to the council's reputation (see LGA/CIPFA: 'Managing the risk of procurement fraud'). ## How Can We Use The New Eu Rules? Focus On Market Engagement PCR 2015 now expressly allows market engagement ('preliminary market consultations') as part of pre-procurement planning and describe appropriate measures to be taken to prevent competition being distorted. This confirms the value-adding role of market engagement and provides reassurance that it does not conflict with the EU rules. ## Use A Pin Instead Of A Contract Notice There are new options for the notices used to advertise contracts in Europe ('OJEU notices'). Under PCR 2015 councils can now choose to publish a prior information notice (PIN) to advertise requirements (a contract or group of contracts) and invite interested suppliers to confirm their interest in bidding for specific contracts at a later date. This does away with the need for individual contract notices. This use of a PIN is allowed when the council is using the restricted procedure or the competitive procedure with negotiation to award the contract (see below on new procurement routes). A PIN can also be used to advertise requirements for Light Touch Regime services (see below on designing special procedures for social care). Normally, a PIN used in this way is valid for up to 12 months but when used for Light Touch Regime services it can cover a longer period. The period between publication of the PIN and the invitation to confirm interest is an opportunity to carry out a type of market engagement before deciding on the final approach to the market. This can be particularly helpful in social care and health with all the complex changes that are taking place. ## Speed Up Procurement Minimum time limits for procurement procedures relating to time limits for suppliers to respond to tenders have been reduced by approximately one third in most cases. Of course, councils would make a decision on timescales based on the procurement in question. As the procurement phase is now short, effort can be focused on the value-adding parts of the process: • pre-market engagement and getting the contract design and specification right • effective contract and supplier management. Councils can continue to use the familiar open procedure or restricted procedure for 'off the shelf' requirements. Choose the best procurement route The restricted procedure is most useful where there is a genuine need to pre-qualify bidders or there are potentially a very large number of bidders in the market (this will be confirmed through market engagement). Otherwise, the open procedure is fastest and simplest route. However, there is now greater flexibility to use negotiation for complex or innovative requirements. There are three different routes to choose from: • competitive procedure with negotiation (CPN) • competitive dialogue (CD) • innovation partnership (IP). For more information on those routes see What are our options for major projects? There is now a requirement to advertise contracts for social care in Europe (meaning competition for the contracts). Design appropriate procedures for social care However, provided that councils stick to certain general principles (equal treatment, transparency etc) there is an opportunity to design procurement procedures which are appropriate to these services. There is no obligation to use the main EU procedures for social care. This is referred to as the Light Touch Regime. It applies to social care procurements above a Euro 750,000 threshold (currently £625,050). It applies in the same way to health, education, cultural and certain other services. As mentioned above, advertising can take the form of a prior information notice (PIN) which remains valid for a considerable period of time. PCR 2015 has clarified that references can be taken up to establish whether bidders have the necessary professional and technical ability to perform a contract (ie they meet 'selection criteria'). ## Tackle Poor Performance By Suppliers In addition, councils have discretion to exclude bidders which have shown 'significant or persistent deficiencies' in performance ('exclusion grounds'). In order to take advantage of these new opportunities it will be important for councils to record supplier performance, including the use of sanctions under contracts, and for councils to be willing and geared up to provide references to others. Councils have the right to receive information on sub-contractors and can carry out checks on sub-contractor suitability. ## Improve Control Of Sub-Contracting This includes the sub-contractor's past performance. Where necessary, a main contractor can be required to replace a sub-contractor. ## Control Changes To Contracts A series of European Court cases created uncertainty about the extent to which contracts can be varied without triggering an obligation to go back out to tender. The case law has been incorporated into PCR 2015. The new clearer rules on changes to contracts ('modifications') will give councils confidence to make necessary changes to the way services are delivered in order to achieve better outcomes or make savings. The new flexibilities in the rules have been balanced with stronger controls which councils can use to help combat procurement fraud and corruption. ## Combat Procurement Fraud And Corruption There are strengthened 'audit trail' requirements including documenting the progress of procurement procedures. A report must be prepared on every contract, recording information such as the reason for using certain procedures (CPN, CD and negotiation without prior advertising) and decisions that have been taken. It must also identify any conflicts of interest and the measures that were taken in response. Suppliers convicted of offences such as bribery must be excluded from bidding for council contracts and councils have discretion to exclude suppliers where there is a conflict of interest, anticompetitive agreement or the like. ## What Are Our Options For Major Projects? What Is The Challenge? Councils need to choose the best procurement route for high value, high risk projects ('major projects'). Increasingly, councils are responding to local needs and budget pressures by taking a more commercial approach which involves major projects ('commercialism'). For example, councils are creating local authority companies and joint ventures and are exploring innovative funding mechanisms. The formation of property companies to buy-to-rent or build-to-rent is a recent example where councils are seeking new solutions to the problem of homelessness. When set up to trade, local authority companies and joint ventures can be an important means of generating income to help close the gap in council finances (although risks must be understood and mitigated). See LGA/LP: 'Enterprising councils'. Shared services are being created for a wide variety of functions in order to realise economies of scale (see www.local.gov .uk/shared-services-map). Services are also being transferred to social enterprises and spun-out 'public service mutuals' and the financial position of councils may result in further outsourcing or competing of services. Private Finance 2 (PF2) projects may become an option in the infrastructure area, alongside more conventional construction contracts, although activity is at much lower levels than under the old PFI regime due to the absence of additional government funding to support financing. In major projects the development of a business case including a procurement strategy is established best practice. In spin out/outsourcing situations, it is important that the business case addresses the viability of the services which remain in house as well as those to be transferred out. The procurement strategy needs to be informed by early market engagement to establish the viability of the project and should determine the procurement route for the project taking account of the EU rules as discussed below. ## How Can We Use The New Eu Rules? Contract With Other Public Bodies PCR 2015 incorporates rules on contracts between public bodies which were first established in European Court cases (ie rules on when contracts count as being 'in house' and therefore excluded from the procurement rules). In the process of incorporating the rules, certain things have been clarified. This greater certainty should help clarify the choices available and enable councils to be bolder for example when setting up local authority companies and shared services arrangements. The Regulations exempt contracts from procurement in three situations: • contracts with a controlled body (eg a local authority company) • contracts with a jointly controlled body (eg jointly controlled company) • contracts concerning cooperation between councils (no separate controlled body). There are limits on trading. In the first two cases, the controlled body can undertake up to 20 per cent outside activity (ie not with the controlling authority or authorities). In a cooperation arrangement the participating authorities can perform up to 20 per cent of the activities concerned on the open market. ## Reserve Contracts For Social Enterprises And Mutuals Under the new rules, contracts for certain Light Touch Regime services can be 'reserved' for organisations with a public service mission, reinvested profits and a degree of employee or stakeholder participation (provided they haven't been awarded a reserved contract for the services in the past three years). Both social enterprises and public service mutuals that meet the criteria can qualify for these reserved contracts. The contracts must be advertised but the council is otherwise free to design the procurement procedure provided that principles such as equal treatment and transparency are observed (see How can we improve the way we buy?). The contracts can last for up to three years. PCR 2015 offers a broad range of procurement routes. For complex or innovative projects, councils can now choose any of the following procedures: ## Choose The Best Procurement Route For A Major Project • competitive dialogue (CD) • competitive procedure with negotiation (CPN) • innovation partnership (IP). Councils already have considerable experience of using CD. However, there have been some changes. There is no longer an obligation to specify minimum requirements at the outset and PCR 2015 now expressly allows negotiations to be carried out with the preferred bidder (within certain limits) in order to confirm financial commitments or other terms before contracts are finalised. CD continues to be the most suitable procedure for highly complex procurements including those which involve third party finance (PF2 and the like). Alternatively, in the same circumstances councils can choose to use CPN. A version of this procedure has existed for some time but PCR 2015 has introduced changes. CPN allows councils to negotiate on initial tenders, including on price. However, councils can choose to reserve the right to award a contract on the basis of an initial tender without negotiation. CPN has been made available for use in a much wider set of circumstances than before and is therefore likely to be used more frequently for requirements that are not 'off the shelf'. These need not necessarily be major projects. The IP procedure is completely new. An IP is set up using a modified version of the competitive procedure with negotiation. The IP procedure enables the council to develop innovative products, works or services where no suitable solution exists in the market (sharing the risk with suppliers) and then to purchase the resulting products, services etc. An IP could be used to develop new medical or environmental technologies, for example. But it could equally well be used to develop and purchase a new delivery model for a public service. ## How Should We Use Technology? What Is The Challenge? Technology plays an important role in reducing the time, cost and effort to procure ('e-procurement') and councils need to have confidence that they have the right solutions in place (see above on **What can we do to improve the way we buy?**). Larger councils use electronic tools for sourcing (advertising opportunities, making procurement documents available, receiving pre-qualification questionnaires and tenders, running online electronic auctions etc). Electronic tools for tender evaluation and contract management are less widely used and electronic invoicing is not widespread at the present time. Electronic invoicing is an important development as it can both help reduce costs and drive compliance. Smaller councils may have access to electronic sourcing tools (for example, those made available via regional portals) but overall face a bigger challenge moving to fully electronic procurement. Councils have made good use of electronic auctions but have found so-called 'dynamic purchasing systems' as defined in the old EU rules too cumbersome to use. The new rules have brought major improvements. As outlined below, the use of dynamic purchasing systems is likely to increase as a consequence. The new EU rules make electronic communications mandatory for sourcing (including electronic submission of pre-qualification questionnaires and tenders) from 18 October 2018 and smaller councils in particular need to gear up for this deadline. There are earlier deadlines for some other new obligations. Most importantly, it is already a requirement that procurement documents are made available on the internet from the date of publication of the OJEU notice (or invitation to confirm interest where a PIN is used). It will not become mandatory to use electronic tools for tender evaluation or contract management. However, as part of a broader strategy for end-to-end e-procurement, it has been agreed at EU level that a new European data standard for core electronic invoices will be developed and councils will be required to accept invoices received in this form. This will not happen before 2018 (and the UK Government has discretion to postpone it for another year for councils). ## How Can We Use The New Eu Rules? In the old rules, the 'dynamic purchasing system' (DPS) was too cumbersome to use and take up was minimal. The rules have been greatly simplified and councils are likely to find many new uses for the DPS. ## Open Up Markets And Get Better Prices With 'Dynamic Purchasing Systems' Essentially, the DPS is an electronic database of pre-qualified suppliers that can be invited to tender for goods, works or services contracts. It differs from a framework agreement in that new suppliers can be admitted at any time. It is not the same as an approved list because all suppliers on the system (or all suppliers in the relevant category) must be invited to tender every time. The DPS is an efficient way of meeting EU advertising obligations while sustaining competition at the local level. Applications could include minor works, facilities management and agency staff. An important feature of the DPS is that it enables new entrants to challenge dominant suppliers. Modified versions of the DPS are already being used for social care placements. Social care now comes under the Light Touch Regime meaning that modified versions of the DPS can still be used as appropriate (see section above on designing appropriate procedures for social care). Speed up procurement It is possible to reduce further the time taken to procure if electronic submission of tenders is requested or allowed (shorter time limits are permitted in the open procedure and restricted procedure). The legal obligation to make specifications available electronically as part of the procurement documents from the time the contract notice is published (or invitation to confirm interest is sent where a PIN is used) reflects good practice and is a good discipline on specifiers. Ensure specifications are ready for inclusion in the procurement documents Gone are the days when specifications were still being written after the procurement process had started. ## How Do We Maximise Social Value? What Is The Challenge? Councils want to maximise the value of every pound they spend including in terms of promoting jobs, skills and supply chain opportunities in the local community (see LGA/LP: 'Buying into communities'). This is established practice in regeneration projects and construction and infrastructure projects more generally. It is being extended to other services. The Public Services (Social Value) Act 2012 provides a framework for considering, preprocurement, how the social, economic and environmental wellbeing of the area could be improved when buying goods and services. The Act sits alongside the public sector equality duty in the Equality Act 2010. The old EU rules have sometimes hampered implementation of the preferred approach. One of the main objectives of the new EU rules is to enable authorities to use procurement more 'strategically'. Social and environmental issues can now be taken into account at many points in a procurement procedure. For short, this is referred to as a 'cross-cutting social clause'. This stops short of allowing preferential treatment of UK nationals or UK suppliers (including 'local' suppliers within the authority's boundary) but it represents an important change to the rules. The new opportunities to consider 'social value', including SME-friendly procurement and contracts with businesses employing disabled and disadvantaged people, are outlined below. See also **What are our options for major projects?** on procurement from social enterprises and mutuals. ## How Can We Use The New Eu Rules? Under PCR 2015 social, economic and environmental considerations can now be addressed in many different parts of the procurement procedure (a 'cross- cutting social clause') including: ## Take A Cross-Cutting Approach To Social Value • specifications including specification of production processes and social and environmental labels • special contract performance conditions • selection criteria, including references and environmental management systems, and exclusion grounds (which also apply to sub-contractors) • contract award criteria including lifecycle costing and rejection of abnormally low tenders. This provides an extensive opportunity to implement plans developed using the Public Services (Social Value) Act framework. ## Make Contract Packaging Sme- Friendly The new rules challenge councils to consider whether requirements should be divided into lots. This can be used as an opportunity to stimulate thinking on innovative procurement models including those which increase the flow of contracts to SMEs where this provides value for money. It is now possible to reserve contracts for businesses whose main aim is the social and integration of disadvantaged and disabled people (it was previously only disabled people) or to provide for the contracts to be performed in the context of supported employment programmes. ## Reserve Contracts For Social Businesses Employing Disabled/ Disadvantaged People Only 30 per cent of the workforce need qualify as disadvantaged or disabled (it used to be 50 per cent) if the main test is met. 'Disadvantaged' is not defined. It could include, for example, the unemployed, members of disadvantaged minorities or otherwise socially marginalised groups. ## What Do The Lord Young Rules Say? Note also that PCR2015 includes national rules intended to improve SME access to public contracts, particularly lower value ones. These follow a review by Lord Young and do not come from the EU. The Lord Young rules: • introduce a standardised approach to pre-qualification questionnaires (PQQ) for above-threshold procurement • oblige councils to publish information on the Government's Contracts Finder portal when above-threshold opportunities and below-threshold opportunities valued £25,000 or more are advertised and when the contracts are awarded • abolish the pre-qualification stage for below-threshold procurements • require payment of invoices within 30 days (including payments along the supply chain). ## Annex: The Eu Rules In A Nutshell There are three elements to the EU public procurement rules: • Treaty rules and principles (currently the Treaty on the Functioning of the European Union, TFEU, and the principles derived from it) • procurement directives (implemented in the UK through statutory instruments, principally, for councils in England, the Public Contracts Regulations 2015 but note that a new directive on concession contracts must also be implemented before April 2016) • case-law of the Court of Justice of the European Union (and increasingly case-law of the UK courts). The Internal Market (originally the 'Common Market') is founded on the 'four freedoms' which form the core of the Treaty - the free movement of goods, labour and capital and the freedom to provide services/freedom of establishment. EU Member States cannot obstruct the operation of the four freedoms (ie the Internal Market) by direct or indirect means. The Court of Justice, in its case-law, has derived a number of 'general principles' of EU law from the Treaty that have now been incorporated into the procurement directives. These include: • non-discrimination • equal treatment • transparency • proportionality. Procurement directives first began to be introduced in the 1970s. Their purpose is to harmonise procedures in use in the Member States to ensure that Treaty rules and principles are followed when there is likely to be cross-border interest in the contract (ie high value contracts in particular markets) and to provide effective remedies for suppliers where they are not (in England council decisions can be challenged in the High Court and the remedies include damages and fines). For English councils the rules are now those set out in the Public Contracts Regulations 2015, PCR 2015, which implements the 2014 Public Contracts Directive. A further new directive on concession contracts above a €5,186,000 threshold (currently £4,322,012) must be implemented before April 2016 (when new rules on utility contracts replacing the existing utilities regime must also be brought into force). The concessions regime is light touch and based largely on the EU general principles. The EU rules contained in PCR 2015 applies only to contracts and framework agreements exceeding certain threshold values (currently £172,514 for services and goods and £4.3 million for works; note that the sterling values will be revised in January 2016). However, the regulations also include Lord Young rules on below-threshold contracts. For the procurement of certain services (including health and social care) above a specific threshold value (currently £625,050) there is a 'light touch regime' (LTR) which allows councils greater freedom to design an appropriate procurement procedure provided the general principles are followed. In specified circumstances contracts between public bodies are exempt. The rules allow the use of framework agreements, dynamic purchasing systems (a type of electronic database that new suppliers can join at any time and be invited to bid for contracts as they come up) and electronic auctions. The main objective of the EU rules is to ensure that above-threshold requirements are advertised in the Official Journal of the European Union (OJEU) so that suppliers from across the EU (and beyond) are aware of the opportunity and can tender for it (transparency principle). The remainder of the EU rules concern the procedures that can be used to award contracts and framework agreements with the objective that all suppliers should receive equal treatment and face no discrimination on nationality grounds. Time limits and the information which can be sought from suppliers (selection criteria and exclusion grounds) are regulated as are the criteria that can be used to award contracts. In addition there are rules on specifications. The main procedures in PCR 2015 are: • open procedure (a single stage procedure: any supplier can tender) • restricted procedure (a two-stage procedure: only suppliers selected by the council can tender) • competitive procedure with negotiation (for use in complex and innovative procurements and use must be justified: permits negotiation prior to final tenders) • competitive dialogue (for use in complex and innovative procurements and use must be justified: permits dialogue before final tenders and negotiation with preferred bidder) • innovation partnership (a way to both commission R&D and purchase the resulting services or products) • negotiated procedure without prior advertising (an exceptional procedure involving no OJEU notice: for use in tightly controlled circumstances including extreme urgency). Court of Justice cases have helped clarify many aspects of the procurement rules by applying the Treaty rules and principles. PCR 2015 'codifies' much of this case-law including rules on contracts between public bodies and rules on the modification of contracts during their term. However, the Court of Justice of the EU will continue to clarify the rules and in some cases it may create further new rules. For example, the law on the treatment of development agreements under the EU rules is complex and continues to evolve through decisions of the European and UK courts. ## Notes Local Government Association Local Government House Smith Square London SW1P 3HZ Telephone 020 7664 3000 Fax 020 7664 3030 Email info@local.gov .uk www.local.gov .uk © Local Government Association, November 2015 For a copy in Braille, larger print or audio, please contact us on 020 7664 3000. We consider requests on an individual basis.

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2013 UK Greenhouse Gas Emissions, Provisional Figures and 2012 UK Greenhouse Gas Emissions, Final Figures by Fuel Type and End-User ## Statistical Release © Crown copyright 2014 You may re-use this information (not including logos) free of charge in any format or medium, under the terms of the Open Government Licence. To view this licence, visit www.nationalarchives.gov.uk/doc/open-government-licence/ or write to the Information Policy Team, The National Archives, Kew, London TW9 4DU, or email: psi@nationalarchives.gsi.gov.uk. Any enquiries regarding this publication should be sent to us at: ClimateChange.Statistics@decc.gsi.gov.uk. The responsible statistician for this publication is Laura Bates. Contact telephone: 0300 068 2948. This document is also available from our website at: https://www.gov.uk/government/publications/final-uk-emissions-estimates ## Contents | Executive summary | 4 | |--------------------------------------------------------------------------|-----| | | | | Coverage of emissions reporting | | | | | | 2013 Provisional Emissions | | | | | | Energy supply | 13 | | | | | Transport | 15 | | | | | Residential | 15 | | | | | Business | 15 | | | | | Industrial Process | 16 | | | | | Public Sector | | | | | | Agriculture, waste management and land use, land use change and forestry | | | | | | Carbon dioxide emissions by fuel type | | | | | | 2012 Greenhouse Gas emissions by end-user | 19 | | | | | Transport | 23 | | | | | Business | 24 | | | | | Residential | 26 | | | | | Agriculture | | | | | | Waste management | | | | | | Industrial process | | | | | | Public sector | 32 | | | | | Land Use, Land Use Change and Forestry (LULUCF) | 34 | | | | | Exports | | | | | | Revisions to the estimates of end-user emissions | 37 | | | | | Embedded Emissions | 37 | | | | | Uncertainties around the 2012 estimates | 39 | | | | | UK performance against emissions reduction targets | 41 | | | | | Future updates to emissions estimates | 42 | | | | | Further information and feedback | | | | | | Notes for editors | 43 | | | | | | | | | | ## Executive Summary  This publication provides the latest provisional estimates of 2013 UK greenhouse gas emissions by source, and final estimates of 2012 UK greenhouse gas emissions by fuel type and end-user.  In 2013, UK emissions of the basket of six greenhouse gases covered by the Kyoto Protocol were provisionally estimated to be 569.9 million tonnes carbon dioxide equivalent (MtCO2e). This was 1.9 per cent lower than the 2012 figure of 581.1 million tonnes.  The largest decrease between 2012 emissions and provisional 2013 emissions was a 7.5 per cent (14.5MtCO2e) decrease in the energy supply sector, due to a decrease in fossil fuel use for electricity generation.  In 2013, UK net emissions of carbon dioxide were provisionally estimated to be 464.3 million tonnes (Mt). This was 2.1 per cent lower than the 2012 figure of 474.1Mt. Carbon dioxide (CO2) is the main greenhouse gas, accounting for 82 per cent of total UK greenhouse gas emissions in 2012, the latest year for which final results are available.  The sectoral breakdowns for provisional emissions are based on the source of the emissions. Emissions related to electricity generation are therefore attributed to power stations, the source of these emissions, rather than homes and businesses where electricity is used. For 1990-2012 emissions, an end-user breakdown is presented which reallocates emissions to where the "end-use" occurred. The main impact is to reallocate emissions from the energy supply sector to other sectors, the business and residential sectors in particular. | | 2012 | 2013(p) | Change | |--------------------------------|---------|------------|-----------| | Total greenhouse gas emissions | 581.1 | 569.9 | -1.9% | | Carbon dioxide emissions | 474.1 | 464.3 | -2.1% | ## Note: 1. (p) 2013 estimates are provisional 2. Carbon dioxide emissions figures are for the UK and Crown Dependencies. Total greenhouse gas emissions figures are for UK emissions under the Kyoto Protocol, which include some Overseas Territories and a narrower definition for the Land Use, Land Use Change and Forestry (LULUCF) sector. 3. Emissions are reported as net emissions, to include removals from the atmosphere by carbon sinks. Note: (p) 2013 estimates are provisional. ## Introduction This publication provides provisional estimates of UK greenhouse gas emissions by source only for 2013, and final estimates of 2012 UK greenhouse gas emissions by end-user. It also includes uncertainty estimates for 2012 emissions by gas and sector. Emissions by end user and by fuel type, and uncertainty data, are published in updated data tables alongside the final estimates for 2012 UK greenhouse gas emissions by source. Also published in this dataset are uncertainties analysis for 2012 emissions by gas and sector. Note that this publication does not discuss 2012 emissions by fuel type, but these are included in the updated data tables. The estimates of 2012 UK greenhouse gas emissions by fuel type and end-user are based on, and consistent with, final estimates of 2012 UK greenhouse gas emissions by source which were published on 4th February 2014. For the purposes of reporting, greenhouse gas emissions are allocated into sectors as follows:  Energy supply o Emissions from fuel combustion for electricity and other energy production sources.  Business o Emissions from combustion in industrial/commercial sectors, industrial off-road machinery and refrigeration and air conditioning.  Transport o Emissions from aviation, road transport, railways, shipping, fishing and aircraft support vehicles.  Public o Emissions from combustion of fuel in public sector buildings.  Residential o Emissions from fuel combustion for heating/cooking, garden machinery and fluorinated gases released from aerosols/metered dose inhalers.  Agriculture o Emissions from livestock, agricultural soils, stationary combustion sources and offroad machinery.  Industrial processes o Emissions from industry except for those associated with fuel combustion (for example, emissions from cement manufacture).  Land use land use change and forestry (LULUCF) o Emissions from forestland, cropland, grassland, settlements and harvested wood products.  Waste management. o Emissions from waste disposed of to landfill sites, waste incineration, and the treatment of waste water. When emissions are reported by source, emissions are attributed to the sector that emits them directly. The end-user breakdown reallocates emissions by source in to where the "end-use" occurred. The main impact is to reallocate emissions from the energy supply sector to other sectors, the business and residential sectors in particular These high-level sectors are made up of a number of more detailed sectors, which follow the definitions set out by the Intergovernmental Panel on Climate Change (IPCC), and which are used in international reporting tables which are submitted to the United Nations Framework Convention on Climate Change (UNFCCC) every year. Provisional emissions are calculated based on the latest energy statistics to give an early indication of emissions estimates for 2013. Final emissions estimates for 2013 based on data from the UK's National Atmospheric Emissions Inventory and the Digest of UK Energy Statistics for 2013 will be published in February 2015. No temperature or seasonal adjustments are applied to data in this publication. Note that all 2013 greenhouse gas emissions and energy statistics figures in this statistics release are provisional and subject to change. ## Coverage Of Emissions Reporting The basket of greenhouse gases covered by the Kyoto Protocol consists of six gases: carbon dioxide, methane, nitrous oxide, hydrofluorocarbons, perfluorocarbons and sulphur hexafluoride. The last three gases are collectively referred to as fluorinated gases or F-gases. In accordance with international reporting and carbon trading protocols, each of these gases is weighted by its global warming potential (GWP), so that total greenhouse gas emissions can be reported on a consistent basis. The GWP for each gas is defined as its warming influence relative to that of carbon dioxide. Greenhouse gas emissions are then presented in carbon dioxide equivalent units. Carbon dioxide (CO2) is reported in terms of net emissions, which means total emissions from burning fuel minus total removals of carbon dioxide from the atmosphere by *carbon sinks*. Carbon sinks are incorporated within the Land Use, Land Use Change and Forestry (LULUCF) sector, which covers afforestation, reforestation, deforestation and forest management. They are defined by the United Nations Framework Convention on Climate Change (UNFCCC) as "any process, activity or mechanism which removes a greenhouse gas, an aerosol or a precursor of a greenhouse gas from the atmosphere". Unless otherwise stated, any figures included in this release represent emissions from within the UK and its Crown Dependencies (Jersey, Guernsey, and the Isle of Man) and are expressed in millions of tonnes of carbon dioxide equivalent (MtCO2e). Reporting of greenhouse gas emissions under the Kyoto Protocol is based on emissions in the UK, its Crown Dependencies, and those Overseas Territories (Bermuda, Cayman Islands, Falkland Islands, Gibraltar and Montserrat) that are party to the UK ratification of the Kyoto Protocol. This now includes emissions from all direct flights and shipping between the UK and these Territories. The Kyoto Protocol also uses a narrower definition of carbon sinks than that applied for domestic UK carbon dioxide reporting, which therefore results in a slightly different total. These adjustments mean that the greenhouse gas basket reported for Kyoto differs slightly from the sum of the individual gases as shown. ## 2013 Provisional Emissions Provisional estimates of carbon dioxide emissions are produced based on provisional inland energy consumption statistics which are being published at the same time in DECC's quarterly Energy Trends publication. Details of the provisional energy consumption statistics which have been used to estimate emissions can be found in Energy Trends. Carbon dioxide accounts for the majority of UK greenhouse gas emissions (82 per cent in 2013). However, in order to give an indication of what the latest provisional carbon dioxide emissions estimates imply for the basket total, an estimate of emissions is produced of the remaining gases in the basket. This estimate is based on a simple approach which assumes that the trend for these gases will be half-way between no change on 2012 and a repeat of the trend indicated by the last 12 years' data (2000-2012). Finally, in order to establish an estimate of total emissions which is consistent with the Kyoto Protocol definition for the basket as a whole, a further adjustment is made in respect of emissions from Overseas Territories and the narrower definition of carbon sinks used by the Protocol. These provisional emissions estimates will be subject to revision when the final estimates are published in February 2015; however, they provide an early indication of emissions in the most recent full calendar year. The majority of provisional estimates in the past have been within 2 per cent of the final figures. To ensure consistency with other National Statistics publications on UK greenhouse gas emissions, the sectoral breakdowns in this statistical release are based on the UK's National Communication sectors, by which we report our greenhouse gas emissions to the UNFCCC. In 2013, an estimated 38 per cent of carbon dioxide emissions were from the energy supply sector, 25 per cent from transport, 17 per cent from the residential sector and 16 per cent from business. Between 2012 and 2013, provisional estimates indicate that carbon dioxide emissions decreased by 7.5 per cent (14.5Mt) in the energy supply sector driven by a decrease in fossil fuel use for electricity generation. Emissions increased by 2.9 per cent (2.1Mt) in the business sector and 2.6 per cent (2.0Mt) in the residential sector. Emissions from the transport sector were much the same as in 2012. Since 1990, UK carbon dioxide emissions have decreased by around 21 per cent. This fall in emissions has coincided with a decrease in overall energy consumption over the period, of around 4 per cent. If this figure is adjusted to allow for the effect of temperature, energy consumption has fallen by around 9 per cent between 1990 and 2013. A number of factors explain this effect, such as changes in the efficiency in electricity generation and switching from coal to less carbon intensive fuels such as gas. | | 1990 | 1995 | 2000 | 2005 | 2010 | 2012 | 2013(p) | |---------------|---------|---------|---------|---------|---------|---------|------------| | Energy Supply | 241.5 | 210 | 203.1 | 217.3 | 195.5 | 192.9 | 178.5 | | Transport | 119.6 | 119.9 | 124.9 | 129.2 | 119.1 | 116.9 | 116.7 | | Business | 113.7 | 107.3 | 108.2 | 97.6 | 77.2 | 73.3 | 75.4 | | Residential | 79 | 80.8 | 87.1 | 84.3 | 86.6 | 74.9 | 76.9 | | Other | 37.3 | 34.8 | 28.9 | 24.5 | 16.8 | 16 | 16.8 | | Total | 591.1 | 552.9 | 552.2 | 552.8 | 495.2 | 474.1 | 464.3 | Note: (p) 2013 estimates are provisional. Note: (p) 2013 estimates are provisional. Greenhouse gas emissions: weighted by global warming potential (million tonnes carbon dioxide equivalent) 1990 1995 2000 2005 2006 2007 2008 2009 2010 2011 2012 2013 (p) Energy supply 241.5 210.0 203.1 217.3 224.4 219.2 212.7 189.7 195.5 182.0 192.9 178.5 from power stations 203.5 163.4 158.5 172.8 182.0 177.8 172.8 151.1 156.6 144.1 158.1 145.1 other Energy supply 38.0 46.6 44.6 44.5 42.4 41.4 39.9 38.6 38.9 37.8 34.8 33.4 Business 113.7 107.3 108.2 97.6 94.6 92.9 88.4 77.1 77.2 72.7 73.3 75.4 Transport 119.6 119.9 124.9 129.2 129.7 132.7 125.5 120.7 119.1 117.4 116.9 116.7 Net CO2 emissions Public 13.1 12.7 11.5 11.0 10.0 9.3 9.9 9.7 10.5 9.7 10.1 10.4 (emissions minus Residential 79.0 80.8 87.1 84.3 81.7 78.1 79.9 74.8 86.6 66.5 74.9 76.9 removals) Agriculture 5.2 5.3 4.8 4.6 4.3 4.1 4.1 4.0 4.1 4.2 4.1 4.1 Industrial process 16.7 15.3 15.2 15.0 14.3 15.6 14.1 9.3 9.9 9.5 9.3 9.8 Waste Management 1.3 0.9 0.5 0.4 0.3 0.3 0.3 0.3 0.3 0.3 0.3 0.3 LULUCF 1.0 0.6 -3.0 -6.5 -7.0 -7.4 -7.6 -7.7 -8.0 -8.2 -7.7 -7.7 Total CO2 591.1 552.9 552.2 552.8 552.3 544.9 527.3 477.9 495.2 454.0 474.1 464.3 Other greenhouse gases 187.8 173.7 137.6 117.7 114.9 112.3 110.5 106.4 104.6 102.7 101.3 99.9 Kyoto greenhouse gas basket 777.6 725.2 692.2 676.3 673.2 663.7 644.2 590.7 606.2 563.2 581.1 569.9 Note: 1. (p) 2013 estimates are provisional. 2. Provisional 2013 CO2 emissions for the agriculture, waste and LULUCF sectors have not been estimated; 2012 estimates have been used for this component of the provisional estimates of total UK emissions. 3. Kyoto basket total differs slightly from sum of individual pollutants above as the basket uses a narrower definition for LULUCF, and includes emissions from UK Overseas Territories, as well as emissions from direct flights between the UK and these Territories. 4. The entire time series is revised each year to take account of methodological improvements in the UK emissions inventory. 5. Emissions are presented as carbon dioxide equivalent in line with international reporting and carbon trading. To convert carbon dioxide into carbon equivalents, divide figures by 44/12. 6. Figures shown do not include any adjustment for the effect of the EU Emissions Trading System (EUETS), which was introduced in 2005. 7. Totals for CO2 emissions and Energy Supply may not sum due to rounding. ## Energy Supply The energy supply sector was the largest contributor to the decrease in carbon dioxide emissions between 2012 and 2013. Emissions from this sector were provisionally estimated to be 178.5Mt in 2013, a decrease of around 7.5 per cent compared to 2012. The decrease in emissions from this sector since 2012 can largely be attributed to an 8 per cent decrease in emissions from electricity generation. There was a change in the fuel mix used at power stations for electricity generation, with a 9 per cent decrease in coal use for generation and a 7 per cent decrease in gas use. In 2013, carbon dioxide emissions from power stations, at 145.1Mt, accounted for just under a third of all carbon dioxide emissions. Carbon dioxide emissions from the energy supply sector were estimated to be around 26 per cent lower in 2013 than they were in 1990. Between 1990 and 2013, final consumption of electricity is provisionally estimated to have increased by around 11 per cent; domestic electricity consumption in particular was around 21 per cent higher in 2013 than in 1990. However, emissions from electricity generation have decreased by 29 per cent over the same period. The decrease in emissions from power stations since 1990 has resulted from a combination of changes in the fuel mix over the period together with greater efficiency due to improvements in technology. It is difficult to assess the relative impacts of the two, but it is likely that the majority of the saving since 1990 will have been due to fuel switching from coal to gas for electricity generation. Note: (p) 2013 estimates are provisional. ## Transport In 2013, carbon dioxide emissions from the transport sector, at 117Mt, accounted for about a quarter of all carbon dioxide emissions. Between 2012 and 2013, transport emissions decreased by 0.2 per cent (0.2Mt). Emissions from this sector are similar to 1990 levels (down 2 per cent, or 3Mt). There was a general increase in these emissions throughout the period up to 2007, but they have been decreasing since then. It should be noted that these estimates do not include emissions from international aviation and shipping; domestic aviation and shipping, however, are included. ## Residential In 2013, the residential sector, with emissions of 77Mt, accounted for around 17 per cent of all carbon dioxide emissions. Between 2012 and 2013 there was a 3 per cent increase in emissions from this sector. The average temperature for 2013 was very similar to the average temperature for 2012, but the first quarter of 2013 was on average 2.7 degrees Celsius cooler than the first quarter of 2012 which has contributed to an increase in the use of natural gas for space heating. In 2013, emissions from this sector were estimated around 3 per cent lower than in 1990. It should be noted that emissions from this sector do not include emissions from power stations related to domestic electricity consumption, as these emissions are included in the energy supply sector. ## Business Carbon dioxide emissions from the business sector, at 75Mt, accounted for around 16 per cent of all carbon dioxide emissions in 2013. This was 3 per cent higher than in 2012, which is largely due to increased use of manufactured fuels in the iron and steel industry caused by the re-opening of Teesside Steelworks in April 2012 since when it has gradually increased operations, and the opening of a furnace at Port Talbot in February 2013. There has been a 34 per cent decrease in business sector emissions since 1990. ## Industrial Process In 2013, carbon dioxide emissions from the industrial process sector were estimated to be 10Mt, an increase of around 6 per cent compared with 2012. Between 1990 and 2013, emissions from this sector are estimated to have decreased by around 41 per cent. ## Public Sector Carbon dioxide emissions from the public sector, at 10Mt, were estimated to have increased by about 2 per cent from 2012 emissions. Between 1990 and 2013, emissions from this sector are estimated to have decreased by around 21 per cent. ## Agriculture, Waste Management And Land Use, Land Use Change And Forestry Updated emissions estimates for these sectors are not yet available for 2013, so for these provisional estimates of 2013 carbon dioxide emissions, emissions from these sectors are assumed to be the same as in 2012. On this basis, 2013 carbon dioxide emissions from the agriculture sector are estimated to be 4Mt, 1Mt lower than in 1990. Carbon dioxide emissions from waste management were estimated to be 0.3Mt in 2013, and net land use, land use change and forestry emissions are estimated to be -8Mt in 2013 as the sector is currently a net carbon sink, with removals of carbon dioxide from the atmosphere being greater than emissions. ## Carbon Dioxide Emissions By Fuel Type The amount of carbon dioxide released by the consumption of one unit of energy depends on the type of fuel consumed. For example, since coal has a higher carbon content than gas, more carbon dioxide emissions result from burning one unit of coal than from one unit of gas. Emissions per unit of electricity supplied by major power producers from fossil fuels are estimated to have been 640 tonnes of carbon dioxide per GWh in 2013 overall; within this, emissions from electricity generated from coal (870 tonnes of carbon dioxide per GWh electricity supplied) were over two times higher than for electricity supplied by gas (330 tonnes of carbon dioxide per GWh). For all sources of electricity (including nuclear, renewables and autogeneration), the average amount of carbon dioxide emitted in 2013 amounted to 410 tonnes per GWh of electricity supplied. In 2013, carbon dioxide emissions from the use of fossil fuels, including fuel used for generating electricity, were estimated at 457Mt. This was 2 per cent lower than the 2012 figure of 467Mt. The biggest change in emissions was from the use of coal, down 10Mt (8 per cent) from 131Mt in 2012 to 121Mt in 2013. This largely resulted from decreased use of coal for electricity generation at power stations. Over the period 1990 to 2013, carbon dioxide emissions from fossil fuels decreased by 20 per cent. Over the same period, overall primary consumption of fossil fuels has dropped by nearly 10 per cent. The relatively higher decrease in emissions can be attributed to an increase in the use of gas accompanied by a decrease in the use of coal and other solid fuels; gas consumption as a proportion of all fossil fuels has increased from 26 per cent in 1990 to 41 per cent in 2013, whilst the proportion used of coal and other solid fuels has decreased from 34 per cent to 22 per cent over the same period. Oil use, as a proportion of all fossil fuels, has remained relatively stable over the period; this accounted for almost 40 per cent of all fossil fuels used in 1990 and 37 per cent in 2013. 1990 1995 2000 2005 2010 2011 2012 2013 (p) Gas 146.0 188.2 241.8 235.2 228.4 193.5 183.8 184.5 Oil 191.1 178.6 166.1 170.0 150.5 144.0 143.1 141.7 Coal 217.7 151.4 116.7 124.7 100.7 101.3 130.9 120.5 Other solid fuels 15.4 12.5 11.9 10.2 8.3 8.0 8.9 10.2 Non-fuel 20.8 22.2 15.7 12.7 7.3 7.2 7.3 7.3 Total 591.1 552.9 552.2 552.8 495.2 454.0 474.1 464.3 Note: (p) 2013 estimates are provisional. Note: (p) 2013 estimates are provisional. ## 2012 Greenhouse Gas Emissions By End-User These results are based on, and consistent with, the breakdown by gas and national communication sector of 2012 emissions by source which was published on 4th February 2014. Total 2012 greenhouse gas emissions for the UK and Crown Dependencies were 575.4Mt CO2e. The end-user breakdown reallocates emissions by source to where the "end-use" occurred. The main impact is to reallocate emissions from the energy supply sector to flows of energy i.e. to other sectors, the business and residential sectors in particular. Amongst other things, this therefore reallocates emissions occurring at power stations in generating electricity to where the electricity is actually consumed. It should be noted that the results shown by this breakdown are based on a number of assumptions, and we would therefore expect them to be subject to a wider margin of error than the breakdown of emissions by source. Greenhouse gas emissions are reported here in two ways: by gas, and by the end-user sector of the emissions. Looking at the breakdown by end-user sector, in 2012 31 per cent of greenhouse gas emissions were from the business sector, 23 per cent from transport, 25 per cent from the residential sector and 10 per cent from agriculture. The remainder were attributable to waste management, industrial processes, the public sector, exports and LULUCF emissions. Fluorinated Carbon dioxide Methane Nitrous oxide gases Total Transport 131.8 0.6 1.2 0.0 133.6 Business 161.3 2.9 1.6 12.4 178.2 Residential 139.2 3.5 0.6 2.0 145.3 Agriculture 6.6 22.3 30.3 0.0 59.1 Waste Management 0.3 20.1 1.2 0.0 21.6 Industrial Process 9.9 0.2 0.1 0.3 10.6 Public 19.4 0.5 0.1 0.0 19.9 LULUCF -7.7 0.1 0.7 0.0 -7.0 Exports 13.4 0.5 0.2 0.0 14.0 Total 474.1 50.6 36.0 14.7 575.4 emissions, excluding LULUCF (MtCO2e) Fluorinated Carbon dioxide Methane Nitrous oxide gases Total Transport 22.9% 0.1% 0.2% 0.0% 23.2% Business 28.0% 0.5% 0.3% 2.2% 31.0% Residential 24.2% 0.6% 0.1% 0.3% 25.3% Agriculture 1.1% 3.9% 5.3% 0.0% 10.3% Waste Management 0.0% 3.5% 0.2% 0.0% 3.8% Industrial Process 1.7% 0.0% 0.0% 0.1% 1.8% Public 3.4% 0.1% 0.0% 0.0% 3.5% Exports 2.3% 0.1% 0.0% 0.0% 2.4% Total 82.4% 8.8% 6.3% 2.6% 100.0% Note: This Table does not include emissions from the LULUCF sector, since in 2012 this sector acted as a net sink, and emissions were therefore effectively negative. Sector values may sum to more than gas totals due to exclusion of LULUCF emissions. A summary of the changes in the end-user breakdown for each gas between 2011 and 2012 can be found in Table 17 towards the end of this statistical release. This also shows a comparable summary of the breakdown of emissions by source, which was published in February 2014. The data tables for full end-user breakdown by National Communications category, from 1990 to 2012, can be found on the Final Greenhouse Gas Emissions Statistics page of the Gov.uk website. These tables were originally published on 4th February 2014 showing emissions by source only, but were updated with the end-user and fuel type breakdowns on 27th March 2014. | 1990 | 1995 | 2000 | 2005 | 2010 | 2011 | 2012 | |--------------------|---------|---------|---------|---------|---------|---------| | | | | | | | | | Transport | 139.4 | 143.1 | 146.6 | 149.6 | 136.9 | 134.9 | | Business | 248.5 | 215.5 | 215.4 | 210.5 | 181.4 | 171.6 | | Residential | 169.7 | 156.5 | 158.5 | 163.3 | 157 | 129.8 | | Agriculture | 74.9 | 73.2 | 69.5 | 64.7 | 60.1 | 59.7 | | Waste Management | 47.3 | 47.9 | 38.8 | 29.8 | 23.2 | 22.7 | | Industrial Process | 57.3 | 47.3 | 26.6 | 19.7 | 12.6 | 11 | | Public | 30.9 | 28.2 | 23.6 | 22.2 | 20.1 | 18.7 | | LULUCF | 1.9 | 1.5 | -2.1 | -5.7 | -7.3 | -7.5 | | Exports | 9.1 | 13.3 | 13 | 16.4 | 15.9 | 15.7 | | Total | 778.9 | 726.6 | 689.8 | 670.5 | 599.8 | 556.7 | Note: All figures are for the UK and Crown Dependencies only, and exclude Overseas Territories. Details of changes over time for each sector are set out in the following sections of this statistical release. In each case, information about the trend between 1990 and 2011 provides some context, alongside details of the changes since 2011 now seen in the 2012 estimates. ## Transport The transport sector was responsible for around 23 per cent of UK greenhouse gas end-user emissions in 2012, almost entirely through carbon dioxide emissions. Emissions of carbon dioxide are closely related to the amount of fuel used, whilst nitrous oxide and methane emissions are influenced more by the vehicle type and age. Between 2011 and 2012 there was very little change in end-user emissions from the transport sector. In both years, transport end-user emissions were around 16Mt higher than by source emissions. Between 1990 and 2011, there was relatively little overall change in the level of greenhouse gas end-user emissions from the transport sector (emissions were around 3 per cent lower in 2011 than in 1990), although emissions actually increased slightly up to 2007 and then fell again from 2008 onwards. This is similar to the trend seen for by source emissions from the transport sector. Road transport is the most significant source of emissions in this sector, in particular passenger cars, and the changes which have been seen over the period were heavily influenced by this category. Although there has been an increase in both the number of passenger vehicles and the vehicle kilometres travelled, emissions from passenger cars have decreased due to lower petrol consumption outweighing an increase in diesel consumption. However, this decrease has been partially offset by an increase in emissions from light duty vehicles. 1990 1995 2000 2005 2010 2011 2012 Carbon dioxide 136.2 139.6 143.8 147.5 135.3 133.1 131.8 Methane 1.7 1.5 1.0 0.7 0.5 0.6 0.6 Nitrous oxide 1.5 2.0 1.8 1.5 1.1 1.2 1.2 F-gases 0.0 0.0 0.0 0.0 0.0 0.0 0.0 Total 139.4 143.1 146.6 149.6 136.9 134.9 133.6 Note: All figures are for the UK and Crown Dependencies only, and exclude Overseas Territories. ## Business The business sector was responsible for 31 per cent of UK greenhouse gas end-user emissions in 2012, with carbon dioxide being the most prominent gas. Emissions from this sector primarily relate to fossil fuel combustion in industry and commerce, although emissions of F-gases from the use of fluorinated compounds in certain applications, particularly refrigeration and airconditioning, are significant. The business sector is responsible for the majority of emissions from F-gases. Between 2011 and 2012 there was an increase in business sector end-user emissions of around 6.6MtCO2e (3.8 per cent). This was mostly due to an increase in emissions from electricity use. Between 1990 and 2011, there was a general downward trend in greenhouse gas end-user emissions from the business sector, resulting in an overall decrease of around 31 per cent. This has been largely due to a reduction in emissions from industrial combustion (including iron and steel) meaning emissions of carbon dioxide have reduced over the period by 33 per cent. However, emissions from F-gases have increased significantly, mainly due to an increase in emissions from refrigeration and air-conditioning as between 1993 and 2002, hydrofluorocarbons (HFCs) were used to replace other, ozone depleting (not shown in emissions data below), substances which were previously used as refrigerants. This increasing trend has since slowed, as tighter controls on emissions leakages have been introduced. The overall downward trend for end-user emissions is similar to the trend for by source emissions, though end-user emissions are much higher due to the inclusion of emissions from electricity generation. | 1990 | 1995 | 2000 | 2005 | 2010 | 2011 | 2012 | |----------------|---------|---------|---------|---------|---------|---------| | | | | | | | | | Carbon dioxide | 232.1 | 201.7 | 201.8 | 195.1 | 164.8 | 154.9 | | Methane | 13.2 | 9.9 | 6.3 | 4.1 | 3.1 | 3.1 | | Nitrous oxide | 2.5 | 2.1 | 1.9 | 2 | 1.5 | 1.4 | | F-gases | 0.6 | 1.8 | 5.4 | 9.4 | 12 | 12.2 | | Total | 248.5 | 215.5 | 215.4 | 210.5 | 181.4 | 171.6 | Note: All figures are for the UK and Crown Dependencies only, and exclude Overseas Territories. ## Residential The residential sector was responsible for around 25 per cent of UK greenhouse gas end-user emissions in 2012, with carbon dioxide being the most prominent gas for this sector. It should be noted that, unlike emissions by source, which only cover activities related to residential fossil fuel use, emissions reported by end-user also include residential electricity use which have been re-allocated from the energy supply sector. Between 2011 and 2012 there was an increase of around 11.9 per cent (15.5MtCO2e) in enduser emissions from this sector, due to an increase in emissions from gas and electricity consumption. The increase in gas consumption was due to increased use of gas for space heating (as 2012 was a colder year on average than 2011), and was also seen in the by source emissions. However, the emissions from electricity use were included in the energy supply sector for the by source emissions. Between 1990 and 2011, there was considerable variation in greenhouse gas end-user emissions from year to year in the residential sector. Both the end-user and by source emissions from this sector are heavily influenced by external temperatures. End-user emissions have seen a bigger overall decrease since 1990 than by source emissions, due to a decrease in emissions from electricity consumption which are included in the residential end-user emissions but are in the energy supply sector for the by source emissions. 1990 1995 2000 2005 2010 2011 2012 Carbon dioxide 156.5 146.5 150.5 156.5 151.0 124.2 139.2 Methane 12.2 8.9 5.5 4.0 3.6 3.1 3.5 Nitrous oxide 1.0 0.7 0.6 0.6 0.6 0.5 0.6 F-gases 0.0 0.4 1.8 2.2 1.9 1.9 2.0 Total 169.7 156.5 158.5 163.3 157.0 129.8 145.3 Note: All figures are for the UK and Crown Dependencies only, and exclude Overseas Territories. ## Agriculture The agriculture sector was responsible for 10 per cent of UK greenhouse gas end-user emissions in 2012. Emissions of nitrous oxide (51 per cent) and methane (38 per cent) dominate this sector. End-user and by source emissions are very similar for this sector, with the most significant sources being emissions of methane due to enteric fermentation from livestock, particularly cattle, and nitrous oxide emissions related to the use of fertilisers on agricultural soils. Between 2011 and 2012 there was very little change in end-user emissions from the agriculture sector. Between 1990 and 2011, greenhouse gas end-user emissions from agriculture decreased by around 20 per cent, due to a general downward trend since the late 1990s. This reduction was driven by a fall in animal numbers over the period, together with a decrease in synthetic fertiliser use. The same trend is seen for by source emissions from this sector. 1990 1995 2000 2005 2010 2011 2012 Carbon dioxide 8.7 8.3 7.3 7.2 6.6 6.5 6.6 Methane 28.4 27.6 26.3 23.9 22.5 22.3 22.3 Nitrous oxide 37.8 37.3 35.9 33.5 31.0 30.8 30.3 F-gases 0.0 0.0 0.0 0.0 0.0 0.0 0.0 Total 74.9 73.2 69.5 64.7 60.1 59.7 59.1 Note: All figures are for the UK and Crown Dependencies only, and exclude Overseas Territories. ## Waste Management For the waste management sector, emissions measured by end-user are the same as those measured by source, since no emissions from the energy supply sector are reallocated to waste management. The waste management sector was responsible for around 4 per cent of UK greenhouse gas emissions in 2012, with methane being by far the most prominent gas (93 per cent). The vast majority of these emissions are from landfill sites. Between 2011 and 2012, emissions from waste management fell by just under 5 per cent (1.1MtCO2e), reflecting a continuation of the trend seen in recent years of a decrease in emissions from landfill waste. Between 1990 and 2011, greenhouse gas emissions from the waste management sector decreased by 52 per cent. This was due to a combination of factors, including improvements in the standards of landfilling, changes to the types of waste going to landfill (such as reducing the amount of biodegradable waste), and an increase in the amount of landfill gas being used for energy. Emissions of methane alone have reduced by 53 per cent over the period. | 1990 | 1995 | 2000 | 2005 | 2010 | 2011 | 2012 | |----------------|---------|---------|---------|---------|---------|---------| | | | | | | | | | Carbon dioxide | 1.3 | 0.9 | 0.5 | 0.4 | 0.3 | 0.3 | | Methane | 44.8 | 45.8 | 36.9 | 28.2 | 21.7 | 21.2 | | Nitrous oxide | 1.2 | 1.2 | 1.3 | 1.2 | 1.2 | 1.2 | | F-gases | 0 | 0 | 0 | 0 | 0 | 0 | | Total | 47.3 | 47.9 | 38.8 | 29.8 | 23.2 | 22.7 | Note: All figures are for the UK and Crown Dependencies only, and exclude Overseas Territories. ## Industrial Process The industrial process sector was responsible for 2 per cent of UK greenhouse gas end-user emissions in 2012, with carbon dioxide being the most prominent gas. The main source of emissions is cement production, with other processes such as sinter and lime production also worth mentioning. Between 2011 and 2012, end-user emissions from the industrial process sector fell by around 4 per cent (0.5MtCO2e). Between 1990 and 2011, there was a large reduction in greenhouse gas end-user emissions from the industrial process sector, with an overall decrease of around 81 per cent. This was most notably due to a large reduction in emissions from adipic acid production and halocarbon production between 1998 and 1999 (combined emissions of which are now almost zero), although there has been a general downward trend in emissions over the period. The end-user emissions are only slightly higher than by source emissions, and follow a very similar trend between 1990 and 2011. | 1990 | 1995 | 2000 | 2005 | 2010 | 2011 | 2012 | |----------------|---------|---------|---------|---------|---------|---------| | | | | | | | | | Carbon dioxide | 17.8 | 16.3 | 16.2 | 15.4 | 10.5 | 10 | | Methane | 1.6 | 1.3 | 0.9 | 0.4 | 0.3 | 0.3 | | Nitrous oxide | 24.7 | 14.9 | 5.6 | 3 | 1.4 | 0.2 | | F-gases | 13.1 | 14.7 | 3.9 | 0.9 | 0.5 | 0.5 | | Total | 57.3 | 47.3 | 26.6 | 19.7 | 12.6 | 11 | Note: All figures are for the UK and Crown Dependencies only, and exclude Overseas Territories. ## Public Sector The public sector was responsible for 3 per cent of UK greenhouse gas end-user emissions in 2012, with carbon dioxide making up almost all of these emissions. Between 2011 and 2012 end-user emissions from the public sector increased by 6.5 per cent (1.2MtCO2e). This is a bigger increase than was seen for by source emissions, due to increased emissions from electricity consumption. Between 1990 and 2011, there was a general downward trend in greenhouse gas end-user emissions from the public sector, with an overall decrease of around 39 per cent. This has been largely driven by a reduction in the use of oil and coal in this sector. Public sector end-user emissions are roughly double by source emissions from the sector. | 1990 | 1995 | 2000 | 2005 | 2010 | 2011 | 2012 | |----------------|---------|---------|---------|---------|---------|---------| | | | | | | | | | Carbon dioxide | 28.9 | 26.7 | 22.7 | 21.6 | 19.5 | 18.2 | | Methane | 1.8 | 1.4 | 0.8 | 0.5 | 0.4 | 0.4 | | Nitrous oxide | 0.2 | 0.1 | 0.1 | 0.1 | 0.1 | 0.1 | | F-gases | 0 | 0 | 0 | 0 | 0 | 0 | | Total | 30.9 | 28.2 | 23.6 | 22.2 | 20.1 | 18.7 | Note: All figures are for the UK and Crown Dependencies only, and exclude Overseas Territories. ## Land Use, Land Use Change And Forestry (Lulucf) For the LULUCF sector, emissions measured by end-user are the same as those measured by source, since no emissions from the energy supply sector are reallocated to LULUCF. The LULUCF sector acted as a net sink of UK greenhouse gas emissions in 2012, dominated by carbon dioxide. In general, land being converted to cropland is the dominant source of carbon dioxide emissions, and forest land which remains as forest land is the dominant sink. Between 2011 and 2012, net emissions from the LULUCF sector increased slightly, by around 0.5MtCO2e, largely due to increases in emissions from biomass burning. Between 1990 and 2011, the UK went from being a net source of LULUCF emissions to a net sink. This was largely due to changes in land use over the period. The downward trend in net emissions over the period has largely been driven by land converted to cropland and forest land, with an increasing uptake of carbon dioxide by trees as they reach maturity, in line with the historical planting pattern. There has also been some reduction in emissions since 1990 due to less intensive agricultural practices. | 1990 | 1995 | 2000 | 2005 | 2010 | 2011 | 2012 | |----------------|---------|---------|---------|---------|---------|---------| | | | | | | | | | Carbon dioxide | 1 | 0.6 | -3 | -6.5 | -8 | -8.2 | | Methane | 0 | 0 | 0 | 0 | 0 | 0 | | Nitrous oxide | 0.8 | 0.9 | 0.9 | 0.8 | 0.7 | 0.7 | | F-gases | 0 | 0 | 0 | 0 | 0 | 0 | | Total | 1.9 | 1.5 | -2.1 | -5.7 | -7.3 | -7.5 | Note: All figures are for the UK and Crown Dependencies only, and exclude Overseas Territories. ## Exports The exports sector represents emissions associated with the production of fuels within the UK (for example, from a refinery or a coal mine) which are subsequently exported or sent to bunkers for use outside the UK. Since these fuels are ultimately used for activities which occur outside the UK, it would not be appropriate to allocate the emissions from their production to any of the National Communication sectors, so they are reported under a separate, additional sector. The exports sector was responsible for around 2 per cent of UK greenhouse gas emissions in 2012, with carbon dioxide representing almost the entirety of these emissions. Between 2011 and 2012 emissions from the exports sector decreased by 1.7Mt (11 per cent). Between 1990 and 2011, there was a general upward trend in greenhouse gas emissions from exports, with an overall increase of around 72 per cent. This has largely been driven by changes in throughput at refineries, which have fed through to increased exports rather than increased deliveries to the domestic market. | | 1990 | 1995 | 2000 | 2005 | 2010 | 2011 | 2012 | |----------------|---------|---------|---------|---------|---------|---------|---------| | Carbon dioxide | 8.5 | 12.5 | 12.3 | 15.8 | 15.3 | 15 | 13.4 | | Methane | 0.6 | 0.7 | 0.5 | 0.4 | 0.5 | 0.6 | 0.5 | | Nitrous oxide | 0.1 | 0.1 | 0.2 | 0.2 | 0.2 | 0.2 | 0.2 | | F-gases | 0 | 0 | 0 | 0 | 0 | 0 | 0 | | Total | 9.1 | 13.3 | 13 | 16.4 | 15.9 | 15.7 | 14 | ## Revisions To The Estimates Of End-User Emissions It should be noted that the historical time series of emissions by end-user is revised each year to reflect any revisions made to either the estimates of emissions by source or the other energy consumption data used in the end-user emissions calculation. In this publication, this has resulted in revisions to some end-user emissions figures for all years up to and including 2011. Further details of these revisions can be found in the National Statistics release of 4th February 2014, which covered 2012 UK greenhouse gas emissions by source. ## Embedded Emissions End-user emissions do not take account of the emissions "embedded" within the manufactured goods and services which the UK imports and exports. Embedded emissions capture what is sometimes referred to as the UK's "carbon footprint". This calculation of emissions on a "consumption" basis, reporting on emissions embedded in goods and services across international borders, is considerably more challenging. Department of Environment, Food and Rural Affairs (Defra) provide the lead in this area. They publish annual statistics on the UK's Carbon Footprint that investigates the impact the UK consumption has on carbon dioxide emissions. These are published in December of each year and are reported 23 months in arrears. source and end-user, National Communication categories | | | |-------------------------------|-------------| | Source | End User | | Greenhouse Gas | NC Category | | Energy supply | 190.8 | | Transport | 118.5 | | Business | 85.9 | | Residential | 69.0 | | Agriculture | 57.2 | | All Greenhouse gases (million | | | tonnes carbon dioxide | | | Waste management | 22.7 | | equivalent) | | | Industrial process | 10.3 | | Public sector | 9.7 | | Land use change | -7.5 | | Exports | - | | Total | 556.7 | | Energy supply | 182.0 | | Transport | 117.4 | | Business | 72.7 | | Residential | 66.5 | | Agriculture | 4.2 | | Carbon dioxide (million | | | Waste management | 0.3 | | tonnes) | | | Industrial process | 9.5 | | Public sector | 9.7 | | Land use change | -8.2 | | Exports | - | | Total | 454.0 | | Energy supply | 350.8 | | Transport | 3.4 | | Business | 6.3 | | Residential | 22.2 | | Agriculture | 1060.0 | | Methane (thousand tonnes) | | | Waste management | 1011.2 | | Industrial process | 4.3 | | Public sector | 0.9 | | Land use change | 2.1 | | Exports | - | | Total | 2461.3 | | Energy supply | 4.6 | | Transport | 3.2 | | Business | 2.6 | | Residential | 0.4 | | Agriculture | 99.4 | | Nitrous oxide (thousand | | | Waste management | 3.9 | | tonnes) | | | Industrial process | 0.8 | | Public sector | 0.0 | | Land use change | 2.2 | | Exports | - | | Total | 117.1 | ## Uncertainties Around The 2012 Estimates We are now also able to publish the uncertainty ranges associated with the final 2012 emissions estimates by source, which were published on 4th February 2014. For details of how the uncertainty estimates are calculated, see the Uncertainties Annex of the UK's National Inventory Report. The uncertainty estimates vary a lot for different sectors and gases. For gases, carbon dioxide estimates have the least uncertainty associated with them while nitrous oxide estimates are the most uncertain. At sector level, the land use change, agriculture and waste management sectors are the most uncertain. The overall uncertainty around total GHG emissions for 2012 is estimated to be 5 per cent. Uncertainty estimates for nitrous oxide and the agriculture sector were not published last year due to a highly skewed distribution. There has since been a review of the way that uncertainty estimates for emissions from agricultural soils are calculated, which has allowed us to publish uncertainty estimates this year. This is also the main cause of a decrease in overall uncertainty for emissions from all greenhouse gases weighted by GWP, which is estimated to be 5 per cent for 2012 emissions compared to the 2013 estimate of 17 per cent for 2011 emissions. | 2012 | Uncertainty around 2012 estimate, expressed | |----------------------|------------------------------------------------| | emissions | as a 95% confidence interval | | | | | | | | Lower bound | Upper bound | | Carbon dioxide | 475.7 | | Methane | 50.8 | | Nitrous Oxide | 36.1 | | Hydrofluorocarbons | 14.1 | | Perfluorocarbons | 0.2 | | Sulphur hexafluoride | 0.5 | | Total | 577.5 | | 2012 | Uncertainty around 2012 estimate, expressed | |--------------------|------------------------------------------------| | emissions | as a 95% confidence interval | | | | | | | | Lower bound | Upper bound | | Energy Supply | 203.1 | | Transport | 118.5 | | Residential | 77.6 | | Business | 86.8 | | Public | 10.1 | | Industrial Process | 9.8 | | Agriculture | 56.8 | | Land Use Change | -7.0 | | Waste Management | 21.7 | | Total | 577.5 | ## Uk Performance Against Emissions Reduction Targets The UK has both international and domestic targets for reducing greenhouse gas emissions. Internationally the UK has a target for the first commitment period of the Kyoto Protocol to reduce its emissions by an average 12.5 per cent below base year levels over the five-year period 2008-12; and domestically it has the Carbon Budgets set out under the UK Climate Change Act, which set legally-binding limits on the total amount of GHG can emit for a given five-year period. In reporting emissions reductions against these targets, the UK is required to take account of emissions trading through the various flexible mechanisms which have been established, including the European Union Emissions Trading System (EU ETS). DECC reported on performance against these targets in detail in the National Statistics release of 4th February 2014, which covered 2012 UK greenhouse gas emissions final figures. Performance was reported so as to take account of the latest available EU ETS data, also covering the 2012 calendar year. Since these are still the latest available data from the EU ETS, it is not possible to produce a further update showing performance against targets based on the provisional 2013 emissions estimates. DECC will report in the summer on progress towards targets once 2013 EU ETS data have become available. ## Future Updates To Emissions Estimates Final estimates of UK greenhouse gas emissions for 2013 will be published as National Statistics on 3rd February 2015. These estimates will be based on the UK's National Atmospheric Emissions Inventory for 2013. ## Further Information And Feedback Further information on UK greenhouse gas emissions statistics, including Excel tables with additional data on UK emissions, can be found on the Gov.uk website at: https://www.gov.uk/government/organisations/department-of-energy-climate-change/series/ukgreenhouse-gas-emissions ## Notes For Editors A full set of data tables can be accessed via the UK greenhouse gas emissions pages of the Gov.uk website. 1. The figures for 1990 to 2012 in this statistical release are from the National Atmospheric Emissions Inventory (NAEI), produced for DECC and the Devolved Administrations by Ricardo-AEA. Additional results will be released as they become available, including a full report to be published later in the year. For further information on the UK Greenhouse Gas Inventory, see the NAEI web site. 2. Further information about the Kyoto Protocol can be found on the UNFCCC's website. 3. Further details of the European Union Emissions Trading System can be found at the EU ETS section of the Gov.uk website. 4. There are uncertainties associated with all estimates of greenhouse gas emissions. Although for any given year considerable uncertainties may surround the emissions estimates for a pollutant, it is important to note that trends over time are likely to be much more reliable. It is also important to note that the provisional 2013 estimates are subject to a greater range of uncertainty than the final figures for earlier years. For more information on these uncertainties see the page on the UK greenhouse gas inventory on the Gov.uk website. 5. The latest UK energy statistics, including revisions to earlier years' data, can be found in the 2013 Digest of UK Energy Statistics. 6. Detailed UK temperature data can be found on both the Met Office website and the Energy Statistics section of the Gov.uk website. 7. When emissions are measured on this basis, UK emissions account for less than 2 per cent of the global total, based on a range of estimates produced by the UN, the IEA, the World Resources Institute and the EIA, amongst others. A National Statistics publication National Statistics are produced to high professional standards set out in the Official Statistics Code of Practice. They undergo regular quality assurance reviews to ensure they meet customer needs. © Crown copyright 2014 Department of Energy & Climate Change 3 Whitehall Place London SW1A 2AW www.gov.uk/decc

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PSMA Licence Number - 100019741 Natural Resources Wales

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## Approvals Committee - March 2011 1. Since the last Board meeting, our approval committee has met on 2 March, 14 March and 30 March 2011 to consider applications requiring approval of consultancy contracts over £20,000 and all external recruitment. One application was also considered by correspondence on 16 March 2011 2. The cases considered are listed below: Meeting date Ref: No. & directorate Summary of application Consultancy/ recruit Committee Decision Recruitment Approved 2 March 2011 92 RME Contract extension - economist Consultancy Approved 2 March 2011 93 RME Call off contract - economic advice £100,000 Consultancy Approved 2 March 2011 91 EA Development of line managers' toolkit £6,600* 14 March 2011 Appointment of temporary economist Recruitment Approved 95 RME Consultancy Approved 30 March 2011 98 RPP HS1 data assurance review £30,000 Consultancy Approved 30 March 2011 99 RME Understanding consumer behaviour £50,000 Consultancy Approved 30 March 2011 100 CS Extension to FRISS Phase 2 consultancy £10,000 ** Recruitment Approved 30 March 2011 101 CS Temporary agency cover - post distribution 30 March 2011 103 CS IS interim manager Recruitment Approved Consideration by correspondence 16 March 2011 Extension to contract - secretary VfM study Recruitment Approved 96 RME * This was referred to the committee because the original budget for the work was £17k and this additional request took the spend above the committee threshold of £20k Further details of any of the above applications and decisions are available from Brian Warrener 3. The committee were also provided with details of any applications below £20,000 which are subject to approval by the director of corporate services. One application was approved at a cost of £18,000.

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## Adult Services Pathway Transformation Mark Lobban, Director of Commissioning Social Care, Health and Wellbeing, KCC Steven Phillips, Director, Newton ## Transformation (Approach) Transformation (Phasing) Transformation (Phasing) Transformation (Phasing) What The Work Looked At realise a 5-15% improvement within each wave of ## Findings Can Patients Arriving At A&E Be Treated Elsewhere? Mr F, 72: • A gentleman with a known history of falls, has fallen for the 4th time and hurt his back - no preventative falls service has been provided to this point ## Could Preventative Support Have Been Provided Prior To Attendance? Findings Could The Treatment Provided In Hospital Be Provided Outside Of The Hospital For Any Patients? Mrs V, 88: • A lady ready to leave hospital after 9 days, delayed for a further 28 days (so far) whilst agreement is sought over the funding arrangements for her Nursing home. Acquired pneumonia in hospital ## Findings When Patients Are Discharged From The Hospital, Are The Correct Options Available And Selected? Mr G, 81: • IDT correctly planned to discharge patient into a community hospital bed with physical therapy - no capacity available. Then discharged to a basic short term bed by the Ward without therapy and Mr G eventually ended up in a residential home ## For Sus Referred To Social Services, Are The Correct Options Available And Routinely Accessed? | Attendance | Admission | Location | Discharge & Social Care | |--------------|-------------|------------|---------------------------| 20% 44% ## Findings Community Nurse (Band 6) Quotes On Work They Are Doing: Is There Opportunity To Better Coordinate Services For Citizens Receiving Both Community Nursing And Social Care Provisions? "The specialist diabetes nurses used to train residential staff to deliver insulin - that doesn't happen anymore and we do the work" ## Are Packages Of Care Appropriate In Community Nursing? "Of course [low level wounds] could be managed by Care workers" | Attendance | Admission | Location | Discharge & Social Care | |--------------|--------------|------------|---------------------------| | 35% | 36% | 20% | 44% | | DN not Req. | DN Skill Mix | | | | 26% | 30% | | | ## Findings Summary Of Where The System Benefit Arises % case notes reviewed % of total financial where a pathway Averages across areas savings identified improvement was attributable to this area identified ED attendances 35% 3% ED admissions 36% 42% Acute settings of care 20% 21% 44% 17% Acute discharge and local authority intake (together) 56% 12% Community nursing (overlap with LA provision and correct work/skill mix) CCG Commissioning 4% Total 41% 100% *Note for the financial modelling confidence weightings have been applied to the total opportunities identified based on practitioner input and Newton delivery experience. Additionally variable costs of alternative pathways have been modelled. These confidence factors vary between 10% and 75%. ## Key Messages • By focussing on the correct care pathway for citizens, significant patient / service user and financial benefit can be realised (~7-10% of budget assessed) • Opportunities are driven by a variation in front line decision making • The findings have identified two main areas where resources could be saved: – Avoidance of admissions to acute hospitals – Discharge planning, whilst maximising independent outcomes – Redeploying community nursing resource is a priority to realise the whole system opportunity ## Key Messages • By focussing on the correct care pathway for citizens, significant patient / service user and financial benefit can be realised (~7-10% of budget assessed) • Opportunities are driven by a variation in front line decision making • The findings have identified two main areas where resources could be saved: – Avoidance of admissions to acute hospitals – Discharge planning, whilst maximising independent outcomes – Redeploying community nursing resource is a priority to realise the whole system opportunity ## Case Example - Acute Demand Case Example - Acute Demand Case Example - Acute Demand Case Example - Acute Demand Case Example - Acute Demand Case Example - Acute Demand 1 1 1 1 2 1 2 2 1 1 Care Navigator 1 2 1 1 1 1 1 Carers Assessment 1 2 1 2 1 1 ## Preventative Families / Unpaid Carer 1 1 1 1 1 1 Postural Stability Clinic 2 1 2 2 1 1 1 Specialist Services 1 2 2 2 1 1 1 0 Hour GP Services 1 1 1 1 1 1 1 Advocate Services 1 2 1 2 1 1 1 Community Geriatrician 1 1 1 2 1 1 1 Multidisciplinary Meeting 1 1 1 1 1 1 1 Equipment Support 2 2 1 1 1 1 House Clearance 2 1 1 2 1 1 Kent Enablement Service 1 1 1 1 1 1 1 Learning Disabilities Team 1 1 2 1 1 1 1 Mental Capacity Act 1 1 1 1 1 1 1 Occupational Therapist Clinics 1 1 2 2 1 2 2 2 1 1 2 1 1 2 Occupational Therapist Technician Psychiatric Liaison 1 1 1 1 1 1 1 Re-ablement Beds 1 1 1 1 1 1 1 Telecare 1 1 2 1 1 1 1 Ambulatory Care Pathways 1 1 1 1 1 1 2 Coastal Beds 2 2 1 1 1 1 1 Community Matrons 1 1 1 1 1 1 1 Community Pharmacy 1 1 2 2 2 1 1 Day Centre 1 1 1 1 1 1 1 Day Hospital 1 1 2 1 1 1 1 District Nurses 1 1 1 1 1 1 1 Domestic Violence Support 1 1 2 1 1 1 1 Early Supported Discharge 1 1 1 2 1 1 1 Fast Track 1 1 1 1 1 1 1 1 1 1 2 1 1 1 Health and Social Care Village ## Community Bed Home Self Management 1 1 1 1 1 1 1 ## Or At Home Home with ICT 1 1 1 1 1 1 1 Home with Care Package 1 1 1 1 1 1 1 Hospice 1 1 1 1 1 1 1 Integrated Care Centre 1 1 1 1 2 1 1 KMPT Mental Health Services 1 1 1 1 1 1 1 Outpatients Physio 1 1 2 1 1 1 2 Post ITU Rehab 1 1 2 2 1 1 1 Red Cross 1 1 1 1 1 1 1 Social Services 1 1 1 1 1 1 1 Specialist Nurses 1 1 1 1 1 1 1 Stepdown Bed 1 1 1 1 1 1 1 Continuing Health Care 1 1 1 1 1 1 1 KCC Care Home 1 1 1 1 1 1 1 NHS Care Home 1 1 1 1 1 1 1 ## Residential/ Nursing Home 1 1 1 1 1 1 1 Private Care Home 1 1 1 1 1 1 1 ## Nursing Residential Care 1 1 1 1 1 1 1 Specialist Placement 1 2 1 2 1 1 1 Ward Staff Team Leader: "I don't know half of what's on there, the girls on the ward don't stand a chance" Matron: "Were all talking different languages and patients are totally confused" Pathway Team Manager: "Social Care can often only share previous care package details verbally and not in print, thus picking the most appropriate care is made far harder." It is not expected that every professional would know every service, but it is clear that the ward staff are not the best people to discuss postacute services with the citizen and their family System needs to be designed so that the correct option is the easiest option Vision: "A united team having open discussions to achieve the best outcomes for patients in a timely manner" KCC Hospital Team Acute Hospital 2 - The progress of each case is tracked and each client on the board is discussed at the daily washup meeting - Meeting focuses on how to get each client home safely - Promotes peer review and ensures senior support as required Feedback from WHH team: "The new process provides more support for us" "It's changed the way we think" "Makes us work more similarly and be more consistent in the way we work" Improving the decision making process and availability of alternative services (e.g. Hilton recovery service) has helped to dramatically reduce the number of inappropriate STB & LTB placements Integral to this improvement has been a change of culture, processes, practice and awareness of performance. This has now been rolled out across the 7 Acute hospitals in Kent with excellent results "The daily wash-up process provides us with a mechanism to ensure we are applying an evidence-based method of approaching cases and achieve the best outcome for service users"54% Figures correct as of Apr '16 ## Change Model Each example of best practice observed during the review had followed a broadly consistent approach to implementing the change, highlighting the importance of the change model 1. Identifies, quantifies, and prioritises the opportunity 2. Set up for success 3. Top down alignment: Aligns the work with each organisation's vision and incentives 4. Bottom up change: Co-designs solutions with front line users 5. Measures the performance 6. Tests the solutions in a live area, then redesigns and iterates as required 7. Standardises the new approach and only then rolls out at scale in implementation 8. Rationalises the subsequent menu of service and removes superseded options ## Have We Been Successful? All Long Term Care Home Placements

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## Tackling Modern Slavery A Council Guide Contents | Forewords | 4 | |--------------------------------------------------------------------------------------|-----| | Councillor Simon Blackburn, Chair, LGA Safer and Stronger Communities Board | 4 | | Kevin Hyland OBE, Independent Anti-Slavery Commissioner | 5 | | Modern slavery - an overview | 6 | | What is modern slavery? | 6 | | Types of modern slavery | 6 | | Victims and perpetrators | 7 | | Overview of the role of councils in tackling modern slavery | 13 | | Identification and referral | 15 | | Identifying a potential victim | 15 | | Referring victims | 16 | | Reasonable grounds decision | 18 | | Support for victims and conclusive grounds decisions | 18 | | National Referral Mechanism reform | 20 | | Supporting victims | 23 | | Safeguarding: the legislative context | 23 | | Access to housing | 26 | | Community safety and disruption | 31 | | Role of community safety partnerships | 32 | | Serious and organised crime | 32 | | Anti-social behaviour | 33 | | Use of local regulatory services to identify, disrupt and investigate modern slavery | 33 | | Public procurement | 39 | |---------------------------------------------|------| | Steps councils can take on procurement | 39 | | Role of partners in tackling modern slavery | 45 | | Key partners and partnership arrangements | 46 | | Other organisations | 48 | | Annex A Indicators of modern slavery | 50 | | Annex B Links to other information | 53 | ## Photographic Acknowledgement The Dark Figure* is an ongoing photographic project by Amy Romer, which seeks to raise awareness about slavery in Britain by mapping neighbourhoods where such crimes have taken place. To experience each story in full, visit: www.thedarkfigure.co.uk ## Forewords Councillor Simon Blackburn The purpose of this guide for councils is to increase awareness of modern slavery and provide clarity for councils on their role in tackling it. In developing this, the LGA's Safer and Stronger Communities Board has worked with the Independent Anti-Slavery Commissioner, Kevin Hyland OBE. We would encourage all our members to draw on the resources of the Commissioner and other local partners to help stop slavery and are grateful for their work and input. It is a shocking fact that while most people consider the slave trade to have ended when slavery was abolished in 1833, there are more slaves today than ever before in human history. Figures from the International Labour Organisation (ILO) suggest that there are more than 40 million people in modern slavery across the world, with nearly 25 million held in forced labour. They have previously estimated that forced labour is generating criminal profits of approximately £150 billion a year.1 In a speech on slavery to the House of Commons in 1791, William Wilberforce famously closed his remarks by saying 'Having heard all of this you may choose to look the other way, but you can never say again that you did not know'. More than 200 years later we cannot look the other way, but must ensure that all of our authorities are well equipped and active in tackling this abhorrent crime. As councillors and leaders of local places, we all need to be aware that the UK is a source, transit and destination country for modern slavery. The Home Office estimated that in 2013 there were between 10,000 and 13,000 potential victims of modern slavery in the UK.2 This means that there is a good chance modern slavery is taking place in the towns, cities and villages where we live. Modern slavery is hidden, often in plain sight; on our high streets, in local businesses and even suburban streets. Unwittingly, our communities may be using victims of modern slavery to wash their cars, paint their nails and lay their drives. They may even be living next door. 2 www.gov.uk/government/uploads/system/uploads/ attachment_data/file/386841/Modern_Slavery_an_ application_of_MSE_revised.pdf ## Kevin Hyland Obe There are an estimated 40.3 million people living in slavery today,3 and the Home Office estimates that up to 13,000 of those are based in the UK. These are shocking numbers to contemplate in a society which thought it had consigned slavery to the records of 19th century history, but while statistics are important, it is the human beings behind them who should inspire us to fight the crime. In years to come, numbers will be forgotten; the names, faces and voices of brave yet vulnerable victims who ask for our help will not. The help which councils are able to give, bolstered by the passing of the Modern Slavery Act 2015, is crucial. The Act provides victims with greater protections and police with greater powers. It also requires businesses to report on the action they are taking to identify and address slavery in their supply chains, and introduced the office I currently hold, that of Independent Anti- Slavery Commissioner. As Commissioner I am tasked with spearheading the UK's response to modern slavery and have a statutory footing over law enforcement, the health sector, immigration bodies and local authorities. While such a role can help bring organisations to task, it is only professionalism and team work which will ultimately help victims to heal and put dangerous slave masters behind bars. Council employees are already working incredibly hard, rescuing and caring for victims while reducing the risk of repeat trauma. From the identification, referral and support of victims through to providing shelter, safeguarding and ensuring its own supply chains are slavery-free, local government is central to every facet of the slavery fight. Going forward, I am therefore calling on all local councils to build on this best practice and consider how they can ensure a collaborative approach to modern slavery across every department. All councils have expertise in partnership working. Whether collaborating with schools to protect children or consulting with the housing sector to keep tenants safe, many local government employees lead the way in good, diligent and professional teamwork. This is a model I want to build into the antislavery response in every sector of society over the coming years. I therefore urge you to continue shining this light to build even stronger partnerships which will lead to more streamlined responses to victim identification. Safer environments for modern slavery victims and even stronger deterrents for unsavoury criminals are the responsibility of all of us, everywhere. This important guide will help councils understand their role in addressing modern slavery, and I have been pleased to work with the Local Government Association (LGA) in its development. ## Modern Slavery - An Overview What Is Modern Slavery? Types Of Modern Slavery Modern slavery is an umbrella term, encompassing human trafficking, slavery, servitude and forced labour. Someone is in **slavery** if they are: There are a number of different types of exploitation that victims of modern slavery may be subjected to, and victims may experience more than one type of exploitation at the same time. The most common forms of exploitation are: • forced to work through mental or physical threat • owned or controlled by an 'employer', usually through mental or physical abuse or the threat of abuse • **Sexual exploitation**: victims may be forced into prostitution, pornography or lap dancing for little or no pay. They may be deprived of their freedom of movement and subjected to threats and violence. • dehumanised, treated as a commodity or bought and sold as 'property' • physically constrained or have restrictions placed on their freedom.4 • **Labour exploitation**: a victim is made to work with little or no pay, and may face violence or threats. If they are foreign nationals, their passports may be confiscated by their exploiters and they may be made to live in terrible conditions and under constant threat. • **Forced criminality**: victims can be forced to participate in a range of illegal activities including pick pocketing, shop lifting, cannabis cultivation, county lines exploitation7 and other activities. The Modern Slavery Act provides for a defence for victims who have been forced into criminality . Servitude is similar to slavery, in that a person is under an obligation to provide a service which is imposed on them, but there is no element of ownership.5 **Forced work** is defined as 'work or service which is exacted from any person under the menace of any penalty and for which the person has not offered himself voluntarily'6 and has been found in a number of different industries including manufacturing, food processing, agriculture and hospitality. • **Organ harvesting**: victims are trafficked in order for their internal organs (typically kidneys or the liver) to be harvested for transplant. • **Domestic servitude**: victims work in a household where they may be ill-treated, humiliated, subjected to exhausting hours, forced to work and live under unbearable Finally, **human trafficking** is when men, women and children are moved and forced into exploitation. The movement could be international but also within the country, from one city to another or even just a few streets. A person is a victim of human trafficking even if they haven't yet been exploited but have been moved for the purposes of exploitation. 4 www.unseenuk.org/about/the-problem/modern-slavery 5 www.equalityhumanrights.com/en/human-rights-act/article- 4-freedom-slavery-and-forced-labour 6 www.ilo.org/global/topics/forced-labour/definition/lang--en/ index.htm 7 County lines is the police term for urban gangs supplying drugs to suburban areas and towns using dedicated mobile phone lines - these are the county lines. It involves child criminal exploitation (CCE) as gangs use children and vulnerable people to move drugs and money. conditions or forced to work for little or no pay.8 In some cases forced marriage can lead to domestic servitude.9 Debt bondage can be present in many forms of exploitation, and can take a range of forms. Debts may arise out of the exploitation itself, for example in relation to accommodation or travel fees, with victims having little or no control over their debt and little or no way to pay it back. Costs may be deducted from their wages, leading to further debts being accrued. A person may be forced to work to pay off the debt and it can also be used as a means of controlling a victim and keeping them enslaved. Other forms of exploitation include: • **forced marriage**: where people are forced into marriage for a range of reasons including exploiting the rights conferred on them by citizenship or for domestic servitude • **financial exploitation**: for example benefit fraud, where benefits are falsely claimed by perpetrators on behalf of their workers; bank accounts being opened in a victim's name but used by perpetrators; or workers' wages being paid directly into the exploiters, own bank accounts by companies who think they are paying a worker individually. In October 2017 the Government produced 'A Typology of Modern Slavery Offences in the UK' to categorise modern slavery offences and provide an evidence base for responding to the crime of modern slavery. The research classified modern slavery offences in the UK into 17 distinct types. For each type, the report outlined the characteristics of the typical victims and offenders, and the nature of the offence, including the recruitment, transportation and exploitation involved. The Typology report can be read here: www.gov .uk/government/publications/atypology-of-modern-slavery-offences-in-the-uk www.gov.uk/government/uploads/system/uploads/ ## Victims And Perpetrators Anyone can become a victim of modern slavery, and in all types of exploitation, victims can be women, men, girls or boys. National Crime Agency (NCA) figures for 2016 showed that of 3,805 potential victims identified and referred to the National Referral Mechanism (NRM)10 for modern slavery, 1,936 were female, 1,864 were male and five transgender; 2,527 were adults and 1,278 were referred for exploitation as a minor. The NCA's NRM data for 2016 indicates that the most common recorded type of exploitation for potential adult victims was labour exploitation, including criminal exploitation. Men were particularly vulnerable to labour exploitation, while adult women were more likely to be recorded as having been subjected to sexual exploitation, although there were male, female and child victims of each type. The most common exploitation for people first exploited as a minor was labour exploitation, which includes forced criminality such as cannabis cultivation11, although as with adult figures, more boys (400) were recorded as potential victims of labour exploitation (compared to 68 girls), and more girls (118) were recorded as potential victims of sexual exploitation (compared to 29 boys12). This is a crime that affects British victims as well as those trafficked into the UK. Albania, Vietnam and the UK were the most common nationalities of all the potential victims referred to the NRM in 2016, though there were referrals from 108 different nationalities.13 victims of human trafficking or modern slavery and ensuring they receive the appropriate support 11 www.nationalcrimeagency.gov.uk/publications/788-nationalreferral-mechanism-statistics-end-of-year-summary-2016/ file 12 Ibid 13 Ibid involved in criminal activities, because of their immigration status, or due to a sense of misplaced loyalty to the perpetrators. There is no single type of victim or pathway into modern slavery. However, the Home Office's front-line staff guidance identifies certain groups as particularly vulnerable to being exploited through modern slavery: • unaccompanied, internally displaced children • children accompanied by an adult who is not their relative or legal guardian • young girls and women • former victims of modern slavery or trafficking.14 They might have been given a prepared story, by traffickers or modern slavery facilitators, to use when talking to the authorities. They may also be aggressive or hostile to the authorities or have difficulties in recalling what they've experienced as a result of trauma. Victims may have undergone juju or witchcraft rituals; these rituals are used to instil fear and make the victim compliant. They may be threatened with or have experienced violence, may be controlled through debt, or have been groomed. Perpetrators of modern slavery can be serious and organised crime groups, but may also be an individual close to the victim, such as family members, friends, individual employers or partners.16 Different types of perpetrator are more likely to be involved in different types of exploitation; domestic servitude in particular can be committed by individual perpetrators often family, partners or family friends, who've promised a better life to the victim.17 The NCA's latest work on the threat of serious and organised crime in the UK included the threat of modern slavery and human trafficking crime groups. They found that the most prevalent offender nationalities in the UK were British and Romanian, with Eastern Europe the most cited wider region of origin. Traffickers or modern slavery facilitators are also known to target vulnerable men, such as those with substance misuse issues, debts (in their country of origin or as a result of their illegal migration) mental health problems or learning disabilities. A recent report from the Independent Anti-Slavery Commissioner titled 'Understanding and Responding to Modern Slavery within the Homelessness Sector'15 found that those who are homeless are vulnerable to rogue employers offering work and accommodation, and that victims of modern slavery could be at risk of destitution and homelessness if no longterm support is provided to them. Of those homeless organisations that participated in the research, 64 per cent reported coming across potential victims of modern slavery. The report outlined a set of twelve recommendations, including a number for local authorities to consider in their work. Offenders were most likely to target people from within their own nationality or ethnicity, in the majority of cases, though they found that British offenders targeted victims from a broad range of nationalities. They found that the majority of crime groups involved in human trafficking were small with limited hierarchies often predicated on familial or social links, although larger, more structured groups do exist.18 16 http://glaconservatives.co.uk/wp-content/uploads/2013/10/ Shadow-City.pdf Victims of modern slavery have often been promised a better life or a legitimate job before they are exploited, and by the time they find out that the job doesn't exist they are already enslaved. Some victims might not see that they have been exploited or feel that the life they are living is better than the one they might have lived at home. Others may be too scared to seek help from the authorities because of the threats that they have endured, because they have been 14 www.gov.uk/government/uploads/system/uploads/ attachment_data/file/509326/victims-of-modern-slaveryfrontline-staff-guidance-v3.pdf 17 www.gov.uk/government/uploads/system/uploads/ attachment_data/file/383764/Modern_Slavery_Strategy_ FINAL_DEC2015.pdf 15 www.antislaverycommissioner.co.uk/media/1115/ understanding-and-responding-to-modern-slavery-withinthe-homelessness-sector.pdf 18 www.nationalcrimeagency.gov.uk/publications/807-nationalstrategic-assessment-of-serious-and-organised-crime-2017/ file ## Sophia'S Story Sexual Exploitation One day she was given some provocative clothing and high heels and told to put them on and ordered into a car. When the car stopped at traffic lights she managed to escape despite being chased by one of the men. She grabbed a female passer-by and pulled at her arm begging for help. The woman telephoned the police and the man who had been following her, left. Sophia was a student living in Albania. She was studying to become a primary school teacher at university when she met her boyfriend. After five months together they arranged to go on holiday to Italy where her boyfriend had friends they could stay with. After claiming asylum in Croydon she was dispersed to Wales where she received help through the organisation, BAWSO. Sophia is now married and works full time. ## Stephan'S Story Labour Exploitation The couple travelled together and after arriving at his friend's house her boyfriend said they would stay a few nights before moving on. After finding a number of women's passports in her boyfriend's possession and confronting him, Sophia was physically assaulted. After reconciling he talked about visiting his cousins in Belgium. When Sophia arrived in Belgium the cousins took her to what looked like an abandoned house. She asked to speak to her boyfriend on the phone who told her "We have nothing to do with each other, it ends here". Stephan grew up in Latvia. He wasn't working when he was introduced to the 'Boss' by a friend. Stephan was told he could earn good money in the UK legally. When he arrived in the UK his passport was taken from him, however, he was supported by the 'Boss' to gain a national insurance number and to open a bank account. The men then told her that she was going to start working for them. They brought customers to her for sexual services. They threatened to kill her brother back in Albania if she refused any customers. Despite this Sophia often refused, resulting in her being beaten. They would often force her to drink alcohol, beat and torture her. Stephan was brought to England by car and taken to the Derby area. He initially worked in a meat factory working 12 hour shifts, three or four days a week. At Christmas time it would be every day for a week. He worked at the meat factory for a year and a half. His accommodation was very basic. Stephan received £25 per week from the 'Boss' for basic essentials and food. The second factory he worked in he was controlled by the same 'Boss'. He worked 12 hours shifts and was given £10 per shift from the 'Boss'. The 'Boss' took cash withdrawals from Stephan's bank account. From March 2017 to May 2017, Stephan worked in a flower factory with the 'Boss' paying him £7 for a 12 hour shift. She was then forcibly trafficked to the UK and threatened with a gun to make her comply. Once in the UK she was transported to a house, where again she was told that she would provide sexual services. Sophia told her exploiters she was not willing to do this kind of work anymore. She was tied up and the men sat down next to her and lit up cigarettes. When they had finished smoking them they stubbed them out on her. They beat her and she was regularly given vodka to drink. The 'Boss' was not an internal employee of any of the organisations in which Stephan worked, however he did control his money, living accommodation and transport to and from work. Collectively, these laws and protocols set out agreed definitions and obligations on countries to identify and support victims. The Government has stated that it intends to maintain close cooperative links and partnerships with the EU in criminal justice after the UK exits the European Union, including around serious and organised crime. In March 2015 the Coalition Government enacted the Modern Slavery Act 2015. The Act: Stephan returned one evening to his accommodation and contacted a female friend. He went to stay with this friend and the next day this woman introduced Stephan to two of her English friends. These men supported Stephan in calling the police and the bank to freeze his account. Stephan was then taken to the police station where he made a statement and was put him in touch with the British Red Cross. • consolidated and clarified existing modern slavery and human trafficking offences and increased the maximum sentences for committing these offences The above victim's stories were provided by the subcontractors of the Adult Victims of Modern Slavery Victim Care Service. • introduced slavery and trafficking prevention orders and slavery and trafficking risk orders - which can be used to disrupt activities by modern slavery perpetrators • created the role of the Independent Anti- Slavery Commissioner ## The Legislative Framework For Tackling Modern Slavery The Government's approach to tackling modern slavery has been heavily shaped by a number of international laws, conventions and protocols which the UK has opted in to, ratified or is already bound by, including the: • introduced support and protection for victims including a defence for victims of slavery or trafficking who commit an offence, measures on the presumption of age of child victims of modern slavery and introduced the role of Independent Child Trafficking Advocates • 1950 European Convention on Human Rights (ECHR) • introduced a requirement for certain businesses to produce and publish a modern slavery statement on what they are doing to tackle modern slavery and trafficking in their supply chains. • United Nations Protocol to Prevent, Suppress and Punish Trafficking in Persons, especially Women and Children (Palermo Protocol 2000) • Council of Europe Convention on Action against Trafficking in Human Beings 2005 (ECAT) • EU Directive on Preventing and Combatting Trafficking in Human Beings and Protecting its Victims Directive 2011 (the Anti- Trafficking Directive). Most of the provisions of the Act concern England and Wales only, apart from the creation of the Independent Anti-Slavery Commissioner, who has a UK wide remit, and particular provisions around maritime enforcement powers. Scotland and Northern Ireland have both introduced separate legislation. As well as the Modern Slavery Act 2015 there are a number of other pieces of legislation that have an impact on local authorities' role in supporting victims of, and tackling, modern slavery, including: • Crime and Disorder Act 1998 • Housing Act 1996 • Care Act 2014 • Children Act 1989 The Act includes a number of provisions for local authorities. Section 52 of the Act places a duty on them to identify and refer modern slavery child victims and consenting adult victims through the National Referral Mechanism (NRM). Councils also have a duty to notify the Home Secretary of adults who do not consent to enter the NRM. There are different forms for the NRM for adults and children and another form for adults who do not consent, called the MS1 form. • Immigration Act 2016. Section 43 of the Act states that specified public authorities (including councils) have a duty to cooperate with the Commissioner. The Modern Slavery Act 2015 builds on the Modern Slavery Strategy published by the Coalition Government in 2014. Like the Serious and Organised Crime Strategy, it is based around the 4Ps framework of pursue, prevent, protect and prepare. • **Pursue**: prosecute and disrupt individuals and groups responsible for modern slavery. • **Prevent**: prevent people from engaging in modern slavery. • **Protect**: strengthen safeguards against modern slavery by protecting vulnerable people from exploitation. • **Prepare**: reduce the harm caused by modern slavery through improved victim identification and enforcement support. The Modern Slavery Strategy is particularly focussed on the law enforcement response, though councils' role in safeguarding and caring for children and tackling child sexual exploitation is particularly mentioned, and outlines the expectation that Police and Crime Commissioners would reflect the local threat within their policing plans and strategies. ## Staverton, Cheltenham March 2011 Gloucestershire constabulary carried out warrants at three properties in Gloucestershire, Derbyshire and Leicestershire after a year-long investigation, including a five month surveillance operation of the Connors family was triggered by the discovery of the remains of a body, which was found near the Connors family home in May 2008. 19 vulnerable people were found living at Beggers Roost caravan park in Staverton living in squalid conditions and were subject to assault, theft of benefits and exploitation. All five members of the Connors family were found guilty of the conspiracy to require a person to perform forced or compulsory labour between April 2010 and March 2011. To experience the story in full, visit: www.thedarkfigure.co.uk ## Overiew Of The Role Of Councils In Tackling Modern Slavery Councils can play a key role in tackling modern slavery. Their role can be separated into four distinct areas, each of which is explored in more detail in the following sections: 1. identification and referral of victims • Trading Standards, licensing and environmental health and other regulatory services (eg fire safety) may encounter victims or perpetrators whilst inspecting premises such as nail bars and regulating other businesses, such as taxis and private hire vehicles • councillors may hear concerns from residents about particular businesses or houses in their areas 2. supporting victims - this can be through safeguarding children and adults with care and support needs and through housing/ homelessness services 3. community safety services and disruption activities • those working with local partners on resettling new arrivals may find that trafficking or modern slavery has been present in refugees and asylum seekers' routes into the UK 4. ensuring that the supply chains councils procure from are free from modern slavery. • customer services may come into contact with victims through their ordinary dealings with the public Modern slavery intersects with many different areas that councils are involved with, and a number of different officers may come across it whilst going about their everyday duties: • children's safeguarding services will deal with trafficked children or children who have been exploited • adult safeguarding services may have a role supporting adult victims with care and support needs. • in housing and homelessness services, councils may see people who are at risk of trafficking through the provision of homelessness services, or through inspections of houses in multiple occupation (HMOs) they might come across modern slavery victims living in substandard accommodation This list is not exhaustive and there will be many other places where council staff and councillors may come across modern slavery or trafficking. • community safety officers may come across trafficking or modern slavery whilst working on issues around serious and organised crime, gangs, drug selling and other crimes committed within their area - like cannabis cultivation and begging Given the different services which may come into contact with modern slavery, councils should consider how they can ensure a joined-up approach to the issue across their organisation. This is particularly important in terms of identifying and referring victims, being aware of suspected modern slavery in their areas and ensuring that any intelligence and information about modern slavery is collated centrally within the council - without this, councils will not have an overall picture of the scale of the problem or full understanding of their own work in this area. There are a number of local and regional areas that have set up modern slavery partnerships bringing together partners from a range of different areas to coordinate work across the area. A joint report by the Independent Anti-Slavery Commissioner and the University of Nottingham, entitled 'Collaborating for Freedom', has mapped the anti-slavery partnerships in existence across the UK. An interactive map of these partnerships can be viewed here: http://iascmap.nottingham.ac.uk.19 These partnerships have brought together a wide range of participants, which have included district and county councils, police and crime commissioners, fire and rescue services, NGOs, the GLAA, safeguarding services, health, police services and government agencies, among others. Although the numbers of suspected modern slavery cases in some areas will be small, this may nevertheless require councils to designate a lead officer or team who can collect this data from across different teams and act as a point of contact and expertise on the issue. Alternatively, councils may wish to have a single point of contact and expertise within the relevant teams potentially impacted by modern slavery . Councils should consider how this role could link up with other existing roles working within the local justice systems. Councils should think about their engagement with the wider private, community and voluntary sector in their local area. Forums such as local enterprise partnerships or local strategic partnerships can be used to ensure that there is awareness of modern slavery and the potential risk in supply chains, that it can be referred appropriately and joint initiatives can be launched. Again, councils should think about the most effective way for their authority to engage in partnership work on modern slavery, including ensuring that they have the appropriate local contacts for national agencies, considering whether a single point of contact per team or at the authority would be useful approach. Underpinning councils own work in this area will of course be effective partnership working. Councils will already be part of numerous partnerships that have a role in sharing information, identifying those at risk of exploitation and tackling modern slavery as part of their broader work. Working with community safety partnerships, local child safeguarding arrangements, adult safeguarding boards, or other local partnerships, as well as with other partners such as the Gangmasters and Labour Abuse Authority (GLAA), will be a critical part of councils' work. See more in the section on 'Role of partners in tackling modern slavery'. ## Identification And Referral The National Referral Mechanism Process The National Referral Mechanism (NRM) provides a framework to identify, refer and record potential victims of modern slavery. Reflecting the fact that councils may come across potential victims of modern slavery in many aspects of their work, councils have a formal role as first responders to the NRM. First responders are organisations with a responsibility to identify and refer potential adult or child victims of modern slavery. There are five basic stages in identifying a potential victim and their journey through the NRM. This chapter will examine these in more detail, focusing on the existing process; recent changes to the NRM announced by the Home Office are set out at the end of this section. ## Identifying A Potential Victim Everyone should be aware of the signs to spot potential victims of modern slavery. In October 2016 the Independent Anti-Slavery Commissioner, jointly with South East England Councils and NHS England produced a set of three modern slavery awareness raising videos for local councils, emergency services and health professionals. The aim of these is to emphasise the vital role front-line professionals have in tackling modern slavery and helping victims to exit exploitation, and to equip them to spot initial signs of modern slavery. The videos for local government and the emergency services are publicly available on the LGA website: www.local.gov .uk/modern-slavery The Salvation Army is contracted by the Government to provide support to adult victims of modern slavery referred to the NRM in England and Wales. It has produced a number of questions to support the identification of victims: Is the victim in possession of a passport, identification or travel documents? Are these documents in possession of someone else? Does the victim act as if they were instructed or coached by someone else? Do they allow others to speak for them when spoken to directly? Was the victim recruited for one purpose and forced to engage in some other job? Councils are first responders into the NRM, alongside the organisations listed below: Was their transport paid for by facilitators, whom they must pay back through providing services? • National Crime Agency • police forces • UK Border Force Does the victim receive little or no payment for their work? Is someone else in control of their earnings? • Home Office Immigration and Visas • Gangmasters and Labour Abuse Authority Was the victim forced to perform sexual acts? • health and social care trusts (Northern Ireland) Does the victim have freedom of movement? • The Salvation Army • Migrant Help Has the victim or family been threatened with harm if the victim attempts to escape? • The Medaille Trust • Kalayaan Is the victim under the impression they are bonded by debt, or in a situation of dependence? • Barnardo's • Unseen • TARA Project (Scotland) Has the victim been harmed or deprived of food, water, sleep, medical care or other life necessities? • NSPCC (CTAC) • BAWSO (Wales) • New Pathways Can the victim freely contact friends or family? Do they have limited social interaction or contact with people outside their immediate environment?20 • Refugee Council.22 Further information on the indicators and signs of modern slavery is available in Annex A of this document. Council staff should be familiar with the referral processes that their council has in place when they come across a potential victim of modern slavery. ## Referring Victims Under Section 52 of the Modern Slavery Act 2015, local authorities are under a duty to notify the Home Office when they identify a potential victim of modern slavery (where it is believed a potential victim's life is in immediate danger, the advice is to call 999). All referrals to the NRM initially go to the National Crime Agency's Modern Slavery Human Trafficking Unit (MSHTU) as the competent authority . However, potential victims who are non EU/EEA nationals and are subject to immigration control are referred to the Home Office Visas and Immigration (UKVI) to act as the competent authority instead. For children this means referring them into the NRM through children's services. For adults, a NRM referral can also be made if they consent to the referral. If an adult doesn't consent to enter the NRM, councils are still under a duty to notify and should refer them to the Home Office by submitting the MS1 form.21 Making a referral for adults In the case of adult victims consent must be given before a referral can be put into the NRM. If an adult doesn't consent to enter the NRM, councils are still under a duty to notify and should instead complete an MS1 form which is then sent to the NCA. The purpose of the MS1 form is to allow government to gather statistics and build a more comprehensive picture of the nature and scale of modern slavery. The MS1 form allows the potential victim to remain anonymous and it does not entitle potential victims to any specialist government support. If councils are submitting an MS1 form the case should also be separately referred to the police, this should be done in advance of submitting the MS1 form.23 If a person is deemed incapable of giving informed consent under the Mental Capacity Act 2005, a guardian should be appointed to help him or her make decisions. The person, however, should still be placed at the centre of the decision making process. Councils and their partners will wish to develop other routes to ensure that adult victims of modern slavery who do not wish to be referred into the NRM either immediately or in the long term receive any support from the council they are eligible for and are signposted to any support available locally. More information is available below. Making a referral for children Children's social services departments are able to make a referral into the NRM. Other areas of a council should refer potential child victims via their local children's services, to make sure that any safeguarding measures can be put in place, and that the police are notified. Those child protection processes should continue to take place regardless of subsequent decisions made though the NRM. Professionals should consider the wider circumstances around the individual child when making an assessment. It is also important to note that children might not show obvious signs of distress or abuse. A potential child victim does not need to consent to an NRM referral being made, but it is good practice to let them know that it is happening and to explain the benefits, the possible outcomes and discuss any concerns. If a child is part of a family in modern slavery, referrals still take place in the same way, and child safeguarding procedures should still be undertaken. A referral form should include as much information as possible, including documentary evidence where available. Since all potential child victims should be referred to the NRM, an MS1 form is not used for children. Sometimes there may be a dispute over whether the potential victim is a child. Under section 51 of the Modern Slavery Act, where a council has reasonable grounds to believe a person is under 18 then they will be treated as a child, until an age assessment is carried out. An age assessment should be commissioned where appropriate, but referral to the NRM should not be delayed. Once a reasonable grounds decision has been made the decision will be reported to the first responder and the child's social worker, not to the child directly . If there has been enough evidence to take the child into local authority care, there are specific risks that councils and carers will need to be aware of. Nearly two thirds of trafficked children in local authority care go missing at some point; nearly a third of these go missing within one week.24 Councils must make sure a strong multi-agency approach is in place to protect victims from further harm from their abusers. In particular , there should be a clear understanding between the local authority and the police of roles in planning for this protection and responding if a child goes missing. ## Reasonable Grounds Decision Support For Victims And Conclusive Grounds Decisions The process for adults If a positive reasonable grounds decision is made the adult potential victim will be: Once an NRM form has been completed potential victims will receive a 'reasonable grounds' decision from the competent authority. A reasonable grounds decision is made using the threshold of 'I suspect but cannot prove' that the individual is a potential victim of modern slavery or trafficking.25 • allocated a place within government funded safe house accommodation, if required • granted a reflection and recovery period of a minimum of 45 calendar days. The first responder and the victim are notified of the decision. Competent authorities aim to make reasonable grounds decisions within five days. This may involve seeking additional information from the first responder, from specialist NGOs or local authorities, especially where there may be a negative reasonable grounds decision. Where a negative reasonable grounds decision is taken this decision must be reviewed by a 'second pair of eyes'. If victims receive a negative reasonable grounds decision they do not receive specialist government support. The reflection and recovery period allows the victim to begin to recover from their ordeal and to reflect on what they want to do next. There may be a range of outcomes for victims, including cooperate with police, apply for discretionary leave to remain, ask for asylum or help to return home, etc - a full list can be found on the NCA's website.26 During the reflection and recovery period the competent authority will gather further information to see if a conclusive grounds decision can be reached on whether a person has been a victim of trafficking or modern slavery. The competent authority can increase the length of the rest and recovery period to allow them to gather more information. During those five days if the victim is destitute, support can be provided through the Government's contract with The Salvation Army. To activate any support during these five days, alongside sending in the NRM referral form, the first responder would need to contact The Salvation Army separately to arrange this (via the 24 hour referral number: 0300 303 8151). The NRM form alone would not alert The Salvation Army to emergency support needs. If someone has received a positive conclusive grounds decision then they are normally given 14 days to exit the support provided through the NRM. The person can also be offered support to return to their country if they have been trafficked or are a victim of modern slavery and do not wish to stay in the UK. If it is decided by the competent authority that the person was not trafficked nor is a victim of modern slavery, and there are no other circumstances that would give them a right to live in the UK, they are typically given 48 hours to exit support.27 The process for children Councils might need more time to work with a child to get enough information for the competent authority to reach a conclusive grounds decision, for example where a child has experienced significant trauma or is in fear of speaking to authorities. In these circumstances you may request of the competent authority that the 45 day reflection period be extended, where this is in the best interests of the child, so that all relevant information can be obtained. If a child receives a positive conclusive grounds decision, appropriate support should be put in place to help them deal with the trauma they may have suffered, and to minimise the risk of their going missing and returning to those seeking to exploit them. This information should be contained within the child's care plan if they are in local authority care. Transfer to the care of another council or an out of area placement might in some cases be appropriate to put distance between the child and where their traffickers expect them to be. In the case of unaccompanied asylum seeking children, there should also be information in the care plan on the asylum seeking process to ensure that children are kept informed and well supported throughout the process to minimise fear and uncertainty. If the child receives a negative asylum or immigration decision, discussions about their status will need to be handled sensitively and social workers should be alert to a heightened risk of the child going missing and take all necessary steps to prevent this. Where a negative conclusive grounds decision is reached, councils should revert to their normal child protection assessments to identify what support is needed for the child. Independent Child Trafficking Advocates Following an initial pilot roll-out of the Independent Child Trafficking Advocates (ICTAs) approach, the Government made a decision28 to implement ICTAs across three early adopter sites in England and Wales - Hampshire and Isle of Wight, Greater Manchester and Wales. The role of ICTAs is to represent and support children who there are reasonable grounds to believe are victims of modern slavery. They ensure the best interests of children are represented in decision-making. ## National Referral Mechanism Reform The NRM system has been under review for a number of years. In October 2017 the Government announced a number of changes to the NRM process. The key changes announced were: • The length of move on support for victims who have received a positive conclusive ground decision, will be increased from 14 days to 45 days. This will be in addition to the minimum 45 days victims receive after a positive reasonable grounds decision. • The Government will fund 'places of safety' so that adult victims leaving exploitative situations can be given support, including safe accommodation and advice for three days before deciding whether to enter the NRM. • Victims who have received a positive conclusive grounds decision will also have access to drop-in services for up to six months after they leave NRM support. ## Further Information And Guidance • The first responder role will be strengthened and criteria will be established on who should be a first responder and how they should be trained. • ICTAs will be rolled out nationally. The Government will also be looking at how to make the NRM decision-making process 'child-friendly' including how NRM decisions are communicated to children. Under Section 49 of the Modern Slavery Act 2015 the Home Secretary must issue guidance for public authorities and other organisations on modern slavery . In October 2017 the Government announced that it would be launching a consultation on the preparation of statutory guidance on identification and support for victims of slavery . There is guidance for front-line staff in the Home Office to help them, identify and help potential victims of modern slavery and human trafficking: • A single, expert unit will be created in the Home Office to act as the competent authority and handle all cases referred from first responders and to make decisions about whether somebody is a victim of modern slavery. This will replace the two current competent authorities, and will be completely separate from the immigration system. www.gov .uk/government/uploads/system/ uploads/attachment_data/file/509326/victimsof-modern-slavery-frontline-staff-guidance-v3. pdf • An independent panel of experts will be established to review all negative conclusive grounds decisions. For first responders there is guidance on the duty to notify and the NRM form: www.gov .uk/government/publications/duty-tonotify-the-home-office-of-potential-victims-ofmodern-slavery Modern slavery victims: referral and assessment forms: • A new digital system to support the NRM process, including submitting NRM referral form online, making it easier for those on the front line to refer victims for support and enabling data to be captured and analysed to better aid prevention and law enforcement. www.gov .uk/government/publications/humantrafficking-victims-referral-and-assessmentforms • Adoption of the Trafficking Survivor Care Standards29 produced by the Human Trafficking Foundation as a minimum standard of victim support in all future contracts providing support to adult victims of modern slavery. The Government will also be seeking to work with councils to come up with best practice for victims to transition into a community and access local services. There are a number of non-government organisations (NGOs) councils can contact to discuss modern slavery or receive further information from including: • Human Trafficking Foundation • Unseen • ECPAT UK • The Salvation Army • Migrant Help • The Medaille Trust • Kalayaan • Barnardo's. This is not an exhaustive list of national organisations, and there may also be local or regional organisations and partnerships which councils can talk to as well. There is also a 24/7 Referral Helpline hosted by The Salvation Army on 0300 3038151 or the Modern Slavery Helpline on 08000 121 700. ## Brixton, Lambeth, London Autumn 2013 Three women were rescued from a residential address in October 2013 having been held against their will for more than 30 years. Aishah Wahab, a 69-year-old Malaysian woman and Josephine Herivel, a 57-year-old Irish woman met the male suspect, also known as "Comrade Bala" in London through a shared political ideology, as he was the former Maoist leader of the Workers' Institute of Marxism– Leninism–Mao Zedong Thought. Rosie Davies, a 30 year old British woman is thought to have spent her whole life in servitude under Balakrishnan. In January 2016, 73-year-old Aravindan Balakrishnan was sentenced to 23-years imprisonment. To experience the story in full, visit: www.thedarkfigure.co.uk ## Supporting Victims Depending on the age and needs of victims of modern slavery, councils may have statutory responsibilities to provide support to them. This section outlines what these are, and how processes and responsibilities differ in relation to child and adult victims of modern slavery. ## Safeguarding: The Legislative Context Children Under the Children Act 1989, where a council has reason to believe that a child (irrespective of immigration status) may suffer, or is suffering, significant harm, they are under a duty to investigate to decide whether any action is needed to protect the welfare of that child. Guidance from the Home Office on child trafficking is clear: 'child trafficking is child abuse. When an agency comes into contact with a child who may have been trafficked children's services and police should be notified immediately. All children, irrespective of their immigration status, are entitled to protection'. The Home Office guidance also highlights that: 'Any child who is recruited, transported or transferred for the purposes of exploitation is considered to be a trafficking victim, whether or not they have been forced or deceived. Even when a child appears to have submitted willingly to what they believe to be the will of their parents or accompanying adults, it is not considered possible for a child to give informed consent'.30 Local government responsibilities around child slavery are, therefore, part of a council's existing responsibilities, with the addition of specific responsibilities around referrals (as set out in the previous section). Local authorities are recommended to nominate a local professional who can develop specialist knowledge in relation to trafficked children - a 'local trafficked children lead' - and act as an adviser to other professionals in cases where the concerns in relation to a child are related to trafficking. Your local area may have a trafficked children toolkit to help with identification of children that have potentially been trafficked. An example of this would be the London Safeguarding Trafficked Children Toolkit which can be accessed via the Croydon Council website: www.croydon.gov .uk/sites/default/files/articles/ downloads/lonsafetraff.pdf Adults The Care Act 2014 sets out local responsibilities and roles for assessing and supporting adults in need of care and support. It outlines how councils should carry out a 'needs assessment' where it appears that an adult may have care and support needs. Key to this assessment is meeting eligibility criteria around how 'a physical or mental impairment or illness' impacts on being unable to achieve certain specified outcomes such has getting dressed or preparing food and whether this then has a significant impact on wellbeing. support from the council they are eligible for and are signposted to any support available locally. The reform of NRM should lead to greater clarity around how adult victims of modern slavery are supported before and after referral. If the individual is eligible for support under the Care Act, the Act is clear that it is for local authorities to decide what support or services people are eligible for when they are assessed as having care and support needs, dependent on their financial circumstances. The 'care and support planning process' is used to help decide the best way to meet the person's needs, the cost of arranging the necessary care and support for that person and where the care should be provided. The Act also set out local responsibilities and roles for protecting adults assessed as having care and support needs from abuse or neglect for the first time in legislation. Adult safeguarding duties apply to any adult who: • has care and support needs as defined by the Act • is experiencing, or is at risk of, abuse or neglect Differences between children and adults safeguarding Safeguarding adults differs from the safeguarding and protection of children in a number of ways, including the different legislative basis to each. A key difference is that while there is a legal expectation that children are protected from physical or psychological damage, adults with mental capacity have a right to make their own choices, take risks, be free from coercion, and to make decisions about their own safeguarding plans. Reflecting this, under current Home Office first responder guidance, a referral cannot be made to the NRM unless the adult gives informed consent to the referral. • is unable to protect themselves because of their care and support needs. The Act requires that local authorities must make enquiries, or cause others to do so, if it believes an adult is experiencing, or is at risk of, abuse or neglect. An enquiry should establish whether any action needs to be taken to prevent or stop abuse or neglect and if so by whom, commonly called a 'Section 42' duty. Adults without mental capacity have legal safeguards under the Mental Capacity Act 2005 and must have the representation of an advocate or representative to act in their best interests. An independent advocate to represent and support an adult where the adult has 'substantial difficulty' in being involved in safeguarding enquiry or review and where there is no other suitable person to represent and support them. Victims of modern slavery therefore may not necessarily have the impairment or injury that would meet eligibility for care and support under the Act. However, there may be victims of modern slavery identified via local safeguarding processes; and there may be victims of modern slavery who are subsequently identified as having care and support needs, and thus will be entitled to support under current legislation later in the process. Partnership working Councils will be working with partners to safeguard children as outlined in the statutory guidance 'Working Together to Safeguard Children', for example through local safeguarding partnerships and work with schools. These partnerships should be utilised to develop strong responses to the issue of modern slavery, from prevention, to identification of potential victims, to postreferral support. Responding to child sexual exploitation, professionals should be aware that children may have been trafficked prior to exploitation, and of the vulnerabilities of looked after children. Councils will recognise they have a role in protecting vulnerable adults at risk. Councils and their partners will wish to develop other routes that ensure that adult victims of modern slavery who are not eligible for support under the Care Act obtain any other The Care Act gives local authorities overall responsibility for adult safeguarding locally. However, it also recognises that safeguarding people requires partnerships with other statutory bodies, close working with other key organisations and greater awareness from people in their communities. It requires that councils: • lead a multi-agency local adult safeguarding system that seeks to prevent abuse and neglect and stop it quickly when it happens • set up a statutory safeguarding adult board (SAB) including the local authority, NHS and police, which will develop, share and implement a joint safeguarding strategy • cooperate with each of its relevant partners in order to protect the adult and in turn, each relevant partner must also cooperate with the local authority • assure itself that local safeguarding arrangements are effective and that all partners act to help and protect adults in its area.31 The Care Act also gave councils a general duty to promote the wellbeing of the wider population in their communities. Action to safeguard adults should include: • promoting wellbeing and prevent abuse and neglect from happening in the first place • ensuring the safety and wellbeing of anyone who has been subject to abuse or neglect • taking action against those responsible for abuse or neglect taking place • learning lessons and making changes that could prevent similar abuse or neglect happening to other people. In meeting this duty, local areas will choose how safeguarding adult boards discuss and report on the many complex issues which can contribute to the wellbeing of its community and the prevention of abuse and neglect. However, there may be other local partnerships that will take the lead on issues such as modern slavery, as well as other key issues associated with police and the criminal justice system such as hate crime, domestic violence, forced marriage, Prevent, female genital mutilation, and sexual exploitation. ## Key Considerations For Councils Safeguarding: local leadership and scrutiny Growing awareness of the prevalence of abuse in care and health makes it all the more urgent and necessary for local leaders to ensure that everyone, including ward councillors, council staff, the voluntary sector and the general public are made aware of abuse and neglect, how to recognise and report it, who is responsible for intervening, and what people's rights are to protection, support, choice and advocacy . Local leaders can play a key role in reinforcing this need for collective responsibility for safeguarding. They can help build the system leadership needed to ensure that every local partner is clear what their responsibilities are and is able to communicate what the local safeguarding system is to local people. They should know what questions to ask to hold to account those responsible for adult safeguarding, including ensuring that everyone is following agreed multi-agency procedures and that appropriate links are made between agencies so that people at risk and needing help are not missed. There are also crucial roles for local leaders in examining how safeguarding is experienced by local people, how people were consulted and involved in developing policies and monitoring services, and how they were involved in their own safeguarding plans and procedures. Councillors can have a key role in ensuring a focus on outcomes and a proportionate approach to risk, rather than just on the process of safeguarding. Training, appropriate pathways and joint working with other partners can help housing staff support these opportunities. Overview and scrutiny committees can also play a vital role in challenging their councils, and others, to justify their actions, or lack of them. There may be other partnership structures used locally to discuss modern slavery, dependent on local circumstances and capacity. Many councils are under significant pressure to provide housing, including temporary accommodation for homeless people. Councils will do their best to house people in appropriate accommodation, within the constraints of what is available. Whatever route is chosen, local leaders will want to assure themselves that clear governance processes are in place to discuss and continually improve the response to, and support for, victims and potential victims of modern slavery. ## Access To Housing Settling someone into accommodation is an opportunity to ensure that they are adequately supported and can be protected from further exploitation. Housing Services will not have the resources or expertise to do this on their own, and joint working will be required to bring key partners together. After exiting the support provided by the NRM, and depending on an individual's circumstances, their next step may be to approach a council for housing if they are staying in the UK. Homelessness legislation provides a framework for councils to decide whether an individual is owed a statutory duty by the councils. Council policies will also take case law and the wider legal framework into account. The Homelessness Code of Guidance for Local Authorities will shortly be updated to meet the requirements of homelessness legislation and to include information on the Homelessness Reduction Act. It also will include information on modern slavery. No recourse to public funds Some victims may exit the NRM and have no recourse to public funds (NRPF). NRPF is a term used for people who are subject to immigration control and have no entitlement to welfare benefits, to Home Office asylum support or to public housing.32 There are provisions which require local authorities to provide some people with NRPF with housing and/or financial support in order to prevent homelessness or destitution. Such assistance can be provided to adults requiring care and support as defined by the Care Act due to a disability, illness or mental health condition, or young people who were formerly looked after by a local authority, for example, because they were an unaccompanied asylum seeking child (UASC), or other separated migrant child. Decisions on whether a duty is owed by the council ultimately rely on the judgement of the officer reviewing the application. Whilst they must have regard to legislation and case law, councils will take account of each person's needs and circumstances in making a decision on their legal obligation. Homelessness services are busy front-line services. Housing officers will be used to dealing with people who are vulnerable and have suffered traumatic experiences. The hidden nature of modern slavery can make it difficult to detect, particularly if the victim is reluctant to reveal their experiences. Front-line staff can play an important role in supporting victims of modern slavery. ## Peterstone, Newport 2000 33-year-old Darrell Simester from Kidderminster, Worcestershire, was picked up from the side of a duelcarriageway whilst hitchhiking in South Wales. For the next 13 years, Darrell Simester lived in a rat infested shed and then a cold, squalid caravan on the property of David Daniel Doran, and was made to work sixteen hour days for no money with only a horse trough to wash in. ## 2014 Darrell Simester's family found him at the Doran's farm following a social media campaign. In October 2014, David Daniel Doran was jailed for four and a half years. To experience the story in full, visit: www.thedarkfigure.co.uk ## Newcastle City Council Victim strategy The council has an agreed hierarchical strategy for all those who present as victims of MSTE. The accommodation type and layout is integral to delivering this victim centred strategy: • initial and ongoing **safeguarding** within either a victim reception centre (VRC) or specialist accommodation Over recent years, Newcastle City Council has been involved in a number of police operations in relation to modern slavery, trafficking and exploitation (MSTE). Their involvement led to the council identifying a role in supporting victims of MSTE, and highlighted that work was required to ensure appropriate accommodation was available within the city. The council identified that it needed to: • **support** from all appropriate agencies to identify and address social care, health and welfare needs • implement a holistic victim strategy appropriate to the needs of the individual • provide **evidence** for prosecution through the completion of Achieving Best Evidence (ABE) interviews in a supportive environment. • recognise the housing and supporting needs of people who have been made homeless because of MSTE Accommodation options Three operating models have been explored and used to date. • acknowledge the impact MSTE support has on council budgets and resources. Homelessness accommodation This type of accommodation cannot be guaranteed; victims of MSTE may not be deemed as being statutorily homeless, and this resource is in high day-to-day demand. This accommodation is also not designed to support a multi-agency approach of this type. Issue The council identified a role in providing emergency accommodation whilst potential victims are awaiting a reasonable grounds decision. The council found that due to the complexity of individuals' circumstances and the interaction between homelessness legislation and MSTE, finding appropriate emergency accommodation was challenging. Pre-planned strategies are essential to ensure provisions are in place for the large numbers predicted in planned operations. Dormitory style Unoccupied council offices provided dormitory style accommodation. This incorporated beds, a communal area, showers and multiple ABE suites. Although this accommodation was suitable for certain situations, it was deemed unsuitable for victims who have additional vulnerabilities or have experienced additional trauma. It is also not appropriate should one victim self-present and require short-term accommodation. Newcastle have experience of planned responses for; women and men exploited for labour, sexual exploitation of women, and victims of domestic servitude. The council have also responded to the need to house individuals who have fled from a situation of MSTE and self-presented. This has highlighted that one size does not fit all, and a flexible accommodation solution is needed. Self-contained flats The options above worked but the council felt that it could do more and provide more appropriate alternative accommodation. Long-term low demand void properties were identified within existing council housing stock and was allocated to support the council's MSTE response. A multi-agency approach is adopted when supporting victims so all partners were consulted through operational planning meetings to determine the most appropriate use of the properties. Partners included: • NHS England, who provide onsite medical assessments and subsequent referrals to sexual health and other specialist services • Northumbria Police, who conduct ABE interviews at the VRC and manage the site if used for pre-planned strikes • British Red Cross, who provide victim support. Council services, including: • Strategic Housing who manage the allocation, refurbishment, repairs and management of the properties in partnership with Your Homes Newcastle and Building and Commercial Enterprise teams • Adult Safeguarding who carry out victim assessments • The Homelessness Housing Advice Team • Adult Safeguarding and Domestic Violence teams who provide advice on the potential needs of victims and appropriate use of the VRC • Resilience Planning Team who coordinated the approach. Support was also required from: • Tyne and Wear Fire and Rescue Service who provided advice and materials to ensure the flats were fire safety complaint • teams working with migrants who have no recourse to public funds • Environmental Health who undertook housing assessments and provided fire safety advice. Regional use of the accommodation As MSTE operations often cross boundaries it was recognised that partners could not support multiple VRCs. As such a Memorandum of Understanding was established between two council areas to allow all victims, irrelevant of location to be housed in the Newcastle VRC. Going forward The current accommodation is only a short-term option; the council also believe improvements can be made. They are therefore looking for alternative accommodation. This will be developed with all partners including other councils to identify a VRC that can be a fully utilised resource that offers a flexible approach to victim accommodation and support, whilst ensuring the police can achieve best evidence. ## Sandwell Metropolitan Borough Council Thirteen victims of modern slavery were found being paid less than £1 per hour. They were taken from those addresses to a reception centre. Victims were offered the chance to enter the National Referral Mechanism and six of the thirteen victims decided to enter the NRM. In June 2016 Sandwell Metropolitan Borough Council's Private Sector Housing Quality Team (PSH) attended a meeting at West Bromwich Police Station and became aware of the problem of modern slavery in the borough. Three suspects were arrested, interviewed and released on bail. Their trial is pending. The Fire Service served a Prohibition Order on a flat housing two of the victims. The flat contained category one health and safety hazards, which posed a serious threat to the health or/and safety of those living there. Further information will be shared between the council and police to strengthen the case for proceeding with the Proceeds of Crime Act. Following that meeting the council immediately became members of the West Midlands Anti-Slavery Network. They set up a council-wide modern slavery task and finish group to establish that they were acting in accordance with the Modern Slavery Act 2015. The group then established policies, procedures, awareness raising, training and reporting mechanisms to identify and report modern slavery. Lessons learned Operation Sunlight introduced the team to working with the police on an organised raid. In most cases, however, discovery of modern slavery will not have the backing of the police in this way. The PRS Housing Quality Team set up a Sandwell Housing Operation Partnership (SHOP) group which is a partnership of council officials, West Midlands Police, West Midlands Fire Service and Hope for Justice to investigate issues with properties which may result in modern slavery issues. The council also worked with The Salvation Army, Hope for Justice and a range of interpreters. The council learned that they quickly needed to set up a system whereby the whole of the council was made aware of modern slavery immediately and a robust system of reporting was introduced. This has now been established and went live on 1 September 2017. Further in-depth training will be provided for the staff that are most likely to be in a position to identify victims. The issue Through this group, the council became aware of intelligence from the police which informed us that there were cases of modern slavery at two recycling plants in West Bromwich and some of the victims were living in properties in Sandwell. What has been the impact? This work has raised awareness considerably and the council has already provided awareness training to organisations outside the council, eg private landlords, voluntary sector organisations and Department for Work and Pensions. The council therefore took part in Operation Sunlight. It was led by the police and Sandwell PSH team were involved. There were joint raids on two residential properties and two commercial recycling centres in Sandwell. ## Community Safety And Disruption Modern slavery is a complex, serious and often organised crime. Under Section 17 of the Crime and Disorder Act councils have a duty to do all that they reasonably can to prevent crime and disorder in their areas, which will include modern slavery and trafficking. There are a range of crimes where councils may come across victims of modern slavery, including county lines, child sexual exploitation, gangs, violent crime, drugs and begging, amongst others. Councils are a part of a number of partnerships whose work may have an impact on tackling modern slavery, including community safety partnerships and serious and organised crime partnerships. Information sharing through these partnerships is key to ensuring that disruption activities and enforcement work is targeted effectively. Many parts of the council have powers of entry and inspection that can be used to disrupt the activities of traffickers and criminal networks including; Trading Standards, environmental health, planning enforcement, and housing inspection. ## County Lines Exploitation County lines is a widespread form of harm and is present in many areas. It is a major cross cutting issue involving trafficking, gangs, drugs, violence safeguarding, criminal and sexual exploitation and missing persons. County lines is the police term for urban gangs supplying drugs to suburban areas and towns using dedicated mobile phone lines - these are the county lines. These phone numbers are often passed down. It involves child criminal exploitation (CCE) as gangs use children and vulnerable people to move drugs and money . Gangs establish a base in the market location, typically by taking over the homes of local vulnerable adults by force or coercion in a practice referred to as 'cuckooing'. Victims maybe trafficked to new locations to sell drugs and therefore could be considered to enter the NRM. www.gov .uk/government/publications/ criminal-exploitation-of-children-andvulnerable-adults-county-lines ## Role Of Community Safety Partnerships Serious And Organised Crime Community safety partnerships (CSPs) are statutory partnerships bringing together councils, fire and rescue services, police, health and probation services as responsible authorities. They work together to reduce crime and disorder and anti-social behaviour, reduce reoffending and combat drugs and alcohol misuse. They do this through a range of statutory duties including: • setting up a strategic group to direct the work of the partnership As previously stated, serious and organised crime groups are engaged in modern slavery offences. The Government's Serious and Organised Crime Strategy set out ways of working to tackle this issue locally. The strategy required PCCs to establish local multi-agency groups to tackle serious and organised crime, representatives would be drawn from local authorities, education, health and social care and Immigration Enforcement, amongst others. As a part of the work to tackle serious and organised crime, police forces and the NCA have to produce serious and organised crime local profiles to support multi-agency partners, including councils, to: • regularly engaging and consulting with the community about their priorities and progress achieving them • setting up protocols and systems for sharing information • develop a common understanding among local partners of the threats, vulnerabilities and risks relating to serious and organised crime • provide information on which to base local programmes and action plans • analysing a wide range of data, including recorded crime levels and patterns, in order to identify priorities in an annual strategic assessment • setting out a partnership plan and monitor progress • support the mainstreaming of serious and organised crime activity into day–to-day policing, local government and partnership work • producing a strategy to reduce reoffending • allow a targeted and proportionate use of resources.33 • commissioning domestic violence homicide reviews. CSPs bring together a range of public bodies to assess the crime profiles of their local area, share information and work with local police and crime commissioners (PCCs). The local profile has been used to brief local multi-agency partnerships and other policing and law enforcement teams on the threat from serious and organised crime in their area. The local profile should therefore provide partners with a common understanding of the risks of modern slavery within their own areas. These groups provide an opportunity to share information and to support common activity across partners on modern slavery in their areas to deliver a coordinated approach to disruption and other activities based on local intelligence. PCCs are under a duty to cooperate with community safety partnerships to reduce crime and disorder and re-offending. When a PCC puts together their police and crime plan for their area they must have regard to the priorities of the responsible authorities in their force area, while the CSPs will have to have regard to the objectives in the PCC's police and crime plan when exercising their functions. It is important that people within councils know how, and who, to feed in their concerns around serious and organised crime activities to, and that there is an understanding of the potential risk of modern slavery within these activities. ## Anti-Social Behaviour Councils and their partners may also consider the powers given to them by the Anti-Social Behaviour, Crime and Policing Act 2014 in their disruption activities. Again these powers are best used in a coordinated way across all partners. Disruption activities could include community protection notices for people, businesses or organisations committing types of anti-social behaviour or closure orders to quickly close premises being used or likely to be used to commit nuisance or disorder. These could be used in cases where other approaches have failed. ## Use Of Local Regulatory Services To Identify, Disrupt And Investigate Modern Slavery Earlier sections of this guide have already set out how various council services may encounter victims of modern slavery through their routine work overseeing and supporting local businesses and housing. Alongside their potential role in identifying victims of modern slavery, local regulatory services, and specifically the powers conferred to them, can also be an important tool in seeking to disrupt modern slavery, as they can also be with other forms of serious and organised crime. Local authority regulatory services include Trading Standards, environmental health and licensing, planning, building control and private sector housing, and fire safety. Notably, these services have relatively broad powers of entry that may be exercised where there are concerns about a specific business or premises under a relevant piece of legislation. In prescribed circumstances, authorised officers of the council will be able to: enter into a premises; seize and detain goods and documents; sample products, processes and the environment; require certain actions to be stopped or undertaken; bring legal proceedings, and initiate injunctive actions and seek the recovery of proceeds of crime. The table on page 34 sets out just some of the areas in which councils have powers that may be used to disrupt modern slavery. ## Overview Of Local Regulatory Powers Which May Prove Useful In Disrupting Modern Slavery | Legislation | |----------------------------------| | Food Safety and Hygiene | | (England) Regulations 2013 | | Powers of entry (regulation 16) | | Power to seize and detain any | | records | | Health and Safety at Work Act | | 1974 | | Powers of entry (section 20) | | Request to examine any | | document, equipment, premises | | or part of them, and detain any | | articles or substances | | Powers of entry (various | | sections under the three Acts) | | Some powers afford right of | | entry with a warrant, others | | without. | | • Town and Country Planning | | Act 1990 | | • Planning (listed Building and | | Conservation Areas) Act 1990 | | • Hazardous Substances Act | | 1990 | | • Environmental Protection Act | | 1990 | | • Housing Act 2004 | | Powers of entry under section | | 81 and section 239 respectively. | | Under the EPA 1990, any | | authorised officer may enter a | | premises at any reasonable time | | for the purposes of ascertaining | | whether or not a statutory | | nuisance exists, or for the | | purposes of taking action. | | Under the HA 2004, there is a | | requirement to give at least 24 | | hours written notice of a visit | | unless evidence proves that the | | premises is an HMO and that | | notice would negate the purpose | | of the visit. | | Consumer Rights Act 2015, | | Schedule 5 | | Power of entry (section 23) | | Power to seize and detail | | goods (section 28) or to retain | | documents required as evidence | | (section 29) | | Source: Cornwall Council | Authorised officer has the right to enter at any reasonable time upon producing documented authorisation, to ascertain if these has been any breach of the 2013 (or 2002) regulations and to perform functions under the regulations. An authorised officer can be accompanied by any such persons the officer considers necessary. If admission is refused a warrant can be obtained from the magistrates. Authorised officer has the right to enter at any reasonable time upon producing documented authorisation. If obstruction is anticipated, the authorised officer can be accompanied by the police. Section 32 of the Act provides for power to enter a domestic premises with a warrant issued by a justice of the peace. These powers have proved extremely useful in enabling councils and their partners to jointly enter or otherwise target a business or premises suspected of involvement in crimes such as modern slavery and child sexual exploitation. In relation to modern slavery specifically, councils can work collaboratively with partners such as the police, Gangmasters and Labour Abuse Authority (GLAA) and HM Revenue and Customs (HMRC), all of whom have an interest in investigating labour market offences and slavery. The GLAA has recently expanded its remit to include investigating offences in the Employment Agencies Act 1973, National Minimum Wages Act 1998, and the Modern Slavery Act 2015. Their expanded remit provides a number of opportunities for close cooperation with councils in a number of areas. Where a council has concerns about suspected modern slavery in its area (or other criminal activity), it should consider whether a joint operation and investigation with other partners is appropriate. Councils' statutory powers support joint investigations by allowing for the sharing of information in support of the prevention or detection of crime and in support of legal proceedings. The LGA has a memorandum of understanding on data sharing with HMRC which all councils are able to sign up to in order to share and receive data from HMRC. Additionally, the GLAA have a standard data sharing agreement, similar to the LGA-HMRC memorandum, which a number of councils have already signed up to and which is available to other authorities to agree to. ## Cornwall County Council In 2015, Cornwall Council was one of five local authorities which took part in the Cabinet Office's Better Business Compliance pilots, which aimed to trial a different approach to securing better compliance amongst local businesses. Finally, Cornwall has established a formal partnership arrangement, the Serious and Organised Crime Partnership, under the auspices of the Cornwall Safer Communities Partnership to address the threat of serious and organised crime, including modern slavery, child sexual exploitation, terrorism and organised crime groups, etc. Local authority regulators are represented via representatives from Trading Standards and housing. The pilots sought to better identify those businesses that were likely to pose the highest risk of non-compliance and to target interventions to turn the business around or to cease illegal business practices. In Cornwall there was an emphasis on tackling modern slavery and human exploitation. Multi-agency awareness raising training was provided (including an explanation of each agency's roles, remits and powers), joint operations were undertaken (private sector housing, fire service and HMRC), and a mechanism was established for sharing intelligence and incident reports/concerns. Examples of how this arrangement has proved effective include a Trading Standards 'doorstep crime' investigation (with associated entry warrant and record examination) designed to facilitate access to a premises by police officers investigating a potential modern slavery case by diverting the attention of the offender away from the suspected victim. Similar access to restaurants suspected of using modern slavery to provide cheap labour have been arranged in conjunction with environmental health food safety officers and/or fire safety officers. Since the pilot, the council has used other mechanisms to try to tackle modern slavery. The MIGWAG (Migrant Workers Action Group) is a multi-agency approach to tackling human exploitation, modern slavery and unfair/unsafe employment practices. 'Week of action' joint operations are undertaken each year, targeting those businesses (including farms) who tend to employ temporary and non-UK national employees. Councils' and other agencies' powers of entry are used to ensure access to all businesses targeted during these weeks of action. Typically, issues are uncovered concerning unsatisfactory housing conditions, illegal immigration, minimum wage breaches, health and safety/unsafe working conditions, etc. ## Derby City Council The council established an information sharing agreement and multi-agency response team to develop intelligence and undertake operational responses. Not all intelligence will lead to an arrest or police response. The council needed to consider alternative enforcement and disruption powers across the partnership group. Also, there were instances where the intelligence is insufficient and additional actions were needed to understand the potential crime. What did the council do? The council set up a multi-agency response team, bringing together a range of partners to: • identify those individuals who present a serious risk of harm to individuals and communities • identify potential victims of modern slavery • share information in relation to criminal activity, specifically, but not limited to all forms of exploitation • sensitively map vulnerable individuals, businesses and offenders and share information on locations, relationships, needs and concerns • make sure of a joined up multi-agency response to incidents of modern slavery and make sure coordinated responses are made in relation to ◦ ◦enforcement ◦ ◦protection ◦ ◦disruption ◦ ◦ensure vulnerable individuals are referred to the appropriate service and/or agency responsible for meeting their needs ◦ ◦enable the most appropriate action and intervention to be developed and implemented ◦ ◦actions under Pursue and Prevent are intended to reduce the threat from modern slavery crime through disruption and deterrence ◦ ◦actions taken under Protect and Prepare are intended to reduce overall vulnerability to modern slavery, through protecting vulnerable people raising awareness and resilience and improving victim identification and support. To undertake this work the council worked with a wide number of partners including: • Department for Work and Pensions • Derbyshire Constabulary • Derbyshire County Council • Derbyshire Fire and Rescue Service • Gangmasters and Labour Abuse Authority • HM Revenue & Customs • Home Office Immigration Enforcement • The Bishop of Derby. Lessons learned It is critical to establish single points of contact for each service to ensure swift and accurate dissemination of information. In large organisations, it is also critical that investigating officers are aware of agreed processes and directed to engage with partners in planning operations and responses. What has been the impact? Whilst it is early days, the council has seen the team start to develop regular information exchanges and use of partner resources to enhance intelligence. The work to disrupt through non police powers is beginning to be evidenced - such as housing standards interventions. ## Union Street, Plymouth September 2014 Eight men were arrested on suspicion of trafficking persons into the UK for the purpose of labour exploitation during dawn raids at five properties across three neighbourhoods in Plymouth, Devon, as part of Operation Triage. Eight victims were recovered along with thirteen children, all of whom were believed to be linked to the suspects. To experience the story in full, visit: www.thedarkfigure.co.uk ## Public Procurement Overview The abuse of human rights in our supply chains through modern slavery is gaining greater awareness. The United Nations Guiding Principles on Business and Human Rights require that states should promote respect for human rights by the businesses which they transact with; in the UK, the Modern Slavery Act contained a number of provisions around procurement and supply chains. It sought to make supply chains more transparent for consumers and to push for a movement for the eradication of modern slavery from the supply chains of businesses operating in the UK. It requires commercial organisations, turning over in excess of £36 million annually, to report on their efforts to identify, prevent and mitigate the risk of modern slavery in their commercial operations by publishing an annual Slavery and Human Trafficking Statement. Councils should consult with their monitoring officers on their council's position on the Modern Slavery Act 2015 and the accompanying guidance with regards to procurement and supply chains. Further information about modern slavery statements and transparency in supply chains can be found on the Government's website: www.gov .uk/government/uploads/system/ uploads/attachment_data/file/649906/ Transparency_in_Supply_Chains_A_Practical_ Guide_2017.pdf In April 2017, Parliament's Joint Committee on Human Rights recommended that 'If the Government expects business to take human rights issues in their supply chains seriously, it must demonstrate at least the same level of commitment in its own procurement supply chains'. The same can be said of councils. Procurement of services is an important part of councils' expenditure with, local government third party revenue expenditure totalling around £60 billion a year. Councils will therefore want to ensure that the risks of modern slavery within their supply chains are understood, and can show leadership in promoting a human rights approach towards procurement. Councils may also wish to promote an environment where local business and other public bodies are both aware of the potential for modern slavery in their supply chains for goods and services, and able to cooperate on identifying this and responding to it, for example as part of their local economic partnerships. ## Steps Councils Can Take On Procurement There are a wide range of activities councils could engage in to promote human rights, including establishing policies and processes to make sure the council's activities don't harm others and that they conduct business with respect for human rights. Getting started Promoting respect for human rights is not only a compliance issue, it requires action to understand supply chains, identify the risks involved and act upon them. This is what is referred to as human rights due diligence. Councillors can play a key role in ensuring that human rights due diligence is a part of their council's procurement practice through: • gaining organisational commitment Public authorities should work alongside suppliers to tackle the issue. Positive, proactive engagement with suppliers is necessary at all times in order to implement an effective human rights due diligence approach. • promoting supplier engagement • encouraging collaboration. Collaborating with others Understanding and addressing the risks for people working in supply chains is a major task for councils. It is important that councils consider how they can work in collaboration with other councils to have a greater impact and return on resources. Working with other councils on these issues could save resources and maximise the potential for a positive outcome, and will also help as a collective learning experience. Councils should consider when is the best time to look at human rights due diligence. This may not always be during the competitive tendering process, when there may not be enough time to look into a supplier's supply chains. Councils should consider how they can work with and support the market to broaden and deepen competencies in this area as well as encourage a close working relationship with suppliers. Prioritising risks Councils can work to ensure that the risk of modern slavery in each of their supply chains is understood. This is particularly important in areas that will present higher risks for people working in them, such as services in which low pay is prevalent, eg cleaning, security and construction. Procurement staff should be able to recognise these risks. Gaining organisational commitment Many public bodies have clearly defined values and have a strong commitment to sustainable and socially responsible procurement. Councillors may wish to consider how they can reflect human rights due diligence by including policy commitments in social sustainability policies and strategies. They could also consider adopting responsible procurement as a core value, to help ensure that considering the impact of purchasing decisions is at the forefront. Again councils should consider asking staff to collaborate with other councils to engage in supply chain mapping, monitoring of supply chains or factory audits, recognising that only the very largest councils are likely to have the resources to do this individually. Purchasing consortia may provide a route to do this collectively. Awareness training, so that people can identify potential victims of modern slavery, and know what action to take when they are identified is key to ensuring that it can be tackled appropriately. What is supply chain mapping? Supply chain mapping helps build a picture, locating assembly plants, component factories and sources of raw materials. This provides an overall viewpoint from which the risks can be identified - by industry, by source country, or both. Engaging with the council's suppliers Councils should always aim to work with suppliers on human rights due diligence, to ensure that they know what the council's strategy is and that they can work together to tackle the issue and deliver the strategy. Whilst councils may wish to end a contract if issues are discovered this can be counterproductive, as it could move the problem, and could create an atmosphere of fear and concealment in the industry. Monitoring supply chains: Once councils have identified risks in their supply chains they'll need to monitor them for potential violations. In industry and commerce, monitoring supply chains is accepted as a fairly costly activity. Councils will need to consider how they can work and share these costs with other public authorities, with improvements in both efficiency and effectiveness. Monitoring can be both proactive and reactive. What is a factory audit? Factory audits help identify how goods are being produced and provide a snapshot in time of the conditions in a particular factory. Audits have the advantage of systematically gathering information and those that provide the best information on a factory involve independent expert analysis of worker conditions. Responding to human rights abuse in a supply chain Councillors should ensure that their procurement practitioners put in place procedures to monitor performance. Public authorities will need to consider how they respond to reports of human rights abuses in their supply chain. Councillors should ensure that practitioners develop a detailed response plan to deal with issues as they occur. ## Telford And Wrekin Council 1.4. This policy does not form part of any employee's contract of employment and we may amend it at any time. Telford and Wrekin council have developed an Anti-Slavery and Human Trafficking Policy as well as a Modern Slavery Transparency Statement. ## 2. Responsibility For The Policy Telford And Wrekin Council: Anti-Slavery And Human Trafficking Policy 1. Policy Statement 2.1. The council's members and senior management team have overall responsibility for ensuring this policy complies with our legal and ethical obligations, and that all those under our control comply with it. 2.2. The council's service delivery managers have primary and day-to-day responsibility for implementing this policy, monitoring its use and effectiveness, dealing with any queries about it, and auditing internal control systems and procedures to ensure they are effective in countering modern slavery. 1.1. Modern slavery is a crime and a violation of fundamental human rights. It takes various forms, such as slavery, servitude, forced and compulsory labour and human trafficking, all of which have in common the deprivation of a person's liberty by another in order to exploit them for personal or commercial gain. We have a zero-tolerance approach to modern slavery and we are committed to acting ethically and with integrity in all our business dealings and relationships and to implementing and enforcing effective systems and controls to ensure modern slavery is not taking place anywhere in our own business or in any of our supply chains. 2.3. Management at all levels are responsible for ensuring those reporting to them understand and comply with this policy and are given adequate and regular training on it and the issue of modern slavery in supply chains. 2.4. Council employees are invited to comment on this policy and suggest ways in which it might be improved. Comments, suggestions and queries are encouraged and should be addressed to the compliance manager . ## 3. Compliance With The Policy 3.1. All employees must read, understand and comply with this policy. 1.2. We are also committed to ensuring there is transparency in our own business and in our approach to tackling modern slavery throughout our supply chains, consistent with our disclosure obligations under the Modern Slavery Act 2015. We expect the same high standards from all of our contractors, suppliers and other business partners, and as part of our contracting processes, we include specific prohibitions against the use of forced, compulsory or trafficked labour, or anyone held in slavery or servitude, whether adults or children, and we expect that our suppliers will hold their own suppliers to the same high standards. 3.2. The prevention, detection and reporting of modern slavery in any part of the council's business or supply chains is the responsibility of all those working for the council or under its control. Employees are required to avoid any activity that might lead to, or suggest, a breach of this policy. 1.3. This policy applies to all persons working for us or on our behalf in any capacity, including employees at all levels, directors, officers, agency workers, seconded workers, volunteers, interns, agents, contractors, external consultants, third-party representatives and business partners. 3.3. Employees must notify their manager or call the confidential whistle blowing helpline as soon as possible if they believe or suspect that a conflict with this policy has occurred, or may occur in the future. 3.4. Employees are encouraged to raise concerns about any issue or suspicion of modern slavery in any parts of our business or supply chains of any supplier tier at the earliest possible stage. 3.5. Employees should note that where appropriate, and with the welfare and safety of local workers as a priority, the council will give support and guidance to our suppliers to help them address coercive, abusive and exploitative work practices in their own business and supply chains. 3.6. If an employee is unsure about whether a particular act, the treatment of workers more generally, or their working conditions within any tier of our supply chains constitutes any of the various forms of modern slavery, raise it with your manager or through the whistle blowing helpline. 3.7. The council aims to encourage openness and will support anyone who raises genuine concerns in good faith under this policy, even if they turn out to be mistaken. The council are committed to ensuring no one suffers any detrimental treatment as a result of reporting in good faith their suspicion that modern slavery of whatever form is or may be taking place in any part of our own business or in any of our supply chains. Detrimental treatment includes dismissal, disciplinary action, threats or other unfavourable treatment connected with raising a concern. If an employee believes that they have suffered any such treatment, they should report this immediately via the whistle blowing helpline immediately. ## 4. Communication And Awareness Of This Policy 4.1. Training on this policy, and on the risk our business faces from modern slavery in its supply chains, is available via Ollie and will form part of the induction process for all individuals who work for the council, and regular training will be provided as necessary. 4.2. The council's zero-tolerance approach to modern slavery must be communicated to all suppliers, contractors and business partners at the outset of the business relationship with them and reinforced as appropriate thereafter. ## 5. Breaches Of This Policy 5.1. Any employee who breaches this policy will face disciplinary action, which could result in dismissal for misconduct or gross misconduct. 5.2. The council may terminate its relationship with other individuals and organisations working on our behalf if they breach this policy. Telford and Wrekin Council's Transparency Statement is available on their website: www.telford.gov .uk/download/downloads/ id/5287/modern_slavery_transparency_ statement.pdf Another example of a transparency statement is available on Nottinghamshire County Council's website: www.nottinghamshire.gov .uk/media/117112/ modern-slavery-and-human-traffickingstatement-appendix.pdf ## Key Considerations For Councils Councils should consult with their monitoring officers on their council's position on the Modern Slavery Act 2015 and the accompanying guidance with regards to procurement and supply chains. Councils may wish to consider how they can incorporate human rights due diligence within their procurement practices and what opportunities there are for working jointly with other local authorities on some of these issues. Working in conjunction with suppliers and other councils will help to ensure that there is a shared awareness of the issues and commitment to tackling them. This will also enable councils to share resources to deal with some of these issues. Councils should consider what training is required within their councils and who needs to be trained to recognise the issues. It is important to consider what levels of training different people within the council may need and what specialist training may be necessary. Again joining up with other councils may be helpful to consider when looking at training. ## Role Of Partners In Tackling Modern Slavery Overview As has been highlighted throughout this document, the broad nature of the threat of modern slavery means that effective partnership working is key to tackling the issue successfully. Community safety partnerships, local serious and organised crime partnerships, health and wellbeing boards, local strategic partnerships, as well as local safeguarding boards all have a role to play in identifying victims, sharing information, tackling modern slavery and supporting victims. Joint working means that areas are better able to tackle modern slavery through a common understanding of the risk of modern slavery in their area, sharing intelligence and targeting disruption activities effectively. There are some dedicated regional and local partnerships on modern slavery which are already active throughout the country and which may provide training or tools that can be used locally. These are some examples of existing modern slavery partnerships, though this is not an exhaustive list: • East Midlands - East Midlands Strategic Migration Partnership • Hampshire and the Isle of Wight - Modern Slavery Partnership • South East - South East Strategic Migration Partnership • South West - Anti-Slavery Partnership • Wales - Welsh Anti-Slavery Leadership Group • West Midlands - West Midlands Anti- Slavery Network • West Yorkshire - West Yorkshire Anti- Trafficking and Modern Slavery Network. Councils may also wish to consider contacting their Regional Strategic Migration Partnership for more advice or information. In 2017 the Independent Anti-Slavery Commissioner in partnership with the University of Nottingham carried out a research project mapping out multi-agency modern slavery partnerships, identifying a range of local, regional and sub-regional partnerships across the UK. A final report called 'Collaborating for Freedom: anti-slavery partnerships in the UK'34 was published in November 2017 and digital map of all UK modern slavery partnerships has been produced and is publicly available: http://iascmap.nottingham.ac.uk/about.35 It is worth considering how councils can join up across council and police boundaries. Whilst councils will need to think how they can join up with other agencies in their immediate local area, modern slavery and trafficking traverses organisational boundaries, covering wider geographical areas. For instance in county lines exploitation, the victim's home council and the council where the exploitation is taking place may be many miles apart however the issues in tackling it will need both councils to work together. ## Key Partners And Partnership Arrangements There are a number of partners that councils can work with to share information and direct work on tackling modern slavery and supporting victims, including: | Organisation | Role | |------------------------------------------------------------------------------------|---------------------------------------------------------------------| | Police | | | The police's primary role in tackling modern slavery is to investigate, though | | | local forces may also be involved in a range of preventative activities with | | | partners. | | | Regional Organised Crime Units (ROCUs) are responsible for coordinating and | | | supporting the regional response to serious and organised crime. The police | | | also produce local profiles of the threats to their local areas from serious and | | | organised crime. | | | The police should work jointly with local authority children's social care, and | | | should follow the procedures prepared by their local safeguarding children | | | board and in accordance with Working Together to Safeguard Children: www. | | | gov | .uk/government/ publications/working-together-to-safeguard-children | | Police and crime | | | commissioners | | | The police and crime commissioner (PCC) is a directly elected official | | | responsible for creating a five-year policing plan based on local priorities, | | | appointing the chief constable, deciding the police budget and council tax | | | precept alongside commissioning for survivors of crime and commissioning | | | groups to work on local priorities. | | | The PCC's role is specifically mentioned in the Modern Slavery Strategy. The | | | strategy supported PCCs and chief constables reviewing their approach to | | | tackling modern slavery, ensuring it responds to the local threat and is reflected | | | within their own policing plans and strategies. PCCs can work with community | | | groups on specific projects around the issues, and with community safety | | | partnerships. | | | In January 2016, the PCC for West Yorkshire and Association of Police and | | | Crime Commissioners (APCC) lead for modern slavery and human trafficking, | | | Mark Burns-Williamson, launched the National Anti-Trafficking and Modern | | | Slavery Network. This is a forum for PCCs in England and Wales to specifically | | | focus on human trafficking and modern slavery, raise awareness of the nature | | | and scale of the issue and help enable them to hold their forces to account | | | more effectively on their response to modern slavery crime. | | | Education | | | Schools, colleges, etc may be aware of pupils in their schools who may be | | | vulnerable to being trafficked or exploited through modern slavery. Schools can | | | ensure that pupils have access to information, appropriate advice and support if | | | pupils are considered vulnerable to trafficking or modern slavery. Safeguarding | | | leads in schools should also be aware of the practice and have the ability to | | | deal with trafficking or modern slavery claims. | | | Local criminal | | | justice boards | | | Local criminal justice boards (LCJBs) bring together a number of criminal | | | justice system agencies, including the police, the Crown Prosecution Service, | | | the Courts and Tribunal Service, the Prison Service, probation trusts, and the | | | Youth Offending Service. The role of the LCJB is to coordinate activity and share | | | responsibility for delivering criminal justice in their areas. | | | LCJBs can help to ensure that each part of the criminal justice system works | | | closely on suspected case of human trafficking and modern slavery. | | | Local child | | | safeguarding | | | arrangements | | | The council, NHS clinical commissioning group and police in each local | | | authority area have a responsibility under the Children and Social Work Act 2017 | | | to work together to safeguard and promote the welfare of children in their area. | | | They must also work with any other agencies that they consider relevant within | | | the area to safeguard children. | | | Organisation | |-----------------------------------------------------------------------------------| | Local enterprise | | partnerships | | Local enterprise partnerships (LEPs) are voluntary partnerships between | | councils and businesses set up to help determine local economic priorities | | and lead economic growth and job creation within the local area. | | LEPs may provide a forum for raising the issue of modern slavery with a wide | | variety of partners, can provide a forum for discussion and maybe able to raise | | awareness of the risks of modern slavery in supply chains. | | Local strategic | | partnerships | | Local strategic partnerships (LSPs) are non-statutory bodies, with membership | | that includes parts of the public, private, voluntary and community sectors, who | | are working in the local area. LSPs encourage different initiatives and services | | to support one another and work together more effectively. | | LSPs can play a part in information sharing, ensuring that the signs of slavery | | are well known in the local area. They may be able to engage in awareness | | raising activities. | | Health and | | wellbeing boards | | Health and wellbeing boards produce joint strategic needs assessments | | (JSNAs), which analyse the needs of the local population to inform the | | commissioning process for health services, and encourage closer working | | between health and social care. | | Multi-agency | | safeguarding hubs | | Some local authorities have developed multi-agency safeguarding hubs | | (MASHs), which include members from children's social care, the police, health | | and education as well as other local partners. MASHs facilitate early information | | sharing between agencies to help professionals identify children or vulnerable | | adults at risk of harm, and work together to ensure they are effectively | | safeguarded. | | Children who are at risk of exploitation may be referred to a MASH, and using | | the multi-agency protocols the MASH has in place a coordinated and cross- | | organisational response to modern slavery referrals can be made. | | MASHs may already be doing work with victims of modern slavery through | | their work in child sexual exploitation or county lines exploitation. | ## Other Organisations There are a number of other organisations that work to tackle modern slavery. | Organisation | Role | |-----------------------------------------------------------------------------------|------------------------------------------| | Gangmasters and | | | Labour Abuse | | | Authority | | | The Gangmasters Licensing Authority was created in 2004 to police labour | | | exploitation, using both its licensing regime and criminal investigations of | | | unlicensed supply of labour. Often unlicensed supply has been used to mask | | | labour exploitation. In the Immigration Act 2016 the GLA was re-formed into the | | | Gangmasters and Labour Abuse Authority (GLAA). As part of this change it was | | | given powers to investigate labour market offences in addition to the offences in | | | the Gangmasters (Licensing) Act 2004. | | | It now has the authority in England and Wales to investigate offences in the | | | Employment Agencies Act 1973, National Minimum Wages Act 1998, and | | | the Modern Slavery Act 2015. It can use the new sanctions of labour market | | | enforcement undertakings and orders to bring about compliance where | | | prosecution is not deemed appropriate. It also has the authority to independently | | | apply for Slavery and Trafficking Risk Orders and Slavery and Trafficking | | | Prevention Orders. To enable it to provide this wider response the GLAA has | | | been granted additional powers under the Police and Criminal Evidence Act | | | 1984, including arrest and search and seizure powers. | | | The GLAA is the UK's specialist labour exploitation inspectorate, recognised as | | | such internationally by the ILO, and which works closely with Europol projects, | | | and other EU labour inspectorates on cross border investigations into alleged | | | labour exploitation. | | | National Crime | | | Agency | | | The National Crime Agency's role is to protect the public from the most serious | | | threats by disrupting and bringing to justice those serious and organised | | | criminals who present the highest risk to the UK. Modern slavery is one of | | | these risks. | | | The NCA's Modern Slavery Human Trafficking Unit (MSHTU) is a multi-agency | | | team. They provide a central point of expertise, support and coordination for the | | | UK's response to modern slavery and the trafficking of human beings working | | | within the UK and internationally | | | They provide updates of the NRM figures as well as publishing the 'National | | | Strategic Assessment of Serious and Organised Crime' including modern | | | slavery: | | | www.nationalcrimeagency.gov | .uk/publications/807-national-strategic- | | assessment-of-serious-and-organised-crime-2017/file | | | Director of Labour | | | Market Enforcement | | | Professor Sir David Metcalf CBE is the current Director of Labour Market | | | Enforcement. | | The Director of Labour Market Enforcement is responsible for setting priorities for these enforcement bodies: • Employment Agency Standards Inspectorate (EAS) • Gangmasters and Labour Abuse Authority (GLAA) • HMRC National Minimum Wage (HMRC-NMW). The Director will set a strategy and create an intelligence hub enabling data sharing between the director, enforcement bodies and other bodies with intelligence. ## Essex And Kent Police And Partners Issue Several intelligence reports were received suggesting that there were potential victims of modern slavery on a Traveller family site who may have been subjected to forced labour. Eastern European nationals were reported to be living under inhumane conditions, not being paid, being assaulted, not being fed and working 20 hours a day. The police worked alongside the Department for Work and Pensions, Essex Fire and Rescue Services, HMRC, Immigration Enforcement and the local council to research and develop the intelligence further. The RSPCA were also involved. What did you do? A warrant was secured for a site check to be carried out. It was established that every statutory agency had an interest in the site and the family living there. The warrant was executed and eight Eastern European nationals were found living on the site. Out of the eight, four were a family - a mother and three children in one caravan - and four were men living in two other caravans. The state of the caravans was poor. There were no cooking facilities, there were communal portable shower facilities, there was general waste surrounding the caravans, there were no food storage facilities, no heating facilities, and the site was guarded by dogs. The individuals also did not speak any English and they were reported to have poverty or homelessness present, as well as potential alcohol or drug dependency and debt bondage. The workers reported similar patterns in their recruitment and arrival on the site. Word of mouth had secured the workers a contact that made all the arrangements for the worker's transport into or within UK, their arrival on the site and the working conditions, which included a hot meal a day and cheap accommodation in caravans at £40 a week rent per person. Once on site, Essex Fire and Rescue Service, Immigration teams, the Police and the RSPCA all began talking to all the parties present - this included 14 members of the family as well as the eight Eastern European individuals living on the site and believed to be working for the family. It was established that the eight individuals were not willing to engage with the agencies present and gave very similar answers to questions, which lead to some concerns about the responses being potentially scripted. Only three of the men choose to be spoken to in more detail at the police station where they maintained the answers given on site. Lessons learned The visit helped the partnership to gather useful information for ongoing inquiries and helped to establish the use a partnership approach. It improved understanding of what the different agencies could do to support further action, such as monthly fire service checks to ensure the caravans are to the standard expected if tenants are present. They also ensured that the individuals working on the site are supported by the partners present to ensure they are acknowledged as workers and their rights as such are respected. Following the visit they have been able to carry out a number of visits on other sites that were identified through intelligence sharing across the partners. The multi-agency approach is now standard practice in all site checks, ongoing investigations and in developing new intelligence. What has been the impact? The multi-agency approach has had a positive impact on victim identification and safeguarding and data capture. It has also enabled the use of a range of different specialist powers and investigative options as well as penalties such as restrictions/ audits/fines. It has helped to focus resources purposely and with greater success. ## Annex A Indicators Of Modern Slavery • Being placed in a dependency situation ## Adult Victims General Indicators For Modern Slavery • No or limited access to bathroom or hygiene facilities • Distrustful of authorities • Self identifies • Expression of fear or anxiety • Signs of psychological trauma (including post-traumatic stress disorder) ## Indicators Of Forced Or Compulsory Labour • The person acts as if instructed by another • No or limited access to earnings or labour contract • Injuries apparently a result of assault or controlling measures • Excessive wage reductions, withholding wages, or financial penalties • Evidence of control over movement, either as an individual or as a group • Found in or connected to a type of location likely to be used for exploitation • Dependence on employer for a number of services for example work, transport and accommodation • Restriction of movement and confinement to the workplace or to a limited area • Any evidence workers are required to pay for tools, food or accommodation via deductions from their pay • Passport or documents held by someone else • Imposed place of accommodation • Lack of access to medical care • Found in poor living conditions • Limited social contact/isolation • Limited contact with family • Evidence of excessive working days or hours • Signs of ritual abuse and witchcraft (juju) • Deceived about the nature of the job, location, or employer • Substance misuse • Person forced, intimidated or coerced into providing services • Employer or manager unable to produce documents required when employing migrant labour • Doesn't know home or work address • Perception of being bonded by debt • Employer or manager unable to provide record of wages paid to workers • Money is deducted from salary for food or accommodation • Poor or non-existent health and safety equipment or no health and safety notices • Threat of being handed over to authorities • Any other evidence of labour laws being breached • Threats against the individual or their family members ## Indicators Of Domestic Servitude Spotting The Signs In Children • Living with and working for a family in a private home or place of accommodation A comprehensive list of indicators that could indicate child trafficking or modern slavery is available in the NRM child referral form. There is a wide range of signs to look out for, including: • Not eating with the rest of the family or being given only leftovers, or inadequate food • No private sleeping place or sleeping in shared space for example the living room Contact with others • Receives unexplained phone calls whilst in placement • No private space • Forced to work in excess of normal working hours or being 'on-call' 24 hours per day • Is being cared for by adult/s who are not their parents and the quality of the relationship between the child and their adult carers is not good • Employer reports them as a missing person • Is one among a number of unrelated children found at one address • Employer accuses person of theft or other crime related to the escape • Phone calls or letters from adults outside the usual range of social contacts • Never leaving the house without permission from the employer • Adults loitering outside the child's usual place of residence • Significantly older boyfriend ## Indicators Of Sexual Exploitation • Entering or leaving vehicles driven by unknown adults • Adverts for sexual services offering individuals from particular ethnic or national groups • Sleeping on work premises Contact with authorities • Has not been registered with or attended a GP practice • Has not been enrolled in school • Movement of individuals between brothels or working in alternate locations • Truancy or disengagement with education ## Physical Signs • Shows Signs Of Physical Or Sexual Abuse • Individuals with very limited amounts of clothing or a large proportion of their clothing is 'sexual' • Sexually transmitted infection or unwanted pregnancy • Only being able to speak sexual words in local language or language of client group • Having tattoos or other marks indicating 'ownership' by their exploiters Behaviours • Has a history with missing links and unexplained moves • Has gone missing from local authority care • Person forced, intimidated or coerced into providing services of a sexual nature • Person subjected to crimes such as abduction, assault or rape • Persistently missing for periods of time, staying out overnight or returning late without explanation • Has limited freedom of movement • Someone other than the potential victim receives the money from clients • Performs excessive housework chores and rarely leaves the residence • Health symptoms (including sexual health issues) • Is excessively afraid of being deported • The child has been seen in places known to be used for sexual exploitation • Evidence of drug, alcohol or substance misuse • Leaving home/care setting in clothing unusual for the individual child (inappropriate for age, borrowing clothing from older people) • Care placement breakdown • Pattern of street homelessness • Low self-image, low self-esteem, selfharming behaviour including cutting, overdosing, eating disorder, promiscuity Money • Has to pay off a large 'debt' (eg for travel costs) before having control over own earnings • Is permanently deprived of much of their earnings by another person • Accounts of social activities, expensive clothes, mobile phones or other possessions with no plausible explanation of the source of necessary funding The NRM referral form outlines a comprehensive list of indicators for modern slavery. More information can be found on the Government's website: www.gov .uk/ government/publications/human-traffickingvictims-referral-and-assessment-forms ## Annex B Links To Other Information General Glaa - Labour Exploitation: Spot The Signs www.gla.gov .uk/media/3178/spot-the-signsglaa.pdf The Dark Figure An ongoing photographic project by Amy Romer, which seeks to raise awareness about slavery in Britain by mapping neighbourhoods where such crimes have taken place. www.thedarkfigure.co.uk Modern slavery training: resource page www.gov .uk/government/publications/modernslavery-training-resource-page/modernslavery-training-resource-page Safeguarding Human Trafficking Foundation: Trafficking Survivor Care Standards www.humantraffickingfoundation.org/sites/ default/files/Trafficking%20Survivor%20 Care%20Standards%202015.pdf Home Office: Victims of modern slavery frontline staff guidance (for guidance on identifying potential victims of modern slavery) Criminal exploitation of children and vulnerable adults: County Lines guidance www.gov .uk/government/uploads/system/ uploads/attachment_data/file/509326/victims-ofmodern-slavery-frontline-staff-guidance-v3.pdf www.gov .uk/government/uploads/system/ uploads/attachment_data/file/626770/6_3505_ HO_Child_exploitation_FINAL_web__2_.pdf Home Office: Modern slavery awareness and victims identification guidance Safeguarding children National referral mechanism NRM - guidance for child first responders www.gov .uk/government/uploads/system/ uploads/attachment_data/file/655504/6.3920_ HO_Modern_Slavery_Awareness_Booklet_ web.pdf www.gov .uk/government/uploads/system/ uploads/attachment_data/file/510091/NRM_-_ guidance_for_child_first_responders_v2.0_ EXT .PDF Government's National Strategy on modern slavery ## Nrm Child Referral Form www.gov .uk/government/uploads/system/ uploads/attachment_data/file/383764/ Modern_Slavery_Strategy_FINAL_DEC2015. pdf www.gov .uk/government/publications/humantrafficking-victims-referral-and-assessmentforms United Nations Office on Drugs and Crime have produced a document on human trafficking indicators Safeguarding children who may have been trafficked www.unodc.org/pdf/HT_indicators_E_ LOWRES.pdf www.gov .uk/government/uploads/system/ uploads/attachment_data/file/177033/DFE- 00084-2011.pdf Department for Education Draft guidance on the care of unaccompanied trafficked children • Must know on safeguarding for lead members www.local.gov .uk/sites/default/files/ documents/must-know-lead-membersan-c38.pdf https://consult.education.gov .uk/children-incare/care-of-unaccompanied-and-traffickedchildren/supporting_documents/Revised%20 UASC%20Stat%20guidance_final.pdf • Adult Safeguarding Community of Practice https://khub.net/web/ adultsafeguardingcommunityofpractice London Safeguarding Trafficked Children Toolkit Making safeguarding personal (MSP): provides access to all the reports, tools and resources resulting from the MSP approach: www.ecpat.org.uk/sites/default/files/london_ safeguarding_trafficked_children_toolkit_ feb_2011.pdf www.local.gov .uk/topics/social-care-healthand-integration/adult-social-care/makingsafeguarding-personal Child Sexual Exploitation: definition and guide for practitioners (includes specific guidance around indicators of child sexual abuse) www.gov .uk/government/publications/childsexual-exploitation-definition-and-guide-forpractitioners Mental Capacity Act including Deprivation of Liberty Safeguards: a list of key resources for councils and their partners on implementing the Mental Capacity Act including the Deprivation of Liberty Safeguards Tackling child sexual exploitation: a resource pack for councils www.local.gov .uk/topics/social-care-healthand-integration/adult-social-care/mentalcapacity-act-including-dols www.local.gov .uk/tackling-child-sexualexploitation-resource-pack-councils There are a number of case studies on child sexual exploitation on the LGA's website: The safeguarding adult board locally can be an important source of advice and assistance for example in helping local organisations improve their safeguarding awareness and mechanisms and in sharing practice. www.local.gov .uk/sites/default/files/ documents/CSE%20Case%20Studies%20 Feb%202017.pdf Procurement Protecting Human Rights in the Supply Chain: a guide for public procurement practitioners, ©London Universities Purchasing Consortium, University of Greenwich, Chartered Institute of Procurement and Supply 2017 Safeguarding adults The LGA 's list of safeguarding resources (www. local.gov .uk/topics/social-care-health-andintegration/adult-social-care/safeguardingresources) provides a consolidated list of key safeguarding and includes the following resources for local leaders: https://static.uk-plc.net/library/londonuniversities-purchasing-consortium/ documents/knowledge-lupc---protectinghuman-rights-in-the-supply-chain.pdf Transparency in Supply Chains, etc: A practical guide • Advice and guidance to directors of adults social services https://www.local.gov .uk/ topics/social-care-health-and-integration/ adult-social-care/safeguarding-adviceand-guidance-to-directors-of-adult-socialservices www.gov .uk/government/uploads/system/ uploads/attachment_data/file/649906/ Transparency_in_Supply_Chains_A_Practical_ Guide_2017.pdf • Councillors' briefing: safeguarding adults www.local.gov .uk/topics/social-carehealth-and-integration/adult-social-care/ councillors-briefing-safeguarding-adults ## Acknowledgements We are grateful to those people who assisted with the production of this document through participating in our expert reference group and producing case studies. Adi Cooper, Association of Directors of Adult Social Services (ADASS) Andy Davies, London Universities Purchasing Consortium Annette Hines, London Borough of Greenwich Antony Botting, London Borough of Croydon Chris Spencer, London Borough of Harrow Claire Singers, London Borough of Merton Cristina Gavrilovic, Kent and Essex Police Darryl Dixon, Gangmasters and Labour Abuse Authority (GLAA) David Walker, Nottingham City Council Hilary Paxton, Association of Directors of Adult Social Services (ADASS) James Bullion, Norfolk County Council John Boulter, Hertfordshire County Council Kate Cochrane, Newcastle City Council Liz Mooney, Sandwell Metropolitan Borough Nigel Strick, Cornwall County Council Paul Marshall, Manchester City Council Pop Gill, Derby City Council Rebecca Hurlock, Office of the Police and Crime Commissioner West Yorkshire Stuart Douglass, Sunderland City Council Subcontractors of the Adult Victims of Modern Slavery Victim Care Service for The Salvation Army Local Government Association 18 Smith Square London SW1P 3HZ Telephone 020 7664 3000 Fax 020 7664 3030 Email info@local.gov .uk www.local.gov .uk For a copy in Braille, larger print or audio, please contact us on 020 7664 3000. 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# Hmrc Tax Transparency Sector Board Special Session Venue: 100 Parliament Street, London Room 2/39 Chancellors Room Date / Time: Friday 4th October 2013 ‐ 10:30 to 12:30pm Attendees: Apologies: Chris Franklin Colin Yeend Dyfed Alsop Johanna Edwards Paul Boyle Paul Maltby Simon Woodside HMRC Jonathan Athow ‐ HMRC ‐ Knowledge, Analysis and Intelligence (KAI) **Chair** Bill Elmore – HMRC ‐ KAI Data Policy & Co‐ordination Bruce Stewart – HMRC – Customs Directorate Cindy Bell – HMRC ‐ Central Policy Daniele Bega – HMRC ‐ KAI Data Policy & Co‐ordination James Templeton – HMRC Business Customer and Strategy John Fegan ‐ HMRC ‐ Security and Information Kevin Sams – HMRC – Customs Trade Statistics Ian Parfitt – HMRC ‐ KAI Data Policy & Co‐ordination Mike Hawkins – HMRC ‐ KAI Data Policy & Co‐ordination Sandra Tudor – HMRC – Customs Trade Statistics Executive agencies Adrian Ball ‐ Valuation Office Agency (VOA) Other Government Departments Ed Parkes ‐ Cabinet Office (CO) External representatives Andrew Sheffield ‐ Experian Chris Taggart – OpenCorporates (OC) Dominique Lazanski – Open Data User Group/Taxpayers Alliance (TPA) Fiona Armstrong ‐ Economic & Social Research Council (ESRC) Jonathan Shaw ‐ Institute for Fiscal Studies (IFS) Judith Jones – Information Commissioners Office (ICO) Keith Dugmore ‐ Demographics User Group (DUG) Melanie Hosker – Equifax Peter Fanning ‐ Chartered Institute of Taxation (CIOT) Rory Meakin ‐ Taxpayers Alliance (TPA) Richard Wild ‐ Chartered Institute of Taxation (CIOT) / BDO Stephen Herring ‐ Institute of Directors (IOD) 1. Welcome and introductions (Jonathan Athow ‐ HMRC ‐ Knowledge, Analysis and Intelligence) - Jonathan Athow (Chair) welcomed everyone to the HMRC Tax Transparency Sector Board. 2. Update on the VAT register public consultation: (James Templeton – HMRC Business Customer and Strategy) - HMRC provided an update on the public consultation on the VAT Register that closed on 24 September 2013. - So far, about 50 responses have been received, providing views that can be clustered around three strands: ‐ One group of respondents agreed that HMRC should be able to share this information with specific third parties with a view to secure wider public benefits ‐ A second group felt that a release should be open, and that privacy implications were important and needed to be reflected in shaping the disclosure. ‐ A third group was opposed to any form of data release, either on principle or because of skepticism about potential benefits. - HMRC said they intended to publish a response to the public consultation in the autumn Discussion - The Chartered Institute of Taxation suggested dialog with organisations that will be mostly affected by the release of the VAT Register. CIOT also recommended involving the banking sector in any initiative, as key players in the credit lending environment. - HMRC confirmed that they will take into account the views of various credit providers. - OpenCorporates suggested a staged release for the VAT Register, starting with publishing information on incorporated businesses, where privacy issues are less of a concern and moving gradually to include the rest of the population. - HMRC agreed to look into this. - Cabinet Office asked how the consultation would shape advice for ministers and if there would be an opportunity to see the content of the response to the consultation before release. - HMRC stated they would share findings from the consultation with the group and take account of views from the Tax Transparency Sector Board when preparing advice to Ministers and senior officials. - CIOT advised to use HMRC's online systems to engage with people affected by the release. ## 3. Trade Statistics Overview By Hmrc (Kevin Sams – Hmrc – Customs Trade Statistics) - HMRC collects trade in goods declarations from businesses through: o Intrastat – EU transactions o CHIEF – Non EU transactions - Trade statistics are published on a monthly basis on www.uktradeinfo.com . The newly designed website won the Royal Statistical Society's 2013 Excellence in Official Statistics Award. - The site provides a facility to customise analyses of the data and allows downloading versions of the Overseas Trade Statistics datasets and importers details, as open data. - Aggregated information on imports and export is also delivered to: o Eurostat o The ONS for the production of Balance of Payments and National Accounts. - Legislation for publishing data: o Commissioners for Revenue and Customs Act (CRCA) 2005. Section 18 Confidentiality : (1) Revenue and Customs officials may not disclose information which is held by Revenue and Customs in connection with a function of the Revenue and Customs. (3) Subsection (1) is subject to any other enactment permitting disclosure. o European Regulation (EC) no 223/2009. Article 18 allows the dissemination of European trade statistics. Article 20, allows dissemination applying the 'passive confidentiality' principle o European Regulation (EC) No 1982/2004 (IP). Article 13a allows dissemination of annual statistics on trade by business characteristics. o Finance Act 1988 Section 8 (3) allows the release of names and addresses of persons of Non EU imported goods by classification. This does not cover Exporters. 4. HMRC led discussion on CHIEF (Customs Handling of Import and Export Freight ‐ Bruce Stewart & Sandra Tudor ‐ HMRC ‐ Customs Directorate) - HMRC clarified that CHIEF was not a database but a processing system. The major function of CHIEF is to manage the data behind import and export movements and calculate revenues due on those movements - The system records the movement of goods by land, air and sea. It allows importers, exporters and freight forwarders to complete customs formalities electronically and automatically checks for entry errors. - Businesses are required to submit a declaration if they import or export from Non EU countries. Over 50 boxes are requested on the customs declaration (using the Single Administrative Document form ‐ SAD). - Not all boxes are completed depending on the import/export customs regime. Some information is only for customs administration or Statistical purposes, feeding into the Trade Stats described above. - Traders have the option to go onto? the Trusted Trader database, allowing for customs simplified procedures. - CHIEF will be replaced in 2017. There are a number of developments which will come into force, which are currently being discussed, with the aim to de‐regulate/streamline the process. AP11 04.10.13 - The Chair suggested to have more detailed discussions on data requirements on CHIEF with Cabinet Office at a later date Discussion - In response to a question from the Institute of Directors on the drivers for publishing this information, HMRC highlighted EU legal requirements and UK Government/BIS commitment to increase the number of UK business exporting. - Cabinet Office requested a follow‐up discussion to understand whether data from CHIEF can be used to develop a system similar to Panjiva. This is a U.S. based database relying on customs data made public by the U.S. government on global suppliers – "A Google for Finding Suppliers". - OpenCorporates asked whether CHIEF and Intrastat overlapped and whether there had been any plans of merging the systems. - HMRC responded that for analytical purposes the two datasets were combined for companies trading in both systems. Anonymised information has also been made available in the Datalab. However, it was pointed out that Intrastat only included information on large exporters. ## 5. Access To Valuation Office Data (Adrian Ball ‐ Valuation Office Agency (Voa)) - The VOA opened by pointing out that their business model for sharing information with the general public is quite recent. In the last three years, VOA had progressed from 1 analyst to 25, responsible for the publication of a wide range of National Statistics tables including: o Business Rates o Council Tax Challenges, Changes, Property Attributes, Summary tables for England and Wales o Non Domestic Rates summary o Private rental market for England o Generation of Housing Price Elements for ONS - VOA also regularly releases online individual data on : o Non domestic rating o Council Tax o Rent Register and Rent Officers - Upon payment of fees (£1,000‐£2,000), they also release national datasets on Non domestic rates under an Open Government Licence. - The VOA operates under the same legislation as HMRC's, the Commissioners for Revenue and Customs Act 2005. - Going forward, the VOA is planning to develop an Open Data Strategy, promoting a culture to release information where possible, reducing costs and looking for efficiencies. Longer term, the VOA will conduct a systematic review of what datasets can published – aiming to release more information. Discussion - The Demographics Users Group enquired whether the VOA were taking steps towards standardising address files to have common properties. - The VOA stated that key part of their strategy involves being able to make the system more efficient, looking into changing keying systems and working with the National Address Gazetteer to create a national unique property number. - The Taxpayers Alliance asked whether there was any difference between Business Rates and Non Domestic Rates information. - The VOA clarified that the systems were the same and the term Non Domestic Rates formed part of old VOA legacy and should not be used. - OpenCorporates asked how much money the VOA cost recovery model brought in. They mentioned some discussions they had with representatives from the Belgian Government, highlighting that the money generated through their cost recovery was the same as their cost for supplying the information. - The VOA stated that they did not hold information on their cost recovery, but that they highlighted that these costs had been significantly reduced in the last few year and they were looking to get these down to zero. - Cabinet Office pointed out that price paid on sale or transfer of property datasets was already provided by Land Registry for free in open format. - VOA mentioned that some of their information came from the Land Registry and that the two organisations were working closely to ensure sensible data structures. - Cabinet office were also concerned that data, at present, only allowed individual searches but not bulk downloads. - VOA said they were looking at future developments to their IT platform to make it more data driven and currently scoping to develop new systems - The Institute of Directors asked whether there were any opportunities to fast track the release of data on non domestic properties and number of small organisations? - VOA confirmed that they were currently involved in meetings to understand the best way to release this information. AP12 04.10.13 - HMRC suggested that Cabinet Office and VOA held discussions to develop options on the release VOA data going forward ## 6. National Information Infrastructure (Guidance)/ Nii) (Ed Parkes ‐ Cabinet Office (Co)) - In the Government Response to the Shakespeare Review of June 2013, the Government set out its aim to create a National Information Infrastructure (NII). - Since then Cabinet Office have been developing a collaborative process for identifying Government data that could be potentially released as open data. - The first step of the NII has included identifying and maintaining an inventory of data held by Government: prioritising data to be included in the NII; and supporting organisations to release data. - This exercise resulted in the release of an inventory of over 3,200 datasets on data.gov.uk. - At the end of October 2013, 60 Governments will be meeting as part of the Open Government Partnership. As part of this initiative the UK will review the commitments made in the Action Plan that was released in September 2011 and highlight further datasets being considered for release under transparency. Discussion - HMRC highlighted that there are some barriers to making the information available, which should be communicated to the general public - OpenCorporates remarked that www.data.gov.uk would be good platform to inform the general public/Other Government Departments about the information that is available. - Chartered Institute of Taxation stressed the importance that any policy changes introduced by HMT took into considerations practical implications, underlining that, as tax evolves, more demands arise on HMRC's data collection and administration. - The Institute of Directors asked whether there was any plan to make information on the calculations surrounding the Budget book available to the general public. - HMRC said that information surrounding Budget calculations was released on the Tax Information and Impact Note (TIIN), however, there were some constraints on some of the information that can be released publicly. ## 7. Aob And Summary - OpenCorporates asked about the practical, political and philosophical restrictions to publishing the Gift Aid paid to charities. In particular, they highlighted that Gift Aid required matching grant to charities and that the transfer of money to a charity did not contain any personal data. - HMRC agreed to discuss this topic as an agenda item for future tax transparency sector board meetings, while noting that the Commissioners for Revenue and Customs Act does not distinguish between data relating to identifiable individuals and data relating to identifiable charities. - The Chair thanked the participants for their contributions. Next meeting: Monday 3rd February 2014 ‐ 14:00 to 16:00 (Room 2/39 Chancellors Room ‐ 100 Parliament Street London SW1A 2BQ)

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## Nacap National Asthma And Chronic Obstructive Pulmonary Disease Audit Programme (Nacap) COPD clinical audit 2017/18 (people with COPD exacerbations discharged from acute hospitals in England and Wales between September 2017 and 2018) ## Clinical Audit Report Published May 2019 In association with: Commissioned by: The Royal College of Physicians The Royal College of Physicians (RCP) plays a leading role in the delivery of high‐quality patient care by setting standards of medical practice and promoting clinical excellence. The RCP provides physicians in over 30 medical specialties with education, training and support throughout their careers. As an independent charity representing over 36,000 fellows and members worldwide, the RCP advises and works with government, patients, allied healthcare professionals and the public to improve health and healthcare. Healthcare Quality Improvement Partnership (HQIP) The National Asthma and Chronic Obstructive Pulmonary Disease (COPD) Audit Programme (NACAP) is commissioned by the Healthcare Quality Improvement Partnership (HQIP) as part of the National Clinical Audit (NCA) Programme. HQIP is led by a consortium of the Academy of Medical Royal Colleges, the Royal College of Nursing and National Voices. Its aim is to promote quality improvement, and in particular, to increase the impact that clinical audit, outcome review programmes and registries have on healthcare quality in England and Wales. HQIP holds the contract to commission, manage and develop the National Clinical Audit and Patient Outcomes Programme (NCAPOP), comprising around 40 projects covering care provided to people with a wide range of medical, surgical and mental health conditions. The programme is funded by NHS England, the Welsh government and, with some individual projects, other devolved administrations and crown dependencies www.hqip.org.uk/national-programmes. National Asthma and Chronic Obstructive Pulmonary Disease (COPD) Audit Programme NACAP is a programme of work that aims to improve the quality of care, services and clinical outcomes for patients with asthma and COPD in England, Scotland and Wales. Spanning the entire patient care pathway, NACAP includes strong collaboration with asthma and COPD patients, as well as healthcare professionals, and aspires to set out a vision for a service which puts patient needs first. To find out more about the NACAP visit: www.rcplondon.ac.uk/nacap. COPD: clinical audit 2017/18 This report was prepared by the following people, on behalf of the COPD advisory group (the full list of members can be found on the NACAP resources page: www.rcplondon.ac.uk/nacap-resources). Professor John Hurst, COPD clinical lead, NACAP, Care Quality Improvement Department (CQID), RCP, London; and professor and honorary consultant in respiratory medicine, University College London/Royal Free London NHS Foundation Trust, London. Ms Viktoria McMillan, programme manager, NACAP, CQID, RCP, London. Ms Kajal Mortier, project manager, NACAP, CQID, RCP, London. Mr Liam Shanahan, project manager, NACAP, CQID, RCP, London. Ms Myriam Moussaif, programme coordinator, NACAP, CQID, RCP, London. Mr Alex Adamson, research assistant in medical statistics, National Heart & Lung Institute, Imperial College London. Mr Philip Stone, research assistant in statistics/epidemiology, National Heart & Lung Institute, Imperial College London. Dr Jennifer Quint, analysis lead, NACAP, CQID, RCP, London; reader in respiratory epidemiology, National Heart & Lung Institute, Imperial College London; and honorary respiratory consultant, Royal Brompton and Imperial NHS Trusts. Professor C Michael Roberts, senior clinical lead, NACAP, CQID, RCP, London; consultant integrated respiratory care, The Princess Alexandra NHS Trust; and clinical academic lead for population health, UCL Partners. Citation for this document: Hurst J, McMillan V, Mortier K, Shanahan L, Moussaif M, Adamson A, Stone P, Quint J, Roberts CM. National Asthma and Chronic Obstructive Pulmonary Disease Audit Programme (NACAP). COPD clinical audit 2017/18 (people with COPD exacerbations discharged from acute hospitals in England and Wales between September 2017 and 2018). Clinical audit report. London: RCP, May 2019. Royal College of Physicians Care Quality Improvement Department 11 St Andrews Place, Regent's Park London NW1 4LE Registered charity no 210508 www.rcplondon.ac.uk/nacap @NACAPaudit #COPDAudit #COPDauditQI Contents Report at a glance ................................................................................................................................... 4 How to use this report ............................................................................................................................ 5 Foreword by John Hurst, COPD audit clinical lead.................................................................................. 7 Key findings and quality improvement priorities ................................................................................... 8 Section 1: General information .......................................................................................................... 8 Section 2: Provision of timely care ..................................................................................................... 9 Section 3: Oxygen ............................................................................................................................. 10 Section 4: Non-invasive ventilation (NIV) ......................................................................................... 10 Section 5: Spirometry ....................................................................................................................... 12 Section 6: Smoking ........................................................................................................................... 13 Section 7: Dyspnoea, eosinopenia, consolidation, acidaemia and atrial fibrillation (DECAF) score 15 Section 8: Discharge processes ......................................................................................................... 15 Recommendations ................................................................................................................................ 16 Appendix A: NICE Quality standard [QS10] - Chronic obstructive pulmonary disease in adults ......... 17 Appendix B: NICE guideline [NG115] - Chronic obstructive pulmonary disease in over 16s: diagnosis and management .................................................................................................................................. 19 Appendix C: British Thoracic Society (BTS) Quality Standards for acute NIV in adults ......................... 22 Appendix D: Document purpose ........................................................................................................... 23 Appendix E: References ........................................................................................................................ 24 Report at a glance How to use this report The purpose of this report is to outline the key messages and recommendations from NACAP's latest round of the COPD clinical audit.* The COPD clinical audit, which captures the process and clinical outcomes of treatment in patients admitted to hospital in England and Wales with COPD exacerbations, launched on 1 February 2017. This report, which is the second report post-launch of continuous data collection, presents the results of the cohort of patients discharged between 14 September 2017 and 30 September 2018. Key process measures included in this report are provision of timely review by a member of the respiratory team, oxygen prescription, provision of noninvasive ventilation, spirometry, recording of smoking status and prescription of smoking cessation pharmacotherapy, DECAF scores (an indicator of the risk of mortality in hospital) and discharge processes. Key short-term outcome measures included in this report are length of stay and inpatient mortality. Comparisons to the results of the 2017 report (www.rcplondon.ac.uk/working-together) have been provided where appropriate. However, it should be noted that in 2017, in order for the report to be published in line with the National COPD Audit Programme's contract end date, the data were extracted prior to completion of a full year of data collection. Consequently, the 2017 report presented the results of a slightly truncated patient cohort (patients discharged over a 7.5 month period between 1 February and 13 September 2017). In late 2019 / early 2020, an addendum to this report will be published detailing the longer-term outcomes of this patient cohort, namely 30- and 90-day mortality and hospital readmission rates.† Together, this report and its addendum will provide a comprehensive picture of the care provided to patients admitted to hospital with exacerbations of COPD and what happens after they are discharged. This report's audience includes healthcare professionals; NHS managers, chief executives and board members; service commissioners; policymakers and voluntary organisations. A separate report has been produced for patients and the public and is available at: www.rcplondon.ac.uk/copd-2017-18. Key indicators, presenting results for England, Wales and both countries combined have been highlighted at the top of some of the sections of the report. These were selected based on national guidelines and standards. The indicators are the same as those presented in the nationally benchmarked results table in the data analysis and methodology report (see paragraph below for more information on this report). References to the appropriate National Institute for Health and Care Excellence (NICE) quality standards1,2 (Appendix A), clinical guidelines3 (Appendix B) and British Thoracic Society (BTS) non-invasive ventilation (NIV) quality standards4 (Appendix C) are inserted throughout the key findings. The report also highlights the top three areas for quality improvement (QI) in 2019, and providers and commissioners should consider how these might best be delivered locally to the benefit of patients and the system. A separate data analysis and methodology report is available at: www.rcplondon.ac.uk/copd-2017- 18. It contains the following:  The full data analysis is presented with England, Wales and both countries combined results in tables and figures, with explanatory notes throughout. Although these data are available to the interested reader, it is not necessary to review them to appreciate the key messages.  Nationally benchmarked results for participating hospitals. The indicators have been selected based on national guidelines and standards.  Appendices, including the methodology for the audit. Provider level audit data will also be made publicly available on www.data.gov.uk, in line with the government's transparency agenda. Copies of our datasets, our good practice repository and all other resources can be found via our website: www.rcplondon.ac.uk/nacap-copd-resources. ## Foreword By John Hurst, Copd Audit Clinical Lead COPD is common, and exacerbations are burdensome both to people affected by the condition and to health services.5,6 There is a long history of the audit of COPD care in the UK, dating back to 1997.7,8 The COPD audit programme was transformed in February 2017 with the move to continuous audit, associated with real-time feedback of data to individual clinical teams allowing them to develop local quality improvement (QI) initiatives. We are now realising the benefits of this change: the data contained in this report represent an improvement in the quality of care received by people admitted to hospital with COPD exacerbations, and are a vindication of the hard work and dedication provided by multi-professional clinical teams across England and Wales. Thank you to everyone who has been involved in delivering this audit on the ground. The improvements here represent your hard work. This is the second report since the move to continuous audit, and contains data on **74,645** admissions across 179 hospitals in England and Wales. The median case ascertainment across both countries for the period 1 April 2017 to 31 March 2018 was **54.0%**. Based on a median length of stay of 4 days, this means clinical teams were responsible for caring for patients admitted with COPD for a total of approximately 600,000 bed days this year.‡ Let's be clear: we have a lot more to do. We aspire for the care delivered for every admission of COPD to meet recognised standards and guidelines regardless of where or when the admission takes place. The care delivered both within and between hospitals remains variable. The recording of diagnostic spirometry remains poor (just 40.5%). Support for smoking cessation is improving, however, only 67.1% of smokers were offered smoking cessation pharmacotherapy at a time where access to services is challenging. The proportion of people being treated with acute non-invasive ventilation (NIV) is 10.3%, yet of those that receive NIV only 21.0% receive it within 2 hours of arrival§ despite the fact that late NIV is associated with longer length of stay. Consequently, timely NIV, spirometry and smoking cessation support remain our improvement priorities for 2019. We should, however, pause to celebrate improvements in access to timely specialist care with 64.0% of patients seen by a respiratory specialist within 24 hours, and a reduction in the median time for this review (15 hours). This matters; the report provides evidence that seeing a specialist within 24 hours is associated with a reduction in inpatient mortality, increased use of smoking cessation pharmacotherapy and increased use of discharge bundles. In other good news, 67.2% of patients in this cohort received a discharge bundle. Such evidence provides a strong argument for investment in audit for those hospitals struggling to secure assistance, and investment in acute respiratory services. Together we are improving the care of people with COPD and by continuing to work together we can embed these improvements and improve outcomes and experience further. Our patients deserve it. ## Key Findings And Quality Improvement Priorities Section 1: General Information To see the data analysis in full, please access the data analysis and methodology report available at www.rcplondon.ac.uk/copd-2017-18 Median length of stay ## Admission And Demographics  A higher proportion of **COPD admissions** were females (53.3%) (51.3% in 2017).  The median **age at admission** was **73 years**, which remains unchanged since 2017.  The highest proportion of **COPD admissions** were from the **most deprived areas** in England (34.2%) and Wales (39.2%) compared with 33.1% and 38.4% respectively in 2017.  The **median time from arrival to admission** was **3.9 hours** (3.4 hours in 2017).  There were more admissions for COPD during **weekdays than at weekends** with the busiest admission period across the week falling on a **Monday between 2pm and 8pm**. ## Length Of Stay  The **median length of stay** for admissions remained the same at **4 days**. ## Inpatient Mortality  Inpatient mortality remained stable at 3.8% compared with 3.9% reported in 2017. This outcome measure** is reported as it is a proxy for the provision of quality care.9 ## Case Ascertainment  The **median case ascertainment** for the period 14 September 2017 to 30 September 2018 was **53.7%.**†† Possible reasons why this figure is lower than may be expected include: o Patients with COPD tend to be admitted across the hospital, rather than solely to respiratory wards. This can make local case identification challenging. o The volume of admitted cases (over 140,000 per annum10) is high, which poses a considerable administrative challenge for local teams to enter into the audit. o Local coding procedures which can make retrospective case identification difficult, such as potential over-coding of COPD admissions (falsely reducing case ascertainment) due to the frequent overlap between respiratory tract infections (eg pneumonia) and COPD exacerbations. ## Section 2: Provision Of Timely Care To see the data analysis in full, please access the data analysis and methodology report available at www.rcplondon.ac.uk/copd-2017-18 86.2% of admissions were reviewed by an acute physician of grade specialty trainee 3 (ST3) or above (compared with 82.3% in 2017). 84.7% of admissions were **reviewed** by a member of the **respiratory team** compared with  The median time from **admission to respiratory team review** was **15.0 hours** (16.2 hours in 2017).  Respiratory team review was associated with: o **inpatient mortality**; patients who **received a specialist review** were **14% less likely** to die as an inpatient compared with those who did not receive a review within 24 hours. o **smoking cessation pharmacotherapy**; smokers who received a specialist review at any time during their admission were over **six times more likely** to be offered smoking cessation pharmacotherapy compared with those who did not receive a review. o **discharge bundles**; patients who received a specialist review were over 30 times more likely to receive a discharge bundle compared with those who did not receive a review.  Respiratory team review within 24 hours had an impact on: o **oxygen prescription**; patients who received a **specialist review within 24 hours** and required oxygen were **65% more likely** to receive it compared with those who received a review after 24 hours. o **smoking cessation pharmacotherapy;** smokers who received a specialist review within 24 hours were 2.5 times more likely to be offered smoking cessation pharmacotherapy compared with those who received a review after 24 hours. o **discharge bundles**; patients who received a specialist review within 24 hours were nearly six times more likely to receive a discharge bundle compared with those who received a review after 24 hours. ## Section 3: Oxygen To see the data analysis in full, please access the data analysis and methodology report available at www.rcplondon.ac.uk/copd-2017-18 ## Section 4: Non-Invasive Ventilation (Niv) To see the data analysis in full, please access the data analysis and methodology report available at www.rcplondon.ac.uk/copd-2017-18 If the patient received acute treatment with NIV, was it received within 2 hours of arrival? 1 QI priority: Ensure that all patients requiring NIV on presentation receive it within 120 minutes of arrival for those patients who present acutely. (BTS NIV QS4) Rationale: Timely NIV is associated with reduced length of stay. Patients admitted with respiratory acidosis are the sickest with high mortality.11 There remains significant variability in the speed at which hospitals administer NIV that is unexplained, suggesting that it relates to process of care. ## Case Study: Pinderfields Hospital (Mid Yorkshire Hospitals Nhs Trust)  Since the launch of the continuous audit in February 2017, two of the respiratory services at Mid Yorkshire Trust have merged (Dewsbury and District Hospital and Pinderfields General Hospital).  This has meant that all patients requiring acute treatment with NIV are cared for in a dedicated acute care unit rather than just on the respiratory ward, as previously at Dewsbury and District Hospital.  The acute care unit has increased from 11 to 14 beds and is led by a 7-day respiratory consultant service with a high nursing ratio.  There has also been a change to include a 24-hour respiratory consultant on-call service.  Daily respiratory ward rounds take place on the medical admission units.  An NIV checklist for patients is available on hospital intranet A&E guidelines. Tips to achieve this priority:  Ensure close working relationships with accident and emergency (A&E) and acute medicine teams.  Have a dedicated respiratory contact to call for patients requiring assessment for NIV.  Use the data from the audit to develop local QI projects to understand local challenges and test methods for mitigating against these. ## Section 5: Spirometry To see the data analysis in full, please access the data analysis and methodology report available at www.rcplondon.ac.uk/copd-2017-18 Was a spirometry result available for the patient? Rationale: The diagnosis of COPD can **only** be made using quality assured post-bronchodilator spirometry. (*NICE [QS10] statement 1*) In someone admitted to hospital with symptoms suggestive of a COPD exacerbation, access to diagnostic spirometry provides assurance that COPD is the correct underlying diagnosis, or excludes COPD prompting consideration of other diagnoses. Tips to achieve this priority:  Ensure close working links between hospital, community and primary care teams to facilitate sharing and access to spirometry results.  Conduct pre-discharge spirometry thus providing the opportunity to confirm or exclude airflow obstruction in people with no available spirometry.  Spirometry results should be accessible from routine clinical stations and computers.  Keep a record of previous spirometry results such that the information on patients being readmitted is easy to locate. Case study: Royal Bournemouth Hospital (The Royal Bournemouth and Christchurch Hospitals NHS Foundation Trust)  Every patient has their notes reviewed checking for recent spirometry.  If there is no spirometry available or the spirometry is inconclusive, the team are able to access inpatient spirometry via the lung function test department or the integrated respiratory service.  There has been a big focus on teaching activities locally to ensure that the diagnosis of COPD has been made with spirometry. ## Section 6: Smoking To see the data analysis in full, please access the data analysis and methodology report available at www.rcplondon.ac.uk/copd-2017-18 admission (61.0% in 2017). 3 QI priority: Ensure that all current smokers are identified, offered, and if they accept, prescribed smoking cessation pharmacotherapy. (NICE [NG115] 1.2.3, 1.2.4) Rationale: Although the recording of smoking status has improved, the prescribing of smoking cessation pharmacotherapy remains poor. It is higher when the patient is seen by a respiratory specialist. Smoking cessation is the only intervention applicable to everyone with COPD that has a proven mortality benefit. ## Case Study: Queen Alexandra Hospital (Portsmouth Hospitals Nhs Trust)  Since September 2017 Queen Alexandra Hospital has had a designated COPD specialist team of nurses and physiotherapists who aim to review those admitted with an exacerbation of COPD within 24 hours of admission and ensure they are receiving optimal treatment.  All current smokers (including those who have smoked in the last 6 weeks, or who use an ecigarette/vape) receive very brief advice (VBA)*** on smoking and are offered nicotine replacement therapy (NRT) for use during their stay in hospital.  NRT is prescribed according to a trust NRT drug therapy guideline which assesses dependency and guides choice of single or dual NRT products.  Also, as part of the COPD discharge bundle, appropriate patients receive further VBA and are offered the opportunity to be referred to their local smoking cessation service.  Patients are discharged with a 2-week supply of NRT if they have agreed to a prescription during their hospital stay.  Local smoking cessation services often contact the patient within 24 hours of referral being sent. opportunistically in less than 30 seconds in almost any situation with a smoker. Tips to achieve this priority:  Take the opportunity at the time of hospital admission, a significant event, to emphasise the importance of smoking cessation.  Ensure smoking cessation pharmacotherapy is on the hospital formulary.  Provide early smoking cessation follow up for smokers who have successfully started a quit attempt during the admission. ## Section 7: Dyspnoea, Eosinopenia, Consolidation, Acidaemia And Atrial Fibrillation (Decaf) Score To see the data analysis in full, please access the data analysis and methodology report available at www.rcplondon.ac.uk/copd-2017-18  The **DECAF score** is a predictor of mortality in patients hospitalised with an acute exacerbation of COPD. It combines the five strongest predictors of mortality (extended Medical Research Council dyspnoea score, eosinopenia, consolidation, acidaemia and atrial fibrillation) and may assist clinical decision making with regard to hospital discharge, escalation of care or early discussion of palliative care.12  A **DECAF score** was recorded in **17.5%** of admissions compared with 14.5% reported in 2017.  The DECAF score was originally included as a dataset item to allow case mix adjustment. However as the score was so poorly completed it could not be used in this way. To see the recorded DECAF scores please refer to the data analysis and methodology report. ## Section 8: Discharge Processes To see the data analysis in full, please access the data analysis and methodology report available at www.rcplondon.ac.uk/copd-2017-18 The lowest number of discharges took place on a weekend (8.3% on Saturdays and 6.4% Follow up the dataset (18.8% in 2017). ## Recommendations For Providers We defined three key QI priorities for 2018. They were chosen on a strong evidence base for their effectiveness in improving outcomes. These priorities still stand as there is still further improvement required: 1. **QI priority 1:** Ensure that all patients requiring NIV on presentation receive it within 120 minutes of arrival for those patients who present acutely. (*BTS NIV QS4*) 2. **QI priority 2:** Ensure that a spirometry result is available for all patients admitted to hospital with an acute exacerbation of COPD. (*NICE [NG115] 1.1.4, NICE [QS10] statement 1*) 3. **QI priority 3:** Ensure that all current smokers are identified, offered, and if they accept, prescribed smoking cessation pharmacotherapy. (*NICE [NG115] 1.2.3, 1.2.4*) ## For Commissioners / Health Boards / Sustainability And Transformation Partnerships (Stps) And Integrated Care Systems (Icss) 1. Ensure all acute trusts/units are taking part in the audit, and using audit data to support QI. There should be sight of this at board level. 2. Support working across traditional primary, community and secondary care boundaries to facilitate information sharing of spirometry results therefore enabling seamless care. 3. Invest in high-value interventions with robust evidence of benefit in COPD, notably smoking cessation services and pulmonary rehabilitation†††. ## For Primary Care 1. Support data sharing across primary, community and secondary care teams, notably in the provision of diagnostic spirometry. ## For People Living With Copd And Their Families And Carers 1. For these recommendations please view the patient-specific report that can be downloaded here: www.rcplondon.ac.uk/copd-2017-18 Appendix A: NICE Quality standard [QS10] - Chronic obstructive pulmonary disease in adults Please note, in 2016 this quality standard was updated and statements prioritised in 2011 were either updated [2011, updated 2016] or replaced [new 2016]. To see the full quality standard please use the following link: www.nice.org.uk/guidance/qs10. | No. | |-----------------------------------------------------------------------------------------| | 1 | | | | People aged over 35 years who present with a risk factor and one or more symptoms of | | COPD have post-bronchodilator spirometry. | | | | [2011, updated 2016] | | | | 2 | | | | People with COPD who are prescribed an inhaler have their inhaler technique assessed | | when starting treatment and then regularly during treatment. | | | | [2011, updated 2016] | | | | 3 | | | | People with stable COPD and a persistent resting stable oxygen saturation level of 92% | | or less have their arterial blood gases measured to assess whether they need long-term | | oxygen therapy. | | | | [2011, updated 2016] | | | | 4 | | | | People with stable COPD and exercise limitation due to breathlessness are referred to a | | pulmonary rehabilitation programme. | | | | [2011, updated 2016] | | | | 5 | | | | People admitted to hospital for an acute exacerbation of COPD start a pulmonary | | rehabilitation programme within 4 weeks of discharge. | | | | [2011, updated 2016] | | | | 6 | | | | People receiving emergency oxygen for an acute exacerbation of COPD have oxygen | | saturation levels maintained between 88% and 92%. [new 2016] | | | | 7 | | | | People with an acute exacerbation of COPD and persistent acidotic hypercapnic | | ventilatory failure that is not improving after 1 hour of optimal medical therapy have | | non-invasive ventilation. | | | | [2011, updated 2016] | | | | 8 | | | | (Placeholder | | ‡‡‡ | | ) Hospital discharge care bundle. | | | | [new 2016] | | | ## Statements From The 2011 Quality Standard For Copd That May Still Be Useful At A Local Level, But Are No Longer Considered National Priorities For Improvement:  People with COPD have a current individualised comprehensive management plan, which includes high-quality information and educational material about the condition and its management, relevant to the stage of disease.  People with COPD have a comprehensive clinical and psychosocial assessment, at least once a year or more frequently if indicated, which includes degree of breathlessness, frequency of exacerbations, validated measures of health status and prognosis, presence of hypoxaemia and comorbidities.  People with COPD who smoke are regularly encouraged to stop and are offered the full range of evidence based smoking cessation support.  People who have had an exacerbation of COPD are provided with individualised written advice on early recognition of future exacerbations, management strategies (including appropriate provision of antibiotics and corticosteroids for self-treatment at home) and a named contact.  People with COPD receiving long term oxygen therapy are reviewed in accordance with NICE guidance, at least annually, by a specialist oxygen service as part of the integrated clinical management of their COPD.  People admitted to hospital with an exacerbation of COPD are cared for by a respiratory team, and have access to a specialist early supported discharge scheme with appropriate community support.  People admitted to hospital with an exacerbation of COPD are reviewed within 2 weeks of discharge.  People with advanced COPD, and their carers, are identified and offered palliative care that addresses physical, social and emotional needs. Appendix B: NICE guideline [NG115] - Chronic obstructive pulmonary disease in over 16s: diagnosis and management NICE clinical guideline [CG101], June 2010, was updated and replaced by NICE guideline [NG115] in December 2018. Below is a summary of the NICE guideline [NG115] sections that are referred to in this report. To see the full guideline please use the following link: www.nice.org.uk/guidance/NG115 Recommendations marked [2004] or [2010] last had an evidence review in 2004 or 2010. ## 1.1 Diagnosing Copd Spirometry 1.1.4 Perform spirometry:  at diagnosis  to reconsider the diagnosis, for people who show an exceptionally good response to treatment  to monitor disease progression. [2004, amended 2018] 1.1.5 Measure post-bronchodilator spirometry to confirm the diagnosis of COPD. [2010] 1.1.6 Think about alternative diagnoses or investigations for older people who have an FEV1/FVC ratio below 0.7 but do not have typical symptoms of COPD. [2010] 1.1.7 Think about a diagnosis of COPD in younger people who have symptoms of COPD, even when their FEV1/FVC ratio is above 0.7. [2010] 1.1.8 All healthcare professionals who care for people with COPD should have access to spirometry and be competent in interpreting the results. [2004] 1.1.9 Spirometry can be performed by any healthcare worker who has had appropriate training and has up-to-date skills. [2004] 1.1.10 Spirometry services should be supported by quality control processes. [2004] 1.1.11 It is recommended that GLI 2012 reference values are used, but it is recognised that these values are not applicable for all ethnic groups. [2004, amended 2018] Referral for specialist advice 1.1.30 When clinically indicated, refer people for specialist advice. Referral may be appropriate at all stages of the disease and not solely in the most severely disabled people. [2004] 1.1.31 People who are referred do not always have to be seen by a respiratory physician. In some cases they may be seen by members of the COPD team who have appropriate training and expertise. [2004] ## 1.2 Managing Stable Copd 1.2.1 For guidance on the management of multimorbidity, see the NICE guideline on multimorbidity. [2018] Smoking cessation 1.2.2 Document an up-to-date smoking history, including pack years smoked (number of cigarettes smoked per day, divided by 20, multiplied by the number of years smoked) for everyone with COPD. [2004] 1.2.3 At every opportunity, advise and encourage every person with COPD who is still smoking (regardless of their age) to stop, and offer them help to do so. [2004] 1.2.4 Unless contraindicated, offer nicotine replacement therapy, varenicline or bupropion as appropriate to people who want to stop smoking, combined with an appropriate support programme to optimise smoking quit rates for people with COPD. [2010] 1.2.5 For more guidance on helping people to quit smoking, see the NICE guideline on stop smoking interventions and services. [2010] 1.2.6 For more guidance on varenicline, see the NICE technology appraisal guidance on varenicline for smoking cessation. [2010] Non-invasive ventilation 1.2.70 Refer people who are adequately treated but have chronic hypercapnic respiratory failure and have needed assisted ventilation (whether invasive or non-invasive) during an exacerbation, or who are hypercapnic or acidotic on long-term oxygen therapy, to a specialist centre for consideration of long-term non-invasive ventilation. [2004] ## 1.3 Management Of Exacerbations Of Copd Oxygen therapy during exacerbations of COPD 1.3.27 Measure oxygen saturation in people with an exacerbation if there are no facilities to measure arterial blood gases. [2004] 1.3.28 If necessary, prescribe oxygen to keep the oxygen saturation of arterial blood (SaO2) within the individualised target range. [2010] 1.3.29 Pulse oximeters should be available to all healthcare professionals involved in the care of people with exacerbations of COPD, and they should be trained in their use. Clinicians should be aware that pulse oximetry gives no information about the PaCO2 or pH. [2004] 1.3.30 Measure arterial blood gases and note the inspired oxygen concentration in all people who arrive at hospital with an exacerbation of COPD. Repeat arterial blood gas measurements regularly, according to the response to treatment. [2004] ## Non-Invasive Ventilation (Niv) And Copd Exacerbations 1.3.31 Use NIV as the treatment of choice for persistent hypercapnic ventilatory failure during exacerbations despite optimal medical therapy. [2004] 1.3.32 It is recommended that NIV should be delivered in a dedicated setting, with staff who have been trained in its application, who are experienced in its use and who are aware of its limitations. [2004] 1.3.33 When people are started on NIV, there should be a clear plan covering what to do in the event of deterioration, and ceilings of therapy should be agreed. [2004] Discharge planning 1.3.42 Measure spirometry in all people before discharge. [2004] 1.3.43 Re-establish people on their optimal maintenance bronchodilator therapy before discharge. [2004] 1.3.44 People who have had an episode of respiratory failure should have satisfactory oximetry or arterial blood gas results before discharge. [2004] 1.3.45 Assess all aspects of the routine care that people receive (including appropriateness and risk of side effects) before discharge. [2004] 1.3.46 Give people (or home carers) appropriate information to enable them to fully understand the correct use of medications, including oxygen, before discharge. [2004] 1.3.47 Make arrangements for follow-up and home care (such as visiting nurse, oxygen delivery or referral for other support) before discharge. [2004] 1.3.48 The person, their family and their physician should be confident that they can manage successfully before they are discharged. A formal activities of daily living assessment may be helpful when there is still doubt. [2004] Appendix C: British Thoracic Society (BTS) Quality Standards for acute NIV in adults Below is a summary of the BTS NIV Quality Standards, published April 2018, that are referred to within this report. To see the full standards and rationales please use the following link: www.britthoracic.org.uk/standards-of-care/quality-standards/bts-niv-quality-standards/. | No. | Quality statement | |-----------------------------------------------------------------------------------------|----------------------| | 1 | | | Acute non-invasive ventilation (NIV) should be offered to all patients who meet | | | evidence based criteria. Hospitals must ensure there is adequate capacity to provide | | | NIV to all eligible patients. | | | | | | 2 | | | All staff who prescribe, initiate or make changes to acute NIV treatment should have | | | evidence of training and maintenance of competencies appropriate for their role. | | | | | | 3 | | | Acute NIV should only be carried out in specified clinical areas designated for the | | | delivery of acute NIV. | | | | | | 4 | | | Patients who meet evidence-based criteria for acute NIV should start NIV within 60 min | | | of the blood gas result associated with the clinical decision to provide NIV and within | | | 120 min of hospital arrival for patients who present acutely. | | | | | | 5 | | | All patients should have a documented escalation plan before starting treatment with | | | acute NIV. Clinical progress should be reviewed by a healthcare professional with | | | appropriate training and competence within 4 hours of starting NIV and by a consultant | | | with training and competence in acute NIV within 14 hours of starting acute NIV. | | | 6 | | | All patients treated with acute NIV should have blood gas analysis performed within 2 | | | hours of starting acute NIV. Failure of these blood gas measurements to improve | | | should trigger specialist healthcare professional review within 30 min. | | | | | | | | | | | | | | | | | ## Appendix D: Document Purpose Document purpose To disseminate the results of the national COPD clinical audit of people with COPD exacerbations admitted to acute hospitals in England and Wales 2017/18. Title COPD clinical audit 2017/18. Authors National Asthma and Chronic Obstructive Pulmonary Disease Audit Programme (NACAP), Royal College of Physicians 9 May 2019 Publication date Audience Healthcare professionals; NHS managers, chief executives and board members; service commissioners; policymakers and voluntary organisations. Description This report presents the results of the cohort of patients discharged between 14 September 2017 and 30 September 2018. The information, key findings and recommendations outlined in the report are designed to provide readers with a basis for identifying areas that are in need of change and to facilitate the development of improvement programmes that are relevant not only to secondary care providers but also to commissioners and policymakers. There is no scheduled review date for the report. Supersedes Stone RA, McMillan V, K Mortier, Holzhauer-Barrie J, Robinson S, Stone P, Quint J, Roberts CM. COPD: Working together. National Chronic Obstructive Pulmonary Disease (COPD) Audit Programme: Clinical audit of COPD exacerbations admitted to acute hospitals in England and Wales 2017. National clinical audit report. London: RCP, April 2018. Contact COPD@rcplondon.ac.uk ## Appendix E: References 1 National Institute for Health and Care Excellence. Chronic obstructive pulmonary disease in adults. *NICE Quality standard 10 (QS10)*. London: NICE, 2016. www.nice.org.uk/Guidance/QS10 [Accessed December 2018] 2 National Institute for Health and Care Excellence. Chronic obstructive pulmonary disease in adults. *NICE Quality standard 10 (QS10)*. 2011 edition. London: NICE, 2011. www.nice.org.uk/Guidance/QS10 [Accessed December 2018] 3 National Institute for Health and Care Excellence. Chronic obstructive pulmonary disease in over 16s: diagnosis and management. *NICE Guideline 115 (NG115)*. London: NICE, 2018. www.nice.org.uk/guidance/NG115 [Accessed December 2018] 4 Davies M, Allen M, Bentley A *et al*. British Thoracic Society Quality Standards for acute noninvasive ventilation in adults. *BMJ Open Respiratory Research* 2018;5:e000283. 5 World Health Organization. Chronic Respiratory Diseases, Burden of COPD. www.who.int/respiratory/copd/burden/en/ [Accessed January 2019] 6 British Lung Foundation. Chronic obstructive pulmonary disease (COPD) statistics. https://statistics.blf.org.uk/copd [Accessed January 2019] 7 Anstey K, Lowe D, Roberts CM and Hosker H. *Report of the 2003 National COPD Audit*. London: RCP and BTS 2004. 8 Buckingham RJ, Lowe D, Pursey NA et al. Report of The National Chronic Obstructive Pulmonary Disease Audit 2008: clinical audit of COPD exacerbations admitted to acute NHS units across the UK. London: RCP, BTS and BLF 2008. 9 Hartl S, Lopez-Campos JL, Pozo-Rodriguez F *et al*. Risk of death and readmission of hospitaladmitted COPD exacerbations: European COPD Audit. *European Respiratory Journal* 2016;47:113–21. 10 British Lung Foundation. *Lung disease in the UK - Big picture statistics*. https://statistics.blf.org.uk/lung-disease-uk-big-picture [Accessed April 2019]. 11 Roberts CM, Stone RA, Buckingham RJ *et al*. Acidosis, non-invasive ventilation and mortality in hospitalised COPD exacerbations. *Thorax* 2011;66:43–8. 12 Steer J, Gibson J, Bourke SC. The DECAF score: predicting hospital mortality in exacerbations of chronic obstructive pulmonary disease. *Thorax* 2012;67:970–6. ## National Asthma And Copd Audit Programme (Nacap) Royal College of Physicians 11 St Andrews Place Regent's Park London NW1 4LE Tel: +44 (020) 3075 1526 Email: copd@rcplondon.ac.uk www.rcplondon.ac.uk/nacap @NACAPaudit #COPDaudit #COPDauditQI

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RUN AT 05/11/2018 10:41:58 | Department family | Entity | Date | Expense Type | Expense area | Supplier | Transaction number | AP Amount (£) | |----------------------|------------------------------|------------|---------------------------------------------------------------|-------------------------------------------|-----------------------------------------------------------|----------------------|-----------------| | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS DES Minor Surgery | PRC DELEGATED CO-COMMISSIONING | ACORN MEDICAL PRACTICE | 24330183 | 2,087.01 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Global Sum | PRC DELEGATED CO-COMMISSIONING | ACORN MEDICAL PRACTICE | 24330183 | 22,187.02 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS MPIG Correction Factor | PRC DELEGATED CO-COMMISSIONING | ACORN MEDICAL PRACTICE | 24330183 | 454.54 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Prem Clinical Waste | PRC DELEGATED CO-COMMISSIONING | ACORN MEDICAL PRACTICE | 24330183 | 539.57 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Prem Notional Rent | PRC DELEGATED CO-COMMISSIONING | ACORN MEDICAL PRACTICE | 24330183 | 4,333.33 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | ACORN MEDICAL PRACTICE | 24330183 | 2,319.10 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | ME-GMS GP Prior Year EEs | PRC DELEGATED CO-COMMISSIONING | ACORN MEDICAL PRACTICE | 24330183 | 534.93 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Travel Booking Services | PATIENT TRANSPORT | ARRIVA TRANSPORT SOLUTIONS | 24135848 | 26,912.03 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Travel Booking Services | PATIENT TRANSPORT | ARRIVA TRANSPORT SOLUTIONS | 24135853 | 90,747.15 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS DES Minor Surgery | PRC DELEGATED CO-COMMISSIONING | ASHFIELD HOUSE SURGERY | 24330168 | 657.92 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Global Sum | PRC DELEGATED CO-COMMISSIONING | ASHFIELD HOUSE SURGERY | 24330168 | 53,685.06 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Prem Notional Rent | PRC DELEGATED CO-COMMISSIONING | ASHFIELD HOUSE SURGERY | 24330168 | 2,833.33 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | ASHFIELD HOUSE SURGERY | 24330168 | 5,513.85 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Clinical&Medical-Independent Sector - Over/ Under Performance | ACUTE COMMISSIONING | BMI HEALTHCARE COLLECTIONS | 24102501 | 37,597.81 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Clinical&Medical-Independent Sector | ACUTE COMMISSIONING | BMI HEALTHCARE COLLECTIONS | 24283603 | 133,635.38 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-APMS Contract Value | PRC DELEGATED CO-COMMISSIONING | BULL FARM PRIMARY CARE CENTRE | 24238996 | 26,276.94 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-APMS DES Minor Surgery | PRC DELEGATED CO-COMMISSIONING | BULL FARM PRIMARY CARE CENTRE | 24238996 | 87.86 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-APMS Prem Actual Rent | PRC DELEGATED CO-COMMISSIONING | BULL FARM PRIMARY CARE CENTRE | 24238996 | 9,605.02 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-APMS Prem Rates | PRC DELEGATED CO-COMMISSIONING | BULL FARM PRIMARY CARE CENTRE | 24238996 | 749.32 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-APMS Prem Water Rates | PRC DELEGATED CO-COMMISSIONING | BULL FARM PRIMARY CARE CENTRE | 24238996 | 98.91 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS List Size Adjustment | PRC DELEGATED CO-COMMISSIONING | BULL FARM PRIMARY CARE CENTRE | 24238996 | 919.86 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | BULL FARM PRIMARY CARE CENTRE | 24238996 | 2,313.23 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Clinical&Medical-Independent Sector | ACUTE COMMISSIONING | CARE UK CLINICAL SERVICES LTD | 24283610 | 56,611.13 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Clinical&Medical-Independent Sector - Over/ Under Performance | ACUTE COMMISSIONING | CARE UK CLINICAL SERVICES LTD | 24376357 | 42,142.56 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Hcare Srv Rec Fdtn Trust-CQUIN | ACUTE COMMISSIONING | CHESTERFIELD ROYAL HOSPITAL NHS FOUNDATION TRUST | 24283630 | 880.00 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Hcare Srv Rec Fdtn Trust-Contract Baseline | ACUTE COMMISSIONING | CHESTERFIELD ROYAL HOSPITAL NHS FOUNDATION TRUST | 24283630 | 76,389.00 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS DES Learn Dsblty Hlth Chk | PRC DELEGATED CO-COMMISSIONING | CHURCHSIDE MEDICAL PRACTICE | 24346984 | 280.00 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS DES Minor Surgery | PRC DELEGATED CO-COMMISSIONING | CHURCHSIDE MEDICAL PRACTICE | 24346984 | 1,444.54 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Global Sum | PRC DELEGATED CO-COMMISSIONING | CHURCHSIDE MEDICAL PRACTICE | 24346984 | 50,071.79 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS PCO Locum Adop/Pat/Mat | PRC DELEGATED CO-COMMISSIONING | CHURCHSIDE MEDICAL PRACTICE | 24346984 | 6,331.23 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Prem Clinical Waste | PRC DELEGATED CO-COMMISSIONING | CHURCHSIDE MEDICAL PRACTICE | 24346984 | 90.30 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Prem Other | PRC DELEGATED CO-COMMISSIONING | CHURCHSIDE MEDICAL PRACTICE | 24346984 | 480.50 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | CHURCHSIDE MEDICAL PRACTICE | 24346984 | 4,054.04 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-Independent Sector - CQUIN | CLINICAL ASSESSMENT AND TREATMENT CENTRES | CIRCLE NOTTINGHAM LTD | 24283569 | 2,096.64 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Clinical&Medical-Commercial Sector | CLINICAL ASSESSMENT AND TREATMENT CENTRES | CIRCLE NOTTINGHAM LTD | 24283569 | 85,884.75 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Rent | RECHARGES NHS PROPERTY SERVICES LTD | COMMUNITY HEALTH PARTNERSHIPS LTD | 24258481 | 103,136.00 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Hcare Srv Rec Fdtn Trust-CQUIN | COMMUNITY SERVICES | DERBYSHIRE COMMUNITY HEALTH SERVICES NHS FOUNDATION TRUST | 24464395 | 197.00 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Hcare Srv Rec Fdtn Trust-CQUIN | LEARNING DIFFICULTIES | DERBYSHIRE COMMUNITY HEALTH SERVICES NHS FOUNDATION TRUST | 24464395 | 130.00 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Hcare Srv Rec Fdtn Trust-Contract Baseline | COMMUNITY SERVICES | DERBYSHIRE COMMUNITY HEALTH SERVICES NHS FOUNDATION TRUST | 24464395 | 15,820.00 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Hcare Srv Rec Fdtn Trust-Contract Baseline | LEARNING DIFFICULTIES | DERBYSHIRE COMMUNITY HEALTH SERVICES NHS FOUNDATION TRUST | 24464395 | 10,424.00 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Clinical&Medical-Not For Profit | NHS 111 | DHU HEALTH CARE CIC | 24135799 | 166,257.05 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Hcare Srv Rec Fdtn Trust-CQUIN | ACUTE COMMISSIONING | DONCASTER AND BASSETLAW HOSPITALS NHS FOUNDATION TRUST | 24283609 | 622.00 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Hcare Srv Rec Fdtn Trust-Contract Baseline | ACUTE COMMISSIONING | DONCASTER AND BASSETLAW HOSPITALS NHS FOUNDATION TRUST | 24283609 | 53,632.00 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Hcare Srv Rec NHS Trust-CQUIN | AMBULANCE SERVICES | EAST MIDLANDS AMBULANCE SERVICE NHS TRUST | 24283607 | 7,107.00 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Hcare Srv Rec NHS Trust-Contract Baseline | AMBULANCE SERVICES | EAST MIDLANDS AMBULANCE SERVICE NHS TRUST | 24283607 | 568,507.00 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Hcare Srv Rec NHS Trust-Contract Baseline | AMBULANCE SERVICES | EAST MIDLANDS AMBULANCE SERVICE NHS TRUST | 24283626 | 66,570.00 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS DES Minor Surgery | PRC DELEGATED CO-COMMISSIONING | FAMILY MEDICAL CENTRE | 24330174 | 395.37 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Global Sum | PRC DELEGATED CO-COMMISSIONING | FAMILY MEDICAL CENTRE | 24330174 | 35,804.28 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Prem Notional Rent | PRC DELEGATED CO-COMMISSIONING | FAMILY MEDICAL CENTRE | 24330174 | 4,958.00 | |------------------------|--------------------------------|--------------|-------------------------------------|---------------------------------------------|---------------------------------------------|------------|------------| | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | FAMILY MEDICAL CENTRE | 24330174 | 3,428.15 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS Contract Value | PRC DELEGATED CO-COMMISSIONING | HARWOOD CLOSE SURGERY | 24215204 | 72,995.55 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS Funding Differential Review | PRC DELEGATED CO-COMMISSIONING | HARWOOD CLOSE SURGERY | 24215204 | 17.20 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS List Size Adjustment | PRC DELEGATED CO-COMMISSIONING | HARWOOD CLOSE SURGERY | 24215204 | 261.24 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | HARWOOD CLOSE SURGERY | 24215204 | 4,503.78 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS Contract Value | PRC DELEGATED CO-COMMISSIONING | HEALTH CARE COMPLEX | 24215218 | 34,215.33 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS DES Minor Surgery | PRC DELEGATED CO-COMMISSIONING | HEALTH CARE COMPLEX | 24215218 | 1,136.00 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS Prem Clinical Waste | PRC DELEGATED CO-COMMISSIONING | HEALTH CARE COMPLEX | 24215218 | 259.58 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS Prem Notional Rent | PRC DELEGATED CO-COMMISSIONING | HEALTH CARE COMPLEX | 24215218 | 3,133.33 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | HEALTH CARE COMPLEX | 24215218 | 3,312.34 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Global Sum | PRC DELEGATED CO-COMMISSIONING | HUTHWAITE MEDICAL PRACTICE | 24330177 | 74,678.06 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | HUTHWAITE MEDICAL PRACTICE | 24330177 | 7,217.48 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Clinical&Medical-Independent Sector | IMPROVING ACCESS TO PSYCHOLOGICAL THERAPIES | INSIGHT HEALTHCARE LTD | 24248367 | 30,124.50 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS Contract Value | PRC DELEGATED CO-COMMISSIONING | JACKSDALE MEDICAL CENTRE | 24215220 | 32,332.65 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS DES Minor Surgery | PRC DELEGATED CO-COMMISSIONING | JACKSDALE MEDICAL CENTRE | 24215220 | 1,091.04 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS List Size Adjustment | PRC DELEGATED CO-COMMISSIONING | JACKSDALE MEDICAL CENTRE | 24215220 | 672.48 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS Prem Clinical Waste | PRC DELEGATED CO-COMMISSIONING | JACKSDALE MEDICAL CENTRE | 24215220 | 392.41 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS Prem Notional Rent | PRC DELEGATED CO-COMMISSIONING | JACKSDALE MEDICAL CENTRE | 24215220 | 1,883.33 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | JACKSDALE MEDICAL CENTRE | 24215220 | 2,716.34 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-APMS Contract Value | PRC DELEGATED CO-COMMISSIONING | KIRKBY COMMUNITY PRIMARY CARE CENTRE (PICS) | 24215222 | 40,891.90 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-APMS DES Minor Surgery | PRC DELEGATED CO-COMMISSIONING | KIRKBY COMMUNITY PRIMARY CARE CENTRE (PICS) | 24215222 | 3,583.72 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-APMS Other Baseline Adjustment | PRC DELEGATED CO-COMMISSIONING | KIRKBY COMMUNITY PRIMARY CARE CENTRE (PICS) | 24215222 | 20,333.33 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | KIRKBY COMMUNITY PRIMARY CARE CENTRE (PICS) | 24215222 | 4,668.95 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS DES Minor Surgery | PRC DELEGATED CO-COMMISSIONING | KIRKBY HEALTH CENTRE | 24330166 | 351.44 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Global Sum | PRC DELEGATED CO-COMMISSIONING | KIRKBY HEALTH CENTRE | 24330166 | 35,201.81 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Prem Clinical Waste | PRC DELEGATED CO-COMMISSIONING | KIRKBY HEALTH CENTRE | 24330166 | 304.74 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Prem Notional Rent | PRC DELEGATED CO-COMMISSIONING | KIRKBY HEALTH CENTRE | 24330166 | 6,100.00 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | KIRKBY HEALTH CENTRE | 24330166 | 3,109.44 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Global Sum | PRC DELEGATED CO-COMMISSIONING | MEDEN MEDICAL SERVICES | 24330161 | 55,265.28 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Prem Actual Rent | PRC DELEGATED CO-COMMISSIONING | MEDEN MEDICAL SERVICES | 24330161 | 10,074.06 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Prem Notional Rent | PRC DELEGATED CO-COMMISSIONING | MEDEN MEDICAL SERVICES | 24330161 | 4,707.75 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Prem Rates | PRC DELEGATED CO-COMMISSIONING | MEDEN MEDICAL SERVICES | 24330161 | 821.34 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Prem Water Rates | PRC DELEGATED CO-COMMISSIONING | MEDEN MEDICAL SERVICES | 24330161 | 70.00 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | MEDEN MEDICAL SERVICES | 24330161 | 4,625.01 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS DES Extended Hours Access | PRC DELEGATED CO-COMMISSIONING | MILL VIEW SURGERY | 24346986 | 4,011.85 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS DES Minor Surgery | PRC DELEGATED CO-COMMISSIONING | MILL VIEW SURGERY | 24346986 | 788.68 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Global Sum | PRC DELEGATED CO-COMMISSIONING | MILL VIEW SURGERY | 24346986 | 77,759.48 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Prem Clinical Waste | PRC DELEGATED CO-COMMISSIONING | MILL VIEW SURGERY | 24346986 | 150.18 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Prem Notional Rent | PRC DELEGATED CO-COMMISSIONING | MILL VIEW SURGERY | 24346986 | 5,479.17 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Prem Water Rates | PRC DELEGATED CO-COMMISSIONING | MILL VIEW SURGERY | 24346986 | 243.03 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | MILL VIEW SURGERY | 24346986 | 6,534.90 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Clinical&Medical-Not For Profit | OUT OF HOURS | NEMS COMMUNITY BENEFIT SERVICE | 24283635 | 204,883.45 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Basic Sal-Rechgs to-from Other NHS | FINANCE | NHS NEWARK & SHERWOOD CCG | 24090375 | 22,992.19 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | E'ers NHI-Rechgs to-from Other NHS | FINANCE | NHS NEWARK & SHERWOOD CCG | 24090375 | 2,528.08 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | E'ers Pen-Rechgs to-from Other NHS | FINANCE | NHS NEWARK & SHERWOOD CCG | 24090375 | 2,658.49 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Recharge : Provided | FINANCE | NHS NEWARK & SHERWOOD CCG | 24090375 | 381.70 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Basic Sal-Rechgs to-from Other NHS | PRIMARY CARE INVESTMENTS | NHS NEWARK & SHERWOOD CCG | 24090377 | 29,834.21 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | E'ers NHI-Rechgs to-from Other NHS | PRIMARY CARE INVESTMENTS | NHS NEWARK & SHERWOOD CCG | 24090377 | 3,089.02 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | E'ers Pen-Rechgs to-from Other NHS | PRIMARY CARE INVESTMENTS | NHS NEWARK & SHERWOOD CCG | 24090377 | 4,290.17 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Recharge : Provided | PRIMARY CARE INVESTMENTS | NHS NEWARK & SHERWOOD CCG | 24090377 | 691.34 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Basic Sal-Rechgs to-from Other NHS | PRIMARY CARE SUPPORT | NHS NEWARK & SHERWOOD CCG | 24090380 | 20,732.74 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | E'ers NHI-Rechgs to-from Other NHS | PRIMARY CARE SUPPORT | NHS NEWARK & SHERWOOD CCG | 24090380 | 2,346.64 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | E'ers Pen-Rechgs to-from Other NHS | PRIMARY CARE SUPPORT | NHS NEWARK & SHERWOOD CCG | 24090380 | 1,995.02 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Recharge : Provided | PRIMARY CARE SUPPORT | NHS NEWARK & SHERWOOD CCG | 24090380 | 323.10 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Basic Sal-Rechgs to-from Other NHS | CEO/ BOARD OFFICE | NHS NEWARK & SHERWOOD CCG | 24090382 | 19,467.00 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | E'ers NHI-Rechgs to-from Other NHS | CEO/ BOARD OFFICE | NHS NEWARK & SHERWOOD CCG | 24090382 | 2,594.79 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | E'ers Pen-Rechgs to-from Other NHS | CEO/ BOARD OFFICE | NHS NEWARK & SHERWOOD CCG | 24090382 | 2,799.36 | |------------------------|--------------------------------|--------------|--------------------------------------------|---------------------------------------------|-------------------------------------------|------------|--------------| | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Recharge : Provided | CEO/ BOARD OFFICE | NHS NEWARK & SHERWOOD CCG | 24090382 | 599.40 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Basic Sal-Rechgs to-from Other NHS | PROGRAMME PROJECTS | NHS NEWARK & SHERWOOD CCG | 24090385 | 29,593.70 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | E'ers NHI-Rechgs to-from Other NHS | PROGRAMME PROJECTS | NHS NEWARK & SHERWOOD CCG | 24090385 | 3,567.19 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | E'ers Pen-Rechgs to-from Other NHS | PROGRAMME PROJECTS | NHS NEWARK & SHERWOOD CCG | 24090385 | 4,275.09 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Recharge : Provided | PROGRAMME PROJECTS | NHS NEWARK & SHERWOOD CCG | 24090385 | 206.82 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Basic Sal-Rechgs to-from Other NHS | Nursing and Quality Programme | NHS NEWARK & SHERWOOD CCG | 24090399 | 60,686.48 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | E'ers NHI-Rechgs to-from Other NHS | NURSING AND QUALITY PROGRAMME | NHS NEWARK & SHERWOOD CCG | 24090399 | 6,680.61 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | E'ers Pen-Rechgs to-from Other NHS | NURSING AND QUALITY PROGRAMME | NHS NEWARK & SHERWOOD CCG | 24090399 | 8,263.02 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Recharge : Provided | NURSING AND QUALITY PROGRAMME | NHS NEWARK & SHERWOOD CCG | 24090399 | 158.06 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Clinical&Medical-Serv Recd-CCGs | LEARNING DIFFICULTIES | NHS NEWARK & SHERWOOD CCG | 24262027 | 229,843.00 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Rent | ESTATES AND FACILITIES | NHS PROPERTY SERVICES LTD | 24258482 | 25,584.00 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Rent | RECHARGES NHS PROPERTY SERVICES LTD | NHS PROPERTY SERVICES LTD | 24258482 | 114,667.00 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Clinical&Medical-Serv Recd-CCGs | COMMUNITY SERVICES | NHS RUSHCLIFFE CCG | 24283659 | 236,157.07 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Hcare Srv Rec NHS Trust-CQUIN | ACUTE COMMISSIONING | NOTTINGHAM UNIVERSITY HOSPITALS NHS TRUST | 24283623 | 25,263.00 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Hcare Srv Rec NHS Trust-Contract Baseline | ACUTE COMMISSIONING | NOTTINGHAM UNIVERSITY HOSPITALS NHS TRUST | 24283623 | 1,045,736.00 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-Independent Sector - CQUIN | ACUTE COMMISSIONING | NOTTINGHAM WOODTHORPE HOSPITAL | 24283589 | 396.84 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Clinical&Medical-Independent Sector | ACUTE COMMISSIONING | NOTTINGHAM WOODTHORPE HOSPITAL | 24283589 | 31,747.04 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Clinical&Medical-Othe Public Sector | PROGRAMME PROJECTS | NOTTINGHAMSHIRE COUNTY COUNCIL | 24117526 | 414,453.00 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Clinical&Medical-Clinical Other | CHC ADULT FULLY FUNDED | NOTTINGHAMSHIRE COUNTY COUNCIL | 24466214 | 1,000,000.00 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Hcare Srv Rec Fdtn Trust-Non Contract | IMPROVING ACCESS TO PSYCHOLOGICAL THERAPIES | NOTTINGHAMSHIRE HEALTHCARE NHS TRUST | 24246967 | 50,552.00 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Hcare Srv Rec Fdtn Trust-Non Contract | IMPROVING ACCESS TO PSYCHOLOGICAL THERAPIES | NOTTINGHAMSHIRE HEALTHCARE NHS TRUST | 24248057 | 68,596.50 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Hcare Srv Rec Fdtn Trust-Contract Baseline | COMMUNITY SERVICES | NOTTINGHAMSHIRE HEALTHCARE NHS TRUST | 24283598 | 1,356,473.00 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Hcare Srv Rec Fdtn Trust-CQUIN | MENTAL HEALTH CONTRACTS | NOTTINGHAMSHIRE HEALTHCARE NHS TRUST | 24283601 | 40,465.73 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Hcare Srv Rec Fdtn Trust-Contract Baseline | MENTAL HEALTH CONTRACTS | NOTTINGHAMSHIRE HEALTHCARE NHS TRUST | 24283601 | 1,624,795.84 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS Contract Value | PRC DELEGATED CO-COMMISSIONING | OAKWOOD SURGERY | 24215206 | 111,334.93 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS DES Minor Surgery | PRC DELEGATED CO-COMMISSIONING | OAKWOOD SURGERY | 24215206 | 3,282.39 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS Prem Actual Rent | PRC DELEGATED CO-COMMISSIONING | OAKWOOD SURGERY | 24215206 | 2,812.33 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS Prem Clinical Waste | PRC DELEGATED CO-COMMISSIONING | OAKWOOD SURGERY | 24215206 | 112.78 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS Prem Rates | PRC DELEGATED CO-COMMISSIONING | OAKWOOD SURGERY | 24215206 | 1,097.49 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS Prem Water Rates | PRC DELEGATED CO-COMMISSIONING | OAKWOOD SURGERY | 24215206 | 2,994.30 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | OAKWOOD SURGERY | 24215206 | 11,915.28 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS GP Statutory Levy | PRC DELEGATED CO-COMMISSIONING | ORCHARD MEDICAL PRACTICE | 24215211 | (627.17) | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS Out of Hours Opt Outs | PRC DELEGATED CO-COMMISSIONING | ORCHARD MEDICAL PRACTICE | 24215211 | (6,932.53) | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS Voluntary Levy | PRC DELEGATED CO-COMMISSIONING | ORCHARD MEDICAL PRACTICE | 24215211 | (94.35) | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | ME - PMS GP Prior Year ERs | PRC DELEGATED CO-COMMISSIONING | ORCHARD MEDICAL PRACTICE | 24215211 | (1,294.20) | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | ME-PMS GP Pension EEs-PMS | PRC DELEGATED CO-COMMISSIONING | ORCHARD MEDICAL PRACTICE | 24215211 | (10,317.91) | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | ME-PMS GP Pension ERs Adjs - PMS | PRC DELEGATED CO-COMMISSIONING | ORCHARD MEDICAL PRACTICE | 24215211 | (10,796.97) | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | ME-PMS GP Prior Year EEs | PRC DELEGATED CO-COMMISSIONING | ORCHARD MEDICAL PRACTICE | 24215211 | (837.00) | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS Contract Value | PRC DELEGATED CO-COMMISSIONING | ORCHARD MEDICAL PRACTICE | 24215212 | 154,310.52 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS DES Minor Surgery | PRC DELEGATED CO-COMMISSIONING | ORCHARD MEDICAL PRACTICE | 24215212 | 2,798.13 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS List Size Adjustment | PRC DELEGATED CO-COMMISSIONING | ORCHARD MEDICAL PRACTICE | 24215212 | 1,583.02 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS Prem Actual Rent | PRC DELEGATED CO-COMMISSIONING | ORCHARD MEDICAL PRACTICE | 24215212 | 22,907.42 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS Prem Rates | PRC DELEGATED CO-COMMISSIONING | ORCHARD MEDICAL PRACTICE | 24215212 | 960.85 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | ORCHARD MEDICAL PRACTICE | 24215212 | 14,585.69 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | ME - PMS GP Prior Year ERs | PRC DELEGATED CO-COMMISSIONING | ORCHARD MEDICAL PRACTICE | 24215212 | 2,276.84 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | ME-PMS GP Pension EEs Adjs - PMS | PRC DELEGATED CO-COMMISSIONING | ORCHARD MEDICAL PRACTICE | 24215212 | 5,343.75 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | ME-PMS GP Pension ERs Adjs - PMS | PRC DELEGATED CO-COMMISSIONING | ORCHARD MEDICAL PRACTICE | 24215212 | 5,692.10 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | ME-PMS GP Prior Year EEs | PRC DELEGATED CO-COMMISSIONING | ORCHARD MEDICAL PRACTICE | 24215212 | 2,137.50 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS DES Minor Surgery | PRC DELEGATED CO-COMMISSIONING | PLEASLEY SURGERY | 24330181 | 263.58 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Global Sum | PRC DELEGATED CO-COMMISSIONING | PLEASLEY SURGERY | 24330181 | 30,773.31 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Prem Clinical Waste | PRC DELEGATED CO-COMMISSIONING | PLEASLEY SURGERY | 24330181 | 180.60 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Prem Notional Rent | PRC DELEGATED CO-COMMISSIONING | PLEASLEY SURGERY | 24330181 | 2,750.00 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | PLEASLEY SURGERY | 24330181 | 2,479.40 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS Contract Value | PRC DELEGATED CO-COMMISSIONING | RIVERBANK MEDICAL SERVICES | 24215208 | 38,300.45 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS DES Learn Dsblty Hlth Chk | PRC DELEGATED CO-COMMISSIONING | RIVERBANK MEDICAL SERVICES | 24215208 | 1,400.00 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS DES Minor Surgery | PRC DELEGATED CO-COMMISSIONING | RIVERBANK MEDICAL SERVICES | 24215208 | 523.04 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS Prem Actual Rent | PRC DELEGATED CO-COMMISSIONING | RIVERBANK MEDICAL SERVICES | 24215208 | 12,024.11 | |------------------------|--------------------------------|--------------|--------------------------------------------------|---------------------------------------------|---------------------------------------------------|------------|--------------| | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS Prem Clinical Waste | PRC DELEGATED CO-COMMISSIONING | RIVERBANK MEDICAL SERVICES | 24215208 | 91.66 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS Prem Rates | PRC DELEGATED CO-COMMISSIONING | RIVERBANK MEDICAL SERVICES | 24215208 | 980.32 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS Prem Water Rates | PRC DELEGATED CO-COMMISSIONING | RIVERBANK MEDICAL SERVICES | 24215208 | 83.55 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | RIVERBANK MEDICAL SERVICES | 24215208 | 3,816.26 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS DES Minor Surgery | PRC DELEGATED CO-COMMISSIONING | ROSEMARY STREET HEALTH CENTRE | 24330163 | 8,538.54 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Global Sum | PRC DELEGATED CO-COMMISSIONING | ROSEMARY STREET HEALTH CENTRE | 24330163 | 118,760.91 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Prem Clinical Waste | PRC DELEGATED CO-COMMISSIONING | ROSEMARY STREET HEALTH CENTRE | 24330163 | 2,200.52 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Prem Notional Rent | PRC DELEGATED CO-COMMISSIONING | ROSEMARY STREET HEALTH CENTRE | 24330163 | 9,895.83 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Prem Rates | PRC DELEGATED CO-COMMISSIONING | ROSEMARY STREET HEALTH CENTRE | 24330163 | 2,030.36 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Prem Water Rates | PRC DELEGATED CO-COMMISSIONING | ROSEMARY STREET HEALTH CENTRE | 24330163 | 42.00 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | ROSEMARY STREET HEALTH CENTRE | 24330163 | 10,995.60 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS DES Minor Surgery | PRC DELEGATED CO-COMMISSIONING | ROUNDWOOD SURGERY | 24330170 | 1,096.19 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Global Sum | PRC DELEGATED CO-COMMISSIONING | ROUNDWOOD SURGERY | 24330170 | 103,838.21 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Prem Actual Rent | PRC DELEGATED CO-COMMISSIONING | ROUNDWOOD SURGERY | 24330170 | 586.67 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Prem Notional Rent | PRC DELEGATED CO-COMMISSIONING | ROUNDWOOD SURGERY | 24330170 | 10,741.67 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | ROUNDWOOD SURGERY | 24330170 | 8,861.19 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS Contract Value | PRC DELEGATED CO-COMMISSIONING | SANDY LANE SURGERY | 24215210 | 49,795.67 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS Funding Differential Review | PRC DELEGATED CO-COMMISSIONING | SANDY LANE SURGERY | 24215210 | 54.34 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS List Size Adjustment | PRC DELEGATED CO-COMMISSIONING | SANDY LANE SURGERY | 24215210 | 0.37 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS Prem Clinical Waste | PRC DELEGATED CO-COMMISSIONING | SANDY LANE SURGERY | 24215210 | 1,231.27 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS Prem Notional Rent | PRC DELEGATED CO-COMMISSIONING | SANDY LANE SURGERY | 24215210 | 2,386.92 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS Prem Water Rates | PRC DELEGATED CO-COMMISSIONING | SANDY LANE SURGERY | 24215210 | 142.08 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | SANDY LANE SURGERY | 24215210 | 4,158.89 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS Contract Value | PRC DELEGATED CO-COMMISSIONING | SELSTON SURGERY | 24215216 | 40,530.94 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS Funding Differential Review | PRC DELEGATED CO-COMMISSIONING | SELSTON SURGERY | 24215216 | 13.81 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS List Size Adjustment | PRC DELEGATED CO-COMMISSIONING | SELSTON SURGERY | 24215216 | 50.43 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS Prem Notional Rent | PRC DELEGATED CO-COMMISSIONING | SELSTON SURGERY | 24215216 | 2,425.00 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | SELSTON SURGERY | 24215216 | 3,693.87 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Hcare Srv Rec Fdtn Trust-Contract Baseline | ACUTE COMMISSIONING | SHEFFIELD TEACHING HOSPITALS NHS FOUNDATION TRUST | 24283621 | 28,095.00 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Hcare Srv Rec Fdtn Trust-CQUIN | ACUTE COMMISSIONING | SHERWOOD FOREST HOSPITALS NHS FOUNDATION TRUST | 24116395 | 227,789.94 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Hcare Srv Rec Fdtn Trust-Contract Baseline | ACUTE COMMISSIONING | SHERWOOD FOREST HOSPITALS NHS FOUNDATION TRUST | 24116395 | 8,901,033.59 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Hcare Srv Rec Fdtn Trust-Contract Baseline | COMMUNITY SERVICES | SHERWOOD FOREST HOSPITALS NHS FOUNDATION TRUST | 24116395 | 640,438.55 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Hcare Srv Rec Fdtn Trust-Over/ Under Performance | ACUTE COMMISSIONING | SHERWOOD FOREST HOSPITALS NHS FOUNDATION TRUST | 24248271 | 648,762.05 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Hcare Srv Rec Fdtn Trust-Over/ Under Performance | ACUTE COMMISSIONING | SHERWOOD FOREST HOSPITALS NHS FOUNDATION TRUST | 24248273 | 97,132.71 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS DES Minor Surgery | PRC DELEGATED CO-COMMISSIONING | SKEGBY FAMILY MEDICAL CENTRE | 24330185 | 4,273.21 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Global Sum | PRC DELEGATED CO-COMMISSIONING | SKEGBY FAMILY MEDICAL CENTRE | 24330185 | 73,400.38 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Prem Clinical Waste | PRC DELEGATED CO-COMMISSIONING | SKEGBY FAMILY MEDICAL CENTRE | 24330185 | 536.95 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Prem Notional Rent | PRC DELEGATED CO-COMMISSIONING | SKEGBY FAMILY MEDICAL CENTRE | 24330185 | 4,531.67 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Prem Water Rates | PRC DELEGATED CO-COMMISSIONING | SKEGBY FAMILY MEDICAL CENTRE | 24330185 | 319.13 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | SKEGBY FAMILY MEDICAL CENTRE | 24330185 | 6,412.52 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS Contract Value | PRC DELEGATED CO-COMMISSIONING | ST PETERS MEDICAL PRACTICE | 24215214 | 23,118.07 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS DES Minor Surgery | PRC DELEGATED CO-COMMISSIONING | ST PETERS MEDICAL PRACTICE | 24215214 | 439.30 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS Funding Differential Review | PRC DELEGATED CO-COMMISSIONING | ST PETERS MEDICAL PRACTICE | 24215214 | 17.52 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS Prem Actual Rent | PRC DELEGATED CO-COMMISSIONING | ST PETERS MEDICAL PRACTICE | 24215214 | 1,936.26 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS Prem Clinical Waste | PRC DELEGATED CO-COMMISSIONING | ST PETERS MEDICAL PRACTICE | 24215214 | 166.09 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS Prem Rates | PRC DELEGATED CO-COMMISSIONING | ST PETERS MEDICAL PRACTICE | 24215214 | 603.42 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-PMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | ST PETERS MEDICAL PRACTICE | 24215214 | 1,709.99 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS DES Learn Dsblty Hlth Chk | PRC DELEGATED CO-COMMISSIONING | THE SURGERY LOWMOOR ROAD | 24330172 | 2,800.00 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS DES Minor Surgery | PRC DELEGATED CO-COMMISSIONING | THE SURGERY LOWMOOR ROAD | 24330172 | 875.51 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Global Sum | PRC DELEGATED CO-COMMISSIONING | THE SURGERY LOWMOOR ROAD | 24330172 | 44,111.17 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Prem Clinical Waste | PRC DELEGATED CO-COMMISSIONING | THE SURGERY LOWMOOR ROAD | 24330172 | 351.58 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Prem Notional Rent | PRC DELEGATED CO-COMMISSIONING | THE SURGERY LOWMOOR ROAD | 24330172 | 4,230.00 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Prem Rates | PRC DELEGATED CO-COMMISSIONING | THE SURGERY LOWMOOR ROAD | 24330172 | 6,600.00 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | THE SURGERY LOWMOOR ROAD | 24330172 | 3,783.41 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Clinical&Medical-Independent Sector | IMPROVING ACCESS TO PSYCHOLOGICAL THERAPIES | TRENT PTS | 24248344 | 30,835.00 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Hcare Srv Rec NHS Trust-Over/ Under Performance | ACUTE COMMISSIONING | UNITED LINCOLNSHIRE HOSPITALS NHS TRUST | 24102777 | 43,581.50 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | Hcare Srv Rec Fdtn Trust-Contract Baseline | ACUTE COMMISSIONING | UNIVERSITY HOSPITALS OF DERBY & BURTON NHS FOUNDATION TRUST | 24283580 | 116,651.18 | |------------------------|--------------------------------|--------------|----------------------------------------------|--------------------------------|---------------------------------------------------------------|------------|--------------| | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS DES Learn Dsblty Hlth Chk | PRC DELEGATED CO-COMMISSIONING | WILLOWBROOK MEDICAL PRACTICE | 24330164 | 2,380.00 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS DES Minor Surgery | PRC DELEGATED CO-COMMISSIONING | WILLOWBROOK MEDICAL PRACTICE | 24330164 | 8,606.83 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Global Sum | PRC DELEGATED CO-COMMISSIONING | WILLOWBROOK MEDICAL PRACTICE | 24330164 | 118,671.49 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Prem Clinical Waste | PRC DELEGATED CO-COMMISSIONING | WILLOWBROOK MEDICAL PRACTICE | 24330164 | 996.20 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Prem Notional Rent | PRC DELEGATED CO-COMMISSIONING | WILLOWBROOK MEDICAL PRACTICE | 24330164 | 7,711.56 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Prem Water Rates | PRC DELEGATED CO-COMMISSIONING | WILLOWBROOK MEDICAL PRACTICE | 24330164 | 485.90 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | WILLOWBROOK MEDICAL PRACTICE | 24330164 | 15,207.77 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | ME - GMS GP Prior Year ERs | PRC DELEGATED CO-COMMISSIONING | WILLOWBROOK MEDICAL PRACTICE | 24330164 | 1,057.62 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS DES Learn Dsblty Hlth Chk | PRC DELEGATED CO-COMMISSIONING | WOODLANDS MEDICAL PRACTICE | 24330179 | 1,400.00 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS DES Minor Surgery | PRC DELEGATED CO-COMMISSIONING | WOODLANDS MEDICAL PRACTICE | 24330179 | 4,157.90 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Global Sum | PRC DELEGATED CO-COMMISSIONING | WOODLANDS MEDICAL PRACTICE | 24330179 | 83,983.23 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Prem Clinical Waste | PRC DELEGATED CO-COMMISSIONING | WOODLANDS MEDICAL PRACTICE | 24330179 | 803.38 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS Prem Notional Rent | PRC DELEGATED CO-COMMISSIONING | WOODLANDS MEDICAL PRACTICE | 24330179 | 11,350.00 | | Department of Health | NHS Mansfield & Ashfield CCG | 31/10/2018 | C&M-GMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | WOODLANDS MEDICAL PRACTICE | 24330179 | 9,289.90 | | TOTAL | 21,015,840.12 | | | | | | |

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## Compliance With Condition 4 Of The Passenger Licence And Gb Statement Of National Regulatory Provisions: Passenger, And Consumer Law - Responses To Orr Letter Dated 8 May 2018 | Rail Industry Company | Page number | |--------------------------|----------------| | Arriva Rail London | 2 | | Arriva Trains Wales | 4 | | Chiltern | 10 | | CrossCountry | 16 | | East Midlands Trains | 21 | | Grand Central | 23 | | Great Western Railway | 26 | | Greater Anglia | 32 | | GTR | 34 | | Hull Trains | 39 | | Merseyrail | 43 | | MTRCrossrail | 46 | | South Western Railway | 49 | | Southeastern | 53 | | TransPennine Express | 57 | | Virgin Trains | 63 | | Virgin Trains East Coast | 70 | | West Midlands Trains | 75 | | | | | | | Overground House, Mr. John Larkinson 125 Finchley Road, Swiss Cottage, Director Railway Markets & Economics London, NW3 6HY Office of Rail and Road t 020 3031 9200 "' www.arrivaraillondon.co.uk 21 May 2018 Dear John Thank you for your recent letter, regarding Arriva Rail London (ARL)'s compliance with condition 4 of the Passenger Licence and GB Statement of National Regulatory Provisions: Passenger and Consumer law. ARL has a culture of ongoing review, to ensure continuous improvement in all areas of the business and, in light of the concerns raised by the ORR, we have reviewed our processes in regard to this topic. ARL can subsequently confirm the following responses to your areas of concern: 1. The majority of train operators do not put the warnings (icons and messages) that are shown on the National Rail Enquiries (NRE) website on their website or apps; London Overground services, which are operated by ARL on behalf of TfL, are shown in the NRE journey planner and have appropriate messages attached. ARL does not however have its own app or website and information about services is provided by TfL, including on its rainbow boards. 2. Where NRE flags trains as not being confirmed to run, the message is not shown on train operator ticket engines which generally have no cautionary messages at all; TfL does not provide a cross-industry journey planner and so the issue of messages on services of other operators does not arise. Journeys on the TfL website can only be planned 4 weeks in advance, by which time we expect that the industry timetable will be correct. 3. Where train times have changed since the ticket was booked, train operators are not contacting passengers to alert them to the new journey times or refund options ARL does not have advance tickets or online ticket sales. There is no mechanism for contacting passengers who may have bought a ticket to travel on London Overground services via another website. 4. Attention is not being drawn to train times that are still wrong less than a week away from the journey being made. We are working to the revised Network Rail Informed Traveller recovery dates that have been set with the industry. Whilst we do process a number of late notice changes to our train plans, we endeavour to keep these to a minimum. 5. Some operators that sell advance tickets do not make it clear when they are available to buy, for example through the use of an advance ticket calendar or registration facility; ARL does not sell advance tickets, therefore the matter of an advance ticket calendar or registration facility does not arise. 6. Weekday daytime works affecting peak time commuters are not easily distinguished from those taking place overnight or at weekends. ARL does not have its own app or website and information about services is provided by Tfl, with precise details of closures listed on the Planned Works Calendar. Likewise, details of closures are listed on NRE in the "Changes to train times" section. 7. Although websites and mobile sites nearly all have the facility to display a banner message when services are disrupted, many apps do not. ARL does not have its own app. Many apps take Tfl service status information which includes that for London Overground ARL works under a Concession Agreement to Transport for London (Tfl) and customer information is made available by Tfl on their app and website. Customer Experience is at the heart of everything ARL does, and we take our responsibilities to passengers very seriously, especially when considering service disruption and Passenger Information During Disruption. I trust that the above provides you with the information you require, however please advise if you require any further information, in relation to the concerns raised. Yours sincerely Will Rogers Managing Director John Larkinson Director Directorate of Railway Markets and Economics 21st May 2018 Dear Mr Larkinson, Thank you for the opportunity to advise on the current situation at Arriva Trains Wales, related to compliance with condition 4 of the Passenger Licence and GB Statement of National Regulatory Provisions: Passenger, and Consumer law. Our Managing Director, Tom Joyner, has asked that I reply on his behalf as he is currently away from the office conducting a colleague tour across the network. Arriva Trains Wales is committed to ensuring our customers are able to plan and make their journeys, although we are often unable to deliver some of the changes needed at short notice via our supplier chain. We have recently met with Nick Layt at the ORR to discuss our compliance in this area and remain committed to delivering the best service we can. In order to inform and advise on the action taken, or planned to be taken, against the 7 listed areas, please see the details listed: 1. The majority of train operators do not put the warnings (icons and messages) that are shown on the National Rail Enquiries (NRE) website on their website or apps; a. ATW Use the Trainline booking engine. Work has been carried out previously so that the booking engine imports the NRE flags for ATW services, as evidenced in a recent compliance audit carried out by the ORR, however, this is not the case at the moment. This issue been reported to trainline and we await a response to confirm what action will be taken. Trainline use multiple portals for ticket sales depending on whether you are using a mobile phone, require a season ticket or just a standard ticket. Only the main website portal is meant to display the warnings. Trainline have promised for the other portals to receive this same information however a timeline for implementation has not been provided and it is doubtful that Arriva Trains Wales will see this development in its franchise lifetime. Arriva Trains Wales/Trenau Arriva Cymru Limited Registered in England and Wales Number 04337645 Registered Office St Mary's House 47 Penarth Road, Cardiff CF10 5DJ Arriva Trains Wales/ Trenau Arriva Cymru Ltd St. Mary's House 47 Penarth Road Cardiff CF10 5DJ Arriva Trains Wales/Trenau Arriva Cymru Limited Cofrestwyd yn Lloegr a Chymru Rhif 04337645 Swyddfa Gofrestredig Tŷ'r Santes Fair 47 Ffordd Penarth, Caerdydd CF10 5DJ Tel 03333 211202 www.arrivatrains.wales 2. Where NRE flags trains as not being confirmed to run, the message is not shown on train operator ticket engines which generally have no cautionary messages at all; a. As above, trains that have been highlighted on NRE should be highlighted on the Arriva Trains Wales website and we await a response from Trainline to understand why this is not occurring. The Trainline are starting to recognise the need to improve other elements of customer touchpoint but again, ATW does not expect these improvements to occur in the remainder of its franchise. 3. Where train times have changed since the ticket was booked, train operators are not contacting passengers to alert them to the new journey times or refund options; a. ATW do use customer information to send targeted e-mails should journeys be amended after the point at which a ticket is sold. An example can be found as appendix A to this letter. However, if no contact details were taken at point of sale e.g. an advance ticket purchased at a ticket office, then we have no way of telling the customer directly that their journey has been amended. 4. Attention is not being drawn to train times that are still wrong less than a week away from the journey being made; a. ATW are being affected by a significant number of late notice possession requests in conjunction with Great Western Electrification Project at present. Services are being validated by Network Rail as late as T-10 days and as such there are likely to be several incorrect services still being advertised to customers. We are alerting customers to this on our website, and via social media, with a clear message stating journey planners may not be updated until 5 days before date of travel as seen in appendix B to this letter. We are also advising our customers of the same via posters at stations which is very helpful in getting this message across. NRE are too displaying alerts on their journey planner to the same effect. As specified in question 1 and 2, we are investigating with trainline the reasons why these flags are not being drawn into the ATW Journey planning tool. 5. Some operators that sell advance tickets do not make it clear when they are available to buy, for example through the use of an advance ticket calendar or registration facility; a. ATW do not provide a facility for customers to sign up to alerts specifically for Advance ticket purchases. We have introduced a visible ticker on our website that informs customers as to when advance tickets are available until (see appendix C) and in development is a calendar that will be visible in the advance purchase ticket section of our website, highlighting the booking horizons for advanced purchase tickets, this is expected to be live in the coming weeks. 6. Weekday daytime works affecting peak time commuters are not easily distinguished from those taking place overnight or at weekends; Arriva Trains Wales/Trenau Arriva Cymru Limited Registered in England and Wales Number 04337645 Registered Office St Mary's House 47 Penarth Road, Cardiff CF10 5DJ Arriva Trains Wales/Trenau Arriva Cymru Limited Cofrestwyd yn Lloegr a Chymru Rhif 04337645 Swyddfa Gofrestredig Tŷ'r Santes Fair 47 Ffordd Penarth, Caerdydd CF10 5DJ Arriva Trains Wales/ Trenau Arriva Cymru Ltd St. Mary's House 47 Penarth Road Cardiff CF10 5DJ Tel 03333 211202 www.arrivatrains.wales a. ATW accept that the communication of current GWEP improvement works (and past improvement works Including CASR and NASR) could be improved, both on our own and the NRE website. NRE use the WEC (Weekly Engineering Circular) as a guide for works with ATWs website taking the NRE feed for improvement works. We are working with the NRCC to show more clearly, the impact to our customers improvement works have on journeys. ATW are looking to define a process that will sense checks both the NRE and our own website for accuracy and clarity. 7. Although websites and mobile sites nearly all have the facility to display a banner message when services are disrupted, many apps do not; a. ATW's main and mobile site both have the capability of displaying a banner. ATW's new WebTIS site does not have this capability. There has been resistance from Trainline to develop this as it is believed it disrupts the booking flow and has the potential to reduce trainline sales. To this end, Trainline have put a high cost on this development which ATW will not pursue given there is only 5 months of the franchise remaining. The ATW mobile app does have the ability to display a banner however is not linked directly to the website. The banner on the app is manually entered as this was the specification provided to the developer who created the app. Development of the app is now frozen as the developer (Masabi) looks to exit the market. Yours sincerely, Barry Lloyd Head of Customer Experience Arriva Trains Wales Arriva Trains Wales/Trenau Arriva Cymru Limited Registered in England and Wales Number 04337645 Registered Office St Mary's House 47 Penarth Road, Cardiff CF10 5DJ Arriva Trains Wales/Trenau Arriva Cymru Limited Cofrestwyd yn Lloegr a Chymru Rhif 04337645 Swyddfa Gofrestredig Tŷ'r Santes Fair 47 Ffordd Penarth, Caerdydd CF10 5DJ Arriva Trains Wales/ Trenau Arriva Cymru Ltd St. Mary's House 47 Penarth Road Cardiff CF10 5DJ Tel 03333 211202 www.arrivatrains.wales Example email sent to a customer booked on a service likely to be amended Arriva Trains Wales/Trenau Arriva Cymru Limited Registered in England and Wales Number 04337645 Registered Office St Mary's House 47 Penarth Road, Cardiff CF10 5DJ Arriva Trains Wales/Trenau Arriva Cymru Limited Cofrestwyd yn Lloegr a Chymru Rhif 04337645 Swyddfa Gofrestredig Tŷ'r Santes Fair 47 Ffordd Penarth, Caerdydd CF10 5DJ Arriva Trains Wales/ Trenau Arriva Cymru Ltd St. Mary's House 47 Penarth Road Cardiff CF10 5DJ Tel 03333 211202 www.arrivatrains.wales Please note the wording here is in the process of being updated to read 'Journey planners will only be updated 5 days before each impacted week. Please check this website regularly, prior to travel and ask Arriva Trains Wales staff for assistance' Arriva Trains Wales/Trenau Arriva Cymru Limited Registered in England and Wales Number 04337645 Registered Office St Mary's House 47 Penarth Road, Cardiff CF10 5DJ Arriva Trains Wales/Trenau Arriva Cymru Limited Cofrestwyd yn Lloegr a Chymru Rhif 04337645 Swyddfa Gofrestredig Tŷ'r Santes Fair 47 Ffordd Penarth, Caerdydd CF10 5DJ Arriva Trains Wales/ Trenau Arriva Cymru Ltd St. Mary's House 47 Penarth Road Cardiff CF10 5DJ Tel 03333 211202 www.arrivatrains.wales Arriva Trains Wales/Trenau Arriva Cymru Limited Registered in England and Wales Number 04337645 Registered Office St Mary's House 47 Penarth Road, Cardiff CF10 5DJ Arriva Trains Wales/Trenau Arriva Cymru Limited Cofrestwyd yn Lloegr a Chymru Rhif 04337645 Swyddfa Gofrestredig Tŷ'r Santes Fair 47 Ffordd Penarth, Caerdydd CF10 5DJ Arriva Trains Wales/ Trenau Arriva Cymru Ltd St. Mary's House 47 Penarth Road Cardiff CF10 5DJ Tel 03333 211202 www.arrivatrains.wales Marylebone Station Great Central House Melcombe Place London NW1 6JJ John Larkinson Directorate of Railway Markets and Economics Email: DPPP@orr.gsi.gov.uk Eleni Jordan Commercial Director 21st May 2018 Dear Mr Larkinson, ## Condition Iv Of The Passenger Licence Further to your letters of 23 February 2018 and 8 May 2018, I want to set out how Chiltern Railways is addressing the issues you have raised, from an industry perspective and, where relevant, how we will do so in future. Our responses are based on the standards you have set out, which are reproduced below. For clarity, each Office of Rail and Road (ORR) requirement and its derivatives are highlighted in bold. 'Train operators should be open about the impact on all passengers of the challenges they face and take responsibility for ensuring that their passengers can get the information they need to plan and make their journey as that information comes available.' | ORR Requirements | |-------------------------------------------| | Disrupted trains appear on all channels | | from the National Rail Enquiries (NRE) | | feed; in line with ORR requirements, this | | information is presented consistently | | across digital retail channels owned by | | Chiltern Railways and third parties. | 'Passengers should not have to look at multiple sources of information to get the information that they need; information should be aligned across all channels. It should be obvious from the train operator or third-party ticket engine/journey planner if the journey presented is not the normal one. For example, if there is a replacement bus or the journey takes longer than normal or is diverted' chilternrailways.co.uk Chiltern Railways is the trading name of The Chiltern Railway Company Limited. Registered office: 1 Admiral Way, Doxford International Business Park, Sunderland, England SR3 3XP. Company Registration No. 3007939. VAT Registration No. GB 667 3877 77. 'Extra effort should be made to advertise changes that are unusual such as work that might affect the weekday peak period rather than just overnight or weekend trains so that all travellers, regular and infrequent are equally well informed.' Our ''Special timetables'' webpage details engineering works and special events with a link to any revised timetables; this includes exceptional changes to our service such as daytime engineering works. Please refer to Appendix B below. Our customer service team updates Journey Planning sites (sourcing information from the NRE feed) where we expect planned services to be disrupted. As well as providing clear information about service changes, we plan to develop a way to advise passengers when journeys change, for tickets they have already purchased. When engineering works impact passengers we will always explain this in plain English and provide further context which may be helpful. 'When there are engineering works, explain in jargon free language what is being done and why, and the impact it will have on passengers. This should be information about specific works and not just references to the general reasons why engineering work may be necessary.' 'Information should be consistent across all the train operator's Disrupted trains appear on all channels as disruption occurs and this channels. The passenger should information is pulled directly from the NRE feed, ensuring consistency receive the same information and warnings.' wherever information is available about Chiltern's services online. ## 'Clear Information On The Availability Of Advance Tickets, What Is Available And When, Is Necessary To Help Passengers To Plan Journeys When The Timetable Is Uncertain' ORR Requirement Chiltern Railways Response Recognising that Chiltern do not 'When advance tickets have not been released this should be made clear to passengers using the ticket engine, and an estimate of when these tickets are likely to be available.' currently have this facility on our journey planner we are developing a page on our website to be updated weekly, advising passengers of the availability of Advance Fares. We are scoping out this piece of work which we hope to be able to deliver soon. 'Where feasible, a facility should be provided for passengers to register their interest in advance ticket dates chilternrailways.co.uk Advance fare notification emails are not available from Chiltern Railways. Recognising customers' wish for this facility and the ORR's view, we are considering how a web-based and to be e-mailed by the train operator when these tickets become available' 'An advance ticket should set out the latest date currently available for purchase, ideally, this should split out weekdays, Saturdays and Sundays.' registration system can be developed and further, how our social media feeds can be used to raise awareness of the availability of advance fares. 'When train times are changed for a ticket that has already been Chiltern is exploring how to develop a process to assist passengers whose services are changed at short notice. We are also working on a way to communicate changes like to purchased the train operator should make every effort to contact the passenger to let them know. Should the new journey times not be convenient for the passenger they should be invited to apply for a refund / refunds should be given on request without having to pay an administration charge.' passengers effectively after a ticket has been purchased, including providing information about refunds and relief from administration fees. We are keen to work with other TOCs to explore development of a system to integrate this process across the network. This may be a piece of work we can develop through our RDG committees. Timetable information should be correct as far ahead as possible, and where timetables are not confirmed information about their status should be accurate and updated frequently.' ## Orr Requirements Chiltern Railways Response 'Where times are not confirmed and there is the possibility that they will be changed this should be flagged to passengers. Ideally as this Chiltern Railways have worked with NRE to ensure an additional feed can be incorporated into all digital channels to answer this challenge this year. information should include the date when the timetable will be confirmed to allow passengers to check at that time and the reason for the possible/confirmed change to times.' Chiltern Railways utilises its 'Special timetables' webpage for this purpose and this information will also be included on an additional NRE feed to all Chiltern Railways digital retail 'Should incorrect timetables still be in planners at T-1 the train operator should take extra steps to advertise that the times shown are incorrect. This could include website banners and publishing PDF timetables channels this year. showing the correct times. National Rail Enquiries messages should also ## Chilternrailways.Co.Uk point to enhanced information to ensure as wide an audience as possible.' Below are some examples of the way we provide information to customers in a variety of circumstances which we hope this demonstrates the clarity we aim to provide. It is clear there are passenger information issues which are better-addressed by the industry collectively. Where we believe this is the case, we will seek to raise this through the Rail Delivery Group. Our teams are committed to providing a service that has passengers' needs at its heart and we recognise and appreciate the role of the regulator in assisting industry to that end. We will undertake to update you on the plans we have set out above, as and when they take effect. Yours sincerely Eleni Jordan Commercial Director Chiltern Railways chilternrailways.co.uk Chiltern Railways is the trading name of The Chiltern Railway Company Limited. Registered office: 1 Admiral Way, Doxford International Business Park, Sunderland, England SR3 3XP. Company Registration No. 3007939. VAT Registration No. GB 667 3877 77. Appendix A - Example of a disruption feed on Chiltern desktop site, same for mobile web and mobile app Appendix B - Example of the special timetable change page chilternrailways.co.uk Chiltern Railways is the trading name of The Chiltern Railway Company Limited. Registered office: 1 Admiral Way, Doxford International Business Park, Sunderland, England SR3 3XP. Company Registration No. 3007939. VAT Registration No. GB 667 3877 77. ## Appendix C - Example Of Detail Of Special Timetable Change Page Within A Date Appendix D - Notification Of Temporary Timetable Changes On The Chiltern Railways Website chilternrailways.co.uk Chiltern Railways is the trading name of The Chiltern Railway Company Limited. Registered office: 1 Admiral Way, Doxford International Business Park, Sunderland, England SR3 3XP. Company Registration No. 3007939. VAT Registration No. GB 667 3877 77. CrossCountry 5th floor, Cannon House 18 Priory Queens1Nay crosscountrv~-.,.. Biriningharn B4 6BS crosscountiytrains.co,uk John Larkinson Director Railway Markets & Economics Office of Rail and Road One Kemble Street London WC2B4AN 18 May 2018 Dear John, I write with reference to the letter received on 8 May, requesting information relating to how CrossCountry is responding to the seven areas of concern identified as part of the ORR monitoring of customer websites and apps. This is in specific reference to the ongoing issues as a result of Network Rail being unable to confirm services at T-12. Since the issue arose, CrossCountry has recognised the uncertainty that this could create for customers and has proactively adopted a number of internal processes to ensure that we provide our customers with the relevant and appropriate information to enable them to make informed travel and ticket choices. It is imperative that we do not advertise train services that we know for certain will not be running, and the processes we have put in place mean that we avoid this scenario completely. However, we do recognise that our customer base at weekends (when the majority of changes caused by engineering work occur), seek the reassurance of booking in advance to get the cheapest ticket and so we have proactively taken action to enable early booking with confidence as far as we are able. Prior to the temporary cessation of informed traveller timescales at T-12, the CrossCountry train planning team celebrated 200 successive weeks of T-12 compliance, enabling us to open services for booking twelve weeks in advance and give customers the confidence in the timetable. This has meant that we have not made available for booking any service that was not running, only advertising services that have been confirmed (either altered or unaltered). While we are currently no longer able to meet T-12 given the issues with Network Rail, we have: - Created a dedicated landing page on our website providing customers with detailed advice on journey planning and travel and refund policies; - Set up a robust process and information flow between our Train Planning and Commercial teams so that services we know will run as booked can be opened for reservations and for the sale of Advance tickets; t"' '"\ INVESTORS I Gold Part of Arriva - a IQm company ¥.,_,,_,Ji' IN PEOPLE - Prevented the sale of train-specific Advance tickets on those services we know will be affected by engineering work; - Recommended that customers check with the relevant operator closer to the time with a full refund offered if the customer no longer wishes to travel, and, for tickets on CrossCountry services, allow travel on alternative services two hours either side of the original service without penalty. Our approach to date has worked well, balancing the avoidance of preventing Advance ticket sales on affected trains, but opening unaffected trains for booking as far in advance as we can. We provide the following responses in relation to the specific requests set out in the letter. Issue Action Taken Further Action Barriers Underwav The majority of In relation to the T-12 issue, No further action We use a 'white label' train operators do since 23 February the in relation to edition of the Train line not put the CrossCountry website has website as app and are therefore warnings (icons featured on its homepage already provides heavily restricted in the and messages) banner an alert for those warning. level of amendment we that are shown on seeking to buy tickets more can make to this. This the National Rail than 6 to 12 weeks in also prevents bespoke Enquiries (NRE) advance1. From this alert amendments including website on their customers can then get banners and in-flow website or apps further information so that messaging. Any they can make informed changes have choices about their journey significant cost and nlannino. No banner on ann_ develooment timelines. not confirmed as running barriers. Where NRE flags Between T-12 and T-6 where No further action We are unable to trains as not being CrossCountry services are because of the replicate the flag used confirmed to run, on the NRE website as the message is not these will not be shown as an we use a white label shown on train option within any journey edition of the Trainline operator ticket booking engine which engines which services shown are suggestions, avoiding the need for any flag. Between T- prevents bespoke generally have no 6 and T-0 any CrossCountry including banners and cautionary in-flow messaging. Any messages at all confirmed. changes have significant cost and develooment timelines. Issue Action Taken Further Action Barriers Underwav Where train times Where CrossCountry Weare We would not hold or have changed services are not confirmed as contacting have legal access to since the ticket running these will not be customers as far details of those was booked, train returned as a visible option as we are able, customers buying Offoperators are not within any journey noting the Peak or Open tickets contacting suggestions on CrossCountry barriers via stations or other passengers to alert booking channels. Where regarding retail channels not them to the new customers book tickets for customer data controlled by journey times or other operators' services use. CrossCountry, and refund options which are not confirmed we could therefore not promake it clear on our website actively contact them. that if a customer buys an Off-Peak or Open ticket more than six weeks out ( e.g. at a station) for a train that is subsequently altered, a refund can be claimed. We are issuing e-mails to those customers directly affected every two weeks which point customers to where to find more information ( example orovided as Annendix 1 ). Attention is not Our booking engine would No further action Not applicable being drawn to not advertise trains that were required train times that are known to be incorrect a week still wrong less beforehand. than a week away from the journey beinn made Some operators CrossCountry has, for a No further action Not applicable that sell advance number of years, provided a required tickets do not make free ticket alert service to tell it clear when they customers when Advance are available to tickets are released for sale buy, for example for any specific day2 . We also through the use of have information about this an advance ticket on the dedicated page calendar or relating to this issue3• reaistration facilitv Issue Action Taken Further Action Barriers Underwav Weekday daytime The volume of weekday No further action Not applicable works affecting engineering work on our required. peak time network is relatively very commuters are not small and where this does easily occur it tends to be major distinguished from blockades ( such as at Derby those taking place in Summer 2018), which we overnight or at advertise significantly through weekends all channels available to us. Although websites We do not have this feature No further action We use a 'white label' and mobile sites on our app planned. edition of the Trainline nearly all have the app and are therefore facility to display a heavily restricted in the banner message level of amendment we when services are can make to this. This disrupted, many also prevents bespoke apps do not including banners and in-flow messaging. Any changes have significant cost and develooment timelines. It is also worth highlighting that we have been in regular contact with Transport Focus regarding the processes we have adopted, which have received positive feedback. I hope the above information is useful but please do not hesitate to get in touch if you require any further information. Yours sincerely, Andy ooper Managing Director ## Crosscountrv~-,. Appendix 1 - Example Customer E-Mail Crosscountrv~--- Bya,Riva Dear customer, Network Rail are temporarily changing how far in advance train timetables can be confirmed. Train times and tickets are usually available for customers to plan and book their journeys up to 12 weeks before departure. However, possibly for the duration of the next timetable beginning on 20th May, some may not be available until closer to the date of departure. There might be some changes to the timetable from when you originally purchased your train ticket, please check our dedicated page to see if your journey has any amendments. Upcoming dates which may be affected are 26 May to 1 June 2018 inclusive. Our priority Is to keep you informed, updated and on the move, so please check our dedicated page for up to date Information. We apologise for any inconvenience that this may cause to your journey. The CrossCountry team Check your journey John Larkinson Director Railway Markets & Economics (By email) 21st May 2018 Dear Mr Larkinson Compliance with condition 4 of the passenger Licence and GB Statement of National Regulatory Provisions: Passenger, and Consumer law In response to your letter dated 8th May 2018 regarding your concerns with certain areas of PIDD compliance, the below details the measures already in place, changes made since 23rd February, and those planned in future for East Midlands Trains; - When engineering works are confirmed to cause journey disruption, for example when we operate rail replacement, our website will highlight this to customers with a warning triangle. At this stage this is not the case for speculative disruption. Trainline have now gained access to the NRE disruption feed which includes speculative disruption warnings and they are currently assessing how they could integrate this on their sites including East Midlands Trains. - Where a change occurs to booked journeys we make every effort to contact affected customers using our own Customer Service Centre or Trainline, this would only not occur where contact details are unavailable. - East Midlands Trains publish on our website the date until which tickets are available (https://www.eastmidlandstrains.co.uk/tickets-deals/), this has been updated to advise customers that some tickets may not be available until 6 weeks prior to departure and a specific news page added to provide more detail of these late publications (https://www.eastmidlandstrains.co.uk/information/media/news/Timetable- Publication-Changes/). - A "ticket alerts" functionality was added to our website last year, allowing customers to register for an email alert when a specific route and date goes on sale and so take advantage of our lowest Advance Purchase fares. - Where a timetable is not confirmed at T-12 we do not place Advance Purchase fares on sale during disruption. Details of the impacted dates and routes have also been made available on the news page referred to above. - Since the launch of our new mobile app, we have been working with our provider, The Trainline, to ensure this meets PIDD compliance. At this time we are still awaiting a formal proposal from Trainline on how and when this will be achieved. East Midlands Trains is committed to achieving full compliance and will continue to work with The Trainline to achieve this. Yours sincerely Lucy Dean Head of Revenue John LarkinsonDirector, Railway Markets & EconomicsOffice of Rail and RoadOne Kemble Street, London WC2B 4AN 18thMay2018Dear John,Compliance with condition 4 of the Passenger Licence and GB Statement of National Regulatory Provisions: Passenger, and Consumer lawWith reference to your letter of 8thMay 2018, please find the information requested below.1. The majority oftrain operators do not put the warnings (icons and messages) that are shown on the National Rail Enquiries (NRE) website on their website or apps;For planned disruption,we display alert triangles next to journey results that will include alternative transport. The incorporation ofshort-notice andlive on-the-day disruption warnings such as theseinto the booking platformis not currently within our third-partywebsite provider'sdevelopment roadmapfor GrandCentral.As part of our improvements to the journey planning and ticket purchase experience, we will launch a new website in Q3 2018. Warning icons and messages are in our development pipeline,whichwe anticipateprogressingthrough Q1 2019.2. Where NRE flags trains as not being confirmed to run, the message is not shown on train operator ticket engines which generally have no cautionary messages at all;The functionalitytoinsert warning messages for services which are not confirmed to runis not currently within our third-party website provider's development roadmapfor Grand Central. In recognition ofthe small number of Grand Central services which willbe re-timed,or will not run as shown when they first become available 12 weeks before travel, wehave implemented dedicated pageswithin our website;with a prominent link from the home page;which detail options available to customersto change their journeyand the dates when services will be confirmed to run. 3. Where train times have changed since the ticket was booked, train operators are not contacting passengers to alert them to the new journey times or refund optionsIf Grand Central services are subject to change or retimed after being made available for reservation, we make every effort toproactivelycontact customerswho have purchased viaour Website or Telesalesretail channels by telephone or e-mail to offer alternativesoptions or a refund.Inaddition, we would advise other operators and third-party retailers ofservices changes such that they can contact those customers who have purchased via their retail channel. 4. Attention is not being drawn totrain times that are still wrong less than a week away from the journey being made.We understand thatto date,noGrand Central journeys have been affected in this wayand weare notaware of their being any immediate likelihoodofsuch going forward.Should this occur in the future, we would deploya comprehensive communication plan to customers, including direct contact, social media and website banner alertmessaging.5. Some operators that sell advance tickets do not make it clear when they are available to buy, for example through the use of an advance ticket calendar or registration facility;Following Network Rail's announcement in February2018regardingfinalising timetables six weeks in advance rather than 12 weeks, we implemented dedicated pageswithin our websitewith a link fromthe home pagewhich explains thechanges to customersandprovides informationhow it may affectjourneyplanning.In addition, aticket availability calendar and list of affected services is provided to ensure customers have a ready overview of when tickets can be purchased for their journey.As part of our improvements to the journey planning and ticket purchase experience,we willintroduce a prominentAdvance ticket calendar on thehomepage of our websitein Q3 2018, to further highlight whentickets are available for purchase. weekday daytimeengineeringworks.In any case wepublishcustomer information forplanned timetable changes equally, regardless of the time or day of travelor journey purpose of our customers.7. Although websites and mobile sites nearly all have the facility to display a banner message when services are disrupted, many apps do not.At present, Grand Centraldoes not havea mobileapplication.As part ofourimprovements to the journey planning and ticket purchase experience, we will launch a mobile app in Q3 2018, which will display a banner message, in line with ourdesktop & mobilewebsites,in the event of service disruption.Grand Central is committed to ensuringinformation provided topassengers isaccurate,appropriateandtimely, as we believe that all customersshould be able to travel with us at ease and with confidence.Yours Sincerely,Richard McCleanManaging Director "Areas of particular concern"identified in your monitoring, as follows:1."the majority of train operators do not put the warnings (icons and messages) that are shown on the National Rail Enquiries (NRE) website on their website or apps" We currently show warning messagesfrom NREon ourCheck Your Journey and Live Train Times pageswithin the Travel Updates section of our website and our mobile website andon the Live Times page of theGWR App (noting that this only covers on the day disruption) this does not currently include the website booking flows.a) and b) We are workingwith our developersto introduce an improvement to our booking flow so that passengers purchasing a ticket will see a warning icon against any services which have not been confirmed by Network Rail or where late notice possession requests mean an amended timetable will be in operation. When clicked the icon will present passengers with a similar message to that displayed on the NRE website: -Timetable updates for your journey:At present, we cannot confirm whether this service will run and some additional services may be missing from the journey planner. We would advise that you follow this link to sign up for information about any potential changes to your service. 2 We were therefore heartened to receive a response from the System Operator lastweek, also copied to your office, whichsets out a number of actions and initiativesthat could, if adopted by the wider railway partnership, start to addresssome of the challenges being faced. Rest assured that we will continue to lobbyand work withall parties to achieve a betterment in the situation at the earliest opportunity.However, it muststillbe recoginsed that a number of the issues highlighted in your list below would not be issues if thedecision to delay final Timetableinformation until T-6(and on occasion later)were returned to theindustrylicence requirement of T-12, and while Network Railhave communicated their reasons for this,it will continue to have serious repercussions on our ability to deliverfor our passengersas we would wish.Furthermore, while even the reduced T-6 anticipated timescale for Timetables areoftennot beingmet, which would be bad in itself,it is compoundedstill further by the amount of engineering work beingcarriedout across our network to meetrepeateddelay in major project deliveryand thecondensed Electrification timetables.This engineering work is alsogeneratinga significant number of late notice possession requestsand changes,which we arereceivingon a weekly basis, andwhich meaneven more changes to the alreadydelayedtimetable.You have asked us torespond in the following areas:a)set out the action taken taken since your letter of 23 February 2018 to ensure that passengers get the information that they need, especially when short notice changes are being made to the timetable;b)explain where necessary improvements are underway but have yet to be implemented, together with timescales for introduction; andc)highlight any barriers preventing them from making all the improvements together with the action being taken to address theseagainst eachthe seven 3 We have also recently added a "More details" link (see Example 1. below) which will transfer the customer to the NRE site, which provides more detailed information. The NREwebsite provides operator specific information, by train operator, including what is confirmed and accurate at any given time. There is a further opportunity for the customer to register for updates and information on their planned journey.Example1.We are also workingto provide a new pop up notification on the GWR App that appears when a passenger selects a journey that has yet to be confirmed by Network Rail or is subject to a late notice engineering change. In this instance a link will be madeavailable to transfer the passenger to the NRE website for more detailed information. We arefurtherworking with our App developersto enhancethe passenger messaging capability and allow itto be much more targeted.Weexpectallthisworkto be implemented by December 2018.c)We are not aware of any barriers in relation to this aspect.2."where NRE flags trains as not being confirmed to run, the message is not shown on train operator ticket engines which generally have no cautionary messages at all" As noted in 1.above, we currently show warning messages from NRE on ourCheck Your Journey and Live Train Times pageswithin the Travel Updates section of our website and our mobile website andon the Live Times page of the GWR App (noting that this only covers on the day disruption) this does not currently include the website booking flows.b)See answer in 1. abovec)We are not aware of any barriers in relation to this aspect. 4 3."where train times have changed since the ticket was booked, train operators are not contacting passengers to alert them to the new journey times or refund options"a) and b) When services have been opened for reservations and there isa significant change to journey times because of late changes to engineeringworks or otherissues, we alreadycontact by emailall those passengers who have booked through our own digital channels informing them of the changes to journey times. We also make contact with and request that ourthird party retailers contact allpassengerwho have booked throughthem,via their website or mobile app, on our behalf.We are currently trialing a similar contact process using SMS and we hope tobe able toimplement thesuccessful solution later in the year.In addition where a Major Possession (typically lasting2 or more days) is planned we have an automated system in place for passengers whobook a ticket through our siteor through the GWR App. Passengers who do so immediately receive an email which leads with a recommendation to "check train times again before travelling". This is repeated at T-24 hours.We are current reviewing the wording of these messages to try and strengthen the impact of the advice.c)Whilst wehave visibility of the passengers who have made bookings through our websiteand the GWR App a high number ofonline bookings are also made throughotherthird-party retailers. We therefore have to relyon these third-party retailers to agreerevisedmessaging and then send out the email communication on our behalf. 4."attention is not beingdrawn to train times that are still wrong less than a week away from the journey being made."a) and b) As set out in 1.we are workingwith our developersto introduce an improvement to our booking flow so that passengers purchasing a ticket will see a warning icon against any services which have not been confirmed by Network Rail or where late notice possession requests mean an amended timetable will be in operation.See answer 1. c)The provision of accurate and timely information to passengers is solely reliant on Network Rail's ability to recover T-12 Informed Traveller Timescales and provide a validated Timetable to the industry in a timely manner. Thiscoupled with better management ofengineering works,so as not impose repeated late notice engineering access requests,is the biggest barrierto addressing theissue. 5 5."Some operators that sell advance tickets do not make it clear when they are available to buy, for example through the use of an advance ticket calendar or registration facility;"We aim to provide informationonfor passengers wishing to book Advanced Fareson our website including details of service and availability dates this can be found at https://www.gwr.com/plan-journey/tickets-railcards-and-season-tickets/booking-tickets-in-advancea) and b) In order to assist passengers during the current challenge of late Timetable provision we have addedfurther detailed information toour website toexplain thatNetwork Rail has made temporary changes to the advanced availability of final timetables for approximatelysix months from 20 May 2018. This new section provides details of the periods affected and alsoinformation onhowrefundscan be claimed. Thenewlink titled: *Reservations aren't open yet on the following dates:can be found on the same pagelisted above. c)We are not aware of any barriers in relation to this aspect.6."weekday daytime works affecting peak time commuters are not easily distinguished from those takingplace overnight or at weekends"The Planned Engineering Works page within the Travel Updates section of the website shows all planned engineering works across the GWR network. https://www.gwr.com/travel-updates/planned-engineeringThis also highlights the specific trains affected by the works. a) and b) While Planned Major Engineering Works affecting weekday peak time passengers on the GWR Network are unusual there are some specific examples during 2018 such as "Newbury". In these cases,we provide additional point of sale advice about service changes, bespoke journey planners and station posterswell in advance of the works to allow passengersto plan effectively. We also ensure the front page of our website carries a banner to alert passengers on the day and we also apply bespoke pop up messages to the booking flow which raise awareness of 'significant' changes to services.As a result of feedbackwe are currently looking at ways of further increasing the prominence of weekday peak time possessions on our digital platforms and aim to implement any improvements as soon as possible. A further source of information is https://www.gwr.com/upgradewhich gives a forward view for passengers up to 9 months in advanceof planned works. This page is referenced on our transformation displays and our largedisplay boardswhich arebeing installed at key stations.c)We are not aware of any barriers in relation to this aspect. 6 7."although websites and mobile sites nearly all have the facility to display a banner message when services are disrupted, many apps do not"a) and b) This issue is being addressed as set out in 1.through the work being carried out by our developers to provide a pop up notification on the GWR App that appears when a passengerselects a journey that has yet to be confirmed by Network Rail or is subject to a late notice engineering change.The same notification system will be used to provide service updates during disruption.d)We are not aware of any barriers in relation to thisaspect.In summary we consider that GWRand other operators are beingimpacted byanexceptionalset ofcircumstances, balancing short and longer-termpassengerinterests and cooperating with Network Rail to assist in the efficient delivery of the essential upgrade programme with the minimum of additional delay. It is well established that the current challenge in the provision of accurate and timely informationto passengershave as a root cause the volumesof engineering works, repeateddelay in major projectdelivery (which in turn isdrivingthe massive uplift in late notice engineering access requests from Network Rail)and the decision by the System Operator to impose T-6,and often much later provision of the Timetable,on the industry. While recognising the scale of the ongoing challenge and the need to constantly review how we can manage better through these difficult times and minimise the impacts on our passengers, we consider we are compliant with, and goingwellbeyond, our licence obligations in this regard.We would be happy to discuss any of the information provided above in further detail.Yours sincerelyMark HopwoodManagingDirector ## Greateranglia Greater Anglia 11th Floor One Stratford Place Montfitchet Road London E20 1 EJ t 0845 600 7245 01603 675243 greateranglia.co.uk f w John Larkinson Director Railway Markets & Economics One Kemble Street London WC28 4AN] 18 May 2018 Dear John Compliance with condition 4 of the Passenger Licence and GB Statement of National Regulatory Provisions: Passenger, and Consumer Law With reference to your letter of 8 May 2018, please find below actions taken since your letter of 23 February 2018 in order of your items labelled 1 to 7. 1 - GA has a yellow warning symbol on desktop but nothing mobile web. Trainline the supplier who manages the white label site has been briefed to scope this out for all TOCS, and we are awaiting timescales and costs for having this change made. 2 - The app shows cancellations to services on the day within the booking flow. This is not possible within the desktop site as we have a white label solution from Trainline, so it would require development. We have briefed Trainline on our requirement so they can confirm costs and timescales for adding a cautionary message against a particular train in the timetable/fares matrix and are awaiting a full response. However, there is a Journey check feed on the website which does provide all of the information about changed or cancelled services in advance or on the day. Depending on circumstances, GA would also place additional warning messages on the home page if necessary to highlight such changes. 3 - GA does contact prebooked customers if services have changed since tickets have been booked. If GA is made aware that a change has been made, we would email customers booked on specific services advising them of the change and offering them an alternative service or refund. 4 - GA would use the home page warning banner to highlight any train times that may still be wrong a week away from travel. But as bullet point 2 above, GA are investigating manual pop up messages within the booking flow, to mark any specific info that may be attached to a train. 5 - GA offers a ticket calendar and advance ticket alert already. This is on the home page. 6 - Unusual engineering such as daytime works would be highlight by a banner message on the home page of the website as well as via Journeycheck. 7 - A banner message for the app is in development to replicate the same warning messages as the home page. GA is currently awaiting timescales and costs for implementing this change and we envisage this can be completed by the end of the summer. In addition to the above responses, GA is already working with Nick Layt at the ORR with regard to compliance with condition 4 and I have also provided information relating to station based customer information during disruption or service alterations below. All front line colleagues are issued with smartphones or tablets to be able to access service alterations and live train running information. During disruption, GA implements its Hub Station procedure whereby information is fed into a designated location for dissemination to satellite station(s) in the local area. Abellio Group, 2"' Floor, St Andrews House, 18-20 St Andrews Street, London, EC4A 3AG Registered in England and Wales No. 07861414 At times of service disruption the "Switch" procedure is implemented at stations involving colleagues redeploying from their normal duties to provide front line customer service and information. GA supports a network of colleagues who are part of our Customer Action Teams (CATS) who are Head Office staff and are available on a rostered basis to be called out at times of service disruption to assist with Customer Service and Information. Where ticket office facilities have been withdrawn GA have introduced Mobile Customer Service Hosts who will deploy as required to ensure customers are correctly informed and supported during periods of service alterations or disruption. During service alterations station screens are placed in "Disruption Mode" so that they display only the trains that are actually running and information messages. The VITA Help Button on station Ticket Vending Machines enables customers, if stations are unstaffed, to access the 24/7 support team in Norwich. If you require further information please do not hesitate to contact us. Yours sincerely, Susan Cross Head of Franchise Management Govia Thameslink Railway Monument Place, 24 Monument Street London EC3R 8AJ John Larkinson Director Railway Markets & Economics Office of Rail and Road Railway Markets & Economics One Kemble Street London, WC2B 4AN 11th May 2018 Dear John In response to your letter dated 8th May, please find set out below GTR's response to the points 1-7 raised and next steps to ensure we continue to be compliant under license condition 4. GTR continue to be cognisant of the fact that the challenges being faced by the industry have a negative impact on our customers. Our aim throughout is to ensure that whatever changes are taking place whether that be the impact of late delivery of the May Timetable or notification of changes to schedules services due to engineering work our customers will be informed. Our main aim is to inform customers as soon as possible as to the actual impact any changes actually have on the journey they are undertaking but as a minimum an alert to show a possible impact and to check back later. All of the work that is being undertaken by the various teams is to mitigate these challenges as much as possible ## What We Are Doing To Keep Our Customers Informed? Journey Planners 1. the majority of train operators do not put the warnings (icons and messages) that are shown on the National Rail Enquiries (NRE) website on their website or apps; 2. where NRE flags trains as not being confirmed to run, the message is not shown on train operator ticket engines which generally have no cautionary messages at all; 4. attention is not being drawn to train times that are still wrong less than a week away from the journey being made 6. weekday daytime works affecting peak time commuters are not easily distinguished from those taking place overnight or at weekends; and, 7. although websites and mobile sites nearly all have the facility to display a banner message when services are disrupted, many apps do not. GTR have throughout this change ensured that warning icons and messages are shown on the NRE website; this in turn displays on all 4 GTR branded websites including the ticket engine. We have also utilised banners across the home page of all the websites and the apps to alert customers if the change is more disruptive. These can be fed from both NRE and our own control centre. ## Govia Thameslink Railway In conjunction with the NRE overarching principles have been defined to ensure we get the correct message across. As we move away from the introduction of the May timetables we may want to refine or change these and this work will be completed taking into account any feedback from customers and Transport Focus who we work with very closely. We regularly audit the websites to ensure that the content is correct and that the message is clear across all sites. All efforts are being made to ensure any late notice changes that mean the journey planners are incorrect are quickly sorted. If time prevails the journey planners are updated through Network Rail rebidding or if this is not possible a banner alert will be posted to the train advising customers the train time has changed or being cancelled and what alternative a customer has. Our customer ambassadors in the control will update where necessary for very late notification of engineering especially at the weekend. ## Overarching Principles NRE Website example for T2-T6 - (Sat 23rd June) ## Govia Thameslink Railway GTR Southern website/ticket engine for T2-T6 (Sat 23rd June) NRE Website example for very late engineering work notification at Stoats Nest- (Sat 24th April) ## Govia Thameslink Railway ## Ticket Engines - Advance Purchase Tickets 3. where train times have changed since the ticket was booked, train operators are not contacting passengers to alert them to the new journey times or refund options 5. Some operators that sell advance tickets do not make it clear when they are available to buy, for example through the use of an advance ticket calendar or registration facility As a primarily commuter TOC, Advance purchase (AP) tickets are not available across all of the GTR, they are only available on Southern and only make up 0.07% of all tickets sold. Our policy during this time is to only open up AP tickets for purchase once confirmation has been received that the journey will operate. This can in reality be quite short notice especially during the introduction of the May 2018 TT due to the late bid back from NR, however this will generally only affect weekend and late night trains with weekday services largely unaffected. We are working with our train planning team to understand what can be opened earlier on a longer term basis to ensure customers have a full range of ticket opportunities where practicable. All bulletins on our ticket engine take customers through to the relevant pages on the NRE website for the full guide and when the tickets are available. Whilst Advance Purchase tickets are non-refundable, save of course where the services does not operate, we do offer free amendments online to offer maximum flexibility. NRE Website - AP availability and text from Southern AP page ## Govia Thameslink Railway Next Steps GTR are committed to continue to offer the best experience possible to inform our customers of the changes that are taking place and to this end the following is already underway. The main focus to date has been to ensure the May TT is introduced and customers are aware of how its introduction will affect them. In addition keeping everyone informed of the engineering work and its impact. We can always improve so the following additions are being worked on to improve the situation until the recovery plan puts everything back to T-12.  Recruitment of additional resources has started. This person will be an extra link between the train planning, customer information and pricing teams. Their prime focus is the customer and what they will see. Being the go to person when changes happen and ensure they communicate to all parties in a timely manner and all information is entered onto all the relevant systems that inform our customers. Including updating bulletins and banners, keeping the AP calendar up to date and reviewing everything we do.  Our apps work slightly differently to the website. The bulletins posted to the train are only shown once you select the train (see below), GTR are investigating what opportunities are available to change how this is shown to customers to give a better experience and to ensure the messaging is clear. In addition, feedback is always welcome and we will continue to work with Transport Focus and RDG to ensure that changes that take place are shared at industry forums. Kind Regards ## Govia Thameslink Railway Hull Trains Floor 4, Europa House 184 Ferensway Hull HU13UT John Larkinson Director, Railway Markets and Economic Office of Rail and Road One Kemble Street London WC2B4AN Dear John We welcome the opportunity to provide an update on our compliance with condition 4 of the Passenger licence and GB statement of National Regulatory Provisions in response to your letter of 8th May 2018. Please find below our responses to the three questions you set out against each of the seven areas of concern identified through your monitoring of compliance with Licence Condition 4. We are currently engaged in a significant investment programme in our digital channels which ensure that customers can easily plan their journey, purchase a ticket and keep up to date with relevant information. We are making further improvements to these channels over the next financial year, including a new website to be launched at the end of the year. The actions we are taking or plan to take around our digital channels to respond to the current Informed Traveller issues are described below. In addition, to this we have ensured all our frontline colleagues selling and providing information to customers are advising customers to check for changes to journeys before they travel. ## The Majority Of Train Operators Do Not Put Warnings (Icons And Messages) That Are Shown On The National Rail Enquiries (Nre) Website On Their Website Or Apps; Actions Taken By *Hull Trains:* We currently show warning messages on the Live Departures and Arrivals page within the Travel Updates section of our website, mobile website and on the Live Times page of our mobile app but this only covers on the day disruption. We have inserted a link to a webpage on our Travel Information page to ensure customers are informed as to the issues currently faced by the late presentation of information involving certain operators from May 20th 2018. ## Where Improvements Are Underway: We plan to extend the messaging capability within our mobile app. This will be in the form of a prompt where a customer plans a journey that hasn't been confirmed by Network Rail or where late notice possession requests mean an amended timetable will be in operation. The prompt will redirect customers to the relevant section of the NRE website. Customers not affected will be asked to disregard the message. This messaging capability is currently used to communicate service information, in particular relating to on the day disruption (see response to last concern). 4th Floor, Europa House, 184 Ferensway, Hull HU1 3UT 0345 676 9905 hulltrains.co.uk Barriers preventing improvements being made: We are unaware of any significant barriers preventing improvements around this particular area of concern. ## Where Nre Flags Trains As Not Being Confirmed To Run, The Message Is Not Shown On Train Operator Ticket Engines Which Generally Have No Cautionary Messages At All; Actions Taken By *Hull Trains:* As noted in our response to the question above, we currently show warning messages on our Live Departures page within the Travel Information section of our website, mobile website and on the Live Times page of our mobile app but this only covers on the day disruption. Where improvements are underway: See response above. Barriers preventing improvements being made: We are unaware of any significant barriers preventing improvements around this particular area of concern. ## Where Train Times Have Changed Since The Ticket Was Booked, Train Operators Are Not Contacting Passengers To Alert Them To The New Journey Times Or Refund Options; Actions Taken By *Hull Trains:* We have reached agreement with Network Rail for train journeys that are unaffected by engineering works (mainly weekday and some weekends) to be made available in industry systems as far in advance as possible. This has been done for those services we are certain will run, however where there is planned engineering or uncertainty around engineering, then services have not been opened for reservations until we have confirmation of the timetable. On the extremely rare occasion that services have been opened for reservations and there has been a significant change to journey times because of engineering works or other factors, we will contact by email all those customers who have booked through our own digital channels informing them of the changes to journey times and how they can claim a refund should they decide not to travel. In the past we have also asked third party retailers such as the Trainline to contact customers on our behalf who have booked through the Trainline website or mobile app. Where improvements are underway: There are no immediate improvements planned in this area but we welcome any further suggestions that could provide more information to customers. Barriers preventing improvements being made: Train operators have visibility of the customers who have made bookings through their own internet channels but most online bookings are made through third party internet retailers like the Trainline. Providing a way to quickly and easily contact all customers booked on services affected by disruption or an amended timetable, regardless of which online channel they purchased their ticket from, would be a positive step forward in terms of quickly updating customers of changes to journey times. Currently achieving this outcome is dependent on the train operator contacting third party internet retailers, agreeing the messaging and then asking them to send out the email communication on the operator's behalf. Third party retailers and other train operator websites should also display appropriate warnings / icons informing customers of likely changes so they are not misled. ## Attention Is Not Being Drawn To Train Times That Are Still Wrong Less Than A Week Away From The Journey Being Made; Actions taken by *Hull Trains:* We continue to work closely with Network Rail to ensure that timetable bids are processed in a timely manner and amended timetables are available to the public as quickly as possible. Where services have not been updated with amended timetables because of late notice engineering works, Hull Trains will not open or will close down (if open already) those services. However, despite reservations being unavailable, these services still show in journey planning systems as running until an amended timetable has been agreed with Network Rail. We recognise that Network Rail has instigated processes to reduce late possession requests but they are still occurring . Where improvements are underway: As mentioned in our responses to the first two areas of concern, we are looking to introduce warning icons on our booking flows similar to the warning triangles on the NRE website informing customers of likely changes to the timetable. Barriers preventing improvements being made: It is important that Network Rail recovers the Informed Traveller timescales and is able to process late notice bids in a timely and efficient manner. Where it is necessary to amend timetables in order to carry out engineering works, we would encourage Network Rail to look at ways of suppressing affected train services quickly so that that the data is not pulled through into public journey planners. ## Some Operators That Sell Advance Tickets Do Not Make It Clear When They Are Available To Buy, For Example Through The Use Of An Advance Ticket Calendar Or Registration Facility; Actions Taken By *Hull Trains:* We keep our website updated with the dates for which our best value Advance Purchase tickets are open: https://www.hulltrains.co.uk/customer-services/cheap-ticket-alerts/ The above link also provides an automated e-mail service whereby customers can be immediately notified as to when the cheaper tickets become available. We have a page offering advice on which ticket is the best for customers and offers available to them: https://www.hulltrains.co.uk/tickets-and-offers/ Where improvements are underway: There are no immediate improvements planned in this area but we welcome any further suggestions that could provide more clarity on ticket availability. Barriers preventing improvements being made: We are unaware of any significant barriers preventing improvements around this particular area of concern. ## Weekday Daytime Works Affecting Peak Time Commuters Are Not Easily Distinguished From Those Taking Place Overnight Or At Weekends; Actions Taken By *Hull Trains:* We work closely with Network Rail to ensure that engineering is carried out at the least disruptive times to customers. The Planned Engineering Works page within our Travel Information section of the website shows all planned engineering works across the Hull Trains network - https://www.hulltrains.co.uk/travel-information/planned engineering-works/ . This also highlights the specific trains affected by the works. Where improvements are underway: There are no immediate improvements planned in this area but we welcome any further suggestions that could provide a greater distinction between daytime and evening/weekend engineering. Barriers preventing improvements being made: We are unaware of any significant barriers preventing improvements around this particular area of concern. Although websites and mobile sites nearly all have the facility to display a banner message when services are disrupted, many apps do not. Actions taken by *Hull Trains:* We have the ability through our mobile app to display messaging and have used this most recently during Christmas engineering works. We are also exploring the opportunity to make more use of this during service disruptions using push notifications. Where improvements are underway: We will continue to optimise this messaging through the development of our mobile app. Barriers preventing improvements being made: We are unaware of any significant barriers preventing improvements around this particular area of concern . Whilst we recognise the importance of keeping our customers informed, we do feel that in this case it is worth pointing out why we are in a situation that is not of our making. We are extremely disappointed by the way in which Network Rail handled the development of and subsequent late notification of the May 2018 timetable. The decision could have been much earlier around the delay to Bolton electrification which ultimately led to the situation we have found ourselves in for the Informed Traveller bidding process for the May 2018 timetable. We would also like to note that that we did not agree to the recommendation by Network Rail to reduce the timescales for timetable uploads nationally as a result of the delay to the Bolton electrification programme. Rather, Network Rail presented this as the least worst option and one that it was therefore going to progress with . Without a base timetable confirmed we have been unable to bid at the standard timescales of T-18 and therefore not all of our train services can be uploaded and confirmed to our passengers at T-12. We have managed to reach agreement with Network Rail for train schedules that will be unaffected by engineering works (e.g. weekday services) to be made available in industry systems as far in advance as possible which is helpful, but we cannot offer the same level of certainty for other services, particularly those at weekends. Furthermore, Network Rail did inform us as operators that it would be taking full responsibility for the failure to meet its licence obligations in respect of timetable uploads, and furthermore than operators should not be held accountable for this situation. We are encouraged that Network Rail has been meeting with ORR to inform them of progress and we welcome the investigation by ORR into the cause of this situation. We would be happy to discuss any of the information provided above in further detail. Yours sincerely /?'L**~uise** Cheeseman Acting Managing Director Hull Trains R a il H ouse Merse¥rail Lord N e lson Street Liverpool L 11.JF Your ref: Our ref: Tel: 015195521 91 Fax: 0151 7023074 Mr John Larkinson Director Railway Markets & Economics Office of Rail and Road One Kemble Street London WC284AN 24th May 2018 Dear John, Thank you for your letter dated 8th May relating to the obligations under condition 4 of our passenger licence. Merseyrail is committed to ensuring that we meet all of our commitments, especially in ensuring that our passengers have timely and accurate information when travelling with us. We have worked hard over the last 18 months to improve the flow of information with our business, particularly around social media, where we have introduced significant improvements which we believe reflect the needs of the modern passenger. We know from feedback, and a 25% increase in user volumes over the last 18 months alone, that this work has proven popular with customers. We remain committed to further improving our information provision to ensure we are fit for the future. I turn specifically to the points raised in both of your letters on this issue. Before I address each one individually, I would point out that the nature of our business has meant historically we have not had the need for an online retail offer. We are a small, metropolitan operating company with low ticket prices and staffed ticket offices from start to end of train service. Historically this has meant therefore our passengers have preferred to buy in person from the booking office. Whilst the nature of our business hasn't fundamentally changed, clearly the world around us and, in particular, customer expectations have. Which is why we are part way through a significant change programme with our client, Merseytravel, to introduce smart ticketing products onto our network. Our aspiration moving forward is that this will include the provision of online retailing for our customers to help meet some of their changing expectations. Registered in Englard and Wales No 04356933 Registered Office: Rail House, l..a"d Nelsen Street. I..Msrpool L 1 1.JF a sercQ and abellia~ joint venture Moving onto the specific points made in your most recent letter. You mention that the majority of train operators do not put t~e warnings (icons and messages) that are shown on the National Rail Enquiries (NRE) website on their website or apps. You also mention that where NRE flags trains as not being confirmed to run, the message is not shown on train operator ticket engines which generally have no cautionary messages at all. In Merseyrail's case, both our app and website take a direct feed from the Darwin system which includes the provision of all of the functionality you describe. We believe that in regards to these points Merseyrail is compliant. You go on to state that where train times have changed since the ticket was booked, train operators are not contacting passengers to alert them to the new journey times or refund options. In the case of Merseyrail, as detailed above, all of our ticket sales are conducted via our booking offices and therefore we do not routinely collect passenger contact information. We keep customers updated via our website, mobile app, social media channels and station announcements and advise them of where to obtain further information and advice if necessary. With regards to your point that attention is not being drawn to train times that are still wrong less than a week away from the journey being made. Merseyrail makes every effort to ensure that times on our website are accurate 12 weeks in advance of travel, more recently National issues, faced by all train operating companies, have reduced this to 6 weeks. We have worked hard with RDG partners to ensure customers remain informed. We are confident that this is not a significant issue on our digital channels and where we do have variances in the timetables we will use a manual override on our website that allows the information to be omitted with relevant information for passengers. We also note from your letter that some operators that sell advance tickets do not make it clear when they are available to buy, for example through the use of an advance ticket calendar or registration facility. As mentioned earlier in this response, Merseyrail do not currently retail advance tickets online. Merseyrail does, however, retail advance tickets at our booking offices for travel on other operators' networks. When a customer visits our booking offices to do this, our staff offer a bespoke travel planning service, ensuring the customer gets the best value ticket to meet their needs and, on request, will identify where suitable advance tickets are available. It is extremely rare that weekday daytime works affecting peak time commuters would be scheduled on our network. In the event that this did happen, we have processes in place to ensure that customers could easily distinguish them from those taking place overnight or at weekends. In the past this has included overriding our journey planner with an alternative planner specific to the disruption, banner links on our website and app, leaflets given out by promotional staff at peak periods in advance of the works advising customers of what to expect and station/on-board announcements. Finally, both our website and app have the functionality to display banner adds when services are disrupted. I hope this information is useful and helps to reassure you as to Merseyrail's commitment to keeping our passengers informed. As ever we would welcome any feedback or queries you may have on any of the information provided. Yours sincerely, Managing Director /!1~ John Larkinson Director Directorate of Railway Markets and Economics The Office of Rail and Road 18 May 2018 Dear ORR Compliance with condition 4 of the Passenger Licence and GB Statement of National Regulatory Provisions: Passenger and Consumer Law. Thank you for your letter of 8 May 2018 in which you set out requirements for compliance with condition 4 of the Passenger Licence and GB Statement of National Regulatory Provisions (Information to Passengers) and the Consumer Protection (from Unfair Trading) Regulations 2018. In your letter you set out your expectations for compliance with Licence Condition 4 under three broad principles which included existing actions from the industry's Passenger Information During Disruption (PIDD) programme. You confirmed that you would continue to monitor compliance with this licence condition and the principles. You have also been carrying out monitoring into the UK Rail Industry's compliance with the above mentioned measures and you have collated these findings into a report which you intend to publish later this month. Areas of particular concern in your monitoring have included: 1. The majority of train operators do not put the warnings (icons and messages) that are shown on the National Rail Enquiries (NRE) website on their website or apps 2. Where NRE flags trains as not being confirmed to run, the message is not shown on train operator ticket engines which generally have no cautionary messages at all 3. Where train times have changed since the ticket was booked, train operators are not contacting passengers to alert them to the new journey times or refund options 4. Attention is not being drawn to train times that are still wrong less than a week away from the journey being made 5. Some operators that sell advanced tickets do not make it clear when they are available to buy, for example through the use of an advanced ticket calendar or registration facility 6. Weekday daytime works affecting peak time commuters are not easily distinguished from those taking place overnight or at weekends, and 7. Although websites and mobile sites nearly all have the facility to display a banner message when services are disrupted, many apps do not Across these areas of concern, you have asked UK Train Operating Companies to: 1. Set out the action that we have taken to ensure that passengers get the information that they need, especially when short notice changes are being made to the timetable 2. Explain where the necessary improvements are underway but have yet to be implemented, together with timescales for their introduction; and 3. Highlight any barriers preventing us from making all the improvements together with the action being taken to address these ## Background For Mtr Crossrail MTR Crossrail is the operator of TfL Rail and of future Elizabeth line services. We are both a Transport for London Concession (operating the railway on behalf of Transport for London) and a UK Train Operating Company. TfL Rail is a Transport for London mode and as such we offer the following journey planning and ticket retailing facilities:  Journey planning is provided by the Transport for London Journey Planner. There is no dedicated TfL Rail journey planner. The TfL Journey Planner is updated four weeks in advance (by which time National Rail Journey Planners will have had ample time to update with correct information)  We offer a turn-up-and go service where customers can pay using a number of methods including Oyster, Contactless or by buying a National Rail or TfL paper ticket. Discounted advanced tickets are not provided for point-to-point TfL journeys  The TfL website is the primary source of on-line service information for customers. There is no dedicated app for TfL modes The points mentioned above ameliorate the risk to customers of your concerns raised in points 1, 2, 3, 5 and 7 of your letter. For the remaining points, please see our responses below: ## 4. Attention Is Not Being Drawn To Train Times That Are Still Wrong Less Than A Week Away From The Journey Being Made There may be times (for example during emergency engineering work) where train timetables need to be changed at short notice. Under such circumstances we ensure the following provisions are made to publicise the change to customers:  Where the change is known more than 24 hours in advance, we will update the timetable on the TfL Journey Planner to ensure that the service is displayed correctly. It is important to note that customers will not have purchased advance tickets (as these are not offered for TfL journeys) and therefore we prioritise real time information, ensuring that National Rail Enquiries and TfL Journey Planner show the correct timetable.  We will also publicise the change on:  Social media  Long Line Public Address Announcements at stations  Static publicity on stations ## 6. Weekday Daytime Works Affecting Peak Time Commuters Are Not Easily Distinguished From Those Taking Place Overnight Or At Weekends Over the lifetime of the TfL Rail Concession, there have been very few instances where this has occurred. When these have occurred, we have managed our customer communications in the following way:  We have ensured that appropriate notices are placed on the TfL website - including banners on the home page, special notices on the TfL Journey Planner and updates on the service status page  In the rare event that the works need to take place at short notice, then we advertise service alterations in the following way:  Social media  Long Line Public Address Announcements at stations  Static publicity on stations  Electronic Service Update Boards (ESUBs) at stations and on the TfL website In the future, we will continue to manage our communications under these scenarios in the same way. The Elizabeth line will transform travel in London when it opens in 2018. MTR Crossrail takes its responsibilities for providing accurate and timely passenger information during disruption extremely seriously. In addition to the points raised in this letter (and more broadly across PIDD) we will continue to invest and innovate to improve the quality of customer information that we deliver to our customers as we move towards the launch of the Elizabeth line later this year. Yours faithfully John Geary Head of Customer Experience, MTR Crossrail South Western Railway South Western Floor 6 Friars Bridge Court 41-45 Blackfriars Road ~ Railway London SE1 8NZ John Larkinson Director Railway Markets and Economics Directorate of Railway Markets and Economics One Kemble Street London WC2B 4AN 21 May 2018 ## ,F)E (.1 ( Jgw\_ I Thank you for your letter dated 8 May regarding 'Compliance with Condition 4 of the Passenger License and GB Statement of National Regulatory Provisions: Passenger and Consumer Law·. Providing our customers accurate information to enable an informed decision is exceptionally important to us at South Western Railway (SWR). As you will be aware, ORR wrote to SWR on 12 December 2017 concerning SWR's obligations under SNRP Condition 4 (& 6) and in my response of 15 December I observed that such obligations relate to the provision of appropriate information to the greatest extent reasonably practicable having regard to all relevant circumstances. I also made clear that this is an obligation which reflects the realities of the circumstances in which SWR is operating including the actions which it can take in light of dependencies on others including Network Rail. With regard to Network Rail. we have, and continue to, work collaboratively to minimise any impact associated with late delivery of validated timetable information. This has included using SWR colleagues to support Network Rail's train planning team. Whilst we recognise the importance of keeping our customers informed. we do feel that in this case it is worth pointing out why we are in a situation that is not of our making. We are extremely disappointed by the way in which Network Rail handled the development of and subsequent late notification of the May 2018 timetable. The decision around the delay to Bolton electrification - which ultimately led to the situation we have found ourselves in for the Informed Traveller bidding process for the May 2018 timetable . - could have been made much earlier. We would also like to note that that we did not agree to the recommendation by Network Rail to reduce the timescales for timetable uploads nationally as a result of the delay to the Bolton electrification programme. Rather, Network Rail presented this as the least worst option and one that it was therefore going to progress with. Without a base timetable confirmed we have been unable to bid at the standard timescales of T-18 and therefore not all of our train services can be uploaded and confirmed to our passengers at T-12. We have managed to reach agreement with Network Rail for train schedules that will be unaffected by engineering works (e.g. weekday services) to be made available in industry systems as far in advance as possible ~ADV ANCING UlTP PUBLIC ~ r RAN$PORT Rall Delivery Group which is helpful, but we cannot offer the same level of certainty for other services. particularly those at weekends. To compound t he situat ion, we are continuing to receive late notification requests for possessions which materially affect our ability to bid in a timely manner and further disrupt our customers· plans. We recognise that Network Rail has instigated processes to reduce late possession requests but they are still occurring. Finally, Network Rail did inform operators that it would be taking full responsibility for the failure to meet its licence obligations in respect of timetable uploads, and furthermore that operators should not be held accountable for this situation. We are encouraged that Network Rail has been meeting with ORR to inform them of progress and we welcome the investigation by ORR into the cause of this situation. To address each of your identified concerns, listed within your letter: 1/2 Network Rail is now delivering validated timetables 6 weeks in advance. For journey searches six weeks in advance (or longer), each train service enquiry on our website presents our customers with an icon. that when clicked. will advise the following: Service update Timetable updates for yourjourney: Atpresent. we cannot confirm whether this service will run and some additional services may be missing from the journey planner. We would advise that you follow this link to sign up for information about any potential changes to your service. ## >More Details The ·more details' link transfers the customer to the National Rail Enquiries website. which provides more detailed information. The webpage advises, by train operator, the future weekdays/weekends that are confirmed as accurate within journey planners, and those that are not. The message prompts customers to sign up for information updates regarding potential changes to journeys for the date selected. In addition, on our website landing page, we have a dedicated, prominent reference advising customers that future timetable information greater than six weeks may be incorrect. For customers that wish to book tickets for services beyond six weeks, we have committed to our customers a number of options should the chosen service be subsequently conf irmed as altered, once the timetable has been confirmed at T- 6 weeks (or greater). The information presented is shown below: Temporary changes to how for in advance railway timetables will be confirmed Network Roil hos temporarily changed how for in advance train timetables con be confirmed following ongoing problems with industry planning processes. Train times and tickets are usually confirmed and available for you to plan and book you journeys up to 12 weeks before you travel. Now. train times will be confirmed and finalised up to 6 weeks before you travel. Network Roil are working hard to rectify this problem. but there is no quick fix and we anticipate the issue will continue for some time. We ore sorry that this may affect your ability to pion ahead and we will keep you updated on our progress to resolve this issue which affects all train operators. What this means when you buy advanced tickets With only a small number ofSouth Western Railway trains affected by this, we want you to continue planning your journeys and have put in place a series of measures to support this. You will still be able to purchase tickets including our discounted advance fares on longer journeys 12 weeks before you travel, but it is possible the train timetable could change. We expect final timetables to be confirmed six weeks before your train's departure date. ## What Should You Do If Your Advance Purchase Ticket Is Bought More Than Six Weeks Before you travel? If you purchase an Advance ticket more than six weeks before your journey, please ensure you check back with us at the 6 weeks mark to see if your train time, mode of travel {bus replacement instead of a train) and price may hove altered. If you check back and your train time has changed significantly {moved by over 15 minutes either side of your ticket), then your tickets will be valid on the service immediately before or after your originally booked service without you having to make any changes to your ticket. Refunds are not normally available on advance purchase tickets, but if the change in journey times or mode of travel {a bus replacement service) means that you no longer wish to travel you may claim a full refund on the unused tickets from your original retailer. If the fare available 6 weeks before the departure date is less than the fore originally purchased for the same journey you may wish to purchase these tickets at the cheaper fare. A full refund of the original unused tickets with no admin fee will be available from the retailer where you made your original purchase. Within the next few weeks, our IT team will be ready to deploy an enhancement to the app which will present a pop up when customers plan a journey or book a ticket. The pop up will request that customers that have selected a journey date longer than six weeks ahead should 'click here·, which will then redirect the customer to the relevant section of the National Rail Enquiries website (as above). Customers that have selected a journey date less than six weeks ahead will be asked to disregard the pop up. In addition, our IT team are currently working on a solution to present customers similar information when they book a ticket through our website. 3 Following a customer booking a ticket greater than 6 weeks in advance, our advice is to sign up to the National Rail Enquiries service. which we regard as the only practical solution at this stage, in order to advise of any changes to the selected train service. In addition, we have ensured that the information relating tojourneys being booked greater than 6 weeks in advance is exceptionally prominent on our website landing page. 4 As mentioned, Network Rail is now delivering validated timetables 6 weeks in advance. During the period where this was not being consistently achieved. we ensured a range of information was available to customers to ensure there was awareness of the potential inaccuracies. Our website had a banner providing links to the subsequent 4 weekends. For the immediate weekend ahead. customers were linked to PDF timetables of the services we were expecting to operate. For the subsequent 3 weekends after, customers were directed to an engineering summary for each weekend, which indicated if train services were unlikely to operate as per the base timetable. · 5 Information relating to Advance Purchase tickets and how many weeks prior to the date of travel that they can be purchased, is one click from our website landing page. https://www.southwesternrailway.com/train-tickets/cheap-train-tickets/advance-tickets 6 Other than major engineering blocks, spanning several days, planned engineering work during weekdays, affecting peak time commuters does not take place. 7 As described in my response to items 1/2, our solution via the pop up is a prominent presentation of information to our customers. Our IT team are currently working on a similar approach to present disruption information for users of the app. I would be happy to discuss any of the information above in further detail should it be required. Yours sincerely ~'t~ Andy Mell~ ManagiffgOirector South Western Railway John Larkinson Director Directorate of Railway Markets and Economics 17 May 2018 Dear John, When Southeastern first became aware of the looming industry challenges with the Informed Traveller process, we moved quickly to introduce a process to ensure that our passengers were provided with information that alerted them to the problem, but also provided them with meaningful information about when the information in journey planners was expected to be correct. I've addressed each of the areas of concern raised below; 1) The majority of train operators do not put the warnings (icons and messages) that are shown on the National Rail Enquiries (NRE) website on their website or apps; I'm pleased to confirm that we are in the minority here. When our website was relaunched toward the end of 2016, we specified to the developers that the incorporation of NRE's disruption feeds and warning flags / icons was a mandatory requirement. 2) Where NRE flags trains as not being confirmed to run, the message is not shown on train operator ticket engines which generally have no cautionary messages at all; As per 1) above, we actively do include this information in our journey planner / booking engine, here's an example; 3) Where train times have changed since the ticket was booked, train operators are not contacting passengers to alert them to the new journey times or refund options Southeastern Advance tickets sold through our channels account for only 0.5% of our sales revenue overall; and only represent 1% of overall ticket issues. It is therefore a very small part of our business and it is also a purely discretionary activity for us which is not part of our franchise agreement but something we have voluntarily introduced around three years ago to help stimulate the off-peak market. Because we are primarily a walk-up railway, with most journeys not booked far in advance of travel, even these advance tickets tend to be bought quite close to the time of travel. Less than 1% of all our ticket sales are sold 6 weeks or more before travel, and 81% of tickets we sell are bought on the day of travel itself. 4) Attention is not being drawn to train times that are still wrong less than a week away from the journey being made In line with 1 and 2 above, we do make it clear to passengers where information is incorrect, including where necessary, prominent "banner" warnings on our website. 5) Some operators that sell advance tickets do not make it clear when they are available to buy, for example through the use of an advance ticket calendar or registration facility We are encouraging our customers to sign up for the alerting service offered by National Rail Enquiries so they can subscribe and be notified when advance tickets for Southeastern journeys go on sale. We have now added a rudimentary calendar / availability summary for advance purchase tickets to our website, which can be found here: https://www.southeasternrailway.co.uk/tickets/tickets-explained/advance-tickets 6) Weekday daytime works affecting peak time commuters are not easily distinguished from those taking place overnight or at weekends; Outside of major programmes, such as the August and Christmas blockades of London Bridge as part of the Thameslink programme, *planned* engineering work affecting rush hour services is exceptionally rare. When this does happen, however, we would promote this heavily through our website and social media channels as we did during the major closures as part of the Thameslink programme. ## 7) Although Websites And Mobile Sites Nearly All Have The Facility To Display A Banner Message When Services Are Disruption, Many Apps Do Not; As Noted Previously, We Incorporate The Nre Feeds Into Our Website And App But Also Have The Ability To Create Our Own As Well. Here'S An Example; Regards David Statham Managing Director Our Ref: DH/SK/180521/001 21st May 2018 John Larkinson Director Railway Markets & Economics Office of Rail and Road One Kemble Street London WC2B 4AN By email: john.larkinson@orr.gsi.gov.uk Dear John, Further to your letter dated 8th May 2018 to Leo Goodwin, please find below our responses to the three questions you set out against each of the 7 areas of concern identified through your monitoring of compliance with License Condition 4. As the ORR will be aware Network Rail have been unable to deliver the May 2018 timetable within the usual timescales because of the delays to the Manchester to Preston (Phase 4) electrification scheme and as a consequence has failed to comply with its license obligation to release confirmed timetables to train operators at least 12 weeks prior to departure (The 'Informed Traveller' requirement). The implications for train operators of this are that timetables are not being validated until 6 weeks prior to departure and are subject to more short notice changes than normal. This is having a significant impact on our customers who expect to be able to plan and book journeys at least 12 weeks before travel as well as a reputational impact for the industry as whole. It is therefore imperative that Network Rail recovers back to the 'Informed Traveller' timescales as quickly as possible. The actions we are taking or plan to take around our digital channels (website, mobile website and app) to respond to the current issues are described below. In addition to this we have ensured all our frontline colleagues selling and providing information to customers are advising customers to check for changes to journeys before they travel, in particular where tickets are sold more than 6 weeks out. This includes those colleagues providing information and advice through our social media customer service channels. We issued a Retail Brief to frontline colleagues on the 13th April advising them of this issue and have recently followed up this messaging in our latest edition of 'Retail Matters', a publication for frontline retail colleagues issued 3-4 times a year. We would be happy to provide examples of these communications should you wish to see them. ## The Majority Of Train Operators Do Not Put Warnings (Icons And Messages) That Are Shown On The National Rail Enquiries (Nre) Website On Their Website Or Apps; Actions Taken By Transpennine Express: - We currently show warning messages on the Live Train Times page within the Travel Updates section of our website and mobile website and on the Live Times page of our mobile app but this only covers on the day disruption. ## Where Improvements Are Underway: - We are working on an improvement to our booking flow so that customers purchasing a ticket will see a warning icon against any services which have not been confirmed by Network Rail or where late notice possession requests mean an amended timetable will be in operation. When clicked the icon will present customers with a similar message to that displayed on the NRE website: - Timetable updates for your journey: At present, we cannot confirm whether this service will run and some additional services may be missing from the journey planner. We would advise that you follow this link to sign up for information about any potential changes to your service. ## ➢ More Details The 'more details' link will transfer the customer to the National Rail Enquiries website, which provides more detailed information. The website advises, by train operator, the future weekdays/weekends that are confirmed as accurate within journey planners, and those that are not. The message prompts customers to sign up for information updates regarding potential changes to journeys for the date selected. The work is currently being scoped by our digital agency and is expected to be available to customers by the end of the year. We also plan to extend existing messaging capability within our mobile app. This will be in the form of a 'pop up' where a customer plans a train journey that hasn't been confirmed by Network Rail or where late notice possession requests mean an amended timetable will be in operation. The 'pop up' will redirect customers to the relevant section of the NRE website. Customers not affected will be asked to disregard the message. This messaging capability is currently used to communicate service information, in particular for on the day disruption (see response to last concern). Barriers preventing improvements being made: - Network Rail is currently working through a recovery plan due to late completion of the Manchester to Preston electrification scheme. It is important that Network Rail recovers the Informed Traveller timescales and is able to process late notice bids in a timely and efficient manner. ## Where Nre Flags Trains As Not Being Confirmed To Run, The Message Is Not Shown On Train Operator Ticket Engines Which Generally Have No Cautionary Messages At All; Actions Taken By Transpennine Express: - As noted in our response to the question above, we currently show warning messages on our Live Train Times page within the Travel Updates section of our website and mobile website and on the Live Times page of our mobile app but this only covers on the day disruption. Where improvements are underway: - See response above. Barriers preventing improvements being made: - Network Rail is currently working through a recovery plan due to late completion of the Manchester to Preston electrification scheme. It is important that Network Rail recovers the Informed Traveller timescales and is able to process late notice bids in a timely and efficient manner. ## Where Train Times Have Changed Since The Ticket Was Booked, Train Operators Are Not Contacting Passengers To Alert Them To The New Journey Times Or Refund Options; Actions Taken By Transpennine Express: - TransPennine Express has reached agreement with Network Rail for train journeys that are unaffected by engineering works (mainly weekday and some weekends) to be made available in industry systems as far in advance as possible. This has been done for those services we are certain will run, however where there is planned engineering or uncertainty around engineering then services have not been opened for reservations. For example, services are currently closed for reservations due to planned engineering in June and July for the Liverpool Lime Street Upgrade works and across several weekends where there are other known engineering works or potential engineering works. On the extremely rare occasion that services have been opened for reservations and there has been a significant change to journey times because of engineering works or other factors, we will contact by email all those customers who have booked through our own digital channels informing them of the changes to journey times and how they can claim a refund should they decide not to travel. In the past we have also asked third party retailers such as the Trainline to contact customers on our behalf who have booked through the Trainline website or mobile app. ## Where Improvements Are Underway: - We are in the process of introducing more automation into our business such that if journey times do change significantly for customers who have booked through our digital channels then we are able to contact them as quickly as possible regarding details of amended timetables. We have recently invested significantly in both our IT systems architecture and a new eCRM solution that means we can quickly identify the customers affected and send an email communication out to them. ## Barriers Preventing Improvements Being Made: - Train operators have visibility of the customers who have made bookings through their own internet channels but most online bookings are made through third party internet retailers like the Trainline. Providing a way to quickly and easily contact all customers booked on services affected by disruption or an amended timetable, regardless of which online channel they purchased their ticket from, would be a positive step forward in terms of quickly updating customers of changes to journey times. Currently achieving this outcome is dependent on the train operator contacting third party internet retailers, agreeing the messaging and then asking them to send out the email communication on the operator's behalf. Third party retailers and other train operator websites should also display appropriate warnings / icons informing customers of likely changes so they are not misled. Network Rail is currently working through a recovery plan due to late completion of the Manchester to Preston electrification scheme. It is important that Network Rail recovers the Informed Traveller timescales and is able to process late notice bids in a timely and efficient manner. ## Attention Is Not Being Drawn To Train Times That Are Still Wrong Less Than A Week Away From The Journey Being Made; Actions Taken By Transpennine Express: - TransPennine Express continues to work closely with Network Rail to ensure that timetable bids are processed in a timely manner and amended timetables are available to the public as quickly as possible. Where services have not been updated with amended timetables because of late notice engineering works, TransPennine Express will not open or will close down (if open already) those services. However, despite reservations being unavailable, these services still show in journey planning systems as running until an amended timetable has been agreed with Network Rail. We recognise that Network Rail has instigated processes to reduce late possession requests but they are still occurring. ## Where Improvements Are Underway: - As mentioned in our responses to the first two areas of concern, we are looking to introduce warning icons on our booking flow similar to the warning triangles on the NRE website informing customers of likely changes to the timetable. ## Barriers Preventing Improvements Being Made: - Network Rail is currently working through a recovery plan due to late completion of the Manchester to Preston electrification scheme. It is important that Network Rail recovers the Informed Traveller timescales and is able to process late notice bids in a timely and efficient manner. Where it is necessary to amend timetables in order to carry out engineering works, we would encourage Network Rail to look at ways of suppressing affected train services quickly so that that the data is not pulled through into public journey planners. ## Some Operators That Sell Advance Tickets Do Not Make It Clear When They Are Available To Buy, For Example Through The Use Of An Advance Ticket Calendar Or Registration Facility; Actions taken by TransPennine Express: - We keep our website updated with the dates for which our best value Advance Purchase tickets are open:https://www.tpexpress.co.uk/special-offers/advance-bookings/advanced-purchase-exclusions. ## We have a page offering 9 money saving tips to get the cheapest train tickets: https://www.tpexpress.co.uk/train-tickets/how-to-get-cheap-train-tickets ## Our website also includes a page informing customers about the conditions of Advance Purchase tickets: https://www.tpexpress.co.uk/train-tickets/train-tickets-explained. In addition, the calendar in our booking flow shows how far out tickets are available to book, with many services currently open up to 24 weeks prior to departure. Where improvements are underway: - There are no immediate improvements planned in this area but we welcome any further suggestions that could provide more clarity on ticket availability. Barriers preventing improvements being made: - We are unaware of any significant barriers preventing improvements around this particular area of concern. ## Weekday Daytime Works Affecting Peak Time Commuters Are Not Easily Distinguished From Those Taking Place Overnight Or At Weekends; Actions Taken By Transpennine Express: - The Planned Engineering Works page within our Travel Updates section of the website shows all planned engineering works across the TPE network. https://www.tpexpress.co.uk/travelupdates/changes-to-train-times. This also highlights the specific trains affected by the works. Where improvements are underway: - There are no immediate improvements planned in this area but we welcome any further suggestions that could provide a greater distinction between daytime and evening/weekend engineering. Barriers preventing improvements being made: - We are unaware of any significant barriers preventing improvements around this particular area of concern. ## Although Websites And Mobile Sites Nearly All Have The Facility To Display A Banner Message When Services Are Disrupted, Many Apps Do Not. Actions Taken By Transpennine Express: - We have the ability through our mobile app to display messaging and have used this most recently during disruption caused by the severe winter weather ('Beast from the East') at the end of February / early March (see example below). Where improvements are underway: - We will continue to optimise this messaging through the development of our mobile app. Barriers preventing improvements being made: - Network Rail is currently working through a recovery plan due to late completion of the Manchester to Preston electrification scheme. It is important that Network Rail recovers the Informed Traveller timescales and is able to process late notice bids in a timely and efficient manner. We hope this response provides you with the level of information you need for each area of concern. Should you require any further information, please do not hesitate to get in touch. Yours sincerely Darren Higgins Commercial Director John Larkinson Director, Railway Markets and Economics Office of Rail and Road One Kemble Street WC2B 4AN 23 May 2018 DearJohn Thank you for your letter of 8 May. We fully recognise the importance of providing accurate and timely information to customers to help them plan their journeys and book the right tickets for their journey. This has been more challenging than normal in recent months in view of the delays in Network Rail finalising the precise timings of our trains, which has resulted in delays in opening them for reservations to the normal 12 week horizons. We have nevertheless done all we can to open trains for reservation as soon as timings have been confirmed, recognising how important it is that they are accurate before we do so. We have taken measures to mitigate the impact of the delays in confirming times and opening services for reservations on our customers, in order that they should not be disadvantaged in obtaining the tickets they want to buy. The actions we have taken in respect of the particular issues you have raised in your letter are as follows ## Warnings On Our Website And Nres We have placed a prominent banner message on the homepage of our desktop and mobile website which takes customers to a 'late timetables' help page. See Appendix 1 for details of how these are displayed. Where customers make enquiries through National Rail in relation to services where timings have not been confirmed, warnings are displayed on a train by train basis as shown in Appendix 2. ## Contact With Customers After Booking Made For bookings made through our website, the two scenarios below describe how contact is made with our customers: ## Scenario 1: Advance Tickets Are Not Yet Available At The Time Of Booking. Customers will see messaging at the time of booking, which asks for their email. Customers will then receive an email as soon as the cheaper, Advance tickets are released. See Appendix 3 for the pop-up box displayed in these circumstances. ## Scenario 2: Advance Tickets Become Available. Where a Customer has booked with another ticket type, we let them know Advance fares are now available and they can get an alternative ticket, with a simple refund process. This applies to bookings across all our digital channels, mobile, app and desktop. Customers who have not already booked any tickets, but who provided an email address in their earlier attempt to book, get an email to let them know Advance tickets are available. ## Other Issues In relation to other matters raised in your letter - We have no experience of instances of train times still being wrong less than a week away from the journey being made. - In cases where services are opened late for reservation, we give advice to customers as to when they can expect advance tickets to be available. See Appendix 4 for details which are kept updated on the National Rail website. - So far as distinguishing between advice about weekday daytime works and overnighUweekend works is concerned, our planned improvements calendar gives details in respect of each individual day https://www.virgintrains.co.uk/travel-updates/planned-improvements - For major blocks such as the forthcoming one at Liverpool Lime Street, a pop up box displays when a booking is requested for which train times have not been confirmed. Please see Appendix 5 for how this looks. In addition, emails have been sent to regular Liverpool based customers to highlight the issue. Emails are also sent to customers who have booked through our website to travel from Liverpool during the affected dates. - When booking though the Virgin Trains app customers are alerted to current disruptions which would affect their planned journey. I hope you find the information in this response helpful. Please let me know if you have any comments or questions in relation to it. Yours sincerely Mark Whitehouse Managing Director Virgin Trains Banner message on home page: This leads to the late timetables help page https://www.virgintrains.eo.uk/travel-updates/timetables ## What'S Happening? Network Rall will be publlshlng their timetables a little later than usual for weekends and bank holidays between May and September 2018. That means our cheaper Advance fares for some of these dates may not be available until around 6 weeks before travel. ## How Does This Affect Me? Don't worry, you can still buy nexU;>le tickets **now** and if you're on one of our services where our cheaper Advance fares are normally available we'll email you to let you know when they are released. Already booked a ticket for an affected date? If you want to change ticket type and get a fee free refuncl, **give** our friendly services team a call on 0344 556 5622•. making sure you have your booking reference to hand. The best time to call ls between 1 · 5pm. We're really sorry, we know lt'S abit of a pain, but rest assured we're doing everything we can to make It as hassle free as possible for you. 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We would advise that you follow this link to sign up for information about *any* potential changes to your service. ## Virgin Trains Saturday 19 to Friday 25 May We can confirm that the timetable for this week will be running as shown in the journey planner. To view these services, you can use the Nalional Rail Enquiries Journey Planner Saturday 26 May to Friday 1 June We can confirm that the timetable for this week will be running as shown in the journey planner. To view these services, you can use the National Rail Enquiries Journey Planner Saturday 2 to Friday 8 June We can confirm that the timetable will be running as shown in the journey planner. To view these services, you can use the National Rail Enquiries Journey Planner Saturday 9 to Friday 15 June We can confirm that the , timetable will be running as shown in the journey planner. To view these services, you can use the National Rail Enquiries Journey Planner Saturday 16 to Friday 22 June We can confirm that the timetable will be running as shown in the journey planner. T o view lhese services, you can use the National Rail Enquiries Journey Planner Saturday 23 to Friday 29 June We can confirm that the timetable will be running as shown in the journey planner. To view these services, you can use the National Rail Enquiries Journey Planner Saturday 30 June to Friday 6 July At present, we ca· nnot confirm whether these services are correct. We expect correct information to be available from Monday 21 May. ## S Aturday 7 To Friday 13 Ju Ly At present, we cannot confirm whether these services are correct We expect correct information to be avaJ lable f rom Tuesday 29 May . Saturday 14 to Friday 20 July At present, we cannot confirm whether these ser,ices are correct. We expect correct information to be available from Monday 4 June. Saturday 21 to Friday 27 July At present, we cannot confirm whether these services are correct. We expect correct information to be available from Monday 11 June. Saturday 28 to Friday 3 August From Tuesday to Friday, we can confirm that the timetable will be running as shown in the journey planner. To view these services, you can use the National Rail Enquiries Journey During this time, all services that would usually travel to and from Lime S treet will be affected. Our services will start and finish at Liverpool South Parkway. Merse}1rail are kindly providing connecting trains to and from Liverpool Central and Moorfields. (A rail replacement bus will be available early morning or late at night). Please check if your journey times are affected before you travel. Director Railway Markets & Economics which asked train operators to provide information about compliance with condition 4 of the Passenger Licence and GB Statement of National Regulatory In response to your letter received on 08/05/18 which asked train operators to provide information about compliance with condition 4 of the Passenger Licence and GB Statement of National Regulatory Provisions: Passenger, and Consumer law, please see the response on behalf of East Coast Main Line East Coast Main Line Virgin Trains East Coast ("VTEC") below. accurate and timely information to customers at all times. accurate and timely information to customers at all times. This has been more challenging than normal in recent months due to a delay in the publishing of the fi the publishing of the final timetable by meant that we have been unable to open reservations for some services as early for some services as early as we would have liked to, and within the normal 12 week booking horizon. We were asked to provide information in relation to 7 specific areas to demonstrate the activities that specific areas to demonstrate the activities that John Larkinson Director Railway Markets & Economics Office of Rail and Road One Kemble Street London, WC2B 4AN 21 May 2018 Dear John, In response to your letter received on 08/05/18 about compliance with condition 4 of the Passenger Licence and GB Statement of National Regulatory Provisions: Passenger, and Consumer law, please see the response on behalf of Company Limited, trading as Virgin Trains East Coast VTEC is committed to providing accurate and timely information to customers at all times. more challenging than normal in recent months Network Rail. This has meant that we have been unable to open as we would have liked to, and within We were asked to provide information in relation to 7 we are undertaking in light of this: 1. The majority of train operators do not put the warnings (icons and messages) that are shown he majority of train operators do not put the warnings (icons and messages) that are shown he majority of train operators do not put the warnings (icons and messages) that are shown on the National Rail Enquiries (NRE) website on their website or apps. here are bulletins entered into the services in the industry systems, then these will show as here are bulletins entered into the services in the industry systems, then these will show as VTEC booking engine. We have just deployed a new messaging functionality to target messages to particular dates (see We have just deployed a new messaging functionality to target messages to particular dates (see on the National Rail Enquiries (NRE) we If there are bulletins entered into the services in the industry systems, then these will show as warning messages in the VTEC We have just deployed a new messaging functionality to target messages to particular dates (see screenshot below). It should be noted that VTEC has not been significantly impacted by the timetable delays. There is a small impact on some early morning / late evening services, and weekends when there is significant engineering work. To mitigate this risk, any affected services have been blocked from reservations until the timetables are confirmed or loaded. Furthermore, we are looking into a solution which will delete the trains completely from the National Reservations System. This means that if trains are not open for reservations then customers will not be able to search for them at all via any retail channel as no data would be returned. At the point where we are ready to open reservations the timetable will be uploaded and the trains would then be opened for booking. 2. Where NRE flags trains as not being confirmed to run, the message is not shown on train operator ticket engines which generally have no cautionary messages at all. There are a number of cautionary messages displayed on the customer booking engine pages of our website, and also on the Travel Information pages. For customers attempting to book to travel on one of the affected services, a message has been provided which allows them to sign up for direct alerts which will ensure they are contacted as soon as the service becomes available to book (this is shown in the below images). We are committed to making services available to book with the usual ticket availabilities so our customers will not miss out on the best fares, and we have continued to do this. To support the above, a clear message regarding the changes to advance bookings has been published on the VTEC website, this contains further information for customers, including a list of the affected dates - this is shown in the image below and by following the link https://www.virgintrainseastcoast.com/travel-information/may-december-timetables/ 3. Where train times have changed since the ticket was booked, train operators are not contacting passengers to alert them to the new journey times or refund options. Should a customer purchase a ticket through the VTEC website for a journey which is then changed, i.e. the journey is retimed; we would contact customers directly via email to inform them of the change, and to confirm the new time of the service. The below screenshot shows an example of an email that was sent to customers following changes to journey times following engineering work at Newcastle station in January 2018. Unfortunately at present we have no way of contacting customers that have booked through non- VTEC channels. It is worth noting however that if we haven't opened bookings or reservations for that date we will not have any customers on our database to contact. This is recognised as a challenge across the industry, and work is ongoing to improve the ability to contact customers as part of PIDD-19 and the Retail and Reservation System (RARs) project. In the interim, VTEC will continue to use all other available customer communication channels, including the website and social media, to keep customers updated. 4. Attention is not being drawn to train times that are still wrong less than a week away from ttention is not being drawn to train times that are still wrong less than a week away from ttention is not being drawn to train times that are still wrong less than a week away from We have not been affected by any train services that are not confirmed less than a week confirmed less than a week before owever, should this ever be the case then we would show the alert be the case then we would show the alert messages detailed in the response to questions 1 and 2. the journey being made. We have not been affected by any train the journey being made. However messages detailed in the response to questions 1 and 2 5. Some operators that sell advance tickets do not make it clear when they are available to buy, Some operators that sell advance tickets do not make it clear when they are available to buy, Some operators that sell advance tickets do not make it clear when they are available to buy, for example through the use of an advance ticket calendar or registration facility. or registration facility. As outlined in the response to the points above, customers who try to book tickets for services As outlined in the response to the points above, customers who try to book tickets for services will be directed to sign up for direct alerts. This will allow customers . This will allow customers purchase tickets as soon as they become available. The below screenshots show the email templates that are sent to customers to confirm that they have been signed up to the alerts, and the email that is issued to advise customers once services The below screenshots show the email templates that are sent to customers to confirm that they have been signed up to the alerts, and the email that is issued to advise customers once services for example through the use of an advance ticket cal As outlined in the response to the points above, customers who try to book tickets for services which are not yet available to purchase tickets as soon as they become available. The below screenshots show the email templates that are sent to customers to confirm that they have been signed up to the alerts, and the email that is issued to advise customers once services are available to purchase. 1. This email will trigger when a customer This email will trigger when a customer 2. Once the reservations become available the Once the reservations become available the signs up to a ticket alert to an affected signs up to a ticket alert to an affected customer will be sent a follow up email confirming customer will be sent a follow up email confirming date. that the date is available to book. that the date is available to book. June 2018, only the email shown in image 1 was issued, this was because June 2018, only the email shown in image 1 was issued, this was because ## In The Example Of 3Rd June 2018, Only The Email Shown In Image 1 Was Issued, This Was Because The Template Shown In Image 2 Had Not Yet Been Created. the template shown in image 2 had not yet been created. Going forward both emails will be Going forward both emails will be issued, the first to any customers who have registered for a ticket alert, and the second, as soon as the date is released for sale. 6. Weekday daytime works affecting peak time commuters are not easily distinguished from those taking place overnight or at weekends. The majority of the affected dates for VTEC are weekend dates; these are all listed clearly on the website, as referenced in the response to question 2. 7. Although websites and mobile sites nearly all have the facility to display a banner message when services are disrupted, many apps do not. A special message has been added to the Timetable Changes pages of the VTEC website for the weekend dates which are affected by major engineering works. An example for Sunday 3rd June is shown below (this message has been removed now that the date is open for reservations): Given that VTEC is affected on relatively few dates, and none to the extent of 3rd June 2018, we have not added a specific notice to the Travel Information page of the website as we felt this could be unnecessarily confusing for customers. Our view is that it is preferable to inform customers at the point of searching for affected journeys, and this is the plan currently being executed by our e-commerce team. I hope this provides adequate reassurance that VTEC is making all reasonable endeavours to ensure customers are kept informed, and demonstrates our compliance with condition 4 of the Passenger Licence and GB Statement of National Regulatory Provisions: Passenger, and Consumer law. However, if you do require any further information, please don't hesitate to get in touch. Yours sincerely, Christabel Gavin Customer Experience Manager John Larkinson Director Railway Markets & Economics Office of Rail and Road One Kemble Street London WC2B 4AN Dear John, Thank you for your letter dated 8 May 2018. While we are a new TOC, we have ambitious plans to improve the whole journey experience for our customers, including the quality of prejourney information available. A number of the areas highlighted within the requirements documented are being worked on at both an industry level through Rail Delivery Group (RDG) and TOC level. We are aware of our legal obligations in respect of the Consumer Rights Act 2015; particularly the need to ensure that our customers have clear and accurate information available to allow them to make their purchasing decision. Taking each of the seven points in turn, I'll outline what West Midlands Trains' current position is and what we are doing to improve the situation. Where examples and screenshots are provided, these have been done using our London Northwestern Railway brand, but an identical approach is also used for the West Midlands Railway services. 1. The majority of train operators do not put the warnings (icons and messages) that are shown on the National Rail Enquiries (NRE) website on their website or apps. We do currently have the bulletins available when there are rail replacement services operating. This is available during our online booking process (see Appendix 1). It was recently agreed with RDG that a web service would be developed and available to TOCs for the bulletin data available on the NRE website for engineering work and ticket booking horizons. Timescales for when this will be available are not currently known and we will need to work through further how we integrate this with our technology. We also show warning messages from NRE in the WMT apps on the live trains pages. 2. Where NRE flags trains as not being confirmed to run, the message is not shown on train operator ticket engines which generally have no cautionary messages at all. Unfortunately this functionality is not currently available with our contracted web ticket sales supplier, but we are in discussion with them to improve their systems and we are hoping to have a solution developed over the next few months. However, it can also depend on the nature of the disruption. For example, where a journey could still be made, it would re-plan the journey with changes or show extended journey times (see Appendix 2). We are looking at what opportunities there are to update and improve our website and are doing this in conjunction with our owning group. 3. Where train times have changed since the ticket was booked, train operators are not contacting passengers to alert them to the new journey times or refund options. While we absolutely understand the importance of keeping customers informed, we have a real challenge in that we do not know who the majority of our customers are. As walk up tickets can be purchased in advance through ticket offices, other TOCs and other retailers, the only time contact details would be known is for online and telesales bookings where an account is created. With a high quantity of season ticket holders regularly using the network, to contact this volume of customers every time there is disruption would not be practical. We do promote the use of Journey Check to our customers as a way of ensuring they have up to date journey information. We therefore have to use a general approach. In some cases the data we hold in transactions, e.g. for guest logons, may not be sufficient to be able to contact them - so we are reliant on general awareness campaigns. We make use of other channels that are available, such as banners on the website and apps, Journey Check, Social Media channels, posters, leaflets, announcements and CIS to try and communicate the message to the majority. 4. Attention is not being drawn to train times that are still wrong less than a week away from the journey being made. We would endeavour to make use of the general awareness campaigns, Social Media and banners to communicate where we can in the absence of a current technical solution. 5. Some operators that sell advance tickets do not make it clear when they are available to buy, for example through the use of an advance ticket calendar or registration facility. We have details on our homepage with a link to more information on the dates for which Advanced tickets are available (see Appendix 3). 6. Weekday daytime works affecting peak time commuters are not easily distinguished from those taking place overnight or at weekends. The calendar view in Appendix 4 shows where there are engineering works taking place on a weekday. They are treated as per the examples in earlier appendices. ## 7. Although websites and mobile sites nearly all have the facility to display a banner message when services are disrupted, many apps do not. We do have the facility to add banners on both our websites and apps to communicate messages when it's appropriate to do so. We are currently restructuring our business to create a centralised Customer Experience Strategy Department, so that areas such as this are accountable to a single part of the business. This affords us greater opportunity to influence our communications channels and develop a strategy that is more cohesive across all channels and we will be developing the customer interfaces further over the next few months to ensure we provide a more effective service. I trust this provides you with sufficient information in response to your email, but please feel free to get in touch should you wish to discuss this further. Yours sincerely, Andrew Camp Commercial Director ## Appendix 1 ## Appendix 2 West Midlands Railway and London Northwestern Railway are operated by West Midlands Trains Ltd.

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Henry VIII How did Henry VIII get up in the morning? This resource was produced using documents from the collections of The National Archives. It can be freely modified and reproduced for use in the classroom only. Introduction Henry VIII became King of England in 1509, aged 18. He was determined to be a great king, looked up to by everyone. He showed this in lots of ways: his grand portraits, his keenness for French wars and his behaviour towards his court and to other kings. He also showed it in his control of every detail of his daily life. One measure of greatness at that time was the number of people that surrounded you, the more people, the more important you were. When Henry stayed at Hampton Court he was attended by nearly 1,000 people. Controlling this number of people was quite a job and in 1526, while he was staying at another of his palaces, at Eltham, a strict and detailed set of rules was drawn up by his closest advisor Cardinal Thomas Wolsey. Here are some extracts from these rules. Tasks Look at Source 1a and b 1. This is an extract from the Ordinances of Eltham which sets out the start to the Kings day. a) Write down what the pages and esquires did each morning. b) What did the gentlemen of the privy chamber have to do?. c) Who were the only people allowed to touch the king? d) Why do you think this was? Look at Source 2a and b 2. This section of the ordinances deals with the duties of the King's barber and the behaviour of his staff. a) How often did the barber visit the King? b) What tools did he use to help him with his job? c) What was the punishment for the barber if he mixed with the wrong kind of people? d) Why do you think that it was important who he mixed with? e) What were you not allowed to do in the King's chamber? f) When was the only time you would be allowed to do this? g) Why do you think it was so important? Look at Source 3 3. This piece of the document deals with how the people who worked in the Privy Chamber should act. a) What do you think is meant by the sentence "fhall be loving together, and of good unity and accord"? b) Why do you think they were not allowed to talk about what happened in the chamber? c) If you had to write a list of rules for the people who worked in the chamber, what would they be? 4. You are now going to pretend you are making a film about how King Henry VIII gets up; a) Draw a table with a column for the shot number, one for what each shot would show, and a third column for the voice-over (words to go with the shot). b) Now fill in the your table for what you think you would put in your film. c) Add a fourth column to your table for the King's words. d) Think about what the King would say in each shot, then add this to your table. 5. The point of all this was to increase the importance of Henry VIII. How do each of the following points show this? - having lots of servants - having upper class people serve the King - doing things in the right order - strict control of good behaviour Background Henry's father Henry VII was always careful with money and his court was not famous for its show of wealth. Henry VIII wanted to change all that. When he met one of his rivals, King Francis I of France, just outside Calais in 1520, a complete town of tents and timber was built for the meeting. Yards of velvet, satin and cloth of gold were sent to decorate the temporary palaces. It was called "The Field of the Cloth of Gold." Henry loved all this display: by the end of his reign he had amassed fifty-five palaces, two thousand tapestries, one hundred and fifty paintings and nearly one thousand eight hundred books. He also owned forty-one gowns, twenty-five doublets (a doublet is a snug fitting buttoned jacket), twenty coats, eight cloaks, fifteen capes and eight walking sticks. The number of people waiting on the monarch was another sign of power. But even better than numbers was the quality of your servants. Kings and great barons had always taken young boys from their friends' families into their households. It was a good education for leadership: you learnt how great men ran their affairs, how to behave, and made contacts which would be useful all your life. However, to get on at Henry's court young men had to have more than noble blood. Sixteenth century monarchs were expected to play, sing and compose music, read and discuss books, speak several languages as well as wrestle, play tennis, joust and hunt. Henry could do all these things superbly and his favourite "gentlemen of the privy chamber" did as well. Not surprisingly, some of the older aristocrats looked with disdain at these clever young men -"minions", or pretty boys, as they called them. Henry was intelligent enough to see that there was a point to all this. His father, Henry VII, had won the throne of England by fighting for it, winning the battle of Bosworth in 1485. Henry VII did not have a strong claim to the throne, so his son's was not much better. In the 15th century kings and barons had been rivals for power. In fact, some barons were more powerful than the king himself. Henry VIII could see that putting a big distance between the monarchy and the barons, building up his magnificence, his separate position, made him more secure. Everything outlined in the extracts from the Ordinances of Eltham, therefore, built up this separateness and specialness. The elaborate rules about who was allowed to get near the king and when, the requirement to be well-behaved and for servants to be keep the king's secrets, all contributed to this image-building. Teachers Notes The document extracts are designed to be used in Key Stage 2, probably alongside portrait-study. They add another dimension to the strong sense of personal monarchy which will characterise any study of the Tudors. However, there is more to it than just personal aggrandisement, just as there is more to Henry VIII than the bluff bully. The use of high-born pages and esquires, for example, was a feature of medieval courts; what Henry added was the Renaissance expectation to be excellent in a much wider range of human endeavour. The account of his getting up stresses privacy and demarcates very precisely who could actually touch the royal person (the barber is an interesting exception to this). In another two hundred years - ritual at royal courts moves slowly - Louis XIV was to create a whole royal lifestyle out of the levée. By 1700 privacy, not the public attendance of masses of servants, was to be the mark of real privilege. Note that: 1. Three rooms are mentioned. The "pallett room" is the room where the King actually slept (a pallett is a bed). The "privy chamber" is the private room next to the pallett room (privy means private). The King's Chamber is the big room where he began the day's public life. 2. Some of those mentioned are ordinary people, e.g. servants, grooms, ushers and the barber. But the pages, esquires and gentlemen of the privy chamber were the sons of rich and powerful lords and knights. Sources Image : E344/22 - Returns of the Valor Ecclesiasticus Sources 1, 2 & 3 - SP 2/B - Transcript of the Ordinances of Eltham Schemes of Work What were the differences between the lives of rich and poor people in Tudor times? Key Stage 2, Unit 8 ## Source 1A : Extract From The Ordinances Of Eltham,January, 1526 Sp 2/B F219 & 220 Source 1a : Transcript of extract from the Ordinances of Eltham,January, 1526 SP 2/B f219 & 220 [it] is ordeyned, that from henceforth the pages of the Kings chamber fhall daily arife at feven of the clock, or foone after; making the fire and warneing the efquires for the body fembably to arife foone after that houre, foe as they may be ready in the King's chamber, dreffed in all fuch things as appreteyneth, by eight of the clock at the furtheft. And moreover, that none of the fervants of the faid efquires for the body come within the pallet chamber, but be attendant at the doore of the fame, as well as pages, at the requeft and commandment of the faid efquires, fetch in and beare out their night geere, and all other their apparel; and in like wife make them ready, as well at night as in the morning Source 1a : Simplified Transcript of extract from the Ordinances of Eltham,January, 1526 SP 2/B f219 & 220 ## [it] is ordered, that from now on the pages of the Kings chamber shall daily arise at seven of the clock, or soon after; making the fire and warning the esquires for the body similarly to arise soone after that hour, so as they may be ready in the King's chamber, dressed in all such things as relate, by eight of the clock at the latest. And moreover, that none of the servants of the said esquires for the body come within the pallet chamber, but be attendant at the door of the same, as well as pages, at the request and commandment of the said esquires, fetch in and bear out their night gear, and all other their clothing; and in the same way make them ready, as well at night as in the morning Source 1b : Extract from the Ordinances of Eltham,January, 1526 SP 2/B f228 Source 1b : Transcript of extract from the Ordinances of Eltham,January, 1526 SP 2/B f228 It is alfo ordeyned that the fix gentlemen of the privy chamber, by feven of the clock or fooner, as the King the night before determineth to arife in the morning, fhall be in the faid chamber there diligently attending upon his Grace coming forth; being ready and prompt, to apparel and dreffe his Highneffe, putting on fuch garments, in reverent, difcreet and fober manner, as fhall be his Grace's pleafure to weare; and that none of the fiad groomes or ufhers doe approach or prefume (unleffe they be otherwife by his Grace commanded or admitted) to lay hands upon his royall perfon, or intermeddle with prepareing or dreffing of the fame, but onely that faid fix gentlemen : except it be to warme cloaths or to bring to the faid gentlemen fuch things as fhall apperteyne to the apparelling and dreffing of the King's faid perfon. Source 1b : Simplified transcript of extract from the Ordinances of Eltham,January, 1526 SP 2/B f228 It is also ordered that the six gentlemen of the privy chamber, by seven of the clock or sooner, as the King the night before decides to arise in the morning, shall be in the said chamber there diligently attending upon his Grace coming forth; being ready and prompt, to apparel and dress his Highness, putting on such garments, in reverent, discreet and sober manner, as shall be his Grace's pleasure to wear; and that none of the said grooms or ushers do approach or presume (unless they be otherwise by his Grace commanded or admitted) to lay hands upon his royal person, or intermeddle with preparing or dressing of the same, but only that said six gentlemen : except it be to warm clothes or to bring to the said gentlemen such things as shall apply to the apparelling and dressing of the King's said person. Source 2a : Extract from the Ordinances of Eltham,January, 1526 SP 2/B f232 Source 2a : Transcript of extract from the Ordinances of Eltham,January, 1526 SP 2/B f232 It is alfo ordered, that the King's barbor fhall be dayly by the King's uprifeing, ready and attendant in the privy chamber there having in readineffe, his water, cloths, knives, combes, fiffors, and fuche other ftuffe as to his roome doth apperteyne, for trimming and dreffing the King's head and beard. And that the faid barbor take efpeciall regard to the pure and cleane keeping of his own perfon and apparell; ufing himfelfe alwayes honeftly in his converfation, without reforting to the company of vile perfons, or of mifguided women, in avoyding fuch dangers and annoyance as by that meanes he might doe unto the Kinge's moft royall perfon; not failing this to doe, upon paine of loofeing his roome, and further punifhment at the King's pleafure. Source 2a : Simplified transcript of extract from the Ordinances of Eltham,January, 1526 SP 2/B f232 It is also ordered, that the King's barber shall be daily by the King's uprising, ready and attendant in the privy chamber there having ready, his water, cloths, knives, combs, scissors, and such other stuff as he needs, for trimming and dressing the King's head and beard. And that the said barber take special regard to the pure and clean keeping of his own person and apparel; using himself always honestly in his conversation, without resorting to the company of vile persons, or of misguided women, in avoiding such dangers and annoyance as by that means he might do unto the King's most royal person; not failing this to do, upon pain of loosing his room, and further punishment at the King's pleasure. Source 2b : Extract from the Ordinances of Eltham,January, 1526 SP 2/B f221 Source 2b : Transcript of extract from the Ordinances of Eltham,January, 1526 SP 2/B f221 nor alfoe that there be no manner of playing at diffe or cards, ufed within the fame chamber, after the King be ferved for All-night, except it be by the King's commandment or licence. Source 2b : Simplified transcript of extract from the Ordinances of Eltham,January, 1526 SP 2/B f221 nor also that there be no manner of playing at dice or cards, used within the same chamber, after the King be served for All-night, except it with the King's permission. Source 3 : Extract from the Ordinances of Eltham,January, 1526 SP 2/B f230 Source 3 : Transcript of extract from the Ordinances of Eltham,January, 1526 SP 2/B f230 ITEM, it is ordeyned that fuch perfans as be appointed of the privy chamber, fhall be loving together, and of good unity and accord keeping fecret all fuch things as fhall be done or faid in the fame, without difclofeing any parte thereof to any perfon not being for the time prefent in the faid chamber, and that the King being abfent, without they be commanded to goe with his Grace, they fhall not onely give their continuall and diligent attendance in the faid chamber, but alfo leave harkening and enquiring where the King is or goeth, be it early or late, without grudgeing, mumbling, or talking of the King's paftime; late or early going to bed Source 3 : Simplified transcript of extract from the Ordinances of Eltham,January, 1526 SP 2/B f230 ITEM, it is ordained that such persons as be appointed to the privy chamber, shall be loving together, and of good unity and accord keeping secret all such things as shall be done or said in the same, without disclosing any part thereof to any person not being for the time present in the said chamber, and that the King being absent, without they be commanded to go with his Grace, they shall not only give their continual and diligent attendance in the said chamber, but also leave asking where the King is or is going, be it early or late, without grudging, mumbling, or talking of the King's pastime; late or early going to bed

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## Delivering Our Vision HMRC Business Plan update 201 3-1 4 Helping our customers to get it right first time Maximising revenue flows and improving compliance Making sustainable cost reductions to achieve best value for money . ## Contents 5 Foreword by Lin Homer, Chief Executive 6 How are we doing? Our 2012-13 performance 8 Meeting our Spending Review commitments and managing risks to our performance 10 Customer experience - improving accessibility, accuracy and timeliness 12 Tackling tax avoidance 13 Tax evasion, organised crime and fraud 15 Individual taxpayers 17 Benefits and payments customers 19 Business customers 21 Our people Our purpose is to collect the taxes that fund the UK's public services, and to provide targeted financial support to families and individuals. We aim to do so efficiently, professionally and fairly, making complying with the tax system as simple as possible, while relentlessly pursuing those who do not comply, in order to reduce the tax gap. ## Foreword Last year, HMRC published a three-year Business Plan, which set our direction and challenges for 2012-15. This is an update to that Business Plan. It sets out our activities this year and, following the 2013 Spending Review, it also sets out some of our longer-term ambitions, ahead of a more comprehensive Business Plan to be published in 2014. The core of our purpose is to collect the taxes that fund the UK's public services, and to provide targeted financial support to families and individuals. We aim to do so efficiently, professionally and fairly, making complying with the tax system as simple as possible, while relentlessly pursuing those who do not comply, in order to reduce the tax gap. I am proud to be able to say that we are making great progress against this purpose. As you will see from the performance highlights on page six, last year we delivered strongly against our three strategic objectives: producing additional revenue of £20.7 billion - almost £2 billion more than our target; bringing PAYE up to date and exceeding our call answering and post targets; and producing more than £245 million in efficiency savings. Future years will continue to be challenging. The Chancellor's recent Spending Review announcement set out what Ministers expect of us in 2015-16. It committed us to bringing in an extra £1 billion in additional revenue and to making a five per cent reduction to our budget. In addition, as a result of a £200 million three-year digital investment programme, we will become an increasingly digital organisation, providing real-time online tax accounts to millions of taxpayers. Given the momentum we have already established, I am confident that we can meet these stretching objectives. But HMRC will have to become a very different organisation: we will be slimmer, with fewer employees in fewer locations; even more professional, with a greater emphasis on data analytics, IT, tax and operational skills. Our 2013-14 activities are steps in that journey. We will continue to invest in improvements that help compliant customers. We aim to maintain contact centre performance at 90 per cent, while piloting a new service for customers who need extra help. Real Time Information for PAYE has started very well, with more than a million payroll schemes submitted in the first month of the roll-out. This huge programme impacts every employer in the country, and remains one of our biggest challenges this year, as we continue to support the introduction of Universal Credit. We will also increasingly work in real time with larger businesses to reduce risk and increase revenues, and deliver more support to smaller businesses to cut error and fraud. We will reduce opportunities for tax avoidance, by delivering well-designed processes, policy and legislation aimed both at tax avoiders and scheme promoters. We will also increase our focus on tackling debt and tax credits error and fraud. We will also continue to tackle offshore evasion, with a raft of new campaigns and taskforces. And we will make new technology work harder for us, exploiting its potential to track down those who cheat their taxes. This will require us to invest in our own skills and capacity. Last year, we promoted more than 3,000 staff; this year, we will expand training for our tax and operational professionals, and implement a new performance management system that will further drive excellence among HMRC's staff in the running of a fair, efficient and effective tax system. ## How Are We Doing? Our 2012-13 Performance £475.6 Billion Record amount of tax revenue we brought in - more than £1 bn above what we collected in 2011-12 ## 100 Legal Wins £20.7 Bn Using a legal argument to successfully defend about £300 million in VAT claims in 2012-13 Record compliance yield - almost £2 billion above our target for the year ## £2 Bn Revenue brought in using our state-of-the-art fraud-busting tool Connect, which won project of the year at the 2012 National Outsourcing Association Awards £342 million - first payment ## 17.9 Million made after the UK-Swiss Tax Agreement came into force in January 2013 PAYE legacy open cases we finished clearing from our old computer system. We are now up to date with PAYE £1 bn 90+ per cent The highest proportion of customer calls we have ever answered in the last half of the year Estimated revenue over five years, after we agreed to share tax information with the Isle of Man, Jersey and Guernsey We answered 75 per cent of calls across the entire year The number of days it took on average to process tax credits and Child Benefit UK new claims and changes of circumstances against a target of 22 days: our highest customer service level to date 85% Post we turned around within 15 working days - the best performance ever recorded by HMRC The number of full–time equivalent staff we employed at March 2013 1,700 The number of our people who started tax training for the first time, so we can increase revenue collected and provide a better service for customers 5,463 The number of our people moved to new or different compliance roles to help meet our commitments to bring in extra revenue 200 People joined our graduate level Tax Professional Development Programme, including 120 externally recruited graduates 5,589 ## Days We Gave To Volunteering In Our Local Communities Raised for good causes through fundraising for BBC Children in Need, Lifeboat Fund, Charity for Civil Servants and other good causes via payroll giving Leaders and managers are benefiting from leader-led master classes on the new performance management system for the Civil Service 27 m ## £16 M £ What we expect to save in IT costs over four years in a new agreement signed with Microsoft in December 2012 we printed less ## Meeting Our Spending Review Commitments And Managing Risks To Our Performance HMRC agreed ambitious and stretching objectives in the 2010 Spending Review, which were stretched even further in the 2013 Spending Review. Achieving these objectives requires a major transformation of what we do and how we do it. Our change programme brings together a portfolio of projects that drive this transformation, including in technology, process and people initiatives. • expanding digital services for customers, in line with ## Our Ambition • introducing a new 'Tax for my Business' HMRC's core objectives remain to maximise tax revenues, improve our customers' experience and sustainably reduce our costs. Over the next three years, we will become even more cost-efficient, as we deliver more for the UK with less resource; we will secure more revenue from our compliance activities; and we will become better at serving customers by meeting or beating our customer service targets. By 2016, we will have become a more digital organisation. This will enable most individuals and businesses to deal with their taxes online in real time, as well as equipping HMRC with the technology and data analytics systems that will help us more effectively to target those who break the rules. The change programme projects identified in 2010 are steps in the journey to achieving that ambition, and they include: • making it cheaper and easier for our customers to pay their tax and claim their benefits and credits • reinvesting £917 million of the savings we make We will continue to support the Government to move towards a more competitive, simpler and fairer tax system, through working closely with HM Treasury and the Office of Tax Simplification to design and deliver tax policy. We will strengthen our policy capability and use our knowledge of the tax policymaking process to propose new ways of improving customer service, the administration of the tax system and reforms to reduce opportunities for avoidance and evasion. We will use our continuous improvement capability, known as PaceSetter, to improve our work and our processes. to tackle avoidance, evasion and criminal attack. This year we aim to bring in an additional £5 billion in revenues The Chancellor's Autumn Statement, published in December 2012, gave HMRC an additional £77 million to tackle tax evasion and avoidance. • implementing the largest change to PAYE in In 2013-14 we will: 70 years with the introduction of Real Time Information (RTI) • deliver specific Autumn Statement additional • creating a 'one-click' online registration process for • further develop Connect, the HMRC data matching new businesses, by moving notification of liability for VAT and main direct taxes to online channels by December 2013 the government's digital strategy, by introducing a new online PAYE service for individuals to report changes that impact on their tax codes, with a pilot service launching in October 2013 personalised homepage, to help small and medium enterprises deal with their tax affairs; a live pilot service for 1,000 customers will start in October 2013 and will be rolled-out to a wider group of businesses over the following six months. revenues of £686 million and risking tool, by upgrading software, expanding the number of users, improving accuracy of the data used by the tool and improving system resilience and capacity • recruit and deploy an additional 100 investigators • transforming HMRC - HMRC fails to deliver the changes required to meet our Spending Review commitments to the Affluent Unit, that makes sure the better off comply with the tax rules, to further tackle avoidance and evasion • cyber threats - HMRC will be unable to protect • trial the debt collection agency (DCA) approach for against cyber threats • transforming PAYE - HMRC fails to meet the aims of PAYE improvement and welfare reform • tax policy - HMRC is unable to meet tax tax credits debts, by releasing around £300 million of debt for DCAs to collect on our behalf. This builds on the model we have used over the last two years as part of the Spending Review programme policy developments • create a new centre of excellence to develop a • revenues raised - HMRC will not deliver the comprehensive strategy for tackling offshore evasion Spending Review proposition • increase our ability to tackle aggressive avoidance • HMRC Universal Credit programme - HMRC schemes, including long-running cases involving partnership losses will be unable to manage large-scale migration from tax credits to Universal Credit • start a programme of digitisation, funded by • business continuity capability - HMRC fails to the three-year, £200 million digital investment announced in the 2013 Spending Review. cope with a major event that reduces operational capability for more than three business days ## Managing Risks To Our Performance • understanding customer behaviour - HMRC fails to adequately keep track of how customers deal with us • reputation management - HMRC does not embed Our business planning involves looking ahead to identify issues that could pose a significant risk to our performance - and then deciding how best we can minimise their impact. Our current departmental risks include: and effectively use communications and stakeholder management proactively to manage its reputation and to respond appropriately to a crisis situation • employee relations - there is a risk of a significant • workload capacity and resource management - deterioration in industrial relations, sustained industrial action and unrest • health and safety - HMRC fails in its duty of care HMRC does not have an effective approach to forecasting demand and balancing capacity with workload • information security - HMRC suffers one or more • supplier stability - there is a risk relating to our data losses management and relationship with key suppliers • people skills and technical capability - not having • RTI Programme and employer awareness - HMRC the right staff in the right place with the right skills fails to raise appropriate awareness among employers to report PAYE in real time. • data management and quality - HMRC fails to apply good standards • people engagement - HMRC's ability to maximise performance is compromised by low staff engagement ## Customer Experience - Improving Accessibility, Accuracy And Timeliness Our key priorities are to improve customer experience and to tackle avoidance, evasion, organised crime and fraud. We will do this while improving our systems and our efficiency to deliver these objectives at lower cost to the Exchequer. We know that our customers care most about our accuracy, the ease of accessing our services and dealing with us quickly and efficiently. They also want us to be straightforward and cost-effective to deal with. ## What We Have Done Customer Experience This is based on research that tells us customers consider five minutes an acceptable time to wait before being answered. ## Timeliness There has been substantial progress in the turnaround times for post, answering 85 per cent of customer correspondence within 15 days, which exceeds our target of 80 per cent. We also exceeded our 40 day turnaround target of 95 per cent; achieving 97 per cent. Our goal is to improve our customers' experience of interacting with us. We are committed to achieving an increase in customer experience scores to 75.8 per cent (an increase of 4.6 percentage points compared to March 2011). Results of the quarterly survey to March 2013* show a rise of 1.8 per cent from 71.2 per cent to 73 per cent. Within this, the agents' experience score of 68.5 per cent exceeds the target of 66.5 per cent for March 2015. This improvement is due to our hard work in reducing call waiting times and implementing the Agent Strategy. Our timeliness target for UK tax credits claims and change of circumstances was also exceeded. We achieved 15.5 calendar days against a target of 22 calendar days. ## Accuracy Customer Service Standards Accessibility Our customers expect us to be accurate in our work and we measure this across a number of areas that we know our customers care about, such as tax credits claims and Self Assessment. We have achieved our targets in this area, achieving above 96 per cent over the year. We also achieved our post accuracy target of 90 per cent; 91.7 per cent and 91.8 per cent in 15 and 40 days respectively. During the course of 2012, we decided to advance the target to achieve 90 per cent of call attempts answered, originally due for 2014-15. As a result, we have made a significant difference to our performance as the year progressed. In the last six months of 2012-13, we answered 91.8 per cent of calls to our contact centres compared to just 65.5 per cent in the first half. We plan to invest a further £25 million in improving accessibility to our contact centres and continue with flexible working in 2013-14 to maintain our performance and achieve a 90 per cent average of calls answered. Research tells us that when our customers think about accuracy, they include a wide range of aspects of our service, such as ease of finding information and timely completion of work, which falls under our 'quality of service'. We are now carrying out research with customers to find out how we can understand the customer view of quality and use this to help us improve further. We are building a better understanding of the needs of our customers and as a result of working with them, we have agreed a new target for 2013-14 of responding to 80 per cent of calls within five minutes. ## Accessibility And Flexibility To maintain our performance and achieve a 90 per cent average of calls answered in our contact centres, we plan to invest a further £25 million in improving accessibility and continue with flexible working in 2013-14 £25m ## Customer Cost Reduction By March 2013, we had reduced the costs to all customers by £2.65 million, although there has been an increase in business customer costs of just over £26 million*. This is due to changes in Government policy, including: • £9 million costs from Machine Games Duty • £80 million costs from restrictions to Pensions Tax Relief to raise £4 billion a year • £20 million costs from the Bank Levy to raise more than £2.5 billion. Areas where we have reduced business customer costs come from the introduction of improved digital services such as Corporation Tax and VAT e-filing and payment and VAT e-invoicing. Our digital service for customers is a high priority area for the coming year and beyond, where we are looking to make further cost reductions for customers and for HMRC. We will start investing the extra £200 million over the next three years to help make us an increasingly digital business. ## What We Plan To Do Over the next 12 months, we will continue building on the good progress we have made to provide our customers with the level of service they expect from us. We will do this by concentrating on areas including our contact centres, our digital offering, our end-to-end processes and how we resolve customer issues more quickly and efficiently. We aim to reduce ongoing costs for all compliant customers - individuals and businesses - by 2015. The Chancellor also strengthened this commitment for business customers by introducing a target to reduce annual tax administration costs to business by £250 million by April 2015. Our current forecasts show that we are on track to meet this target. In some cases, increases in customer costs are in areas where customers have requested or supported the changes being made. During 2013, we will be introducing a change to the 'Patent Box' regime that will increase costs for business customers, but will reduce their Corporation Tax to ten per cent on profits attributable to the patents - giving our business customers an incentive to retain and develop new patented products. This change forms part of the Government's growth agenda. ## Tackling Tax Avoidance Tackling tax avoidance will continue to be one of our highest priorities, as we pursue those who bend the tax rules to their own advantage. Through our anti-avoidance strategy we will focus on making sure we have the right policies and legislation in place to reduce the ability of tax avoiders to exploit legal loopholes for their own gain. ## Delivery In 2013-14 Andrew Chappell V Hmrc The First-Tier Tribunal ruling in this case protected £156 million in tax from a marketed avoidance scheme which had 305 users. Users of the scheme entered into a series of complicated financial transactions intended to exploit the tax rules on stock lending. But the tribunal found that the arrangements involved little more than signing pieces of paper and making entries in accounts. ## Vaccine Research Limited Partnership V Hmrc The introduction of a General Anti-Abuse Rule (GAAR) this year will give more protection against artificial and abusive tax avoidance schemes. Where avoidance does occur, we will identify it early using DOTAS (Disclosure of Tax Avoidance Schemes) and other intelligence. We tailor our approach according to the characteristics of different taxpayer groups - based on a robust assessment of the tax at risk. Increasingly, we challenge not only taxpayers who try to avoid tax, but also the behaviour of promoters who offer tax avoidance schemes. We will consult widely on proposals for new information and penalty powers, targeting high-risk promoters. We will develop better performance measures to demonstrate the effectiveness of our strategic approach. We will make the most of opportunities to inform the public about the nature of tax avoidance and what we are doing to tackle it. A Jersey-registered limited partnership claimed to be trading in the UK, creating and exploiting intellectual property from research into vaccines for diseases such as HIV, flu and hepatitis B. Eighty-three investors in the partnership used £28 million of their own cash and £86 million in bank loans. The partnership claimed a first-year trading loss of nearly £193 million, creating £77 million in tax relief. This would have given the partners an almost £50 million return on their personal investments. However, in reality only £14 million had been spent on research and development into vaccines. As a result, the tribunal agreed that individual partners were entitled to tax relief of no more than £14 million of the losses. ## How We Will Measure Success We resolve avoidance issues in accordance with our litigation and settlement strategy and take action in the courts when necessary. We have an excellent record of success in litigation and win the large majority of cases. They include: ## Bristol And West V Hmrc Bristol and West, owned by the Bank of Ireland, tried to avoid paying around £30 million tax on a £91 million gain. The company transferred a swap contract to another Bank of Ireland subsidiary in a flawed attempt to exploit what it thought was a loophole in the tax rules. We are improving the data available to us by introducing a comprehensive avoidance-handling process and developing measures that will enable us to evaluate the effectiveness of our anti-avoidance strategy. This includes tracking the number of customers using avoidance schemes, the amount of tax at risk, yield from its compliance work to tackle avoidance and the amount of resource used. We expect these measures to be in place by 1 April 2014. We also plan to formally evaluate our overall strategy. The bank's theory was that the £30 million tax would disappear on the cancellation of the original contract and its replacement with a new one. It entered into a swap transaction for commercial hedging reasons, but decided to transfer the swap to another Bank of Ireland subsidiary to exploit a perceived weakness in rules on the taxation of swaps in the Finance Act 2002. The First-Tier Tribunal upheld HMRC's view that there is in fact no loophole to exploit. ## Tax Evasion, Organised Crime And Fraud Tax evasion accounts for 14 per cent of the tax gap* while organised crime - smuggling and attacks on repayment systems - costs the Exchequer around £5 billion a year, which is 16 per cent of the tax gap. We aim to level the tax playing field, by supporting the vast majority of businesses and individuals who meet their tax obligations and making sure that there is nowhere to hide for those who deliberately fail to comply. Our approach to evasion is to identify and target risks, against which we then deploy an escalating range of activities, depending on the severity of the evasion and the willingness of the taxpayer to stop evading and pay what they owe. It includes: • using publicity to deter evasion: highlighting the consequences of being caught, publicising the results of campaigns and criminal convictions and encouraging evaders to come forward to get their affairs in order • deploying taskforces aimed at particular trades and professions in various regions to investigate where we have detected evasion risks • tackling affluent individuals who have hidden assets in the UK or offshore using specialist teams • subjecting persistent evaders to ongoing monitoring and publicly naming deliberate defaulters where more than £25,000 of additional tax would have been lost without our intervention • deploying specialist criminal investigators to fight criminal attacks, including alcohol, tobacco and Missing Trader Intra-Community (MTIC) frauds and protecting the UK from cyber attacks. Together, these initiatives demonstrate our commitment to the vast majority of taxpayers who pay what they owe, that we are closing in on tax evaders and criminals. ## Delivery In 2013-14 Identifying Fraud We will improve the way in which we identify risks to better target our compliance activity and will invest in skilled staff and technology to make this possible. ## Deterring Evasion Through Publicity And Campaigns We will maximise deterrence through effective avoidance and evasion marketing and change the way we communicate with our customers to make them more compliant. We will use campaigns to address serious risks across selected customer groups so we can change their behaviour. We are publicising our successes in documents such as *'Levelling the Tax Playing Field'* to reassure the compliant majority that we are cracking down on those who don't pay what they owe. ## Targeted Taskforces In addition to the 40 taskforces carried out since 2010, we will launch up to 30 more in both 2013-14 and 2014-15. They include fraudulent VAT repayments in London, restaurants in Northern Ireland and the holiday industry in East Anglia. ## Offshore Evasion This year, we will create a new centre of excellence to tackle offshore tax evasion. Our new offshore evasion strategy, '*No Safe Havens'*, aims to reduce the opportunities to evade offshore, increase the likelihood of evaders (and those who help them) being caught, and make sure that those who try to cheat the system face tough sanctions. ## Helping Customers Meet Their Tax Commitments £1 .6 Billion The total value of 'time to pay' arrangements made by HMRC with businesses and individual customers experiencing genuine difficulty paying the tax they owe. The number of these arrangements is currently 665,000 We will work closely with other public sector bodies, law enforcement agencies and overseas authorities to clamp down on criminality and maximise the recovery of stolen tax, as well as increase the number of prosecutions to tackle mass market evasion. ## Managing Debt We have already delivered agreements with the USA and with other jurisdictions, including the Isle of Man, Guernsey and Jersey, to automatically share tax information. We will build on the success of the Liechtenstein Disclosure Facility and the historic agreement with Switzerland to encourage those who have hidden money overseas to come forward and settle their affairs. At the same time we will challenge those who choose not to comply with targeted action. ## Monitoring Persistent Evaders We recognise that some customers have genuine difficulty in paying us. We will support them through temporary difficulties by allowing them time to pay where appropriate. For the debts that remain, we will introduce more innovative collection approaches based on analysing customer data and how they deal with us. We will continue to take fast, firm, effective action against those who fail to engage with us, and seek to make sure debts are repaid by using our debt collection agency partners and recovering smaller debts through the PAYE system. We will also work with other government departments to improve the collection of debt across central government. ## How We Measure Success A key measure of success is the additional tax revenue we bring in through our compliance and enforcement activity. We plan to deliver £5.8 billion additional compliance revenues above baseline in 2013-14. Our compliance revenues are made up of: We will change the longer-term behaviour of known rule-breakers by managing their relationship with HMRC more closely through our Managing Serious Defaulters (MSD) programme, and by publishing the names of people who deliberately don't pay what they owe. We will notify serious defaulters when they are entered into the MSD programme and tell them what their obligations are. While they are in the programme, we will closely monitor them to make sure they meet all their tax obligations. If they fail to meet and maintain those obligations, we will use our inspection and information powers to undertake further compliance activity. Publishing the details of deliberate defaulters will encourage them and others to make full and prompt disclosures and cooperate with HMRC. Details are published only once all appeal routes against the related tax and penalties are exhausted. • cash collected - the total amount of tax that we ## Tackling Organised Crime • revenue protected - the amount of revenue protected We will ensure our staff continue to have the skills and capabilities needed, supported by improved risk analysis, to deliver an effective and sustained deterrence against fraud. collect from activity to tackle those individuals and businesses that have not paid the tax due by activities including: seizing illicit goods, preventing errors, deterring future non-compliance and addressing loopholes. ## Individual Taxpayers We will improve customer service for the vast majority of people while tackling avoidance, evasion, organised crime and fraud. We will also adapt our approach according to the needs of all our customers, who are individual taxpayers, benefits and payment customers and businesses. In total, we deal with 60 million people through PAYE, National Insurance, Self Assessment and other specialist taxes such as Inheritance Tax. ## Delivery In 2013-14 We will provide an improved service and, in doing so, prepare for the future by increasing our focus on digital ways of working and reducing costs for the customer and to our processses. We will make it easier for our compliant customers by looking at how they deal with us to shape our policies and processes, supported by new technology, contact centre investment and user-friendly guidance. This will make it easier for our customers to manage their affairs, and harder for them to get it wrong. Because customers will need to contact us less, we will reduce our own costs, enabling us to reinvest these savings into bringing in the money that keeps the country's vital public services running. ## Designing The Way We Do Things Around The Customer We will continue changing our products, processes and services to make sure our customers have what they need to get their taxes and entitlements right first time, minimising the need for us to get involved. When customers do need to contact us, we will maintain our service of answering an average of 90 per cent of call attempts (and answering 80 per cent of calls in five minutes). We will reply to at least 80 per cent of our customer letters within 15 days and 95 per cent in 40 days, while maintaining a quality target of at least 90 per cent throughout the year. We will work harder to learn lessons from complaints and the way we handle them - responding to customers' concerns and changing our processes. And, for those who need extra help, we will provide tailored services that meet their needs, including trialling face-to-face support at convenient locations for them. ## Reducing Costs - Both For Customers And Hmrc By helping our customers get things right first time, we will minimise errors and the need for them to contact us, reducing their costs and ours. For those who need help, we will make it cheaper to contact us, moving from 0845 to 03 phone numbers that are far less expensive to call from mobile phones. We will reduce our post-handling costs by starting to scan the correspondence we receive and by processing it electronically, and we will put our telephony contract out to tender, bringing us more modern telephony services and infrastructure at better value for money. ## Avoidance And Non-Compliance We will tackle the avoidance of tax and National Insurance contributions through the use of employee benefit trusts, and by employment intermediaries - for example, those who try to put payroll offshore. We will work more closely and offer more support for specialist agents and intermediaries to help a larger percentage of our customers become compliant. We will work closely with other government departments - for example, collecting student loan repayments on behalf of the Department for Business Innovation and Skills (£1.6 billion collected in 2012-13). ## Responding Faster To Customer Letters At least 80 per cent of our customers will get a reply to their letters within 15 days and 95 per cent in 40 days. We will maintain a quality target of at least 90 per cent throughout the year 80% ## Transforming The Paye System Our approach remains: 'We want the returns, not the penalties.' ## Measuring Success With the backlogs of previous years now cleared, we will operate PAYE in the most efficient way, working three years in a single annual tax cycle (reconciling 2012-13, updating 2013-14, and preparing tax codes for 2014-15). We will continue to reduce the number of PAYE work management items, preparing for the future through using more automation and trialling new ways of handling these items. We will introduce new performance measures to guide our work in improving the customer experience. They will focus on quality, accuracy, accessibility and our ability to resolve everything for the customer the first time they contact us. We will use a number of measures to set standards mid-year, once benchmark data becomes available. They include: In 2013-14, we will move more than 1.5 million PAYE schemes and 48 million employments to Real Time Information (RTI), improving the operation of PAYE for employers, employees and HMRC, by making the system quicker, easier and more accurate. • analysing how well our processes work from start ## More Online • how often we resolve customer issues the first time • how many complaints are upheld against us • the quality of our work, based on what customers • reducing customer costs when they deal with us • the quality and ease of using our digital services. We will make it ever-easier for our customers to do business with us online - improving our online information, forms and guidance, and expanding the services we offer online as part of an extra £200 million investment in our digital services over the next three years. In 2013-14, we will open up an online facility for some of our 39 million PAYE customers to report changes to their benefits in kind. We will build on our successful campaigns to encourage even more Self Assessment customers to file online and on time, avoiding late filing penalties. to finish they make contact with us are saying about us ## Benefits And Payments Customers We support 4.8 million families and 7.9 million children through the administration of tax credits and pay Child Benefit for 13.7 million children. Child Tax Credit helps people bringing up children and Working Tax Credit helps those working on low pay, whether or not they have children. ## Delivery In 2013-14 Our priorities for 2013-14 are to tackle the level of tax credits error and fraud and to manage our tax credits debt balance, as well as to continue to improve our customers' experience of dealing with us. To achieve this, we are looking at innovative and cost-effective solutions, for example through testing the effectiveness of using a private sector supplier to deliver additional tax credits compliance checks; through improving our risk capabilities; making best use of our data and tools, and by increasing the number of penalties and prosecutions for fraud to deter the minority of our customers who deliberately make incorrect claims. We want to help customers get it right first time, and will increase our validation of customer information to reduce the number of overpayments and underpayments, and amount of fraud and debt. ## Preparing For Universal Credit Delivery The Department for Work and Pensions (DWP) Universal Credit Pathfinder will test our processes for closing tax credits claims, including the way we recover debt and the impact on our customers. We are working closely with DWP on the timing and volumes of customer moves from tax credits to Universal Credit, which will help us make decisions around the transfer of sites and people from HMRC to DWP, as part of the delivery of Universal Credit. ## Timeliness, Accuracy, And Ease Of Contacting Hmrc We know that our customers want to get the money they are entitled to on time, and have clear and straightforward help when they need it. We want to build on the strong progress we've made, continue to improve our customer service and our customers' experience by better understanding their needs and better communicating what we need from them. We will continue to reduce the need for customers to contact us unnecessarily. For those customers who do contact us, we will look to learn from their experiences. This includes learning from our customer complaints and appeals to reduce the number of complaints, disputes and appeals we receive and improve our processes and service. ## How We Will Measure Success We will measure our success against the following targets: • achieve and sustain timeliness of 22 days for tax credits and Child Benefit UK new claims and changes of circumstances • achieve 97 per cent accuracy for new claims, renewals and changes of circumstances • deal with customer disputes and appeals in under 42 days • achieve customer satisfaction scores of 77 per cent by March 2014. ## Improving Our Online Services We will make it easier for new businesses by creating a 'one-click' online registration process for notification of liability for VAT and main direct taxes by December 2013 ## Business Customers We work with large business and 4.8 million small and medium-sized businesses in the UK to make sure we collect the tax due and tackle avoidance, error and fraud, through constantly improving our knowledge of business customers and our levels of customer service. ## Delivery In 2013-14 Maximising Revenue Our strategy is to match resource to risk, with our most experienced and highly-trained tax professionals managing relationships with our largest business customers. We make a significant contribution to the Department's revenue targets from the largest 808 firms. We are currently forecasting we will meet our 2013-14 target of £5.1 billion. Funding for a Large Business Risk Taskforce was included in the Chancellor's 2012 Autumn Statement. It is expected to identify additional risks over the next three years, producing additional revenue of £100 million this year, and £2 billion in total by the end of 2017-18. As we work increasingly in real time with customers the way we collect tax is changing - helping customers to get their tax right before returns are filed, rather than trying to put things right afterwards. Real time working can provide earlier certainty for taxpayers on a range of complex and commercial issues. It also allows us to detect avoidance more quickly. We are reviewing how we measure the impact of these changes on our revenue targets, efficiency and the customer experience. ## Improving Customer Experience We will continue to deliver against the commitments made at Budget 2012 in 'Making tax easier, quicker and simpler for small business' - particularly through the introduction of new digital services for business. We're implementing a simpler income tax process for small unincorporated businesses, and delivering VAT registration transformation which automates a substantial part of the service's business and transfers the VAT registration process online. We will contribute to reducing customer demand and contact by making the best use of digital technologies, and supporting the wider digital agenda more generally. We introduced the Patent Box regime in April 2013, which will apply a reduced rate of Corporation Tax to profits from patents and certain other forms of qualifying intellectual property. This will give companies the incentive to invest in research, development and innovation in the UK. We will take part in European Union negotiations to ensure that the international trade environment continues to encourage UK growth. We will give businesses operating across international borders certainty, by liaising with treaty partners to relieve the risk of double taxation, where businesses are taxed twice in two different countries on the same profits. We will continue to work closely with the Department for Business, Innovation & Skills, Cabinet Office and HM Treasury in support of the Government's wider agenda for business, particularly to support growth and enterprise. ## Large Business Risk Taskforce The Taskforce is expected to identify additional risks over the next three years, that will produce additional revenue of £100 million this year. Funding for the Taskforce was included in the 2012 Chancellor's Autumn Statement £100 million ## How We Will Measure Success Our primary measures of success are: • the additional £5.1 billion tax revenue we aim to We will continue to assure the delivery of the large business, small and medium-sized enterprises (SME) and agent strategies so that they bring in the revenues and deliver the customer service improvements agreed as part of our Spending Review, and to commission, maintain and apply a robust body of relevant external research to support those improvements. • delivery of business cost reductions against our • progress towards achievement of our customer collect from the largest 808 businesses, and product and process yield target to reduce by £250 million by March 2015, as part of a wider improvement in business customer experience experience targets for SMEs, agents and large business. ## Our People To make sure that we are able to collectively deliver the challenges outlined in this plan, we will continue to work towards creating an inclusive 'One HMRC' environment which is enjoyable to work in and motivates and develops our people. We want to further strengthen our leadership, improve professionalism and create the foundation for a sustainable organisation that delivers for the customer (in terms of their experience when dealing with us) and for the Government (in terms of our revenue targets). We will strengthen our people's connection to HMRC so they feel engaged and proud to work for us and play their part in delivering the Department's commitments. We will deliver this in the context of Civil Service reform, which clearly articulates the case for change, including the need to develop a more agile Civil Service with flatter management structures, less bureaucracy and improved services at reduced cost. ## Delivery In 2013-14 We will ensure that HR is integrated into the HMRC business strategy and planning teams to support our Executive Committee in developing the HMRC strategic direction and business plans. Our work in 2013-14 will be themed around four main areas: ## Leadership And Management We will continue enhancing the capability of our leaders and managers by explaining what we expect from them and investing in their development. The new Civil Service Competency Framework will be used to define what core skills, accountabilities and behaviours are required, so we can create leaders who will drive business performance for the whole organisation and support our people in reaching their potential. Increased leadership capability will ensure we deliver against our business objectives and provide the service our customers need. ## Skills And Professions As part of Civil Service reform we will develop and start delivering a five-year capabilities plan to identify what skills we have, what is missing and how gaps will be filled. We will also start to increase management capability in our digital service, how we continuously improve as an organisation, programme management and in our commercial transactions. We will work across HMRC to increase the professionalism and effectiveness of our people by clearly defining the skills and capabilities that we need and providing the development framework, career paths and a learning strategy to support this, with particular focus on our core professions of tax and operational delivery. ## Building A Sustainable Organisation It is crucial that HMRC is a flexible organisation that is able to adapt to key customer and revenue objectives in 2013-14 and beyond. For example, the Government's recent Spending Review announcement will mean reducing our workforce to 52,000 full-time equivalent staff by the end of March 2016. As the Department evolves, our priority will be to ensure that we have the right people in the right places, doing the right work. We want staff to be proud that they work for HMRC and we will continue working towards that goal so they feel the organisation is truly supporting the customers and communities they serve. ## Improving Hr In 2013-14 we will continue to build HR's professionalism, reputation, expertise and closeness to the operational business to ensure that we continue to improve our HR service and enable the delivery of HMRC operational objectives. ## Building A Sustainable Organisation We need to make sure that HMRC has the right people in the right places, doing the right work, in order to deliver our key customer and revenue objectives in 2013-14 and beyond 1,700 ## People Started Tax Training How We Measure Success In 2013-14 we will measure our performance across four key themes: We will closely monitor and evaluate our approach to diversity, so we can better reflect the communities we serve, and make sure we have the right people in the right roles at the right time with the right skills to deliver our operational business targets. • leadership and management • skills and professions • building a sustainable organisation • improving HR. It is important that as the size and shape of the Civil Service undergoes reform, we can demonstrate clearly how changes to our workforce has a positive impact on business performance. We will measure improvements in leadership capability and change management, with the aim of achieving the Civil Service average of 35.5 per cent from our current 2012 score of 24 per cent. We will also measure progress in staff engagement, which stands at 46 per cent in HMRC, compared to the Civil Service average of 57 per cent. gov.uk/hmrc Follow us on Twitter @HMRCgovuk See us on Youtube Issued by HM Revenue & Customs July 2013 © Crown Copyright 2013

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Name of operator: Company number: Network Rail Infrastructure Ltd 2904587 I confirm that the third party liability insurance policies listed below covering the above named operator: i. meet the terms set out in ORR's General Approval for operators' third party liability insurance arrangements1, dated 23 February 2007 (as amended by any relevant variation); and ii. comprises a total level of indemnity of not less than **£155 million** per incident in respect of liabilities which arise out of the rail operations of the above operator. Start Insurer Policy number Amount insured date Expiry date QBE UK Ltd P130565PRO0119A GBP 50,000,000 1.7.2020 30.6.2021 QBE UK Ltd P130565PRO119/GBCGP2000263 1.7.2020 30.6.2021 GBP 50,000,000 in excess of GBP 50,000,000 Allianz Insurance plc GBCGP2000262 1.7.2020 30.6.2021 Not less than GBP 55,000,000 in excess of GBP 100,000,000 Total GBP 155,000,000 Geographical coverage Worldwide Note: where part of any level of indemnity is provided by an industry facility, the broker should name that facility. I understand that this letter could be placed on the ORR / European Rail Agency websites or otherwise made publicly available. Signed: Name: Gill Bretherton on behalf of Aon UK Ltd Position of signatory: Client Manager ( as authorised person)

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# Construction Phase Health & Safety Plan Construction of 52Nr New Dwellings at Land at Chapel Hill, Longridge ## Document Control Sheet Issue Detail | Issue No. | Prepared By: | Signed: | Checked By: | Signed By: | Date: | |--------------|-----------------|------------|----------------|---------------|----------| | 0 | James Dean | | | | | | Adrian Dale | | | | | | | | | | | | | | 1 | | | | | | | 2 | | | | | | | 3 | | | | | | | 4 | | | | | | | 5 | | | | | | | 6 | | | | | | | 7 | | | | | | | 8 | | | | | | | 9 | | | | | | | 10 | | | | | | ## Revision History | Revision | Description | |-------------|-----------------| | 0 | First issue | | 1 | | | 2 | | | 3 | | | 4 | | | 5 | | | 6 | | | 7 | | | 8 | | | 9 | | | 10 | | This Health and Safety Plan is prepared in accordance with the Construction (Design and Management) Regulations 2015 'Managing Health & Safety in Construction (L153). It is a working document which will evolve during the course of the construction phase. The Company Health and Safety Policy forms part of the plan and all construction work will take account of its contents. It is the Principal Contractors intention that the project is constructed in such a way that the hazards to the health and safety of all persons either during the construction phase or during the use of the building are eliminated or reduced as far as reasonably practical. All those involved in the project have a duty to comply with the Health and Safety Plan. ## Contents 1.0 Project Overview & Scope of Works 1.1 Location of Site 1.2 Names of Parties 1.3 Duration 1.4 Purpose of the CPHSP 2.0 Statement of Health and Safety Principles and Objectives for the Project 2.1 Policy 2.2 Objectives 2.3 Responsibility 3.0 Existing Site Information, Security & Restrictions 3.1 Existing Site Information 3.2 Security Arrangements 3.3 Site Restrictions 3.4 Traffic & Delivery Management 3.5 Protection of Surfaces & Existing Foliage 4.0 Management of the Project 4.1 Responsibilities 4.2 Arrangements for Directing and Co-ordinating Work 4.3 Sub Contractor Selection Process 4.4 Design Information from Specialist Contractors 4.5 Plant and Electrical Inspection 4.6 Complaints 5.0 Legislation and Standards 5.1 General Standards 5.2 Training Standards 5.3 Information and Training for those on site 6.0 Site Rules and Monitoring Arrangements 6.1 Site Rules 6.2 Monitoring Arrangements 7.0 Activities with Risks to Health & Safety 7.1 Use of and Contact with Power Tools 7.2 Working at Height 7.3 Manual Handling 7.4 COSHH 7.5 Live Services 7.6 Noise Vibration and Dust 7.7 Hot Works 7.8 Biological Hazards 7.9 Confined Spaces 7.10 Spills 7.11 Exposure to UV Radiation 7.12 Control of Lifting Operations 8.0 Safe Working Procedures 8.1 Risk Assessments and Method Statements 8.2 Personal Protective Equipment Requirements 8.3 Construction Materials 8.4 Storage of Materials and Work Equipment 8.5 Storage of Waste Materials 8.6 Provision and Use of Temporary Services 8.7 Temporary Structures 8.8 Permit to Work System 9.0 Emergency Procedures 9.1 Fire 9.2 Ill Health 10.0 Reporting of Accidents and RIDDOR 10.1 Accidents 10.2 RIDDOR 11.0 First Aid Arrangements 12.0 Welfare Arrangements 13.0 Consultation for People On-Site 14.0 Unforeseen Eventualities 15.0 Information for Principal Designers Safety File ## 16.0 Review Of The Project Appendix A Fire Plan 1.0 Project Overview & Scope of Works This plan covers the access, landscaping and the erection of 52 new build residential properties. The works are to consist of - - Site Set-up including necessary Corporate and CDM 2015 related signage - The provision of welfare facilities including site office & toilet and a laydown area - Identification and marking of services - Groundwork and drainage - Blockwork and floor construction - Roof construction and coverings - Mechanical and Electrical 1st & 2nd fix - Plastering - Joinery 1st & 2nd fix - Decoration - Floor finishes - Access roads - Landscaping - Site Clearance, waste disposal and handover 1.1 Location of the Site The site is situated on the edge of an established built up area, approximately 0.5 miles from the centre of Longridge. The site is located off Chapel Hill (B6243) and Chapel Brow. The surroundings of the site consist of St Cecilia's RC High School, an existing industrial unit, a recycling centre and residential properties. Alston Reservoir is to the south of the site, this remains in UU's ownership as an operational asset. The site also partly falls within the St Lawrence's Conservation Area. 1.2 Names of Parties The Client is: Blackmore Group 2 Mount Street Manchester M2 5WQ Contact: Tel: 0161 302 6510 Email: contact@theblackmoregroup.com The Principal Designer is: Chrome Services Ltd Office 5 Stanley House 15-17 Ladybridge Road Cheadle Hulme SK8 5BL Contact: Adrian Dale Tel: 0161 486 9231 Email: adrian@chromeservices.co.uk The Architect is: Survey by Design Ltd Contact: Ossie Belshaw Tel: 07753477105 Email: The Structural Engineer is: Atkinson Peck Watson House 45 Waterloo Road Stockport Cheshire SK1 3BJ Contact: Adrian Peck Tel: 0161 480 2833 Email: apce@atkinsonpeck.co.uk The Principal Contractor is: Chrome Services Ltd Office 5 Stanley House 15-17 Ladybridge Road Cheadle Hulme SK8 5BL Contact: Adrian Dale Tel: 0161 486 9231 Email: adrian@chromeservices.co.uk 1.3 Duration Proposed Construction Phase: 4 Phases of 9 months overlapping Proposed Date of Possession: 30.05.2017 Proposed Completion Date: June 2019 1.4 Purpose of the CPHSP This plan is prepared to assist in compliance with the requirements of The Construction (Design and Management) Regulations 2015. It is intended that this will be achieved by providing information on:- Health and Safety legislation in the construction industry Identified Hazards that may be encountered during the project Assessments made to quantify the risk Control measures that require being introduced to minimize the risks The Construction Phase Plan is a dynamic document that will change and develop throughout the project. The Plan will be reviewed monthly to ensure that the content reflects the needs of the project. Additionally, the Plan will be reviewed in the light of any unforeseen occurrence. When the Plan has been updated a copy will be submitted to the Client. 2.0 Statement of Health and Safety Principles and Objectives for the Project 2.1 Policy It is the policy of Chrome Services Ltd that all operations will be carried out paying due regard to all the statutory requirements imposed on them to enable the contract to be undertaken with the provision of appropriate safeguards to prevent members of the public, employees or subcontractors being exposed to risks to their health and safety. Procedures will be in place to identify principal health and safety hazards likely to be encountered during the construction work and where appropriate measures to be taken against hazards noted. Risk assessments will be prepared by Chrome Services Ltd under the Management of Health and Safety at Work Regulations 1999. Chrome Services Ltd will take responsibility for the plans, the design and changes due to unforeseeable circumstances and review the plan during the execution of the project. 2.2 Objectives In accordance with this policy, Chrome Services Ltd has set the following objectives: a) To have zero enforcement action taken over the duration of the project. b) To eliminate all accidents and potential sources of ill health that could occur within the project. c) To have no occupational ill health arising from the project. d) To ensure that no environmental damage occurs. e) To establish safe working practices for all employees and sub-contractors working on this contract. f) To develop a high degree of awareness in health, safety and environmental issues. g) To provide information and training on health and safety and to encourage employees and sub-contractors to participate in meeting the requirements of the legislation to enable the contract to be completed safely. h) To ensure the least disruption to local businesses and members of the public as a result of the project i) To exclude unauthorised persons from the work site. j) To provide safe access to and egress from working places k) To ensure that no injury or harm to any members of the public. l) To ensure that manual handling tasks are reduced to the lowest level reasonably practicable. m) To provide operating conditions so that the lowest reasonably practicable noise levels are maintained. n) To ensure that odour nuisance does not occur, so far, as is reasonably practicable. 2.3 Responsibility These aims will be achieved within the company's organization and arrangements for the promotion of safety, health, and welfare. As with all operational functions, the company carries out its responsibilities for safety through the Owner and Site Supervisors for whom safety continues to be a vital and ongoing part of their responsibilities. Overall responsibility for the site and its management will be the Principal Contractor. The Site Project Manager will conduct regular briefings on the site progress and key issues. On the first arrival at site allowance must be made for: - Site induction for individuals, which will include ''Site Safety Rules''. - Mandatory Booking in and out of site (includes lunch and breaks). - Registering workers with appropriate training and competency certificates where necessary (i.e. CSCS/CISRS/CPCS/JIB/PASMA/IPAF etc). Operatives are to note: a random selection of cards will be confirmed against the issuing organisation. - Providing inspection and other certificates for equipment and machinery to be used safely on site. - Daily / weekly site briefing. - Demonstrating how contractors will monitor safety and its duration and issuing copies of these reports to the Site Project Manager. - Pre-existing health issues. 3.0 Existing Site Information, Security & Restrictions 3.1 Existing Site Information The site is located in an existing residential area and opposite an existing high school. It is not considered that the proposed construction work will create any additional risks to the safety and welfare of the general public's use of Chapel Hill. Heras screen fencing/hoarding will protect the public from access to the site. However, Chrome Services Ltd shall endeavour to minimise all foreseeable risks when operating in the vicinity of the adjacent public highways, through careful control of site traffic, site deliveries, and physical segregation through the use of signage and road traffic barriers as necessary. Careful planning, implementation, monitoring, and co-operation will minimise the anticipated risks to the public and particularly children to an acceptable level. Chrome Services Ltd will ensure that provisions are in place to protect children and the general public at large from hazards evolving from the construction operations. There are no notified planning restrictions, which might affect health and safety. Access to the site will be from Chapel Hill (B6243). Careful consideration will be given regarding deliveries and waste collection. Vehicles must not be too large for the local road network. Deliveries and collection will be scheduled to avoid peak travel times including drop off and collection times at the nearby school. Local Schools There is a high school located directly opposite to the development: St Cecilia's Rc High School Chapel Hill Longridge Preston Lancashire PR3 2XA Email: info@st-cecilias.lancs.sch.uk Phone: 01772 783074 Another high school is located nearby: Longridge High School Preston Road Longridge Preston PR3 3AR Headteacher: Mrs J Green Telephone: 01772 782316 Email: admin@lhs.lancs.sch.uk Existing Services The existing plot is currently rough grassland and there are no known services within the plot. Chrome Services Ltd will take all reasonable precautions including carrying out cable detection to avoid contact with live services. This will only be undertaken by competent persons. Safe digging practices including CAT scanning and hand dug trial pits will be undertaken in line with Cambrian Homes Ltd procedure, should any possible services be identified on site. Care must be taken when planning site operations to ensure that wide or tall loads or plant with booms, jibs and counterweights are able to operate without coming into contact with retained trees. Any contact has the potential to cause life-limiting damage. It is, therefore, essential that any activities in close contact with retained trees are carried out under the supervision of a banksman to maintain sufficient clearances. Any tree damage must be reported to the Arboricultural Consultant or Local Authority Tree Officer as unreported damage could lead to the structural instability. Tree Protection Temporary protective fencing will be installed in the positions indicated on the Tree Protection Plan. Care will be taken when planning site operations to ensure that wide or tall loads or plant with booms, jibs and counterweights are able to operate without coming into contact with retained trees. Any contact has the potential to cause life-limiting damage. It is, therefore, essential that any activities in close contact with retained trees is carried out under the supervision of a banksman to maintain sufficient clearances. Any tree damage will be reported to the Arboricultural Consultant or Local Authority Tree Officer as unreported damage could lead to the structural instability. Excavation in the Root Protection Area Any necessary excavation must be carried out using hand tools to avoid direct damage to the protective bark of tree roots. It may be possible in some instances to use specialised equipment such as high air pressure machinery to excavate the soil with minimal disturbance to roots. Exposed roots will be wrapped in dry, clean Hessian sacking to prevent desiccation and to protect from rapid temperature changes. In warmer weather, the sacking should be kept moist by regular watering. Sacking should be removed before backfilling. Roots less than 25mm diameter may be pruned back, preferably to a growing point. A sharp cutting tool such as bypass secateurs or a handsaw should be used to leave the smallest wound possible. Roots greater than 25mm in diameter should be retained wherever possible. Root pruning should be carried out under the supervision of the Arboricultural Consultant or the Local Authority Tree Officer to ensure that only roots necessary to facilitate the development will be removed and the long-term well-being of retained trees is maintained. Backfilling of any excavation should be carried out by hand to avoid direct root damage by excessive compaction and should include, where possible, the replacement of inert granular material mixed with sharp sand (not builder's sand) around retained roots. Ground Conditions A Site investigation has been completed and will be available in the site safety folder. Potential Risks to Construction Workers during Development The concentrations of contaminants at the site are low and are unlikely to require measures beyond that required for health and safety purposes on a construction site. The depleted oxygen concentrations should be noted and appropriate health and safety measures for work in excavations and confined spaces below ground put in place. Made Ground Given the limited extent of made ground at the site, it is anticipated that where this is present as a thin surface layer, such as at TP8 it will be removed by necessity in order that foundations are sufficiently deep to avoid the near surface frost susceptible zone and is not considered further as foundations will be taken down to the underlying natural clay. Close to the derelict farm house, an underground septic tank is suspected and there may be old buried foundations associated with former structures in this area. A general overdig of soils in this area should be carried out to identify and, if necessary, remove old foundations and identify and remove the septic tank and associated backfill, and the generated voids brought up to level with suitably compacted appropriate backfill, depending on the needs of any intended construction in this part of the site. During excavations for foundations, the base of the excavations should be inspected and any soft or loose soils, including broken and weathered sandstone, should be removed. The use of a toothless trenching bucket should minimise disturbance of the base of the excavation. Generally, water ingress into shallow excavations is not anticipated, other than slow seepages from sandier horizons and from water held in topsoil above the underlying clay. No significant water ingress was noted during the excavation of trial pits, which remained stable. Excavations should not be left open and exposed to inclement weather and significant rainfall due to the potential softening of exposed clay soils. Environmental Recommendations - It is considered that, for a residential end use, soil and groundwater contamination is not present in sufficient quantity or concentration to require specific remedial action prior to development, i.e. pollutant linkages are not complete; - It is concluded that the site is not acting as a source of contamination which has the potential to be detrimental to groundwater i.e. pollutant linkages are not complete; - During development, a watching brief should be maintained for contaminated soils, particularly made ground, which might contain localised occurrences of visible or odorous contamination, which could not be identified during the investigation. This includes for the potential presence of asbestos containing materials associated with former structures near the derelict farmhouse; - It is recommended that made ground is stockpiled separately from other excavated soils and is analysed, as required by the receiving landfill site if the soils are destined for offsite disposal or as recommended in this report, where it is to be re-used on-site; - No specific measures are required for protection of construction and service infrastructure materials from contaminated soil; - Ground gas, in the form of varying concentrations of carbon dioxide and methane is present, however, to date no gas flow has been recorded. Currently, this suggests that the likely mitigation requirements would be under floor venting as a precautionary measure only. This comment is preliminary based on results obtained to date and is subject to continued monitoring of the ground gas monitoring regime; and - Low concentrations of oxygen have been recorded in wells and this should be taken into account for health and safety reasons where confined spaces work is envisaged as part of the works. 3.2 Security Arrangements Site security will be maintained during the construction phase. Chrome Services Ltd will erect Heras fencing to form a secure construction site to prevent entry by children, members of the public, trespassers and vandals. Site perimeter to consist of minimum 2 meters high Heras fencing panels clipped together at high and low level using fence clips with the nut on the inside so it cannot be unbolted from the outside. When the fencing meets the building, other fencing, site cabins etc., it must be suitably fixed in order that easy access is prevented. Warning signage to be placed at strategic points on the perimeter fencing. Information signage to be placed at the site entrance. Information signage - reporting procedure, PPE requirements, etc. The Site Manager will ensure that the site perimeter fencing is in good condition and fully clipped to help prevent unauthorised access to the site. The site entrance must be locked using a chain and padlock as a minimum. Ladders will be removed/made unusable, materials locked away, plant secured, openings/excavations covered and/or protected with barriers. The perimeter check will be made twice per working shift, once at the beginning of the shift and once at the end of the shift. 3.3 Site Restrictions & Access Chrome Services Ltd will liaise with the local residents and businesses prior to any works being undertaken to make them aware of works taking place and address any concerns by these affected parties. Access to the plot is off Chapel Hill. A secure gate will prevent entry to unauthorised persons. Working hours will be generally 0800-1700 on weekdays, 0900-1400 on Saturdays. No works will be permitted on Sunday's or Bank Holidays. Priority will be given to maintaining continuous safe access with particular attention to the following; - Preventing the general public, schoolchildren and visitors from wandering into designated construction work areas; - Keeping all areas outside of the work area free from deposits of mud and site debris by regular sweeping as necessary; - Avoiding pollution of the atmosphere 3.4 Traffic & Delivery Management Deliveries of materials will be organised to maximise the safety of all personnel. The emergency services, e.g. fire appliances, ambulances, etc. will use the same access routes to the working areas. These routes, particularly the main access road, site operatives parking, and the main entrance to the site will be kept free from obstructions throughout the construction phase. Chrome Services Ltd will adhere to site rules as follows: Traffic rules apply (No illegal parking, speed limit of 5 mph)", and store materials as close to the working area as possible. However, Chrome Services Ltd will not at any time present a hazard to pedestrian traffic by obstructing established foot routes. Where work on any footpath is necessary as part of the construction works, pedestrians will be diverted onto alternative safe routes. Materials will be ordered on a 'just in time' basis to minimise the amount of space needed onsite. Deliveries and collections will avoid peak times and therefore will be restricted to the hours of 1000-1500. 3.5 Protection of Surfaces It is not anticipated that our activities will adversely affect the public highway; this will continue to be monitored and reviewed as necessary. 4.0 Management of the Project Contract Director: Adrian Dale Mobile No: 07921 393599 Site Manager: TBC Mobile No: Health & Safety Advisor: JAD Consulting (Cheshire) Ltd Mobile No: 07800 521 476 4.1 Responsibilities Overall responsibility for works on the site lies with the Principal Contractor. Day to day control lies with the appointed site supervisor, or his designated staff, who will oversee and ensure safe working, control access with the facility manager and where necessary give instructions to subcontractors to avoid possible conflicts between work activities. However, the Project Manager will have overall control of the project activities. The project manager will organise and coordinate meetings as necessary with the contractors. These meetings will include, but are not limited to: - Pre-Start Meetings - Weekly site safety and progress meetings - Formal and Informal Inspections - Safety Improvement notices - Two week look ahead programme - Tool Box Talks - Formal and informal consultation with the workforce on safety related topics - The discussion and handling of design related issues with project members - Liaison with local building control All operatives are to ensure they use the booking/out procedure and that they ensure the Site Project Manager is aware they have left the site at the end of the day to allow the manager to secure the project. 4.2 Arrangements for Directing and Coordinating Work All contractors are to read the site copy of this safety plan and confirm that they have seen and will comply with it. They will be notified of any amendments to the plan will be highlighted to operative's management via the site notice board or a tool box talk session subcontractors working on the site must nominate a 'person in charge' who will liaise with the Site Project Manager in all safety and other management matters. These individuals are responsible for ensuring that their workforces operate in accordance with the safety standards set in this plan and in keeping with their own safe methods of work and Risk Assessments (in addition to health and safety legislation and HSE guidance). Where safety is threatened or compromised by the failure of any workers or others to adhere to this plan, the Site Project Manager is empowered to stop works and/or exclude workers or equipment from the site until a safe system of work can be agreed. The Site Project Manager will conduct regular briefings on the site progress and key issues. On the first arrival at site allowance must be made for: - Site induction for individuals, which will include ''Site Safety Rules'' - Mandatory Booking in and out of site (includes lunch and breaks) - Registering workers with appropriate training and competency certificates where necessary (i.e. CSCS/CISRS/CPCS/JIB/PASMA/IPAF etc). Operatives are to note: a random selection of cards will be confirmed against the issuing organisation - Providing inspection and other certificates for equipment and machinery to be used safely on site. - Daily / weekly site briefing - Demonstrating how contractors will monitor safety and its duration and issuing copies of these reports to the Site Project Manager - Pre-existing health issues 4.3 Sub-Contractor Selection Process All sub-contractors involved in this project will be agreed with the Client project management team prior to the commencement of the works. To ensure that a contractor is competent to be appointed to the project they will be required to complete our pre-qualification questionnaire and prior to appointment must provide the following information: - Health & Safety Policy - Insurance details - Management Structure - Risk, COSHH and site-specific assessments - Confirmation that they will comply with the Construction Phase Plan - Confirmation any plant and equipment to be used is properly selected and maintained - Confirmation that the operators of plant and equipment are properly trained - Evidence of CSCS accreditation - Training details - Accident / Enforcement details Where works are to be sub-contracted to other companies, it is the duty of the sub-contracting company to ensure that the company they are intending to the contract has met the required standards for safety and training as expected by the Client and Principal Contractor. Each company must have completed the sub-contractor questionnaire and have had this document and any supporting evidence checked and approved by the Site Safety Advisers. All staff brought on to the site shall be expected to have suitable and sufficient training for the tasks they are performing and should have read and signed up to an approved method statement. Where necessary this should include the provision of translations of documents or suitable translation staff for workers who have English as a second language. Sub-contractor assessments and safe working procedures should be provided to the principal contractor or their safety Adviser at least 2 weeks in advance of the planned start date to allow time for these assessments to be undertaken. Failure to meet this requirement may lead to a delay in the project and potential financial penalties for the offender. The host sub-contractor must ensure adequate site supervision (defined as Site Supervisors Safety Training Scheme as a standard) and that safety monitoring is in place for the work being performed. They must ensure that they remain responsible for the safe method of work they have implemented and that any changes to this or any other safety document being used on site is alerted to the Principal Contractor. 4.4 Design Information from Specialist Contractors Any specialist contractors (including electrical) are required to pass details of their designs and design risk assessments through the Principal Contractor, or the Site Project Manager, well in advance of the start of relevant work on the site. Where designs changes need to be made that have a Health and Safety implication, these must then be provided to the Principal Designer for appraisal prior to instigating the changes. 4.5 Plant and Electrical Inspection All contractors are to supply, maintain, inspect and operate their own equipment and plant. Scaffolds/towers/access systems erected on the site also fall under this category. Copies of statutory inspections are to be handed to the Site Project Manager at the end of each inspection cycle. No contractor is to make use of equipment or plant provided or belonging to any other, without the expressed approval of the Site Project Manager and the appropriate contractor. Contractors are to ensure that electrical equipment and the plant is clearly marked and 'in date' P.A.T. inspection labels attached. - All portable electrical tools and appliances must be battery operated or 110 volts. - If circumstances dictate that 230v is required it must be protected by a 30mAmp RCD and prior approval of its use must be given by the Principal Contractor's Site Project Manager. Furthermore, the PAT inspection regime is to be monthly for 230v. - All 110-volt equipment is to be inspected and PAT certificated by a competent person at suitable intervals as defined in HSG141/107/150 and copies of the test certificates must be available to the Site Project Manager. - All appliances will be visually inspected prior to use by the user. - Only a day's supply of fuels/oils and lubricants are to be brought onto the site (but never into the facility) to support plant running. Flammable oils/lubricants are to be stored in appropriate plastic/metal containers, with protection against spillages and a suitable means of spill clean-up kit available. Any storage tanks are to be bunded. - Records of all inspection certificates are to be kept in the site safety management file. - Contractors are to ensure barriers/exclusion must be fully utilised to protect 3rd party operatives. - All operatives are to ensure that when it is necessary to leave the facility unattended during the maintenance phase they secure the entrance door to prevent unauthorised entry by others. - No LPG is to be left unattended on the active site, and must not be left on the site at the end of the day. 4.6 Complaints A complaints procedure is present within the Principal Contractor's safety management system and shall be available and used whenever a member of the public wishes to raise a complaint. Complaints shall be addressed to - Contact: Adrian Dale E-mail: adrian@chromeservices.co.uk Tel: 07921 393599 The Site Project Manager will establish a complaints log and issues should also be logged in the site diary where necessary. Feedback should be given and sought to ensure that two-way communications are instigated. It should be remembered that some issues may be of a sensitive nature and advice should, therefore, be sought via the Principal Contractor Management, legal Advisers or others as necessary before communications are established. 5.0 Legislation and Standard It is Chrome Services Ltd.'s intention that the work will be carried out on the project in accordance with the framework of, but not limited to: Health & Safety Standards - The Health and Safety at Work Act 1974 - Construction (Design and Management) Regulations 2015 - Management of Health and Safety at Work Regulations 1999 - The Reporting of Injuries, Diseases, and Dangerous Occurrences Regulations 2013 - The Control of Asbestos at Work Regulations 2012 - The Work at Height Regulations 2005 - The Control of Vibration at Work Regulations 2005 - The Control of Noise at Work Regulations 2005 - The Regulatory Reform (Fire Safety) Order 2005 - The Control of Substances Hazardous to Health Regulations 2002 (as amended) - The Provision and Use of Work Equipment Regulations 1998 - The Lifting Operations and Lifting Equipment Regulations 1998 - The Confined Spaces Regulations 1997 - The Health & Safety (Safety Signs & Signals) 1996 - The Manual Handling Operations Regulations 1992 - The Workplace (Health, Safety, and Welfare) Regulations 1992 - The Personal Protective Equipment at Work Regulations 1992 (as amended) - The New Roads and Street Works Act 1991 - The Electricity at Work Regulations 1989 - The Health & Safety (First-Aid) Regulations 1981 - The Safety Representatives and Safety Committees Regulations 1977 Environmental Standards - The Waste Electrical Electronic and Equipment Regulations 2013 - The Hazardous Waste (England and Wales) Regulations 2005 - The Environment Protection Act (Duty of Care) Regulations 1991 - The Environmental Protection Act 1990 Guidance - GD1 TG20:13 Good Practice Guidance for Tube and Fitting Scaffolding - GD2 SG4:15 Preventing Falls in Scaffolding Operations - GN3 HSG47 Avoiding danger from underground services - GD3 HSG17 Safety in the use of abrasive wheels - GD4 HSG33 Health and safety in roof work - GD5 HSG53 Respiratory protective equipment at work - GD6 HSG85 Electricity at work: Safe working practices - GD7 HSG150 Health and safety in construction - GD8 HSG151 Protecting the public: Your next move - GD9 HSG168 Fire safety in construction - GD10 Fire Prevention on Construction Sites - JCOP 9th Edition The Contractors on this project will be required to comply with the requirements of the above legislation and any Site Rules that are introduced to comply with legislation or the client's requirements. 5.1 General Standards All personnel are expected to comply fully with health and safety law and the associated approved codes of practice. Contractors are, in addition, to be aware of and pay due attention to guidance issued by the Health and Safety Executive as well as that issued by trade bodies and authorities, which constitute industry 'best practice'. Method and policy statements submitted for these works will be reviewed by the Site Project Manager and Safety Adviser to ensure that these standards are met. On such occasions that they fail to meet the standard they will be returned for amendment action. | General construction works | All work is to be carried by a competent person with adequate | |---------------------------------------------------------------------|---------------------------------------------------------------------| | supervision to industry standards approved by CITB, CPCS, CSCS, | | | PASMA, IPAF cards (not pass slips) and to meet requirements of the | | | designated work. | | | | | | Abrasive cutting/grinding | Certificate of competence issued by employer or equipment supplier. | | Validity routinely 3 years. | | | Certificate of training and appointment to mount abrasive wheels. | | | (valid 3 years) | | | Gas/heating/plumbing | | | works | | | All work is to be conducted by a competent person to industry | | | standards. Gas Safe is an accepted standard. | | | Certificate of training achievement and registration to Gas Safe. | | | Electrical works | All electrical work is to be conducted under the supervision of a | | competent person to IEE standards and is to be tested and inspected | | | to the standards set in the IEE Wiring Regulations on completion. | | All contractors are expected to assess all activities that they are associated with for risks and adopt safe methods of work in keeping with the Management of Health and Safety at Work Regulations 1999 and other relevant regulations (as well as the standards and detail set out in this document). In some cases, however, this health and safety plan specifically requires the preparation and submission of site-specific Method Statements in advance of particular work operations. All contractors are to ensure that their employees are aware of these safe working method statements and have been suitably trained and have adequate supervision to ensure that the procedures are followed. Additionally, a signed copy of the controlling documents must be handed to the Site Project Manager, who will ensure all operatives employed on the task have signed the issued documents. Failure to issue the requested signed documents may result in a delay and subsequent financial implications. 5.2 Training Standards C u r r e n t s a f e t y training certificates for the duration of the time employed on the project are required prior to contractor's operatives arriving on site. Operatives appointed to operate particular plant and equipment and to undertake certain specific forms of work on this project. Copies of the following certificates must be submitted to the principal contractor before work begins. (The list is far from exhaustive and other relevant training competencies should be included) 5.3 Information and Training for those on site On first arrival at the site all workers will be given a short briefing which will include: - Site details, address and telephone number, location of the site telephone (for emergencies) - Potential interface with members of the staff, public and project residents. - Safety responsibilities - Site security and booking in/out arrangements. This will enable Site Management to control and restrict vandalism, theft, injury to third parties, and potential damage to the works. Therefore any observations to breaches in security must be highlighted to Site Management. It is essential that all site personnel, visiting or working, sign in & out of site as in the event of an emergency the sign in register will be used to check that everyone has exited the building - Site layout and nature of the works in progress/intended. (3rd party interface) - Transport Management Plan - Entry into building - Awareness of other contractors involved onsite - Asbestos Discovery (as applicable) - Noise, vibration, and dust generated as a result of the work - Preventing access to the work areas by the unauthorised persons. - Site rules - Welfare and first aid facilities - locations, name(s) of first aiders / Emergency First Aiders / Appointed Person - Fire and emergency procedures including: Escape routes Assembly/Muster point Location and types of fire extinguishers The names of those receiving induction training are to be recorded in the site records. No person will be allowed access to the site until they have received this induction briefing, or in the case of a visitor unless they are escorted at all times by a fully inducted person. 6.0 Site Rules and Monitoring Arrangements 6.1 Site Rules The following rules are to be observed by all on site. Site induction will include these rules and other considered necessary by Site Management. Those working on site are required to sign indicating their agreement to comply. - Individuals (or in the case of groups - the person in charge) must register on arrival on site and when leaving at the beginning and end of each working day. - The mandatory site standard for PPE is as follows; Safety footwear to BS EN345, Hi-Visibility vests/jackets to BS EN471 and a Safety helmet (Hard Hats) to BS EN397. Additionally, all other PPE stated within Risk Assessments and Method Statement is to be worn. - Individuals may only operate and use plant or equipment for which they are trained and authorised and where the Site Project Manager has received the appropriate training certificates. - Plant is to be turned off at all times when not in use. Plant should be fitted with suitable silencers to reduce the disturbance to the surrounding area. - Only battery powered or 110V electrical tools/equipment is to be used, ideally battery. Any other e.g. 230V must be sanctioned by the Site Project Manager, and if approved must be protected by a 30mAmp RCD and the PAT certification reduced to a monthly test. - Defective or suspect equipment or tools must be removed from the site, tagged and not used until they have been repaired. - Waste and debris must be cleared as work progresses and placed into the bins provided. - The burning of waste on site is strictly prohibited. Once the waste has been separated on site into their designated waste streams, the Site Project Manager will ensure all waste materials are removed from the site and disposed of with due regard for environmental impact. Contractors removing their own waste are to demonstrate compliance to the Site Project Manager. All involved should follow the waste hierarchy of reduce, reuse and recycle before considering disposal. - Tools and materials stored only as agreed by the Principal Contractor as there is a potential interface with the existing residents. - Areas below or close to those working at height must, as far as reasonably practical, be kept clear of all tools, equipment, materials, and debris. Operatives are to make provisions to prevent dropping items and that an exclusion zone is created. - Personnel are to ensure that drains, sewers, culverts, and ducts etc. are kept free from obstruction by rubbish and debris at all times and not used for discharging contaminants. - Smoking is prohibited inside buildings, in the vicinity of any flammable materials. The designated smoking area provided is to be used. - It is strictly forbidden to bring or consume alcohol or drugs on site or to be under their influence. - Horseplay and violent behaviour are not tolerated and will result in permanent exclusion from the site. - The Principal Contractor reserves the right to evict or refuse entry to any person for any reason, which it considers prejudicial to the safety or good conduct. - Mobile phones are only to be used in designated areas and never whilst operating tools/plant etc. Radios/MP3 players/CD players/headphones/earphones etc are prohibited from use on the site. - All of those on the site are required to wash before eating. Meals and drinks are only to be consumed in specified welfare areas. Any changes will be briefed accordingly by the Site Project Manager. All personnel are to ensure that at the end of each working day that no means of access e.g. hop ups, towers, steps, ladders, equipment etc. are left in a position which would allow unauthorised persons their use. - The Site Project Manager is to ensure all operatives have received the training commensurate with the employers Method Statement. Where no evidence is available the operative must be refused entry. 6.2 Monitoring Arrangements Safety standards will be monitored by the Principal Contractor through: - A continuous inspection process by the Site Project Manager is in force. A checklist for these inspections is included with the site safety records. These inspections will include all contractors working on the site and a report of all actions required will be given to the contractor's foremen with instructions to rectify non-conformance in a timely manner. - To carry out sample and grab audits on the H&S and CDM process. - Once per week the Site Project Manager or appointed representative will inspect fire equipment, first aid equipment (and replenish if necessary), registers and site documentation. This inspection will be recorded on the designated form in the SMS file and when appropriate in the site diary. - Monthly by the Contract Manager or appointed representative, who will carry out a hieratical level of inspection of the site and produce a written safety inspection report for distribution. Inspections required under the Construction (Design & Management) Regulations 2015 will be carried out the principal contractor's safety Advisers and a formal report will be provided and be prioritised for remedial action/recommendations and filed with the site management system. This will be checked for closed out actions/progress on the next site inspection visit. This inspection regime will include sub-contractors. Additionally, contractors are required to audit/inspect their own works and equipment. Copies of such are to be handed to the Site Project Manager for record purposes. The scheduled progress meeting chaired by the senior Principal Contractor representative will as part of agenda discuss health and safety reports, and relevant discussions between the Client, the Principal Contractor and members of the Design team for issues affecting the project. Ensuring the entire aforementioned have a feedback and closed down loop in line with the safety Adviser's safety site inspection form. The Site Project Manager is to ensure client and Principal Designer are briefed accordingly on identified issues for discussion. Furthermore, the Site Project Manager is to ensure the following is incorporated into the inspection regime: - Consideration of likely hazards and the reduction of risk wherever possible at all stages of the project; - The introduction of the 'Risk / Hazards' of the week notice board giving due consideration to Regulation 10 of the Management of Health & Safety at Work Regulations 1999. - Regular review of procedures and the Health and Safety Plan to ensure the correct execution of the project; - Ensuring the regular site audits results are communicated to the workforce; - Action Plans that target specific areas of risk identified by the HSE (e.g. falls from height, traffic impact accidents), identify methodology to reduce/ eliminate the most likely types of accident; identify a strategy for health; implement strategies for 'selling' the above to the workforce; - Induction and monitoring of adherence to the minimum standard requirements expected for particular disciplines as identified in the Health and Safety Plan. 7.0 Activities with Risks to Health and Safety The following areas have been identified as having potential risks. Risk Assessment sheets will be provided for these and will be added to the Health & Safety folder on the site. 7.1 Use of and Contact with Power Tools The hazards are from contact with electrical conductors, contact with the revolving tools and HAVS. The risk is low, the site power must be 110 Volt and the operatives should be trained in the proper use of tools. The tools must be visually inspected before first use and receive a periodic PAT test as required by the PUWER and Electricity at Works regulations. Individual risk assessments contain information on exposure limits for vibrating tools such as drills and breakers. It is not anticipated that HAVS will be an issue on this project, however, should any operatives suffer any form of numbness or pain associated with the use of vibrating tools they must take suitable breaks from use and the work activity should be shared. 7.2 Working at Height External works will include the blockwork, cladding, render, roof construction, installation of windows and rainwater goods etc. These works shall be performed from fixed scaffolding supplied and constructed by the designated contractor. When working from non-fixed systems the wind speed should be measured on a regular basis throughout the working day to ensure that systems are not being used outside of the limits set by the manufacturer. Any platform that you need to work off must be at least 600mm wide, which is 3 scaffold boards wide. Scaffold boards will need supporting by transoms or trestles at a minimum of 1200mm centres. Tube & Fitting or Modular Scaffolds Scaffolding shall only be erected and dismantled by competent persons with the appropriate and recognised certification i.e. The Construction Industry Scaffolders Record Scheme - CISRS card scheme. The scaffold structure is to be designed in accordance with the requirements of BS EN12811-1 & TG20:13. A conformance sheet or scaffold design is to be provided by the appointed scaffolding contractor and maintained on site. Brick guards to be kept in position on scaffold lifts. All scaffolding shall be supplied, inspected and erected in accordance with the: The European Standard BS EN12811-1 TG20:13 The Work at Height Regulations 2005 Construction (Design and Management) Regulations 2015 The Management of Health & Safety Regulations 1999 The Provision and Use of Work Equipment Regulations 1998 NASC SG4:15 Preventing Falls in Scaffolding Operations Scaftags are to be fitted to all scaffold structures and completed/amended/inspected by a competent person as required by the system. The Chrome Services Ltd supervisor/s will undertake two visual inspections of all site scaffolds each day. Fixed scaffolds are to have an in date Scafftag fixed at the main access point at all times and ladders are to be removed/boarded off at the end of each shift to prevent access in the event of a member of the public gaining access to the site. If any non-conformances are identified during the inspections, then works must cease immediately until rectified and approved by the Chrome Services Ltd supervisor. Internal works at a low level and so shall be performed utilising 'Hop Ups', aluminium towers or podium steps. If ladders or steps are required they are to be of Class One (Industrial) grade and the contractor must issue the Principal Contractor with a detailed Risk Assessment in accordance with Regulation 6 of the Working at Height Regulations 2005 and Regulation 3 of the Management of Health & Safety at Work Regulations 1999. Where works at higher levels are required the contractor will utilise mobile aluminium scaffolding towers constructed and certified by a PASMA trained operative. Where there is a significant risk of fall, a permit to work will be issued. Mobile Tower scaffolds must only be erected, altered and dismantled by trained competent person/s whose names have been submitted to the Chrome Services Ltd person in charge and in accordance with: The manufacturers/suppliers erection procedure, Provision and Use of Work Equipment Regulations 1998 HSE - Construction Information Sheet No 10 (Revision 4) The Work at Height Regulations 2005 Ladders are a means of access and are not for working off unless detailed within your Safe System of Work which has been reviewed by Chrome Services Ltd. Stepladders may only be used to work off following receipt of a risk assessment. Ladders and Stepladders must be clearly marked as Industrial Grade. 7.3 Manual Handling Whether the transport of materials to the work areas is undertaken by the operatives under their own Method Statements and Risk Assessments, or under the direction of the Principal Contractor, care must be taken to minimise the inherent risks. Deliveries shall be dropped as close to the working area as is possible and when there is a need to handle items long distance a suitable lifting aid (trolley etc.) should be used. Where manual handling cannot be avoided, heavy items shall be either broken down into smaller loads or handled as a group lift. All risk assessments and method statements provided by site contractors must identify heavy items used and how they are to be handled. Manual Handling HS(G) 149 'Backs for the Future' must be followed at all times by all contractors. The site Tele-handler will manoeuvre materials and equipment from the site compound to the required work zone. Materials and equipment will generally be moved around the site to the place of work via, board carriers, pump trucks, pallet trucks or similar. Heavy items (structural steels) in the project area will be manoeuvred via the aid of genie lifts or similar. 7.4 COSHH The hazard is harm to body tissue and/or body organs from the use of hazardous chemicals. The use of hazardous materials and substances on this site is not permitted without the principal contractor having had sight of a valid COSHH assessment for the product as per the requirements of the Control of Substances Hazardous to Health Regulations 2002 (as Amended). Each individual contractor is responsible for creating these documents and ensuring their staff are protected and not putting other trades at risk when chemicals are in use. If any product is needed on-site that does not already have a COSHH assessment then it must be brought to the attention of the Health and Safety Adviser so that an assessment can be completed. The Site Project Manager is to send a copy of any assessment, upon request, to the Principal Designer, and inform the Principal Designer if any material or substance to be used is listed under the 'Approved Supply List' or 'Approved Carriage List' of The Chemicals (Hazard, Information and Packaging for Supply)(Amendment) Regulations 2002 or is comparable in hazard. COSHH Assessments of manufacturer's safety data sheets are to be included with the notification. 7.5 Live Services Before starting work the position of all existing services shall be ascertained as far as possible. Extreme care will be taken, at all times, not to disturb any existing services. The Site Project Manager is to scrutinise all available plans along with the information provided by the Operating Companies responsible for their maintenance. Any and all unidentified cables and pipes are to be treated as live until it is confirmed otherwise. Additionally, the Site Project Manager is to have access to a cable detector to ascertain services when there is a requirement to demolish/chase walls. If we are unsure at any time as to the location of any services, an investigation will take place to determine their whereabouts before the work commences using a cable detector. A qualified electrician will isolate and make safe any electrical works before commencing work. BT overhead cables are in close proximity, plant operators to be made aware. 7.6 Noise, Vibration, and Dust Noise Emissions generated as a result of the work shall be restricted to between 09.00hrs and 17.00hrs. Works outside these hours are by prior arrangement with the principal contractor and client's agent. Where a specific issue is raised by local residents/businesses that will require changes to these working hours it shall be acted upon as soon as is possible. In all cases, noise will be kept to a minimum with hearing protection used as deemed necessary in compliance with current regulations. Contractors must continually assess the level of noise and vibration that operations are creating and implement measures that keep levels within acceptable limits, not only for workers on site but for others who may be affected by the works. There will be a noise assessment detailing all tools found to be 85dB (A) and over available in the site health and safety folder. Vibration Vibration producing tools will be subject to a HAVS assessment to identify the safe working times. | A(8) Daily Exposure Levels | Control of Vibration at Work Regulations 2005 | |-------------------------------|-------------------------------------------------| | | | | Exposure Action Value | 2.5 m/s | | 2 | | | | | | Exposure Limit Value | 5 m/s | | 2 | | | | | | Exposure Action Value | 0.5 m/s | | 2 | | | | | | Exposure Limit Value | 1.15 m/ | | 2 | | | | | Chrome Services Ltd will ensure that workers operate equipment within the recommended guidelines. Information is provided on the site office notice boards. Dust Dust will be minimised by wetting down or extraction systems as applicable to the type of tool and activity being carried out. Good housekeeping principles will be followed and ensuring that no build up of waste materials/debris is allowed to occur. Appropriate respiratory protection will be available i.e. FFP2 & FFP3. 7.7 Hot Works Without exception, all works that generate heat or sparks (abrasive cutting, welding, soldering) must be sanctioned by the Site Project Manager and a Hot Works Permit raised by the designated Site Project Manager or his nominated deputy utilising the Safety Management File. Additionally, a fire extinguisher commensurate with the surrounding materials must be provided by the contractor. Site Management is to ensure the designated operative knows how the extinguisher works and what its limitations are. 7.8 Biological Hazards Leptospirosis (Weil's disease) from rat urine is a possibility, therefore, waste will be well managed and not permitted to build up. Food waste will be properly disposed of so as not to attract rats to the site. As a precaution, all waste must be handled using gloves. Adequate washing facilities will be available on-site. Legionella from water systems and bacteria from wastewater systems are not considered to be a significant risk on this site in its current situation. All water systems fitted shall be cleaned and, where required, suitably treated for bacterial infection before being handed over to the client. 7.9 Confined Spaces Any space identified as being a confined as per the Confined Spaces Regulations (1997) shall be controlled as per the requirements of the regulations. The main concerns within the projects are access to manholes or other drainage systems. Works within confined spaces shall only be performed after the issue of a suitable permit to trained operatives working under an approved safe method of work. 7.10 Spills All on-site water sources shall be regularly checked to ensure that they are not being left running and that they are not leaking. Construction water sources shall be kept away from electrical systems when they are fitted on the site and any spillages shall be cleaned up as soon as they are noted/generated. Spill kits will be made available on-site to deal with any accidental spillage of chemicals. 7.11 Exposure to UV Radiation The site rules 'Long trousers and shirt to be worn at all times' will be enforced for the duration of the project. Workers will be advised of the dangers and health risks of working in the sun at induction and via Tool Box Talks. Contractors affected by sunscreen exposure to UV radiation (from the sun) will be advised to provide creams/lotions to their workforce with a sun protection factor (SPF) rating of 15 or more. 7.12 Control of Lifting Operations All plant and equipment brought onto site must be accompanied by all relevant certification and retained for the currency of the work operations. Copies of the weekly inspections are to be made available to Chrome Services Ltd as soon as practicable. Training certification for all equipment operators must also be produced and logged in the site appointed persons register. Lifting operations involving lifting equipment: - Must be planned properly - Use people who are sufficiently competent - Supervised appropriately - Carried out in a safe manner 8.0 Safe Working Procedures 8.1 Method Statements and Risk Assessments Method statements and Risk assessments will be required from the subcontractors prior to them commencing on site. The site health & safety folder will contain the significant risks assessments and method statements provided by the subcontractor that are generally applicable to the work being undertaken on this scheme, together with procedures and policies that should be followed. The Principal Designer will have highlighted known significant risks to the contractors via the Pre-Construction Information. For high-risk activities, a site-specific method statement is required, which will be agreed before the work can commence. For routine site operations, these site rules should be observed together with any relevant guidance issued by the HSE. 8.2 Personal Protective Equipment Requirements In accordance with the Personal Protective Equipment at Work Regulations 1992, risk assessments have been carried out, and, as a result, the following policy will be adopted: Safety footwear, dust masks, safety goggles, hi-vis vests appropriate gloves and hard hats will be provided and worn as set out by the specific work activities by all site operatives and visitors. The site manager will be responsible for enforcing the wearing of all necessary PPE. Head protection: Hard hats must be worn on site at all times by all persons including visitors, delivery drivers, etc. regardless of apparently low risks. ## High-Visibility Jackets: High Visibility Jackets must be worn by all persons on site at all times. Protective footwear: Protective footwear must be worn by all persons on site at all times with the type and level of protection depending on the site conditions and the activities carried out e.g. anti-slip, (steel toe caps and steel sole plates are required as a minimum) Site visitors are not necessarily required to wear steel toe capped/plated boots, however, sensible footwear must be worn depending on site conditions. ## Overalls: Overalls must be worn on site as and when the work necessitates in order to provide body protection against hazardous substances, moisture, contaminated ground etc. ## Hearing Protection: Hearing protection must be worn on site where average noise levels reach 80dB(A) or 135dB(C). Although the legal requirement to enforce the use of hearing protection is at 85dB(A) or 137dB(C) it is company policy to enforce their use at 80dB(A) or 135dB(C) as good practice. Breathing Protection: Respiratory protection must be worn on the site where indicated on the risk assessments for the various activities. FFP3 masks must be worn when cutting, sanding, grinding silica based products or hardwoods. Additionally and brushing up activities will require damping down wherever possible. The labourer must wear an FFP3 mask as the content of dust may contain a mixed variety of hazardous dusts. ## Lanyards/Harnesses: Must be worn if required by a particular Risk Assessment. Before relying on a harness and lanyard, the following must first be considered and ruled out: Elimination of work at height, collective fall protection (barriers) and collective fall prevention (safety netting). All harnesses must be thoroughly inspected every 3 months by a competent person. PPE is the last form of defence. All hazards must be controlled by first considering elimination of the hazard, reduction of the severity of the hazard, isolation of the hazard or controlling the hazard. Spare PPE must be onsite and readily available for employees and visitors to the site. 8.3 Construction Materials The materials and substances in the permanent works are deemed to be within the normal experience of a competent contractor. Where these present health & safety hazards, the contractor will carry out risk assessments, as required under COSHH, and introduce control measures. 8.4 Storage of Materials and Work Equipment Inert materials such as blocks, timber and plasterboard will be stored on-site. Hazardous materials such as chemical cleaners and petrol will be locked away at the end of each working day. Power tools will also be removed from the site at the end of each working day. Materials will be located on the site and brought to the working area as required. Where practical the construction materials will be delivered directly to the working area to minimise the need for the manual handling of materials. Materials will be stored in such a way that there is adequate working space to safely handle them manually or by machine. The storage of materials will be carefully controlled to ensure minimal risk to the work personnel, visitors and members of the public. 8.5 Storage of Waste Materials Waste materials from the construction process will be deposited in waste skips provided by the company, which will be emptied on a regular basis. A licensed waste handler will manage the waste, and a record of waste transfer notes will be maintained on site. Any hazardous waste will be marked as such and handled and disposed of in an appropriate manner. Asbestos Treatment / Removal will be carried out by a certified competent Asbestos removal company. Chrome Services Ltd will not at any time permit the burning of waste materials on site. Every effort shall be made to comply with the Environmental Protection Act 1990 to prevent the pollution of the existing watercourses whilst the works are being undertaken. 8.6 Provision and Use of Temporary Services Temporary services will be established in the early stages of the contract. Temporary and permanent Electrical Works will be carried out by NICEIC Registered Installer. All works to be certified under Part P of the Building regulations. Power required within the construction area where it is not available from the Client will be generated from portable generators where practicable. The company will permit no unauthorised use of the Clients services and any authorised connections will be inspected by the Client prior to use. 8.7 Temporary Works The following Temporary Works Procedure is to demonstrate that an effective and robust arrangement is in place for controlling the risks arising from the use of temporary works. This should be read in conjunction with Section 5 below. Procedures for temporary works will be compliant with BS5975:2008. Temporary Works Procedure: Temporary Works Coordinator shall be the Site Manager. Provision of temporary works design to include, where applicable, designers risk assessments and method statements Where appropriate independent design or checking of temporary works may be required. Control and supervision of erection, safe use, maintenance and dismantling of temporary works will be undertaken by the Site Manager Provision of removing or dismantling Temporary Works ('permit to dismantle') where applicable, (e. g. removal of falsework) will only be allowed with the approval of the Site Manager. Temporary works likely to be required on this project will include (delete as applicable): Site establishment: Fencing, hoarding and signage. Equipment/Plant: Mechanical hoist installation, crane bases/mats, anchors/ties, WCWP, piling mat Access: Scaffolding and edge protection. MEWPS, edge protection, walkways. Structure: Formwork, falsework, shoring, Temp bridges Earth works: Trenches, excavations, temp slopes, stockpiles 8.8 Permit to Work System Chrome Services Ltd shall use a permit to work system to control high-risk activities. No work shall be undertaken where a permit-to-work is required unless the permit states the correct date and correct commencement and completion times. Permit to work systems will operate for the following work activities: 1. Work within confined spaces - as defined by the Confined Spaces Regulations 1997; 2. Hot work - welding, cutting, grinding, etc. 3. Deep excavation work, e.g. connections into the existing surface water systems. 4. Work in the vicinity of any existing high voltage and medium voltage cable systems. Should any work adjacent to HV cables for which the local Electricity Company has responsibility, then a permit-to-work will be applied for from the supply authority prior to work commencing. Permits to work will not prevent incidents unless: a) Their need and use have been established; b) Their requirements are adhered to; c) Staff are aware and competent; d) Appropriate equipment is available for testing and implementation. Therefore Chrome Services Ltd will ensure that where such permit to work systems are required, the above conditions have first been satisfied. ## 9.0 Emergency Procedures In Order To Be Prepared For Any Emergency Event, The Company Will, When Considered Necessary, Plan For Reasonably Foreseeable Incidents And Prepare A Written Plan Outlining Procedures To Be Followed In Such An Event. The company will, in consultation with workers and their representatives: a) carry out a risk assessment to identify foreseeable major incidents for which emergency procedures would be required; b) establish procedures to be followed by employees in the event of an emergency situation, including: I. raising the alarm; II. means of escape; III. assembly points and 'safe muster areas'; IV. summoning the emergency services; V. evacuation of disabled persons; VI. appoint persons to be responsible for specific procedures in the event of an emergency situation (including the shutting down of plant and making it safe before evacuating the area); VII. fire wardens and fire marshals (as necessary); VIII. persons responsible for emergency power supplies and lighting; IX. first aiders; c) provide a written version of the procedures to all personnel; d) ensure that the plans cover out of hours working, weekend working and closures for holidays; e) ensure there is an up to date call-out list for key personnel and that this is readily accessible; f) keep all access routes for emergency services and all escape routes clear at all times; g) reassess the emergency plan at regular intervals and update or alter it as necessary; h) provide training in emergency procedures for all employees, plus specialist training for those with special responsibilities. Most emergency situations are unlikely if all risks at the workplace are adequately controlled. When devising the emergency plan the company will: a) nominate personnel to be responsible for specific emergency actions and ensure that they are trained to deal with their responsibilities; b) ensure that all employees without special responsibilities are aware of how to evacuate the area without delay; - Reporting an Injury or Dangerous Occurrence - Training - Fire and Emergency Procedure 9.1 Fire Control Measures - Site fire layout plans will be located around the project indicating fire fighting equipment and emergency escape routes. - Hot Work involving the use of blow lamps, welding equipment soldering irons, abrasive wheels, etc, must obtain the Company Hot Work Permit from the Site Supervisor/s prior to work operations commencing. - Smoking is not allowed anywhere on the site. - LPG, Oxy-gas, etc, is to be removed from the site at the end of each day unless stored in a suitable cage at the external compound, operatives and contractors are to inform the site supervisor of any LPG and flammable substances brought onto the site. - Rubbish is not to be burnt on site. - Waste materials are to be placed in skips positioned the site compound. - Fire routes are to be maintained at all times. Fire extinguishers to be placed in the site office and welfare facilities with fire points made up of fire extinguishers and signage to be placed strategically across the site. High-risk fire areas such as hot work areas must have fire extinguishers within easy reach. - CO2 - Black - Liquid, electrical - Water - Red - Paper, wood, textiles, solids - Foam - Cream - Liquid, wood, textiles, paper - Powder - Blue - Liquid, electrical, wood, textiles, paper The emergency alarm must be tested weekly and all workers to be notified of the alarm at induction. Depending on the hazards and size of the site, the alarm siren will normally be an emergency air horn. Please refer to the Emergency Plan for the location of fire extinguishers and alarms. The assembly area must be an open space away from the work area avoiding any additional hazards and where staff can wait safely. The assembly area must not be at the site office. The location of the assembly area for this project is highlighted on the Emergency Plan. Action The person discovering a hazardous situation which has resulted or may result in a fire or explosion will alert other personnel, and if the fire is small, and if safe to do so, attempt to extinguish it using the correct fire extinguisher. If the fire cannot be quickly or safely extinguished, or if there has been, or there is the potential for an explosion, ensure that all personnel move out of the area as quickly as possible. Control over any hazardous situation will be exercised by the Site Manager, who will immediately upon being made aware of the situation raise the alarm using the site emergency alarm. The site emergency alarm will be tested once per week. The Site Manager will direct all personnel to the Assembly Area and ensure that the emergency services have been called. The Site Manager will go to the Assembly Area, check if any personnel are missing and be ready to receive and brief the emergency services giving the location of the emergency water supplies/hydrants and details of any missing personnel. The location of the Assembly Area is marked up on the Emergency Plan. (A risk assessment has been produced and is held in section 6 of the site health and safety folder.) 9.2 Ill Health In the event of someone being taken ill or being injured as a result of an accident that requires medical attention, the IP should be taken to the nearest Hospital. If the injury is serious or the IP cannot be moved then the Ambulance Service must be notified by phoning 999 and giving as much information as possible as to the nature of the incident and location of the injured parties. Carry out First Aid Treatment and keep them warm and comfortable. DO NOT MOVE THEM. Leave them for the Ambulance Crew who have the equipment and training to deal with such incidents. Do not give them anything to eat or drink. ## 10.0 Reporting Of Accidents & Riddor 10.1 Accidents All accidents and near misses, however, minor must be reported to the Principal Contractor and recorded in the site accident book kept by the Site Project Manager regardless of the severity of the incident. Once the accident book sheet is completed it is to be detached and returned to Head Office where it will be securely held in the interests of confidentiality. The Site Project Manager must be immediately informed of any accident or dangerous occurrence on the site or of ill health, which could be linked to site work. All incidents and near misses must be recorded onto the Incident Report Form as soon as is reasonably practicable with a copy being submitted to head office in order that an investigation can commence. Near Miss - an unplanned event that did not result in injury, illness, or damage - but had the potential to do so e.g. materials falling close to someone's head. Incident - A planned/wanted event that resulted in or had the potential to result in injury, damage or loss. Injury, damage or loss resulted or could have resulted from the activities of the planned/wanted event. Accident - An undesirable or unfortunate happening that occurs unintentionally and results in injury 10.2 RIDDOR All reportable accidents are subject to the procedures detailed in Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 2013: - Death, major injury, and over 10-day injuries or disease - reported by the person's employer. It is requested that a copy of the F2508 be acquired for record purposes. - Death or an injury requiring hospital treatment of a person at the site not directly involved in the works - reported by the Principal Contractor. - Dangerous occurrences at the site (as defined by RIDDOR 13) - reported by the Principal Contractor. - Accidents or dangerous occurrences during transport to or from the site or in preparatory works at contractors' premises must be reported by that contractor - the Site Project Manager should, however, be informed of such incidents. Advice from the Safety Adviser is to be undertaken on all RIDDOR issues to ensure the necessary reporting actions are taken. All RIDDOR reportable accidents will be investigated by thoroughly by the Safety Adviser who will create a report for the Principal Contractor and the associated employer. As previously stated the Site Project Manager is to notify the Principal Designer of any accident or occurrence on the site that involves any employee in medical treatment or time off. Any notification to the Health and Safety Inspectorate under the 'Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 2013 shall be copied to the Principal Designer immediately. 11.0 First Aid Arrangements The Principal Contractor will ensure that a trained and in date 'First Aider, 'Emergency First Aider / Appointed Person' 'is available on site at all times during construction activities. A first aid box (20 persons) will be available on site. All instances requiring First Aid treatment are to be initiated via the Site First Aider / Appointed Person / Emergency First Aider. Where subcontractors have a dedicated and authorised First Aider, then treatment may be provided and the Principal Contractor informed accordingly. First aid arrangements will be included in the initial site briefing given to all workers on the first arrival at the site. Nearest hospital A&E Department: Royal Preston Hospital Sharoe Green Lane North Fulwood Preston Lancashire PR2 9HT Tel: 01772 716565 The journey time is approx 15 minutes covering 6.5 miles. Additional Duties In addition to the aforementioned the Site Project Manager is to ensure: - Any notification to the Health and Safety Inspectorate under the 'Reporting of Injuries, Diseases, and Dangerous Occurrences Regulations 2013 shall be copied to the Contract Administrator immediately. 12.0 Welfare Arrangements Welfare facilities will be provided and controlled by the Principal Contractor. They are for use on-site by all authorised persons. These facilities are to be kept clean and tidy by those using them. Location of welfare facilities: Welfare facilities will be provided using a welfare cabin sited within the construction site. Drinking water: A supply of wholesome drinking water will be available from temporary facilities and will be direct from the mains where possible. If using stored water, the storage facilities will be clearly marked and the water regularly changed to prevent it from becoming stale or contaminated. A supply of cups will be made available where the water is not an upward jet. Toilets: A toilet block will be provided. Washing facilities: Washing facilities: Clean hot and cold (warm) running water (running where reasonable practicable) Soap or other suitable means of cleaning Towels or other suitable means of drying Sufficient ventilation and lighting Sinks large enough to wash hands, face and forearms Rest Facilities/making meals: Within the welfare unit a table, seating with backs, a means for heating water for drinks and for warming up food (kettle, microwave, gas/electric heating ring etc.) will be provided. Adequate heating must be provided. Smoking rules: No smoking inside any welfare facilities. No smoking in any enclosed area onsite (roof + 50% walls). Smoking only in designated areas. Cleaning arrangements: All welfare facilities on site must be maintained by all workers that use them. Additional cleaning will be carried out as and when necessary depending on the frequency of use, site conditions etc. 13.0 Consultation for People on Site The Principal Contractor is available at all times to discuss matters of health and safety not already covered under within this plan and will discuss with, if appointed, representatives of the operatives. The Health and Safety Adviser can also be contacted at any time to discuss matters that may apply to the project. On Site Third Party Communication The site manager will act as a daily liaison between other third party companies working. Joint Staff Communication Consultation on health and safety matters will be encouraged and the requirements of the Safety Representatives and Safety Committees Regulations 1977 and the Health & Safety (Consultation with Employees) Regulations 1996 will be complied with. The main function of these consultations is to draw attention to any unsafe practices which become apparent and to bring forward suggestions for better safety standards and practices. Consultations will be encouraged during regular meetings. Ongoing communications between the staff regarding the works and health and safety matters will be ongoing throughout the construction process. Project Information The process for exchange of information between project parties will be as agreed at the Pre- Contract meetings and is established by the Project Manager/Architect and Principal Designer within the pre-construction information. The Site Manager will have email and printing facilities for receipt of design changes and information directly from the architect and engineers. Provision and record of construction and design change information will form part of the fortnightly Project Meetings. Contractor Communications Health and Safety information and communications will include inductions and all site matters relating to design, construction and health and safety will be regularly undertaken by the site manager. Toolbox talks shall be regularly provided to contractors during the project on subject relating to the works to maintain Health & Safety awareness. 14.0 Unforeseen Eventualities Procedures for dealing with unforeseen eventualities during project execution which result in substantial design changes and which might affect resources are as follows: As soon as unforeseen eventuality arises, the Principal Contractor will inform the Client. The health and safety issues arising from the eventuality are to be as soon as possible after the occurrence, together with proposals for dealing with them. Details of the re-design and the health and safety implications are to be submitted for consideration and acceptance in due time before execution. Health & safety issues will be on the agenda of the progress meetings. 15.0 Information for the Principal Designers Safety File Health & Safety File Contents Preface Description of the CDM Regulations and importance of the Health & Safety File to the Client and the Client's responsibilities in respect of the Health & Safety File and future works. 1. General project information a. Names of Client, Principal Contractor and Principal Designer b. Emergency procedures and contact details in case of emergency c. Brief description of the scheme and the works carried out d. Site location plan(s) and scheme layout(s) e. Schedules of plot numbers, addresses and full postal addresses including post codes (as applicable) 2. Residual hazards a. Lead designer's statement including provisions for maintenance of the completed structure(s) and any implications for dismantling or demolishing the structure(s) b. Structural engineer's statement including ditto. c. Principal Contractor's/contractors' (e.g. timber/steel frame contractors) statements including provisions for maintenance of the completed structure(s) and any implications for dismantling or demolishing the structure(s) d. Asbestos surveys including details of asbestos removed/remaining, consignment and disposal certificates, asbestos register and management procedures e. Site investigation reports and remediation measures including details of: - I. contaminated land removed/remaining, consignment and disposal certificates, II. remediation measures and test certificates for imported materials including top soil III. water-bearing strata, aquifers and water-extraction zones 3. Key structural principles a. Architectural concepts and design philosophy comprising a detailed description of key construction methods, materials and components used including provisions for future alterations and/or installations to conform with 'Lifetime Homes' e.g. drainage for future entrance level accessible shower, reinforced bathroom and cloakroom walls, etc. b. Structural design principles and methodology comprising a detailed description of key construction methods, materials and components used including any bracing, pre or posttensioned members, provisions for future alterations and/or installations to conform with 'Lifetime Homes' e.g. knock-out floor and wall panels installation of ceiling tracking hoist, etc. c. Floor, wall and roof design loadings and loading restrictions particularly where these may preclude the placing of scaffolding, heavy plant or equipment (structural engineers, timber frame and truss manufacturers' calculations) 4. Hazardous materials a. Schedule of hazardous materials used in the works e.g. adhesives, lead paint, special coatings or pesticides which should not be treated with solvents or burnt off or in respect of which special precautions should be taken when handling b. Product data sheets in respect of all of the foregoing c. COSHH assessment/product safety data sheets in respect of all of the foregoing d. Details of any residual hazards associated with these products/materials e. Recommendations for cleaning, maintenance and handling 5. Details of installed plant and equipment by type requiring special measures for removal and/or dismantling a. Record drawings showing position in the overall plant installation/plant room b. Diagrammatic drawings indicating principal items of plant, equipment and fittings and sequence of removal c. Name, address and contact details of the manufacturer including catalogue number, model type or reference d. Manufacturer's information and guidance concerning repair, renovation or decommissioning together with any special arrangements for lifting and/or dismantling e. Information and guidance concerning dismantling, repair, renovation or decommissioning 6. Details of equipment provided for cleaning and/or maintaining the structure by type a. Schedule of installed plant and equipment b. Record drawings showing locations of installations within/upon the building structure c. Diagrammatic drawings indicating principal items of plant, equipment and fittings and their interdependence d. Name, address and contact details of the manufacturer including catalogue number, model type or reference e. Manufacturer's technical literature, including detailed safety precautions, operating and maintenance instructions 7. Nature, location and markings of significant mains, underground services and new connections a. Gas - including supplier b. Water - including supplier c. Electricity - including supplier d. Drains and sewers e. Telecommunications and data 8. Information and as-built drawings of the structure, plant and equipment and fire safety a. Architectural as-built drawings b. Structural as-built drawings and calculations c. Services, plant and equipment as-built drawings d. Fire strategy and fire ratings of linings and structure (including copies of all correspondence between the building control body and fire and rescue authority), fire doors and fire compartmentation, fire alarm installations, fire fighting equipment and nature, location and marking of fire-fighting services Handover / O&M Information Contents PART A: GENERAL 1) The Scheme and Parties to the Contract a. Brief description of the scheme and works carried out b. Details of the Consultants and Designers c. Copies of consultant designers' collateral warranties d. Details of contractors and suppliers e. Copies of contractor designers' collateral warranties 2) Statutory Consents and Approvals Relating to the Project as a Whole a. Copy of planning permission including drawings and correspondence b. Confirmation of compliance with all planning conditions c. Copies of completed planning agreements i. Section 38 & 278 - Adoption of Roads and Highways, parking areas etc. ii. Section 104 - Adoption of Sewers iii. Section 106 - Planning obligations iv. Section 184 - Vehicular Access/Footpath Crossing d. Copies of Building Regulation Application including drawings and correspondence e. Copies of Building Regulation Completion Certificates I. Building regulations II. Gas Safe completion certificates III. NICEIC Building Regulations compliance certificates 3) Copies of Design Certificates and Reports Relating to the Project as a Whole a. 'Building for Life' certificate / 'Lifetime Homes' certificate b. 'Robust Details' registration certificates c. 'Secured by Design' certificate / letter of confirmation from local police architectural liaison unit d. Considerate Constructor report(s) and certificate(s) 4) Pre-existing hazards and remedial works (as applicable) a. Details of Building Condition/Structural Engineer's Report b. Japanese Knotweed Infestation Report c. Japanese Knotweed Treatment and Eradication Report d. Timber treatment certificates e. DPC guarantees PART B: BUILDING STRUCTURE AND FABRIC 1) Test Certificates a. Ground consolidation tests b. Pile test certificates c. Concrete crushing tests (Concrete cube tests) 2) Building/Project Certificates. a. NHBC (Buildmark) Inspection Certificates, Cover Note(s) and Certificate(s) b. SAP Assessments (Calculations) c. Code for Sustainable Homes Certificate d. Energy Performance Certificates (EPC's) e. Building Air Permeability Test Report(s) f. Sound Insulation Test Report(s) 3) List of materials and equipment including product data sheets, material safety data sheets, COSHH, cleaning and maintenance instructions etc. a. Bricks and blocks b. Windows, double glazing and window ironmongery c. Doors and door ironmongery d. Kitchens, sinks and taps e. Sanitary ware, showers and brassware f. Roofing materials and rainwater goods g. Floor and wall tiles h. Floor coverings i. Floor, wall and roof insulation materials j. Paints and decorative materials 4) Guarantees, warranties and maintenance agreements from sub-Contractors, manufacturers and suppliers a. Internal doors b. External doors (including SBD certification) c. Windows (including SBD certification) d. Double glazing units e. Sanitary ware and brassware f. Shower units and mixer valves g. Central heating boilers h. Central heating pumps i. Central heating programmer j. Immersion heater (if applicable) k. Vinyl floor coverings l. Kitchen units, sinks and taps m. Ironmongery n. Roofing materials and rainwater goods PART C: BUILDING SERVICES OPERATION & MAINTENANCE MANUALS INDEX (See Appendix for range of information to be included in individual operation and maintenance manuals for each system / installation as appropriate) 1) Summary of systems/installations a. Heating and plumbing b. Mechanical ventilation, heat recovery and air-conditioning c. Electrical services, power and lighting d. Solar energy and photo-voltaic installations e. Rainwater harvesting and 'Grey water' installations f. Fire detection and alarm installations g. Security alarms and intruder systems h. TV installations i. CCTV installations j. Emergency/warden control/door entry systems k. Sprinkler and fire-fighting installations l. Ground source heat pump installations m. Lightning protection installations n. Lift installations o. Fixed hoists p. Stair lifts q. Window cleaning equipment e.g. cradle tracks and runways r. Building maintenance systems 2) Commissioning and test certificates a. Benchmark boiler commissioning certificates b. Gas Safe Landlord/Home Owner Gas Safety test certificates c. Flushing/treatment certificates d. Electrical Installation test certificates e. Fire Alarm/Detection/Sprinkler design and test certificates f. Extractor fan and air-flow measurement g. TV Signal Reception Test Certificate h. Lifts and hoists including stair lifts i. Cradles and Building Maintenance Systems 3) Schedule of meter readings at 'Handover' a. Gas meters b. Electricity meters c. Water meters PART D: DRAINAGE, LANDSCAPING & EXTERNAL WORKS 1) Drainage. a. Generally including foul and surface water layouts b. Attenuation and flow control installations c. Cesspools and septic tanks 2) Landscaping and external works. a. Hard landscaping including layout drawings b. Soft landscaping including planting schemes c. External fixtures and fittings e.g. garden sheds, water butts, clothes dryers, cycle stands etc. PART E: HOMEOWNERS MANUAL 1. Sample Home User's Guide(s) for replication for each house type 2. Key schedule at handover 3. Emergency contact details APPENDIX - Information, as relevant, for all installations identified in Section C 1. Summary of each system installed. a. General description of installation b. Purpose and objectives c. Essential design criteria/performance characteristics d. Any limitations on design/installation e. Details of any residual risks or hazards associated with the use/maintenance of the installations 2. As Built-Drawings and calculations complete with detailed index a. As-installed drawings for each installation recording the construction, materials and components including: (i) Record drawings showing overall installation (ii) Diagrammatic drawings indicating principal items of plant, equipment and fittings. 3. Manufacturers' literature including data sheets, operating details and recommendations for cleaning & maintenance. a. Product details, including for each item of plant and equipment: (i) Name, address and contact details of the manufacturer. (ii) Catalogue number or reference. (iii) Manufacturer's technical literature, including detailed operating and maintenance instructions. (iv)Information and guidance concerning dismantling, repair, renovation or decommissioning. b. Operation: A description of the operation of each fitting or installation, including: (i) Control sequences. (ii) Procedures for diagnostics, troubleshooting and fault-finding. (iii) Emergency procedures including rescue operations and contact numbers in the event of a breakdown. c. Preventative maintenance and recommendations to be adopted to ensure efficient operation of the systems. (i) Schedule of maintenance and testing frequency chart(s) to ensure efficient operation of installations. (ii) Lubrication: Schedules of all lubricated items. (iii) Spares: A list of recommended spares to be kept in stock, being those items subject to wear and tear or deterioration and which may involve an extended delivery time when replacements are required. 4. Commissioning and training. a. Commissioning records and test certificates list for each installation - including: (i) Type test certificates for major plant and components. (ii) Start and commissioning test certificates for major plant and components. (iii) Whole installation test certificates. (iv) Emergency/fail-safe devices b. Training provisions (i) Training certificates for operatives trained in use and operation of the system upon handover (ii) Schedule of training providers for future training of operatives 5. Guarantees, warranties and maintenance agreements. A. Manufacturers' guarantees B. Sub-contractor warranties C. Supplier warranties D. Maintenance agreements 16.0 Review of the Project The project will be reviewed on a continual basis as the contract progresses. Items identified as a potential hazard will be addressed and removed to enable the project to progress within the standard set by the Construction Phase Plan. ## Appendix A Fire Plan & Fire Risk Assessment ## Fire Safety Plan 1.0 Introduction This fire safety plan has been developed for all site works being undertaken for Chrome Service Ltd. In developing this plan we have fully considered the HSE Guidance booklet "Fire Safety in Construction Work" and, where appropriate, contacted the local HSE officer to ensure that all procedures and precautions are adequate and acceptable. 2.0 FIRE PREVENTION ON SITE ## 2.1 Reducing The Amount Of Combustible Materials On Site Materials Will Be Delivered When They Are To Be Used And Transported To The Area Of The Site Where They Are Needed At That Time. No Combustible Materials Will Be Stored In The Entrance Of The Site Or In Any Stairways, Which Form Part Of Any Escape Route. 2.2 Storage Of Flammable Substances On Site All Flammable Materials Will Be Stored In The Company Vehicle When Not Being Used. 2.3 Rubbish Disposal A Tidy Site Policy Will Be Maintained On Site During All Works And Daily Waste Removed By The Company Vehicle. 2.4 Protective Coverings During Some Of Our Works, Some Protective Coverings May Be Used. However, In General, These Would Be Of Fire Retardant Material. The Use Of Flammable Protective Covers To Doors, Handles, Panels And Floor Coverings Will Always Be Strictly Prohibited On The Main Escape Routes Including Corridors And Stairways. 2.5 Lpg Cylinders All cylinders on the site will be stored, when not in use, in a storage facility established in the site compound. LPG will not be used in an established welfare or office facility on this project. 2.6 Demolition N/A 3.0 REDUCING IGNITION SOURCES 3.1 Smoking on site Smoking on- site is strictly prohibited. 3.2 Plant and equipment All plant and equipment will be inspected and recorded in the plant and tools register before being used on the site. Any petrol-powered tools must only be refuelled in the established site compound away from all flammable materials. All electrical equipment properly mounted and protected to avoid heat being conducted to other materials and surfaces nearby. 3.3 Use of oxy-fuel equipment Only competent and suitably experienced operatives will be allowed to set up and use such equipment. The precautions for safe use will be as follows: All hoses will be of a recognised standard for example BS EN 559: 2009 To avoid any confusion all hoses will be colour coded: BLUE = OXYGEN, RED = ACETYLENE, and ORANGE = PROPANE Safety devices to an appropriate standard, such as BS EN 730: 2002, will be used as required, including non-return valves on the inlet on the torch (both gas lines), flame arresters at the outlets and also flashback arresters incorporating both cut-off valve and flame arresters. Properly fitted 'crimped' hose connectors will be used and not 'jubilee clips which may be overtightened resulting in damage to the hose. All equipment will be stored and transported on suitable bottle trolleys. The cylinders being stored vertically and not left lying down in vulnerable places. 3.4 Permit to work scheme All hot work generating heat and sparks will be undertaken with the operative and contractor obtaining a hot-works permit from the principal contractor's appointed fire warden before any work starts. The fire warden will inspect all areas of the site, which have had hot-works ongoing during that day for ignition sources and confirm the area as safe. ## 3.5 Electrical Installations All Electrical Installations Including Temporary Site Supply Will Be Installed And Regularly Inspected (Weekly) By Competent Electricians. 3.6 Arson And Site Security Measures Will Be Taken To Ensure That The Construction Site And Individual Properties Are Secure At All Times. 3.7 Temporary Site Accommodation No Flammable Materials Will Be Stored In The Site Office. Fire Action Information Will Be Clearly Displayed. 3.8 Welfare Facilities The Designated Welfare Facilities (Mess Room) Again Will Not Contain Any Flammable Substances, Liquids, And/Or Materials Etc. Users Of These Facilities Are Expected To Keep Them Clean And Tidy. 4.0 Fire Safety Precautions 4.1 Means Of Escape Our Priority In The Unfortunate Event Of A Fire Is The Safe Conduct Of All Site Operatives To A Safe Area Away From The Site. All Escape Routes Will Be Maintained Throughout The Project By Daily Visual Inspections. The Established Inspection Procedures Will Ensure That Escape Routes Are Not Blocked. 4.2 Travel Distances The Designated Construction Site Will Be An Open Area Initially With Enclosed Structures Formed As The Dwelling Are Constructed. Any Work In A Corridor, Or Other Area, Involving The Use Of Flammable Substances, Will Only Be Allowed To Progress If The Potentially Blocked Rooms/Areas Are Vacant. 4.3 Assembly Points (Muster Point) A Designated Muster Point Will Be Established Adjacent To The Site Entrance. 4.4 Emergency Signs All Escape Routes Will Be Clearly Indicated With Proper Signs In Accordance With The Health & Safety (Safety Signs & Signals) Regulations 1996. The Signs Are White Pictograms On Green Backgrounds. 4.5 Fire Alarms An Alarm System (Klaxon/Air Horn) Will Be Established On The Site By The Fire Warden, And As The Project Progresses Reviewed And Extended To Accommodate The Progress. As Indicated, The Alarms Will Be Visually Inspected On A Daily Basis And Then Formally Inspected And Tested By The Fire Warden. 4.6 Firefighting Equipment During The Safety Induction Talk, Each Operative Will Be Instructed That The Fire Fighting Equipment Is Open For Free Use In The Event Of A Fire But Only To Aid Escape! Equipment Will Include Co2, Water And Powder Extinguishers. Furthermore, Fighting Fires Is The Fire Brigades Job And Not The Job Of Untrained Operatives On A Building Site. Do Not Risk Lives For Property. 4.7 Emergency Lighting Where Appropriate We Will Establish A Battery Powered (110 Volt Supply) Emergency Lighting System. This System Is Solely To Aid Escape During The Event Of A Fire And Mains Power Failure. The System Will Be Inspected Formally Each Week By The Fire Warden. 4.8 Fire Safety Points All Extinguishers Will Be Positioned On Clearly Marked Red Boxes Inside Of The Property On Escape Routes. 5.0 Plan Maintenance This fire safety plan will be reviewed as required during the work progression and referred to during all site safety meetings. Signed by Contracts Manager: ____________________________ Date: __ / __ / Signed by appointed fire warden(s): _____________________________ Date: __ / __ /

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How can we explain why so many Indian people decided to fight against the British in 1857? ## Contents Rationale Page 4 Lesson Plan Page 7 Document - PRO 30/29/21/7 (11 pages) Page 15 Page 24 Copy of a memorandum by Francis Horsby Robinson, former member of the Board of Revenue, North West Provinces, on attitudes to the British Government in India, 1857. Transcript - PR0 30/29/21/7 Page 25 Copy of a memorandum by Francis Horsby Robinson, former member of the Board of Revenue, North West Provinces, on attitudes to the British Government in India. 1857. Document - PRO 30/29/21/7 Page 27 Copy of the Calcutta Gazette containing the Governor General's proclamation to the Bengal army of May 16th 1857. Document - ZPER 34/31 Page 28 Article in the London Illustrated News reporting on the Mutiny in India, 4th July 1857 Document - HO 45/6857 (2 pages) Page 29 A Church of England pamphlet: form of prayer and thanksgiving in suppressing the Indian rebellion Document - PRO 30/29/23/10 Page 31 Supplement to The Calcutta Gazette containing notification of restrictions on printing and publishing in the vicinity of Calcutta Document - PRO 30/29/23/10 (2 pages) Page 32 Extract from a secret letter of June 9th 1830 from the directors of the East India Company to the Governor General. Transcript - PRO 30/29/23/10 Page 35 Extract from a secret letter of June 9th 1830 from the directors of the East India Company to the Governor General. Document - PRO 30/29/23/10 Page 36 Newspaper article quoting extracts from Irish papers on the Indian mutiny November 1857 Document - PRO 30/29/23/10 (4 pages) Page 37 Extracts from the Simachur Soodhartoursun, a Calcutta newspaper, May 28-June 11 Transcript - PRO 30/29/23/10 Page 42 Extracts from the Simachur Soodhartoursun, a Calcutta newspaper, May - June 1857 Document - DO 35/9144 Page 44 The President"s message on the Hundredth Anniversary of 1857, as reported in "India News" Document - DO 35/9144 Page 45 Article in the Times about why the Sepoys rose against the East India Company 1957 Activity Sheet 1 - Homework Questions on Caste and Mutiny Page 46 Activity Sheet 2 - Thought Bubble Worksheet Separate file Activity Sheet 3 - Scale of Certainty and Cards Separate file Presentation 1 - How can we help students recognise arguments - therefore and because Separate file Presentation 2 - Scale of certainty Separate file ## Rationale The school I am currently teaching in is an 11-18 selective boys grammar, that accepts girls at sixth form. This school presents many opportunities, such as the fact that many students are interested in learning in general, and often in history in particular, indicated in a relatively high uptake of history at A level (since I have been teaching here we have had two or three classes of 20 students each, every year). The school"s intake and ethos mean that there are few behaviour management issues and that the students have the capability to take on new ideas. However, due to the fact that the majority of students stay on at sixth form, and we also take additional external students, the ability range at A level can be quite wide. Also due to the selective nature of the school there is a focus on exam grades, and this can lead to teaching and learning which fails motivate or interest students, and also that closely follows the exam board syllabus, rather than exploring the nature of history in the wider sense. I teach a lot of A level and so chose this age group for my lesson sequence. I was particularly interested directing this lesson sequence at my A2 classes who complete a Historical Enquiry throughout the school year, which is essentially a piece of coursework. There were a number of reasons why I chose to focus on this particular year group and module. First of all I felt that working with The National Archives was an excellent opportunity to gain access to primary evidence which would be invaluable for students" understanding of our particular historical enquiry - India and the British Empire. Secondly the historical enquiry"s focus on students" ability to, "analyse and evaluate a range of appropriate source material with discrimination, and to assess how, "aspects of the past have been interpreted and represented in different ways," (AQA 2007, p.61) in a 3500 word essay required a different approach to the relationship between sources, evidence, claims and accounts from AS studies, and that designing an enquiry with The National Archives could help foster this new approach. Finally this module, due to time allocated and the nature of the assessment, allowed for more opportunities to deal with the nature of historical evidence than at AS (a problem recognised by other practitioners such as Laffin 2009). I was aware that some of the students I teach would be applying to study history at University and are genuinely interested in the process by which an historian constructs an argument, on the other hand I was also aware that many of my students would be studying other subjects at University, or would not be attending University at all, and I therefore wanted to design a sequence of lessons that developed an understanding about the nature of evidence which would be useful to all my students As one Year 8 student put it recently "History stops people believing rubbish," (Ofsted 2010, p.56) and I hoped that by enabling students to understand how claims could be made from evidence and the varying weight that could be placed on these claims students would not only develop their historical thinking, but their thinking skills generally, allowing them to think critically when faced with claims in the "real world." I was also aware that the Historical Enquiry was a daunting task for many of my students, and therefore wanted to design a sequence of lessons where, "the concepts that lie at its [the discipline"s] heart can be tackled from the beginning in their simplest form, then in increasingly complex ways." (Cooper 2009, p.149) Finally, I was aware that many students in my A2 class held misconceptions about the role of evidence in history and knew that it was important to address these misconceptions, if my students were to truly develop their thinking about evidence through the use of sources from The National Archives. (Donovan *et al* 1999, Bain 2005) Based on the work of Lee and Shemilt, and informal observations and discussions with my prospective A2 classes during their AS year of studies, I gathered that most students" understanding about evidence was relatively undeveloped. Most of my students saw, "evidence as information," where sources could give direct answers to the questions we pose in history. This meant that when, "Given statements to test against evidence, students match [ed] information or count [ed] sources to solve the problem." (Lee and Shemilt 2003, p.21) My aim was to develop students" understanding of "the evidential relationship between a source and the claim it is testing or supporting," (Ashby 2004, p.32) and that the weight and certainty that could be placed on a claim depended not just on the content of the source, but also the context in which that source was produced. (Wineburg 2001) I also wanted to cultivate, "A Lego view of history… where the evidence available… can be put together in different, but perfectly valid ways," (Ashby 2011, p.139) and demonstrating that because evidence is, "something that can be read in a number of ways… we must argue probabilistically and contextually," (Cooper 2009, p.154) about the weight we can place on the claim we are making. Above all I wanted to students to see the point of evidence in history - that, "it is only through the use of evidence that history becomes possible," (Lee 2005, p.54) and that their best way of being able to explain the actions and motives of people in the past, was by reference to evidence. Being given access to The National Archives seemed like an excellent opportunity to broaden my students understanding of the event which is often termed the "Indian Mutiny." This is still a controversial topic today and therefore gave them the opportunity to use original document to engage in a real historical debate. I wanted my students to understand that the motives of the "mutineers," although often given as based in beliefs about their religion being under attack - symbolised in the issue of the "greased cartridges," were actually much wider than this single issue. The documents that I discovered in The National Archives gave the opportunity to discuss the complexities of these motives, including opportunity provided by the complacency of the British, a desire of at least some elements to remove British rule completely, the role played by the press in India, and the deteriorating relationship between officers and Sepoys. These documents not only gave students to opportunity to explore the variety of motives, but also how explanations about motives changed between commentators, and time periods, hence inclusion of some documents relating to the centenary celebrations of the Mutiny in India in 1957. The activities I have designed have been built around the enquiry question, "How can we explain why so many Indian people decided to fight against the British in 1857?" I deliberately included the "how" to focus students learning on the nature of evidence, the reason why it is important, and how it can strengthen the status of the claims they want to make. The first lesson is designed to illustrate the ways in which historians and others substantiate the claims they make with relation to evidence, and why evidence is important. By deconstructing these claims, and testing them using Chapman"s "therefore and because," (2010) exercise, students are encouraged to see both the limits of claims, and how they can be strengthened. The next lesson focuses on the context in which the document (a Memorandum from F. H. Robinson) was produced. The aim of this is for students to develop a "sourcing heuristic," (Wineburg 2001, p.76), where students are encouraged to use the provenance of a source to understand its subtext, and use this understanding to, "work things out that," the source was, "not intended to show and thus using the sources as evidence." (Pickles 2010, p.50) I hope that this will allow students to make claims from both the text *and* the subtext of the Memorandum when asked to do so in Lesson Three. This lesson is based on a scaffold suggested by Chapman to explain motive, which, he proposes, "we can neither fully explain, nor begin to understand without considering their (the historical actors) aims or intentions and their beliefs." (Chapman 2011, p.32) By making claims about the Indian people"s actions, beliefs and feelings, and aims, students are enabled to make claims from the evidence they find, and then are encouraged to assess the certainty they can have of this claim, based on the evidence available in the source, based on the context in which it is produced, and finally based on evidence from other sources, and their provenance. In this way I hope that students are able to build up a process by which they can make "weighty" claims, but also to develop their understanding of evidence and its relationship with the claims the can make. This can then be assessed in students" response to the final question, which asks them to test a deliberately controversial statement, which will challenge their understanding as its asks them to reconsider the knowledge and understanding they have gained in relation to the enquiry question which is more open. (Laffin 2009) AQA (2007) *GCE AS and A Level Specification: History* accessed online at http://web.aqa.org.uk/subjects/history-specifications.php on 29th July 2011 Ashby, R (2004b) "Students" Approaches to Validating Historical Claims," in Understanding history : recent research in history education International review of history education Vol. 4 Routledge: London Ashby, R. (2011) "Understanding historical evidence: Teaching and learning challenges," in Davies, I (ed.) *Debates in History Teaching* Routledge: London Chapman, A. (2010) "Taking the Perspective of the Other Seriously? Understanding Historical Argument," in *Euroclio Bulletin 28* accessed online at http://www.euroclio.eu/new/index.php/resources-publications-a-websites/bulletin-biannual-journal-about-history-education/cat_view/199-euroclio-bulletins/642-bulletin- 28/643-articles On 29th July 2011 Chapman, A. (2011) "Time"s arrows?: Using a dartboard scaffold to understand historical action," in *Teaching History 143* Historical Association Cooper, H. (2009) "Afterword," in Cooper, H. and Chapman, A. (eds.) Constructing History 11-19 Sage: London Donovan, S. Bransford J. and Pellegrino (eds.) (1999) How People Learn: Expanded Edition ## National Academy Press: Washington Laffin, D. (2009) *Better Lessons in A level History (History in Practice)* Hodder Education Lee, P. and Shemilt, D. (2003) "A Scaffold not a Cage: progression and progression models in history," in *Teaching History 113* Historical Association Lee, P. (2005) "Putting Principles into Practice: Understanding History," in How Students Learn National Academies Press: Washington Ofsted (2011) *History for All: History in English Schools 2007/10* accessed online at http://www.ofsted.gov.uk/ on 29th July 2011 Pickles, E. (2010) "How can students" use of historical evidence be enhanced," in Teaching History 139 Historical Association Wineburg, S. (2001) Historical Thinking and Other Unnatural Acts: Charting the future of teaching the past Temple University Press: Philadelphia | Lesson Title | |----------------------------------------------------| | 1. | | What's the | | point of | | evidence? | | 1. To understand that | | evidence strengthens an | | argument | | 2. To be able to identify | | claims and supporting | | evidence | | 3. To analyse the | | relationship between claim | | and evidence | | Reading about the | | basic events of the | | Indian Mutiny and also | | about the issue of | | caste. Tim Leadbeater | | Access to History India | | 1845-1957 good here. | | Use attached data | | capture to direct | | reading | | Paragraph on causes of | | Indian Mutiny e.g. Extract | | from Lawrence James 'Raj' | | p.236-7 | | Card and Pens | | Arthur Chapman's | | therefore / because PPT | | Magazine / Newspaper | | Articles | | http://www.youtube.com/w | | atch?v=teMlv3ripSM - | | Monty Python Clip | | Starter - Show students Monty Python Clip | | 'Argument Clinic,' discuss whether this is a | | good argument (it isn't!) and what is missing | | that would make it better (evidence!) | | Main (Small Groups) - Use paragraph from a | | Historian on the causes of the Indian Mutiny, | | students to identify claim (s) and evidence, | | and to write each on a separate piece of card. | | Use Arthur Chapman's 'therefore and | | because' (see attached slides) exercise (draw | | them on cards too) | | | | to show students how to | | test claims and evidence. Discuss Findings | | regarding relationship between claim and | | evidence. | | Plenary - Provide newspaper / magazine | | articles (or get students to bring in for previous | | homework) that make claims. Get them to | | repeat exercise. Ask students if they are | | happy that the evidence supports the claim. | | Have assumptions been made? Could | | different claims be made from the evidence? | | | | Would students' change anything to make | | claim stronger / less open to challenge. This is | | a good opportunity to discuss issue of | | certainty of claims. | | Lesson Title | Aims | |----------------------------------------------------|--------------------------| | | Copies of F. H. Robinson | | Memorandum | | | Thought Bubble Handouts | | | 2. | | | What can | | | one | | | memorandum | | | tell us about | | | why the | | | Indians fought | | | the British in | | | 1857? (Part 1) | | | 1. To study the | | | provenance of an original | | | document | | | 2. To use provenance to | | | understand the context in | | | which F. H. Robinson's | | | Memo was written in | | | 3. To begin to understand | | | how this knowledge can | | | be used to help make | | | infrerence from a source. | | | Starter - Quick feedback on homework to | | | check understanding (this will help with source | | | comprehension) and introduce the over- | | | arching enquiry question "How can we explain | | | why so many Indian people decided to fight | | | against the British in 1857?" | | | Main - | | | 1. Provide the whole document (F. H. | | | Robinson Memo), with description of | | | provenance to each student, along with the | | | thought bubble handout. Ask students to use | | | this document information, as well as the | | | language, tone, and any comments it makes | | | to fill in the '5Ws' around the speech bubble. | | | Allow students to dicuss in pairs, and then | | | feedback as a class | | | 2. Ask students to use this information to fill in | | | the thought bubble to suggest what F. H. | | | Robinson might have been thinking whilst he | | | wrote the Memorandum, what he might have | | | been trying to do, what sort of person he is | | | etc. Students may want to accompany this | | | with a picture of F. H. Tomlison to provide a | | | visual reminder! | | | Plenary - Directed Q and A on students' | | | thuoghts about Tomlison, and how this might | | | help them make claims from the source. | | | Lesson Title | |----------------------------| | | | 3. | | What can | | one | | memorandum | | tell us about | | why the | | Indians fought | | the British in | | 1857? (Part 2) | | Copies of F. H. Robinson | | Memorandum | | | | Post its (3 colours) | | PPT (instructions and | | scale of certainty) | | A4 scale of certainty and | | Cards (Certain, probably, | | possible etc.) for desk | | scales | | Digital Camera? | | 1. To be able to make | | claims about the actions, | | beliefs and aims of the | | Indian Mutineers based on | | a piece of primary | | evidence | | 2. To understand that the | | level of certainty about a | | claim can change | | dependant on the type of | | claim being made and the | | evidence available | | 3. To summarise the | | motive/s identified in the | | source and analyse how | | certain students are that | | these were motives | Starter - Organise students into 5 mixed ability groups and allocate each group 2 pages of the document. They can read beyond these 2 pages, but they must cover at least these 2 pages. Provide each student with 3 blocks of different coloured post it notes. Instruct students that as they read though they should be trying to identify the Mutineers' actions, beliefs and feelings and aims, all of which will help to explain why they acted against the British. Each colour of post it should relate to a different type of claim. Main - 1. Students should read through their section of the document individually first, making claims on the post-its, and then be given time to discuss claims discovered with others in their group. Students should be encouraged to infer from the source and its subtext, as well as look for direct references to the three types of claim. 2. Introduce students to 'scale of certainty' (PPT) and ask them to place their post its on their table on a scale of certainty, justifying and discussing with the group the position of each claim. 3. Ask each group in turn to place a claim on the board's scale of certainty and to explain their decision. Students can write this down on their own A4 scale of certainty. This can happen for as long as productive / required. Ask students what they notice about the types of claims (hopefully they will be more certain about actions than beliefs / aims). Plenary Ask students to write a short | Lesson Title | Aims | |-------------------------------------------------|-------------------------| | | Thought bubble handouts | | A4 scales of certainty | | | Digital pictur of scale of | | | certainty from last lesson | | | 1. To understand how we | | | can become more certain | | | about claims | | | 2. To use provenance to | | | help build certainty about | | | claims | | | 4. | | | How can we | | | become more | | | certain about | | | the motives of | | | the Indian | | | 'mutineers'? | | | (part 1) | | | Starter - Show picture on IWB of the scale | | | from last lesson, and ask some students to | | | share their claims about the motives of the | | | Indian Mutineers. Directed questioning on how | | | they could become more certain about the | | | motives of the Mutineers (take into account | | | provenance, cross reference with other | | | sources etc.) Point out that these can make | | | you more certain about what the motives | | | weren't | | | as well as what they were. | | | Main - | | | 1 - Refer students back to their thought bubble | | | handouts for the Memo and ask them to use | | | the information of who, what, where why and | | | when the source was produced to consider the | | | certianty of their claims. | | | Feedback one claim this provenance makes | | | them more certain of, and one it makes them | | | less certain of. Mark this on A4 scale of | | | certainty | | | 2 - In pairs allocate students another source | | | and repeat thought bubble exercise from | | | lesson 2 | | | Plenary - ask some students to share the | | | context of their new source | | | Lesson Title | |-------------------------------------------------| | Post-its | | A4 scale of certainty and | | cards | | Thought bubble handouts | | 5. | | How can we | | become more | | certain about | | the motives of | | the Indian | | 'mutineers'? | | (part 2) | | 1. To understand how use | | of multiple sources can be | | used to increase and | | decrease certainty of | | claims | | 2. To begin to build a | | picture in answer to the | | question 'Why did so | | many Indian people decide | | to fight against the British | | in 1857?" using sources of | | evidence | | Students to use | | Though Bubble | | handouts on new | | source to consider | | certainty of the new | | claims they are making | | - add to A4 scale of | | certainty. This would | | be a good opportunity | | to ask students to | | transfer findings to an | | electronic copy, which | | will make future | | changes easier. | | Starter - Ask students to refer back to thought | | bubble handouts for their new source and | | remind them this will help them think about the | | subtext of the document | | Main - Repeat first stage of post-it task from | | Lesson 3 with new source. Students then | | need to sort the cards in reference to their A4 | | scale of certainty. One pile for claims that | | relate to claims made from the first source, | | others that are new. Students should then | | write (in a different colour) the new claims | | directly onto the A4 scale of certainty. The | | other post its should be used to move (draw | | arrows) previous claims up or down the scale | | of certainty, with a written note as to why the | | claim has been moved | | Plenary - Ask students to write a new short | | summary of the motives of the Mutineers from | | their A4 scale of certainty, and how certain | | they are of this new claim about their motives. | | Students to present their new ideas to the rest | | of the class. Provide opportunities to question | | / debate degrees of certainty | | Lesson Title | |-------------------------------------------------| | ICT suite | | Online / Electronic versions | | of activity sheets and | | documents | | Students to write an | | answer to the following | | question to the title | | question | | 1. To construct an | | argument about the | | motives of the Indian | | 'mutineers' based on | | claims from various | | sources of evidence. | | 2. To consider the weight | | that can be placed on | | claims based on multiple | | sources' content and | | context | | 3. To test a controversial | | statement based on | | evidence and claims from | | multiple sources. | | Working In pairs or indivually give students | | electronic access to all documents and activity | | sheets. Students should be encouraged to | | study as amny documents as they can, but for | | each document studied students should | | consider provenance first, then the claims they | | can make, and then the certianty they can | | attach to those claims based on the source | | itself, the context in which the source was | | produced, and comparison to other sources | | already studied. Findings should be recorded | | on thought bubble sheets and A4 scale of | | certainty. | | Possibility to contribute to online debate on | | VLE | | 6. | | The reason | | so many | | Indians fought | | against the | | British is | | because they | | believed their | | religion was | | being | | threatened.' | | Discuss the | | validity of this | | eplanation of | | the motives of | | the Indian | | 'Mutineers' | | | Copy of a memorandum by Francis Horsby Robinson, former member of the Board of Revenue, North West Provinces, on attitudes to the British Government in India, 1857. # Transcript Pr0 30/29/21/7 - Copy Of A Memorandum By Francis Horsby Robinson, Former Member Of The Board Of Revenue, North West Provinces, On Attitudes To The British Government In India. 1857. The English Government is less popular than it has ever yet been in India - it is in fact very much disliked, and looked at with fear and distrust. I am able to speak on this subject from thirty years service and from the nature of my services and my own tastes having led me to see more of the natives and to hear more of their unreserved opinions than most residents in India. The time of the decline of our popularity has been from the termination of Lord W. Benticks administration when it was at its height. The memory of that wise and good man is gratefully cherished by the people of India. In my early service the country was very settled and disturbed, and we had to depend a good deal on natives of power and influence, to keep things tolerably quiet. We were obliged to be civil and kind to the people then - and civility and kindness produced their usual effect. Lord William Bentick openly declared that his policy was to bring forward the natives and efface the galling distinctions of conquest, and when he left us our Government was respected, and the people attached to it. Since his retirement the progress of our strength has increased till we have become perfectly strong - no one dreams of opposing us. We have in consequence ceased to be courteous to the natives or to live at all familiarly with them. Besides, the body of the civil service and many of the military have embraced extreme religious opinions, so that too many look on the natives with increased antipathy as pagans and unbelievers and enemies of God - in addition to the prejudices of color and caste - all kinds of imprudence are committed. I have known a civil officer make the native servants of the Government in attendance on him and his own servants attend family worship, and that to complete the absurdity, in English . An officer commanding a Regiment to prohibit the Hindoos from honoring the colors with Incense and Garlands, a thing as old as the Indian army - that Regiment subsequently mutinied. The fountains in the Government Gardens at Agra - a favourite resort of the natives on Sundays - were stopped from playing on the Sabbath - and made to play on Thursdays. Government have shown a dangerous and marked partiality for the Missionaries. There is a law in full vigor compelling the Board of Revenue to see that all religious endowments are duly administered. The law is unrepealed but there is an order of the Home Government prohibiting their servants from having anything to do with religious trusts not Christian. A Mahomedan Ruler and a Hindu of great wealth who had been a distinguished Soldier in our service both consulted me as to getting Government to take charge of splendid charitable and educational endowments they proposed to make. I had to point out to them that they must strike out respectively an endowment for a temple and a mosque which they had included in the endowments. I shall never forget the surprise, pain, and incredulity with which both at first listened to me. The surprise and incredulity soon ceased, but the pain and anger remained. Neither of the charitable and educational endowments were made - the temple and the mosque have been endowed. In a case where a missionary was fined by a Magistrate for contempt of court, Government interfered in spite of my protest that the proper course for the missionary was an appeal to the proper judicial authority. The Home Government also noticed the case - now I have known the Government repeatedly to refuse to interfere, and very properly, even in cases of extreme wrong, with the regular course of justice, but they departed from this wholesome rule in the case of a missionary. [Mr ?] has said that the natives should not be admitted to take part - an equal part in the civil administration till they become Christian. Sir C. Wood openly stated his anxiety for their conversion in the House the other night. These things will find their way to India, and in an exaggerated form. The see that no civil or military servant in India rises to a position of real influence or distinction who does not hold strong religious opinions and act under the religious party. All classes are alarmed. It is a fact that communications have passed among the Mahomedans and pledges have been exchanged to rise if forcible conversion is attempted. The fear is vain, but its existence, however unfounded, is an element of danger. The last Riot at Benares was made under pretence of the authorities striving to do away with the caste of the Prisoners in jail by forcing them to [mess? = eat?] together and this very[ messing?] system has caused outbreaks in different jails in which I think I compute moderately when I say that 100 lives have been taken. There were to my knowledge sanguinary reprisals of mutinies on this score in the jails of Allahabad and Ghazeepoor; and I have heard of others. If by the imprudence of Government a spirit of religious patriotism is once excited in India and if it got into the Army, out power is at an end. Besides, these things defeat their own purpose. The patronage of Government - a Government of Conquerors - will be found fatal to the progress of Christianity. It was while the Missionary was neglected and almost persecuted that he laid the foundation of the success that now begins to show itself. This very success adds to the alarm felt by the mass of the people and calls for more prudence. Our only safe and just policy is perfect impartiality and neutrality in matters of religion. (signed) Francis Horsby Robinson Late member of the Board of Revenue 8th June 12 Queen Street Mayfair / N W Provinces Copy of the Calcutta Gazette containing the Governor General's proclamation to the Bengal army of May 16th 1857. ## Document - Zper 34/31 Article in the London Illustrated News reporting on the Mutiny in India, 4th July 1857 ## Document - Ho 45/6857 (2 Pages) A Church of England pamphlet: form of prayer and thanksgiving in suppressing the Indian rebellion ## Document - Pro 30/29/23/10 Supplement to The Calcutta Gazette containing notification of restrictions on printing and publishing in the vicinity of Calcutta Extract from a secret letter of June 9th 1830 from the directors of the East India Company to the Governor General. ## Transcript: Document Pro 30/29/23/10 - Extract From A Secret Letter Of June 9Th 1830 From The Directors Of The East India Company To The Governor General. Extract Secret Letter to the Governor General in Council at Fort William in Bengal dated 9th June 1830 Made Public 28th June 1830 Para 29 It is our wish to respect all the rights of the Native Princes. Where these Treaties directly authorise, or indirectly involve our interference with their internal administration, not to interfere without necessity nor longer than necessity may require, but misgovernment constitutes that necessity, and in the preeminent situation in which it has pleased Providence to place us, we have not a higher duty that that of securing to all within the sphere of our legitimate influence a beneficent Government. 30 Where our interference in the internal administration of a State is neither directly or indirectly the result of our engagements with it, nothing but the just and reasonable apprehension that its maladministration may endanger the general peace, can justify our authoritative intervention in its affairs. The benefits which in a particular case might attend one intervention would be more than counterbalanced by the danger of violating national law. Document - PRO 30/29/23/10 Newspaper article quoting extracts from Irish papers on the Indian mutiny November 1857 Extracts from the Simachur Soodhartoursun, a Calcutta newspaper, May 28-June ## Transcript: Document - Pro 30/29/23/10 Quotations From The Simachur Soodhartoursun, A Calcutta Newspaper, May - June 1857 Extracts translated from a Calcutta daily paper published in Bengali and Hindu called the Simachur Soodhartoursun dated 5TH June 1857 "The mutinies at Meerut and Delhi have filled the mind of out Governor with fear. He had therefore added 24 men to his body-Guards and has ordered the principal gate, and all the minor entrances at Government House to be closed punctually at 8 O" Clock p.m. After the gates are closed, no one is admitted, no matter who he be, or what his business and he goes every day to Dum Dum, Barrackpore [?] and salaaming to the Sepoys with both hands with great address explains to them with sweet words "I will never attempt anything which can injure your religion. Do whatever you religion requires - no-one shall prevent you." The Member of the great Council of Parliament, having understood that the order to bite the Cartridges was at the bottom of all the present mutinies of the Sepoys, have sent a letter of command to Lord Canning - In it this is written "Take means to make the Hindu and Mussulman Sepoys abandon their mutinous conduct, or else it will be much the worse for you." When he got these orders our Governor determined to burn all the Cartridges made of suspected covers /paper?/ in the presence of the Sepoys all over the country, in order that they might lose all suspicion in regards to their religion and return to their allegiance, but it does not seem as if the Sepoys would place any confidence in the words of the Governor" 26th May In another article after affirming that it has only been constant war that has made us prosper hitherto, and that our constant aggression were not bad policy, the writer proceeds "But now from the way in which they (our Rulers) have attempted to destroy religion, it seems that God is certainly displeased with them, and hence it is not improbable that they will lose their Empire" "When a servant gives answer to his master death is not far off." It is clear that the Sepoys have given an answer "to their masters" upon the subject of the loss of their caste. Let our readers consider for themselves what is likely to follow. It was in an unlucky moment that the Governor passed the order for biting the Cartridges, that he will not be able to effect his purpose is a trifle, but he will have difficulty in saving the Empire. Now he takes every kind of oath, but the mutinous soldiers attach no credit to what he says and show no inclination to leave off fighting - on the contrary their rage increases every day and they have induced the people in many places to join them." "The Raja of [Rewa?] promised the priests of the Sacred God [hadhur?] at Goya 2 ½ [lacks?] of rupees if he should conquer the war with the English, so the Priests are praying God that he may be victorious." "The Emperors of France and Russia have made peace with the British Government upon condition that the country which the British have taken from them [?] respectively is to be restored, but the orders of restoration have not yet issued. They will probably not long be delayed under present circumstances." Government has passed an order that all merchants are to assist in the war. The Merchants are in great trouble about this." "All the country people [?] Agra are buying weapons and arms in every direction saying "If we die for it, we will fight with all our might against the English - Let us see what will come of it." Document - DO 35/9144 The President"s message on the Hundredth Anniversary of 1857, as reported in "India News" Document - DO 35/9144 Article in the Times about why the Sepoys rose against the East India Company 1957 ## Homework - Basic Knowledge Of The Indian 'Mutiny' What was the Indian Mutiny? What were the results of the Indian Mutiny? What is caste? How can caste be threatened?

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## Gender Pay Gap Based On Data From 31St March 2019 Background We Are Required By Law To Carry Out Gender Pay Reporting Under The Equality Act 2010 (Specific Duties & Public Authorities) Regulations 2017. This Involves Carrying Out Six Calculations That Show The Difference Between The Average Earnings Of Men And Women In Our Organisation. It Will Not Involve Publishing Individual Employees' Data. We Can Use These Results To Assess: - the levels of gender equality on our workplace - the balance of male and female employees at different levels It is important to note that gender pay reporting is different to equal pay. - Equal pay deals with the pay difference between men and women who carry out the same jobs, similar jobs or work of equal value. It is unlawful to pay people unequally because they are a man or woman. - The gender pay gap shows the difference in the average pay between all men and women in a workforce. Results A snap shot of data was taken from 31st March 2019 and the results are below for the six required calculations. It should be noted that we have a higher proportion of staff that are female (56%) than male (44%). Female staff from the majority of all four quartiles, from the highest paid to the lowest. 1. The average gender pay gap as a mean average A female's hourly rate is 0.1% lower than a male. The mean hourly rate is £13.88 for male employees and £13.87 for females. 2. The average gender pay gap as a median average A female's hourly rate is 6.3% lower than a male. The mean hourly rate is £12.77 for males employees and £11.97 for females. 3. The average bonus gender pay gap as a mean average A female's hourly rate is 0% lower than a male. The Council does not consider that it pays bonuses in accordance with the criteria set out and therefore reporting on this element is not applicable. 4. The average bonus gender pay gap as a median average A female's hourly rate is 0% lower than a male. The Council does not consider that it pays bonuses in accordance with the criteria set out and therefore reporting on this element is not applicable. 5. The proportion of males receiving a bonus payment and proportion of females receiving a bonus payment Males 0% Females 0% The Council does not consider that it pays bonuses in accordance with the criteria set out and therefore reporting on this element is not applicable. 6. The proportion of males and females when divided into four groups ordered from lowest to highest pay Male Female Q1 Lower 49.4% 50.6% Q2 Lower Middle 30.5% 69.5% Q3 Upper Middle 48.2% 51.8% Q4 Upper 47.6% 52.4% There is a higher proportion of women than men in all four of the Council's pay quartiles. However there is a higher concentration of women in the lower middle quartile, which has contributed to the gender pay gap. ## Next steps Blaby District Council is pleased to see that our mean gender pay gap continues to reduce, however we note that the larger median difference suggests an uneven gender distribution across the Council. Blaby District Council will continue to undertake a number of measures in place to support gender pay equality including: - The Council has made the gender pay gap a key part of our Equalities Objectives and this will continue to be reported. - The use of Gauge job evaluation system which ensures that through its application job grading is gender neutral. In addition we will: - Further explore the over-representation of females in the lower middle quartile of roles to understand the drivers for this pattern.

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## Recommendation 1 Home Office To Build On Its Kim Action Plan And Ensure That The New Knowledge And Information Executive Group (Kieg) Owned Information Strategy Sets Goals For The Whole Department. The Strategy Should Provide Impetus For Work To Improve Technology, Governance And Culture. There Would Be Benefit In Centring The Strategy On The Principles Of Information Availability, Security And Exploitation That Are Already Defined As Objectives In The Department'S Risk Governance Approach. Progress Update - June 2016 Ref: Actions 1.1 Create a 3 yr KIM strategy. Align and link to all other related HO strategies/units. Present to KIEG. Obtain KIM Strategy and action plan sign off with KIEG and SIRO Investigate **and action** a more direct formal linkage between all information and data related experts through merger, reporting, process or governance Med Sep-16 OPEN 1.2 1,3 Information asset owners to evidence they have considered DigC issues and implemented measures to protect information once HO has established the contractual position 1,4 Investigate future 'New desktop' management/control of information functionality. Create options and plan of action for **embedding** effective digital continuity. Assign a point of contact within KIM to work with new project leads. Status Target Priority (High/Med /Low) Completion date High Dec-16 OPEN Med Mar-17 OPEN Med Dec-16 OPEN ## Recommendation 2 Kimu And Information Assurance Staff To Work Together To Increase Oversight And Control Of Home Office'S Information Assets, Establishing Clearer Department-Specific Principles For Information Asset Owners (Iao'S). Progress Update June 2016 | Ref: | Closed | |----------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------| | Target | | | Priority | | | (High/Med /Low) | | | Completion date | | | Review | and | | interaction/linkage with KIM policy on retention, data asset and data sharing guidance. | IAO | | 2.1 | | | Med | Aug-16 | | OPEN | | | guidance to include the responsibilities, training and management of data and the setting of | | | retentions. | | | 2.2 | The business via KIEG to review all unit assets are on register, have a suitable IAO, correct | | Med | Feb-17 | | OPEN | | | registered detail & ensure retentions marked in line with new retention standards. | | | 2.3 | Work with Digital to align asset register with the new Data Cat. Ensure all relevant details are | | Med | Dec-17 | | OPEN | | | included. | | ## Recommendation 3 Develop Plans To Increase Oversight And Drive Good Governance Of Information Held Outside The Corporate File Plan (Cfp) And Imanage, Information Not Migrated To Imanage, And Held In Personal Repositories And Unstructured Shared Drives. Progress Update - June 2016 | Ref: | Closed | |------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------| | date | | | /Low) | | | Target | | | Priority | | | (High/Med | | | Completion | | | 3.1 Work with IT futures to ensure KIM requirements around email is incorporated into planning | | | Med | Jun-17 | | OPEN | | | 3.2 | Work to develop the e-discovery solution as a means to identify material of long term business, | | Med | Mar-17 | | OPEN | | | historical, reuse or compliance value. | | | 3.3 Create solutions for future control of corporate and personal storage. | | | Med | | | Dec-16 | | | OPEN | | ## Recommendation 4 Establish A Single Approach For Knowledge And Information Management Governance That Cuts Across The Existing Group Structure To Drive Consistent Department-Wide Improvement. Progress Update - June 2016 | Ref: | Closed | |---------------------------------------|------------------------------------------------------------------------------------------------| | /Low) | | | n date | | | Target | | | Priority | | | (High/Med | | | Completio | | | 4.1 | | | | Review current governance, reporting lines and BAU processes and establish a formal/informal | | High | Sep-16 | | OPEN | | | linkage. | | | 4.2 | Ensure all KIM documentation in a standard, consistent and mapped to relevant policies. Ensure | | Med | Jun-16 | | OPEN | | | process in place to review regularly. | | | 4.3 | Share One3M results with KIEG, SIRO and wider KIM Community. Find other routes to publish | | Med | Jul-16 | | OPEN | | | results to general staff | | ## Recommendation 5 Establish A Plan To Ensure Messages About Information And Records Management Requirements And Responsibilities Are Reaching All Staff Across All Groups. Progress Update - June 2016 | Ref: | Closed | |----------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------| | Target | | | Priority | | | (High/Med /Low) | | | Completion date | | | 5.1 | Create and implement communication plan to inform all staff regularly of their key responsibilities | | Med | Aug-16 | | OPEN | | | with support of KIEG members. | | | 5.2 Incorporate behavioural measures into 2016/17 One3M model. | | | Med | Sep-16 | | OPEN | | | 5.3 Review risk register and mitigations to reflect report comments | | | Med | Sep-16 | | OPEN | | | 5.4 Develop and deliver KIM eLearning programme for staff | | | Med | Jun-16 | | OPEN | | | 5.5 Review Knowledge and Information Champion and support roles and amend as necessary | | | Med | Dec-16 | | OPEN | | ## Recommendation 6 Establish A Plan For Achievement Of 20-Year Rule Commitments For The Remainder Of The Transition Period, Ensuring Clear Process And Guidance For Review Staff Are Defined. Progress Update - June 2016 | Ref: | Closed | |-----------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------| | /Low) | | | n date | | | Target | | | Priority | | | (High/Med | | | Completio | | | 6.1 Create regular reports - short/long term planning/achievement to DRO/TNA on progress and issues | | | High | Ongoing | | Open | | | 6.2 Review processes on methods of appraisal and implement | | | Med | Dec-16 | | Open | | | 6.3 | To continue to work with TNA on the Digital Transfer Group and the Digital Sensitivity Group to plan | | Med | on-going | | Open | | | digital transfer of records in 2017. | |

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March 2020 ## Review Of Ris1 Major Scheme Scope Changes And Cost Impacts Prepared for: The Office of Rail and Road 25 Cabot Square Canary Wharf London E14 4QZ United Kingdom IMPORTANT NOTICE The findings contained within this report are based on interviews with Highways England personnel and information provided by Highways England and the Office of Rail and Road. We have assumed that information provided to us is reliable and we have not sought to independently verify its accuracy. Whilst every effort has been made to identify and obtain the relevant information, we cannot guarantee that we have been provided with all information relevant to the subject matter of this review. Should further relevant information come to light that was not provided to us, it may be necessary to update our findings and recommendations. This review considered a sample of eight Highways England's schemes being developed within Road Period 1. These schemes were jointly selected by the Office of Rail and Road and Highways England and were selected as they demonstrated some of the largest cost variances within the portfolio. The findings and recommendations within this report should be taken in this context and they may not reflect the performance of the wider portfolio being developed in Road Period 1. This review was conducted in accordance with the terms of our contract with the Office of Rail and Road, dated 27 September 2019. The photographs used within this report are sourced from Highways England's official Flickr account (https://www.flickr.com/photos/highwaysengland/). These photographs contain public sector information licensed under the Open Government Licence v3. A link to this licence can be found at - http://www.nationalarchives.gov.uk/doc/open-government-licence/version/3/. ## Executive Summary 1 Executive Summary The Department for Transport's first Road Investment Strategy, known as RIS1, defined a five-year programme of capital investment into England's Strategic Road Network. Formed rapidly alongside the creation of Highways England, RIS1 marked a step change in the way in which capital works are planned and delivered. Prior to RIS1, capital investment was planned annually by the Highways Agency and budgets and volumes of schemes were considerably lower. The estimated outturn cost of RIS1's major scheme portfolio has increased above the original baseline estimate. With RIS1 drawing to a close and the next Road Investment Strategy commencing in the first quarter of 2020, The Office of Rail and Road appointed Ankura to review the impact that scope change has had on the movement of RIS1 major scheme costs and the implications that this may have for the next Road Investment Strategy, RIS2. Our review, which was based on a sample of schemes that had experienced significant cost variances, finds that: - Immaturity in the assumptions on which schemes' estimates were calculated was the largest driver of scope change and cost variance, impacting all of the schemes within the sample and accounting for three quarters of the cost variance within the sample; - Additional scope and cost arising from unforeseen site conditions was the second largest driver, impacting half of the schemes within the sample. The cost impact was more minimal accounting for less than 10% of the cost variance within the sample; - Scope and cost changes arising from changes in requirements, conditions imposed by stakeholders, changes in standards and archaeological finds were minimal. There were also instances in which costs were reduced through value engineering and descoping exercises; - There are several distinctions that reduce the likelihood of a recurrence of these issues for RIS2. The constituent schemes within RIS2 are at a greater level of maturity, reducing the reliance on budgeting assumptions. RIS2 has been developed over a number of years, in contrast with the comparatively short period of time available for the development of RIS1. Highways England is a more established organisation today and has had an opportunity to develop its corporate functions and processes. Furthermore, a new addition for RIS2 is the creation of a portfolio-level risk allocation pot, developed by The Department for Transport and Highways England. This provision is intended to support Highways England in managing the exposure of projects to unknown or unforeseen risks and scope change and additional process development will be required to ensure its appropriate allocation, with feedback into the estimating assumptions and processes; - Processes and governance arrangements are in place to manage scope changes and their impacts on cost and our review did not reveal instances in which scope had changed in an uncontrolled manner. However, improvements could be made to the information that governance bodies receive to enable them to provide more effective challenge; and - Improvements could be made to lessons learnt arrangements to increase consistency, objectivity and the use of data to focus improvement activity and enhance scheme performance. ## Introduction 2 Introduction Highways England is responsible for operating, maintaining and improving England's motorways and major trunk roads, collectively termed the Strategic Road Network ("SRN"). In December 2014 the Department for Transport ("DfT") set the first Road Investment Strategy, known as RIS1. RIS1 set a commitment for a five-year capital investment programme in the SRN and marked a step change in the way that Highways England planned and delivered its capital works, as its predecessor, The Highways Agency, operated within annual investment cycles. RIS1 originally comprised 112 major improvement schemes and had an original budget, referred to as the Statement of Funds Available ("SoFA"), of £11.4bn1. It represented a considerable increase in the scale and volume of capital works being undertaken by the organisation: in 2014, the year before the creation of Highways England, the then Highways Agency delivered capital works of approximately £1.9bn and initiated the construction of seven major projects. Road Period 1 ("RP1") is the period between 2015/16 - 2019/20 and is covered by RIS1. RP1 was overprogrammed by approximately £650m2 and, as such, there was pressure on the SoFA from the outset. Highways England has reported to its monitor, the Office of Rail and Road ("ORR"), that the current estimated outturn costs of developing RIS1's major scheme portfolio has increased above the original baseline estimate. We were appointed by the ORR3 to undertake a review into a number of these cost movements to understand the impact that scope changes have had and to identify lessons for the next Road Period, RP2, which commences in April 2020. This report sets out our findings. Background Highways England is the government company charged with operating, maintaining and improving England's motorways and major A roads. Formerly the Highways Agency, an executive agency of DfT, it became a government company in April 2015, operating with greater independence. As part of the transition from the Highways Agency to Highways England, changes were made to the way in which capital investment in the SRN is planned. Under the previous arrangement, the Highways Agency received its capital funding on an annual basis. Major highways projects, like any other large construction project, generally span several years and therefore an annual funding cycle provided minimal opportunity for long term planning. Under the new RIS and SoFA, capital investment was to be budgeted in five-year cycles, similar to those used in the railway sector. The first Road Period ("RP1"), covered the period from April 2015 to March 2020. RIS1 is the strategy that covers RP1. RIS1 was prepared in parallel with the establishment of Highways England and within a relatively short period of time, preventing the rigour that is currently exercised in the estimation of scheme budgets. Furthermore, approximately two thirds of the constituent schemes were at a low level of maturity when the SoFA for RIS1 was developed and had not yet reached a stage of scope development that would enable reliable cost estimates to be determined. In the absence of the requisite levels of scope maturity, scoping assumptions were used extensively to enable high level costings to be prepared within the available time period. ## 3 Terms Of Reference We were appointed by the ORR to review the impact that scope change has had on the movement of RIS1 major scheme costs in RP1 and the implications that this may have for RIS2. We were instructed to undertake the following: - Using a sample of RIS1 schemes proposed by ORR, review whether scope changes were the primary driver of cost change and, if not, what the reasons were; - Where scope change was the primary driver for cost variations on the sample schemes, categorise the drivers of change; - Establish what the scope change was, at what point it was identified and by whom; - Consider how Highways England's processes control the risk of scope creep; and - Establish whether there is evidence that Highways England has captured the lessons learnt from the reasons scope has changed in its processes. In the next section of our report, we set out our methodology. ## 4 Review Methodology Our Methodology Comprised Three Distinct Phases, As Set Out Below. | Prepare | Analyse | Report | |------------|-----------|----------| - Familiarisation with - Consolidation of findings previous relevant reviews - Desktop review and analysis of scheme documents - Fact checking with Highways England - Agree sample schemes - Interviews with key personnel - Report production and verification - Document request ## Prepare Prior To Commencing Our Fieldwork, We Undertook A Desktop Review Of Previous Reviews Undertaken By Other Parties That Were Relevant To Our Scope Of Work. These Were As Follows: - "Progress with the Road Investment Strategy", National Audit Office, March 2017; - "Review of Highways England's Portfolio and Programme Management Capability", commissioned by the Office of Rail and Road, October 2017; and - "Assessment of Highways England's Cost Estimation Approach for RIS2", commissioned by the Office of Rail and Road, June 2019. Our review has been undertaken on a sample basis. We attended meetings with the Office of Rail and Road and Highways England, who jointly agreed the sample schemes that our review would be based upon. The schemes provided to us, which had all encountered cost variances from their initial funding allocation, are set out overleaf. ## M60 Junction 6 - M62 Junction 20 Upgrading the M60 to a Smart Motorway between Junctions 8 and 18, the M62 between Junctions 18 and 20. ## M6 Junctions 16-19 Upgrading the M6 between Junctions 16 and 19 to a Smart Motorway including hard shoulder running, along with other improvements to the M6 and M1. ## M4 Junctions 3-12 Upgrading the M4 to a Smart Motorway between Uxbridge and Reading. ## A358 Taunton To Southfields Creation of a dual carriageway link from the M5 at Taunton to the A303 incorporating upgraded stretches of the existing road into the strategic road network where appropriate. ## M62 Junctions 20-25 Conversion of an existing motorway to a Smart Motorway across the Pennines, from Rochdale to Brighouse, linking two existing sections of Smart Motorway to create a continuous Smart Motorway route from Leeds to Manchester. ## A428 Black Cat To Caxton Gibbet Upgrading a single carriageway section of the A428 between Caxton Gibbet and the A1 to dual carriageway and the development of a grade separated junction at the A1 Black Cat roundabout. ## M20 Junction 10A Creation of a new motorway junction to support major development to the south east of Ashford. ## A21 Tonbridge To Pembury Upgrading the A21 between Tonbridge and Pembury to a dual carriageway, linking the highquality dual carriageway north of Tonbridge with existing dual carriageway to the south and providing a grade separated junction at Longfield Road. Analyse We undertook interviews with key members of each scheme's project team and reviewed project records to understand the chronologies of each scheme, identify the issues relating to scope changes and the respective cost impact, which we then classified as follows: | Category | |-----------------------------------------------------------------------| | | | Immature | | assumptions | | Immature scope or costing assumptions on which a scheme's | | estimate was calculated, which were identified after the SoFA had | | been approved. | | | | Unforeseen site | | conditions | | Additional costs arising from site conditions being different from | | those that were assumed when the scheme's estimate was | | developed. | | | | Stakeholder | | conditions & | | requirements | | Conditions imposed or a change in the scheme's requirements, | | following a stakeholder consultation or completion of a planning | | process. | | | | Change in client | | requirements | | A change in the client's requirements for the scheme resulting in an | | increase in the scheme's estimated or actual costs. | | | | Change in | | standards | | A change in the standards to which schemes must adhere following | | the development of the scheme's estimate. | | | | Archaeological | | finds | | Additional costs arising from archaeological finds within the project | | site. | | | | Value for money | | A change in the scheme's requirements to reduce cost or drive a | | higher Benefit Cost Ratio. | | | | Integration of | | other works | | The incorporation of other works into the scheme's scope of works. | For each scope change, we sought to establish: - Its context and background; - When it arose and who identified it; and - Its impact, where possible. Report We tested our analysis with Highways England for factual accuracy, before consolidating our findings. The impact of scope change on scheme costs are presented in aggregate, relative terms in recognition of the commercial sensitivity of scheme financials, particularly those that have yet to reach commercial settlement. ## Findings 5 Findings Relative Impact Across The Sample Schemes Items to the right of the Initial Budget line are categories that relate to cost increases, items to the left relate to cost reductions This section of our report sets out the findings from our analysis. The diagram below summarises the relative impact of each category of scope change across the eight sample schemes. Immature assumptions         Unforeseen site conditions     Stakeholder conditions & requirements    Change in client requirements    Change in standards   Archaeological finds  Value for money   ## Iimmature Assumptions Immature scope or costing assumptions on which a scheme's estimate was calculated represented the largest source of cost variance and impacted all eight schemes in the sample, accounting for 76% of the total cost variance across the eight sample schemes. The theme that underpinned all of the schemes in our sample appeared to be one of estimates that had been developed rapidly due to the compressed timescales associated with the development of the capital portfolio for RP1. Several schemes were at a low level of maturity at this point and the timescales to develop scheme budgets necessitated the use of both high-level approaches to costing and reliance on scope assumptions where scopes of work had not yet been developed or approved. As a consequence of these constraints, schemes were unable to follow the established and more rigorous estimating process at a point in time that a stable and mature scope existed. Following the formulation of RIS1, more realistic estimates were prepared as the schemes were "picked up" by project teams and further developed, at which point the immaturities in the original estimates were exposed. ## Unforeseen Site Conditions Additional scope and costs arising from unforeseen site conditions was the second most significant category, impacting four schemes in the sample and accounting for 8% of the total cost variance. These generally related to schemes where construction commenced but limited surveying activity or site analysis had been undertaken beforehand, due to a combination of limited access, sensitivity to undertaking surveying activity before planning announcements were made or due to time constraints. Issues were subsequently uncovered once construction had begun. Whilst there were instances in which surveying could not be undertaken, there remain several schemes in which more rigorous investigation and study prior to commencing on site could have revealed potential costs sooner or could have enabled issues to be resolved in a more cost-effective manner. ## Stakeholder Conditions & Requirements Stakeholder conditions & requirements accounted for 3% of the total cost change across the sample schemes, affecting three schemes. Changes related to the necessary incorporation of requirements identified through statutory and public consultations. These included changes to the route of one scheme to address stakeholder feedback and to meet requirements identified through the Development Consent Order process for a second scheme. ## Change In Client Scheme Requirements Change in client scheme requirements accounted for 3% of the total cost variance across the sample schemes, affecting three schemes. Changes to client requirements generally related to the scheme's timescales and included new requirements to accelerate the commencement or completion of construction activity or changes to traffic management restrictions to limit the impact of construction activity on motorists. ## Change In Standards Changes in standards had a limited impact on the sample schemes, accounting for 1% of the total cost change across the sample, affecting two schemes. We consider that there is limited scope for Highways England to control this. These changes included a corporate decision to install Remotely Operated Temporary Traffic Management Signs across all Smart Motorway schemes to improve the safety of operational personnel and motorists, the financial impact of which was greater on schemes that were already in construction. A change in the traffic modelling methodology also impacted a particular scheme in the sample and resulted in the requirement for further modelling and consultation. ## Archaeological Finds The impact of archaeological finds within our sample was relatively limited, with one scheme experiencing a cost increase as a result. This category of scope change accounted for less than 1% of the total cost variance across the sample. ## Value For Money Value for money accounted for 9% of the total cost variance in the sample. This category of scope change resulted in a reduction of the estimated outturn cost across two schemes4. Project teams were able to drive greater value for money by value engineering or descoping the schemes within the sample, which is positive. The delivery of these savings will need to be monitored closely to ensure that they are realised, particularly for schemes in which savings have been banked but where construction has yet to start. Controlling the risk of scope creep We were also instructed to consider how Highways England's processes control the risk of scope creep. In this section of our report we outline the control processes that were in place during RIS1 and provide a narrative on their effectiveness in the context of the scope change and the associated cost variances observed in our sample. For the purposes of our assessment, we have considered scope creep to be the incremental and uncontrolled growth in schemes' scopes of work, generally over a period of time. It is distinct from scope change, in which an active decision to change a scheme's scope of work is taken and the appropriate control and governance mechanisms are applied at the time. Highways England and the DfT has an established change control system and system of governance that applies to the management of scope. Decisions on change are made at different levels of the organisation, depending on the significance of individual changes and their impacts. Changes of a minor nature may be authorised at individual contract level. Approvals of a larger nature escalate through Highways England's hierarchy and management committees, up to and including DfT and Ministers for larger and more significant changes typically involving scope, funding, schedule or value for money. Scheme cost forecasts are subject to scrutiny as they progress through the development lifecycle as part of Highway's England's Stage Gate Assessment Review process ("SGAR"). Additional funding may be requested between development stage gates and decisions of this nature are made by the relevant investment committees. We have reviewed a selection of project investment governance papers relating to the schemes within our sample. These papers are scheme specific and their purpose can be to provide scheme updates, seek a decision, provide information and seek approval for cost variances by the appropriate committee within Highways England or Government. The papers we reviewed showed variability in the level of detail provided and the way in which that information is presented. For example: - The investment governance paper for one scheme provided a detailed assessment of the underlying causes of the scope change and associated cost variance, making it straightforward for committee members to understand and challenge. - Conversely, the paper for another scheme, which requested approval for an increase in the total outturn cost, contained much less detail; whilst it provided a breakdown of the increase, its narratives were limited to comparatively high-level descriptions, for example "Increase to main works costs" and "additional statutory diversion works", making it difficult for reviewers to identify potential scope creep. We note that assurance reviews of investment governance papers are undertaken prior to their submission, which involves reviews of their contents by various subject matter advisors (e.g. Strategic, Economic, Commercial, Financial and Management), and we were made aware of guidance for reviewers in this regard. This is positive, although we note that, despite this, there is a relative degree of inconsistency across investment committee papers in relation to the presentation and level of detail that supports requests for additional funding. Therefore, the level of challenge that committee members are able to provide could be inconsistent across schemes. The consistency and quality of information has also improved in more recent papers, when compared to those prepared earlier in RP1. However, we believe that there are opportunities for further improvement to provide greater clarity and traceability of scope changes and associated cost impacts. Lessons Learnt In this section of the report we set out our assessment of the extent to which Highways England has captured and embedded lessons learnt in its processes. Lessons learnt reviews are conducted at certain junctures in the lifecycle of schemes, as well as on completion. These are formal exercises involving the scheme's design and delivery partners, the outputs of which are signed off. In our assessment, there are improvements that could be made to the process to enhance the value that Highways England derives from its knowledge base. These should build on the knowledge management strategy that is in development and are as follows. The use of standard proformas for capturing lessons and developing standard guidance on the information that should be recorded would drive greater consistency in knowledge capture and allow it to be assimilated. The granularity of analysis into lessons varied across our sample of schemes. Some captured the time and cost impacts of issues that occurred, whereas others did not. The format of the outputs also varied; in most cases a lessons learnt log was prepared in an Excel workbook but in one instance the output was a PowerPoint slide pack. Whilst these tools are effective in capturing lessons on an individual scheme basis, they make it difficult to assimilate themes across the RIS1 portfolio. An independent project team should lead lessons learnt reviews to increase objectivity, which would also serve to enhance the dissemination of knowledge across the organisation. Lessons learnt workshops are led by the relevant scheme's project committee, which may introduce bias into their assessment, whether unintentional or otherwise. The likelihood of bias is increased by way in which the workshops are conducted: they rely extensively on discussion and, whilst it is important that issues are debated, there is a risk that bias is unintentionally introduced. Lessons learnt reviews should be data-led. Standard analyses should be introduced to allow projects to be compared and a systemised approach adopted for retention that allows trends to be monitored, processes to be optimised and insight to be applied at the front end of projects to challenge planning assumptions. The analysis and capture of project data within lessons learnt reviews appears to be limited, with most lessons identified through discussion. The absence of data and analytics in the lessons learnt process increases the risk of subjectivity and limits the ability of Highways England to accurately quantify the impact and frequency of issues at a corporate level and therefore prioritise remedial action effectively. We support the creation of "Heads of Profession" within Highways England Major Project Directorate, which should drive know-how across project teams. This could be strengthened by formalising handovers between project managers and enhancing the analysis that is undertaken as part of the Stage Gate Assessment Review process so that the underlying causes and quantification of performance issues are objectively assessed at each stage. As a projects organisation that is geographically dispersed, dissemination of lessons learnt within Highways England is challenging. Furthermore, many of the projects within RIS1 have long timetables and there is a risk that knowledge is lost. We observed several instances in which project managers and sponsors were able to provide only limited insight into issues that had affected their schemes before their tenure and were unable to readily provide the relevant project records to us. During this review we were made aware that a knowledge management strategy and a dedicated team to support the delivery of this strategy is under development. We have been informed that this will include guidance for standardising lessons learnt workshops and a knowledge management "bank" to collate, monitor identified trends and disseminate lessons between schemes. As this strategy and team are in development, we have been unable to provide any observations although we support its intention. RIS2 context This review has identified several issues that impacted all or the majority of schemes within the sample. Whilst the scope of our review did not include assessing the formulation of RIS2 and the extent to which these issues have been addressed, during our review we have identified a number of areas that have been developed. There are also a number of distinctions in the nature of RIS2 that make it less likely that similar issues will recur. These are as follows: - The constituent schemes within the RIS2 business plan are, generally, at a greater level of maturity (see breakdown below5); - RIS2 has been developed over a number of years, in contrast with the comparatively short period of time that was available for the development of RIS1; - Highways England is a more established organisation today and has taken the opportunity to develop its corporate functions, processes and governance arrangements. Examples include the creation of a Capital Portfolio Management function, development of a specialist capability through the "Heads of Profession" operating model, ongoing formulation of "Integrated Project Controls" (which aim to provide tools to improve the management of major projects' risk, schedule and scope) and the enhancement of the estimating process6; and - A new addition for RIS2 is the creation of a portfolio level risk allocation pot, developed by The Department for Transport and Highways England. It is understood this provision will be included within the RIS2 funding allocation and is intended to support Highways England in managing the exposure of projects to unknown or unforeseen risks and scope change. As this is a new concept it is expected that Highways England will need to develop its processes to ensure appropriate allocation of this contingency to projects, with feedback into the estimating process. ## Concluding Remarks 6 Concluding Remarks Our review has provided an analysis of eight schemes within Highways England's RIS1 major scheme capital investment portfolio that have experienced scope change and an associated cost variance. The primary driver for the majority of the scope change and associated cost increases identified within the sample schemes was immaturity in the assumptions on which the original scheme funding allocation was developed rather than scope changes. These deficiencies were subsequently revealed when schemes design options were clarified and their cost estimates reappraised. The underlying cause appears to have its origins in the rapid formulation and limited available time for establishing and agreeing the content and funding of the capital investment portfolio for RIS1: a recurring issue that emerged from our interviews with project teams was that the timing of RIS1 necessitated the rapid development of scheme estimates and that the usual rigour was compromised. We were also informed that some schemes had not yet progressed to a level of maturity that would enable a reliable cost estimate to be prepared. Highways England should nevertheless ensure that the estimating allocation and subsequent processes for future Road Periods allows sufficient time for estimates to be prepared and scrutinised and should ensure that any schemes that are early in the development lifecycle have an appropriate risk provision to account for uncertainty. For RIS2 it is expected this will be improved as a consequence of the additional processes and capabilities, as detailed earlier in this report, which Highways England has developed since the beginning of RIS1 and is planning to apply to RIS2. Unforeseen site conditions also contributed to scope changes with associated cost increases. These issues generally arose where construction commenced but limited surveying activity or site analysis had been undertaken beforehand, with issues being uncovered only once construction had begun. Within our sample schemes we identified instances in which surveying was not undertaken due to third party constraints or due to an assumption that existing survey data would be sufficient. Several sample schemes would have benefited from more rigorous investigation and study prior to commencing on site, which could have revealed potential impacts on costs sooner. Whilst we acknowledge that there will be situations in which it is not possible or practical to undertake surveys beforehand, for example due to timescales or access restrictions, the risk process needs to allow these trade-offs to be evaluated and appropriate contingency provisioned. Project teams were able to drive greater value for money by value engineering or descoping elements of schemes, which is positive. The delivery of these savings will need to be monitored closely to ensure that they are realised, particularly for schemes in which savings have been incorporated into the baseline estimate and are yet to complete. Processes are in place to manage scope and its impact on cost and our review did not identify any material issues of scope creep. Whilst we observed that scope decisions were brought to the relevant investment committees, we consider that improvements could be made to the information that investment committee members receive to enable them to provide more effective challenge and isolate potential instances of scope creep. Lessons learnt reviews are routinely undertaken at an individual scheme level, which facilitates the identification of improvements to future schemes and wider business processes. We consider that further changes could be made to increase consistency, objectivity and the use of data to focus improvement activity and drive better scheme performance. In the course of this review we have been provided with evidence that Highways England has implemented, or is implementing, management actions to address issues identified in this report. Since the beginning of RP1, Highways England has improved its processes and capabilities with plans for further developments for RP2. It is important to recognise that the conditions for the development of RP2 are distinctly different from those in which RP1 was developed. Highways England has had a significantly greater period of time to develop RP2 and the portfolio is considerably more mature, reducing the need to make, or rely on, scoping assumptions that were the source of the majority of changes and cost variance within the sample of schemes we reviewed. ABOUT ANKURA Ankura's Capital Project Advisory specialists work with public and private sector organisations to plan and deliver their most important projects. We help them plan for success, execute with confidence and secure better project outcomes. Ankura is a business advisory and expert services firm defined by HOW we solve challenges. Whether a client is facing an immediate business challenge, trying to increase the value of their company or protect against future risks, Ankura designs, develops, and executes tailored solutions by assembling the right combination of expertise. We build on this experience with every case, client, and situation, collaborating to create innovative, customised solutions, and strategies designed for today's ever-changing business environment. This gives our clients unparalleled insight and experience across a wide range of economic, governance, and regulatory challenges. At Ankura, we know that collaboration drives results. We have over 1,600 professionals with locations in more than 30 cities throughout the world. Our 200 infrastructure and capital project specialists work with project owners, infrastructure operators, investors, financiers and contractors to solve their most complex challenges. We combine deep industry experience with practical know-how to help our clients address the complex challenges that capital projects present. Our international, multi-disciplinary team advises private and public sector clients, bringing the knowledge and insight they need throughout the project lifecycle.

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## London Youth Employment Initiative Background Information - Paper One This Paper Is Part Of A Series That Provides Background Information For Colleagues Taking Part In The Development Of Programmes As Part Of The London Youth Employment Initiative (Yei). There Are Four Papers In The Series: Paper One - Provides a brief overview of the YEI and European Structural and Investment Funds (ESIF) in London Paper Two - Provides a summary of the key responsibilities in the development of YEI programmes Paper Three - Provides an outline of the programmes to be developed ## Paper Four - Sets Out The Objectives For The Task And Finish Groups That Have Been Established To Develop Programmes This Paper Explains What Has Changed In This Funding Round And Includes Links To Sources Of Further Detailed Information Background and Introduction The London Enterprise Panel (LEP) is responsible for setting the strategic direction and priorities of the London 2014-20 European Structural and Investment Funds (ESIF). The LEP has been awarded €748.6m of European Social Fund (ESF) and European Regional Development Fund (ERDF) to invest in boosting jobs and growth for London. This note concentrates on the European Social Fund (ESF) in London, particularly how ESF is used in support of young people. Summary of Changes Compared with previous Programmes, there are some differences for the 2014-20 ESF Programme:  In addition to the main ESF allocation, there is an additional allocation for the EU- wide YEI targeted at areas that have a youth unemployment rate of 25% or above (Inner London1 is one such area) - in London the entire ESF Youth allocation will be combined with YEI will in order to create a London-wide programme covering all boroughs;  There is an emphasis on targeted employment provision leading to incentivised and sustained outcomes;  Innovation, collaboration and simplification are recurring themes in EU strategies demonstrated by the intended closer link between ESF and ERDF Programmes. ## LEP, the GLA and Opt-In Organisations Although the Government will oversee a national ESF Programme, the new Programme will have a strong local influence within the UK. In the previous ESF Programme most of the ESF Funds have passed through national Co-Financing Organisations (CFOs) for the delivery of nationally-commissioned programmes, however the 2014-2020 ESIF Programme will see Local Enterprise Partnerships in the driving seat - the London Enterprise Panel (LEP), chaired by the Mayor, fulfils this function for the capital and, consequently, is being given more control over policies, strategies and investment to support economic growth. The LEP has been asked to set out an ESIF strategy based on "evidence-based narrative" to outline plans for London's share of the available funds. In London the LEP ESIF strategy was submitted to Government in January 2014 and is currently being finalised, a link to the draft strategy is below. The LEP ESIF strategy was developed following consultation with key stakeholders including London Councils: Young People's Education and Skills. The LEP will effectively 'commission' Opt-in Organisations, whose role will be largely similar to those of CFOs in the previous Programme, to deliver local and London-wide programmes that meet the needs of residents and businesses. Opt-in Organisations have proposed what they can offer to the LEP in terms of expertise in commissioning and access to match funding. The LEP has the option to 'opt-in' to these offers, in London the Opt-in Organisations are the Skills Funding Agency (SFA), Department for Work and Pensions (DWP) and Big Lottery Fund (BIG). The SFA will be the main Opt-in organisation for young people's programmes. The European Programmes Management Unit, within the GLA will act as an "Intermediate Body" (IB) on behalf of the Government, a role it fulfils in the present programme. The role of IB involves the general administering of the ESF Programme through the developing of priorities for ESF funding and monitoring Programme performance. London Allocation London received the largest ESIF allocation of any of the 39 Local Enterprise Partnerships, comprising approximately £641m, £465m for ESF and £176m for ERDF. Inner London has also attracted a further £37m through the YEI. With match-funding in line with the rules for these funds, the total size of the Programme exceeds £1.2 billion over the next seven years. Age range In one final major change for the next funding round, the priority age range has been defined as 15-24 (currently there are separate approaches for 16-18 and 18-24). Further Information can be found at these websites: European Social Fund in England: http://www.dwp.gov.uk/esf/about-esf/ London LEP ESIF Strategy 2014-2020: www.london.gov.uk/esif-draft-strategy London Councils European Service: http://www.londoncouncils.glegroup.co.uk/

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Department family Entity Date Expense Type Expense area Supplier Transaction number AP Amount (£) VAT registration number Purchase invoice number Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Independent Sector ACUTE ELDERLY SERVICES AGE CONCERN OXFORDSHIRE 15197896 97,476.00 AUKO0000000671 Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Independent Sector COLLABORATIVE COMMISSIONING MBI HEALTH CONSULTING LTD 15197901 25,080.00 157524303 MBISH023 Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Othe Public Sector NCAS/OATS HYWEL DDA LOCAL HEALTH BOARD 15197906 44,091.00 GB654439658 4042529 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING DR T W ANDERSON & PARTNERS 15211489 (85,153.95) OX17176CR Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING ALCHESTER MEDICAL GROUP 15211491 85,153.95 OX017176CR Department of Health 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Sum PRC DELEGATED CO-COMMISSIONING WHITE HORSE MEDICAL CENTRE 15211505 (207,302.35) OX17255CR Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING WHITE HORSE PRACTICE 15211507 207,302.35 OX017255CR Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING EARLS LANE HEALTH CENTRE 15211509 (101,052.03) OX17178CR Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING DR S RUDDOCK & PARTNERS 15211511 101,052.03 OX017178CR Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING FANE DRIVE HEALTH CENTRE 15211513 (51,781.19) OX17184CR Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING BERINSFIELD HEALTH CENTRE 15211515 51,781.19 OX017184CR Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING SHEEP STREET SURGERY BURFORD 15211517 (63,624.82) OX17239CR Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING BURFORD MEDICAL PRACTICE 15211519 63,624.82 OX017239CR Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING MARSTON MEDICAL CENTRE 15211521 (45,079.03) OX17213CR Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING BURY KNOWLE HEALTH CENTRE 15211523 45,079.03 OX017213CR Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING CLIFTON HAMPDEN SURGERY 15211524 28,307.61 GMSK84034CR Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING WATERY LANE SURGERY 15211526 (31,054.41) OX017259CR Department of Health NHS Oxfordshire CCG 31/12/2016 External Consultancy Fees OPERATIONS MANAGEMENT MCKINSEY & CO INC 15217233 64,000.00 GB174838471 18394 Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Othe Public Sector LEARNING DIFFICULTIES OXFORDSHIRE COUNTY COUNCIL 15219338 1,109,812.25 3920107743 Department of Health NHS Oxfordshire CCG 31/12/2016 Cont Care-Physical Disab (65+) CHC ADULT JOINT FUNDED OXFORDSHIRE COUNTY COUNCIL 15219338 4,114,499.67 3920107743 Department of Health NHS Oxfordshire CCG 31/12/2016 Cont Care-Physical Disab (<65) CHC ADULT JOINT FUNDED OXFORDSHIRE COUNTY COUNCIL 15219338 655,533.00 3920107743 Department of Health NHS Oxfordshire CCG 31/12/2016 Continuing Care- Equipment CHC ADULT JOINT FUNDED OXFORDSHIRE COUNTY COUNCIL 15219338 89,666.67 3920107743 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING WATERY LANE SURGERY 15219339 28,307.61 100878-30-NOV-2016 Department of Health NHS Oxfordshire CCG 31/12/2016 Non-PFI Oprtng Lease-Bldgs-Lease Rent RECHARGES NHS PROPERTY SERVICES LTD NHS PROPERTY SERVICES LTD 15236552 54,245.00 48419514 Department of Health NHS Oxfordshire CCG 31/12/2016 Hcare Srv Rec Fdtn Trust-Non Contract NCAS/OATS SOUTHERN HEALTH NHS FOUNDATION TRUST 15236562 115,734.00 43637658 Department of Health NHS Oxfordshire CCG 31/12/2016 Hcare Srv Rec Fdtn Trust-CQUIN ACUTE COMMISSIONING FRIMLEY HEALTH NHS FOUNDATION TRUST 15236684 373.86 654922028 W0004097 Department of Health NHS Oxfordshire CCG 31/12/2016 Hcare Srv Rec Fdtn Trust-Contract Baseline ACUTE COMMISSIONING FRIMLEY HEALTH NHS FOUNDATION TRUST 15236684 28,984.36 654922028 W0004097 Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Independent Sector ACUTE COMMISSIONING SPIRE HEALTHCARE LTD 15236771 34,279.00 915970991 10QDUNPF161709 Department of Health NHS Oxfordshire CCG 31/12/2016 Hcare Srv Rec Fdtn Trust-Non Contract NCAS/OATS SOUTHERN HEALTH NHS FOUNDATION TRUST 15236798 (115,734.00) 43638896 Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Independent Sector ACUTE COMMISSIONING CIRCLEREADING T/A CIRCLE HOSPITAL (READING) LTD 15263191 36,722.32 10Q092016OP Department of Health NHS Oxfordshire CCG 31/12/2016 Hcare Srv Rec Fdtn Trust-Contract Baseline ACUTE COMMISSIONING OXFORD UNIVERSITY HOSPITALS NHS FOUNDATION TRUST 15263198 26,438,750.00 654935407 8242582 Department of Health NHS Oxfordshire CCG 31/12/2016 Charges from CSU PROGRAMME PROJECTS NHS SOUTH CENTRAL AND WEST COMMISSIONING SUPPORT UNIT 15263204 123,420.24 7312701220 Department of Health NHS Oxfordshire CCG 31/12/2016 Charges from CSU PROGRAMME PROJECTS NHS SOUTH CENTRAL AND WEST COMMISSIONING SUPPORT UNIT 15263209 113,069.23 7312701227 Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Independent Sector ACUTE COMMISSIONING BERKSHIRE INDEPENDENT HOSPITAL 15263440 47,953.92 OXOND1216 Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Independent Sector ACUTE COMMISSIONING CIRCLEREADING T/A CIRCLE HOSPITAL (READING) LTD 15263482 107,478.08 10Q122016 Department of Health NHS Oxfordshire CCG 31/12/2016 Hcare Srv Rec NHS Trust-Non Contract NCAS/OATS COVENTRY AND WARWICKSHIRE PARTNERSHIP NHS TRUST 15280474 68,542.53 654438521 0000024680 Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Independent Sector PLANNED CARE SCRIVENS LTD 15280543 27,878.00 10Q0447 Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Independent Sector PLANNED CARE PRIMARY EYECARE(OXFORDSHIRE)LTD 15280549 39,404.00 138432 Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Independent Sector ACUTE CHILDRENS SERVICES BARNARDOS 15280580 91,914.50 507477337 143001150 Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Independent Sector ACUTE CHILDRENS SERVICES BARNARDOS 15280589 103,938.75 507477337 143001151 Department of Health NHS Oxfordshire CCG 31/12/2016 Hcare Srv Rec NHS Trust-Non Contract NCAS/OATS COVENTRY AND WARWICKSHIRE PARTNERSHIP NHS TRUST 15280663 (52,164.16) 654438521 0000502124 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-PMS Baseline Adjustment PRC DELEGATED CO-COMMISSIONING COKER CLOSE HEALTH CENTRE 15287936 378.06 OX000017478 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-PMS Contract Value PRC DELEGATED CO-COMMISSIONING COKER CLOSE HEALTH CENTRE 15287936 78,211.75 OX000017478 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-PMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING COKER CLOSE HEALTH CENTRE 15287936 2,007.67 OX000017478 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-PMS DES Minor Surgery PRC DELEGATED CO-COMMISSIONING COKER CLOSE HEALTH CENTRE 15287936 1,915.76 OX000017478 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-PMS DES UNPLANNED ADMISSIONS PRC DELEGATED CO-COMMISSIONING COKER CLOSE HEALTH CENTRE 15287936 26,653.20 OX000017478 31/12/2016 C&M-PMS NES Premium PRC DELEGATED CO-COMMISSIONING COKER CLOSE HEALTH CENTRE 15287936 14,502.76 OX000017478 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-PMS PCO Seniority PRC DELEGATED CO-COMMISSIONING COKER CLOSE HEALTH CENTRE 15287936 10,202.37 OX000017478 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-PMS Prem Rates PRC DELEGATED CO-COMMISSIONING COKER CLOSE HEALTH CENTRE 15287936 1,036.75 OX000017478 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-PMS Prof fees Dispensing PRC DELEGATED CO-COMMISSIONING COKER CLOSE HEALTH CENTRE 15287936 10,885.92 OX000017478 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-PMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING COKER CLOSE HEALTH CENTRE 15287936 8,468.85 OX000017478 Department of Health NHS Oxfordshire CCG 31/12/2016 Income tax <1Yr BALANCE SHEET HMRC 15295401 79,922.18 120PS005674981708 Department of Health NHS Oxfordshire CCG 31/12/2016 Income tax <1Yr-Student Loans BALANCE SHEET HMRC 15295401 1,166.00 120PS005674981708 Department of Health NHS Oxfordshire CCG 31/12/2016 National Insurance < 1 yr-NI- ERS BALANCE SHEET HMRC 15295401 50,023.27 120PS005674981708 Department of Health NHS Oxfordshire CCG 31/12/2016 National Insurance < 1 yr-NI-EES BALANCE SHEET HMRC 15295401 31,855.38 120PS005674981708 Department of Health NHS Oxfordshire CCG 31/12/2016 Statutory Mat Pay < 1 yr BALANCE SHEET HMRC 15295401 (3,095.23) 120PS005674981708 Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Independent Sector PLANNED CARE INHEALTH ENDOSCOPY LTD 15327027 70,006.16 001255 Department of Health NHS Oxfordshire CCG 31/12/2016 Hcare Srv Rec Fdtn Trust-Contract Baseline COMMUNITY SERVICES OXFORD HEALTH NHS FOUNDATION TRUST 15327037 611,922.00 GB654935896 A0100668 Department of Health NHS Oxfordshire CCG 31/12/2016 Hcare Srv Rec Fdtn Trust-Over/ Under Performance ACUTE COMMISSIONING GREAT WESTERN HOSPITALS NHS FOUNDATION TRUST 15327045 52,996.00 16966556 Department of Health NHS Oxfordshire CCG 31/12/2016 Hcare Srv Rec Fdtn Trust-Contract Baseline COMMUNITY SERVICES OXFORD HEALTH NHS FOUNDATION TRUST 15327050 (353,112.00) GB654935896 A0100815 Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Independent Sector NCAS/OATS BMI HEALTHCARE COLLECTIONS 15327102 27,989.20 0000065594 Department of Health NHS Oxfordshire CCG 31/12/2016 Hcare Srv Rec Fdtn Trust-Over/ Under Performance PLANNED CARE OXFORD HEALTH NHS FOUNDATION TRUST 15327133 33,212.19 GB654935896 A0101379 Department of Health NHS Oxfordshire CCG 31/12/2016 Hcare Srv Rec Fdtn Trust-Contract Baseline PATIENT TRANSPORT SOUTH CENTRAL AMBULANCE SERVICE NHS FOUNDATION TRUST 15327142 336,146.04 INV0044177 Department of Health NHS Oxfordshire CCG 31/12/2016 Hcare Srv Rec Fdtn Trust-Contract Baseline NHS 111 SOUTH CENTRAL AMBULANCE SERVICE NHS FOUNDATION TRUST 15327144 179,835.05 INV0044214 Department of Health NHS Oxfordshire CCG 31/12/2016 Hcare Srv Rec Fdtn Trust-Contract Baseline MENTAL HEALTH SERVICES - COLLABORATIVE COMMISSIONINGOXFORD HEALTH NHS FOUNDATION TRUST 15327148 2,661,016.50 GB654935896 A0101411 Department of Health NHS Oxfordshire CCG 31/12/2016 Hcare Srv Rec Fdtn Trust-Contract Baseline PLANNED CARE OXFORD HEALTH NHS FOUNDATION TRUST 15327150 258,666.67 GB654935896 A0101415 Department of Health NHS Oxfordshire CCG 31/12/2016 Charges from CSU FINANCE NHS SOUTH CENTRAL AND WEST COMMISSIONING SUPPORT UNIT 15327154 395,634.00 7312701313 Department of Health NHS Oxfordshire CCG 31/12/2016 Charges from CSU MENTAL HEALTH SERVICES - COLLABORATIVE COMMISSIONINGNHS SOUTH CENTRAL AND WEST COMMISSIONING SUPPORT UNIT 15327154 1,000.00 7312701313 Department of Health NHS Oxfordshire CCG 31/12/2016 Hcare Srv Rec Fdtn Trust-Contract Baseline COMMUNITY SERVICES OXFORD HEALTH NHS FOUNDATION TRUST 15327161 5,404,166.67 GB654935896 A0101412 Department of Health NHS Oxfordshire CCG 31/12/2016 Hcare Srv Rec Fdtn Trust-Contract Baseline OUT OF HOURS OXFORD HEALTH NHS FOUNDATION TRUST 15327161 484,333.33 GB654935896 A0101412 Department of Health NHS Oxfordshire CCG 31/12/2016 Hcare Srv Rec Fdtn Trust-Contract Cost per Case MENTAL HEALTH SERVICES - OTHER OXFORD HEALTH NHS FOUNDATION TRUST 15327161 1,677,333.33 GB654935896 A0101412 Department of Health NHS Oxfordshire CCG 31/12/2016 Hcare Srv Rec Fdtn Trust-Contract Baseline ACUTE COMMISSIONING GREAT WESTERN HOSPITALS NHS FOUNDATION TRUST 15327162 268,481.00 16967436 Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Othe Public Sector LEARNING DIFFICULTIES OXFORDSHIRE COUNTY COUNCIL 15327212 1,109,812.25 3920120175 Department of Health NHS Oxfordshire CCG 31/12/2016 Cont Care-Physical Disab (65+) CHC ADULT JOINT FUNDED OXFORDSHIRE COUNTY COUNCIL 15327212 4,114,499.67 3920120175 Department of Health NHS Oxfordshire CCG 31/12/2016 Cont Care-Physical Disab (<65) CHC ADULT JOINT FUNDED OXFORDSHIRE COUNTY COUNCIL 15327212 655,533.00 3920120175 Department of Health NHS Oxfordshire CCG 31/12/2016 Continuing Care- Equipment CHC ADULT JOINT FUNDED OXFORDSHIRE COUNTY COUNCIL 15327212 89,666.67 3920120175 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-APMS Contract Value PRC DELEGATED CO-COMMISSIONING VIRGIN CARE COVENTRY LLP 15345471 31,084.56 304002600 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-APMS Contract Value PRC DELEGATED CO-COMMISSIONING OXFORD HEALTH NHS FOUNDATION TRUST 15345483 57,185.97 GB654935896 A0100365 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-APMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING OXFORD HEALTH NHS FOUNDATION TRUST 15345483 941.15 GB654935896 A0100365 Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Clinical Other NON RECURRENT PROGRAMMES PRINCIPAL MEDICAL 15345525 (297,067.00) 1000164 Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Clinical Other NON RECURRENT PROGRAMMES PRINCIPAL MEDICAL 15345526 (84,019.50) 1000165 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-APMS Contract Value PRC DELEGATED CO-COMMISSIONING OXFORD HEALTH NHS FOUNDATION TRUST 15345536 57,186.00 GB654935896 A0101414 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-APMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING OXFORD HEALTH NHS FOUNDATION TRUST 15345536 941.12 GB654935896 A0101414 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Actual Rent PRC DELEGATED CO-COMMISSIONING MERTON COLLEGE OXFORD 15345565 26,203.50 768367967 00020639 Department of Health NHS Oxfordshire CCG 31/12/2016 Hcare Srv Rec Fdtn Trust-Contract Baseline NHS 111 SOUTH CENTRAL AMBULANCE SERVICE NHS FOUNDATION TRUST 15371289 179,835.05 INV00000000043859 Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Independent Sector PLANNED CARE SPECSAVERS HEARCARE LTD 15371346 40,361.60 889703465 20740129 Department of Health NHS Oxfordshire CCG 31/12/2016 Hcare Srv Rec NHS Trust-Contract Baseline ACUTE COMMISSIONING BUCKINGHAMSHIRE HEALTHCARE NHS TRUST 15385884 239,194.22 654 4313 46 BB005374 Department of Health NHS Oxfordshire CCG 31/12/2016 Hcare Srv Rec Fdtn Trust-Contract Baseline AMBULANCE SERVICES SOUTH CENTRAL AMBULANCE SERVICE NHS FOUNDATION TRUST 15385904 1,726,669.00 INV0044171 Department of Health NHS Oxfordshire CCG 31/12/2016 Hcare Srv Rec Fdtn Trust-Contract Baseline ACUTE COMMISSIONING ROYAL BERKSHIRE NHS FOUNDATION TRUST 15385926 1,736,120.00 654938593 482928 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Prescribing LOCAL ENHANCED SERVICES RYCOTE PRACTICE 15396109 4,898.12 BU000016327 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING RYCOTE PRACTICE 15396109 5,436.37 BU000016327 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING RYCOTE PRACTICE 15396109 70,464.65 BU000016327 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING RYCOTE PRACTICE 15396109 3,606.08 BU000016327 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING RYCOTE PRACTICE 15396109 5,344.19 BU000016327 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Cost Rent PRC DELEGATED CO-COMMISSIONING RYCOTE PRACTICE 15396109 6,038.42 BU000016327 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING RYCOTE PRACTICE 15396109 715.00 BU000016327 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Prescribing PRC DELEGATED CO-COMMISSIONING RYCOTE PRACTICE 15396109 971.63 BU000016327 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING RYCOTE PRACTICE 15396109 7,772.51 BU000016327 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING BEAUMONT STREET SURGERY 15416021 745.75 OX000017486 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING BEAUMONT STREET SURGERY 15416021 27,569.63 OX000017486 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING BEAUMONT STREET SURGERY 15416021 3,314.74 OX000017486 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING BEAUMONT STREET SURGERY 15416021 271.30 OX000017486 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Actual Rent PRC DELEGATED CO-COMMISSIONING BEAUMONT STREET SURGERY 15416021 4,496.50 OX000017486 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING BEAUMONT STREET SURGERY 15416021 2,450.04 OX000017486 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING BELL SURGERY 15416023 1,373.23 OX000017488 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING BELL SURGERY 15416023 56,313.60 OX000017488 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING BELL SURGERY 15416023 1,858.23 OX000017488 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Locum Adop/Pat/Mat PRC DELEGATED CO-COMMISSIONING BELL SURGERY 15416023 12,186.48 OX000017488 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING BELL SURGERY 15416023 2,222.77 OX000017488 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING BELL SURGERY 15416023 26,262.50 OX000017488 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING BELL SURGERY 15416023 6,477.41 OX000017488 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING ABINGDON SURGERY 15416025 2,150.96 OX000017490 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING ABINGDON SURGERY 15416025 80,767.46 OX000017490 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING ABINGDON SURGERY 15416025 3,538.23 OX000017490 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING ABINGDON SURGERY 15416025 2,621.71 OX000017490 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING ABINGDON SURGERY 15416025 9,733.33 OX000017490 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING ABINGDON SURGERY 15416025 9,426.86 OX000017490 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING BAMPTON MEDICAL PRACTICE 15416027 1,299.60 OX000017492 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING BAMPTON MEDICAL PRACTICE 15416027 55,087.57 OX000017492 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING BAMPTON MEDICAL PRACTICE 15416027 963.51 OX000017492 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING BAMPTON MEDICAL PRACTICE 15416027 4,716.70 OX000017492 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Cost Rent PRC DELEGATED CO-COMMISSIONING BAMPTON MEDICAL PRACTICE 15416027 6,201.83 OX000017492 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING BAMPTON MEDICAL PRACTICE 15416027 6,222.23 OX000017492 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING BANBURY ROAD MEDICAL CENTRE 15416029 1,244.50 OX000017494 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING BANBURY ROAD MEDICAL CENTRE 15416029 42,807.56 OX000017494 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING BANBURY ROAD MEDICAL CENTRE 15416029 1,968.12 OX000017494 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING BANBURY ROAD MEDICAL CENTRE 15416029 4,699.79 OX000017494 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Actual Rent PRC DELEGATED CO-COMMISSIONING BANBURY ROAD MEDICAL CENTRE 15416029 3,299.17 OX000017494 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING BANBURY ROAD MEDICAL CENTRE 15416029 1,275.00 OX000017494 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING BANBURY ROAD MEDICAL CENTRE 15416029 3,235.88 OX000017494 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING BARTLEMAS SURGERY 15416031 1,445.90 OX000017496 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES UNPLANNED ADMISSIONS PRC DELEGATED CO-COMMISSIONING BARTLEMAS SURGERY 15416031 7,033.95 OX000017496 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING BARTLEMAS SURGERY 15416031 51,015.12 OX000017496 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING BARTLEMAS SURGERY 15416031 2,577.22 OX000017496 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING BARTLEMAS SURGERY 15416031 3,530.28 OX000017496 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Actual Rent PRC DELEGATED CO-COMMISSIONING BARTLEMAS SURGERY 15416031 36,802.63 OX000017496 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING BARTLEMAS SURGERY 15416031 4,963.67 OX000017496 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING BLETCHINGTON ROAD SURGERY 15416033 39,367.07 OX000017498 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING BLETCHINGTON ROAD SURGERY 15416033 3,597.29 OX000017498 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING BLETCHINGTON ROAD SURGERY 15416033 4,872.90 OX000017498 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING BLETCHINGTON ROAD SURGERY 15416033 10,250.00 OX000017498 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING BLETCHINGTON ROAD SURGERY 15416033 4,322.46 OX000017498 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING BOTLEY MEDICAL CENTRE 15416035 1,472.18 OX000017500 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING BOTLEY MEDICAL CENTRE 15416035 58,600.89 OX000017500 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING BOTLEY MEDICAL CENTRE 15416035 2,082.50 OX000017500 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING BOTLEY MEDICAL CENTRE 15416035 4,900.00 OX000017500 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING BOTLEY MEDICAL CENTRE 15416035 5,732.38 OX000017500 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING BURY KNOWLE HEALTH CENTRE 15416037 2,270.18 OX000017502 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING BURY KNOWLE HEALTH CENTRE 15416037 96,085.19 OX000017502 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other Baseline Adjustment PRC DELEGATED CO-COMMISSIONING BURY KNOWLE HEALTH CENTRE 15416037 485.70 OX000017502 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other FDR Payment PRC DELEGATED CO-COMMISSIONING BURY KNOWLE HEALTH CENTRE 15416037 22,558.72 OX000017502 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING BURY KNOWLE HEALTH CENTRE 15416037 3,794.84 OX000017502 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING BURY KNOWLE HEALTH CENTRE 15416037 11,475.00 OX000017502 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING BURY KNOWLE HEALTH CENTRE 15416037 8,353.62 OX000017502 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING BROADSHIRES HEALTH CENTRE 15416039 1,574.31 OX000017504 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING BROADSHIRES HEALTH CENTRE 15416039 54,010.85 OX000017504 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING BROADSHIRES HEALTH CENTRE 15416039 5,506.68 OX000017504 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING BROADSHIRES HEALTH CENTRE 15416039 8,321.36 OX000017504 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING BROADSHIRES HEALTH CENTRE 15416039 27,175.00 OX000017504 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING BROADSHIRES HEALTH CENTRE 15416039 6,207.42 OX000017504 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING CHARLBURY MEDCIAL CENTRE 15416041 833.31 OX000017506 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING CHARLBURY MEDCIAL CENTRE 15416041 33,091.68 OX000017506 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING CHARLBURY MEDCIAL CENTRE 15416041 782.44 OX000017506 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING CHARLBURY MEDCIAL CENTRE 15416041 4,671.56 OX000017506 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING CHARLBURY MEDCIAL CENTRE 15416041 4,458.33 OX000017506 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING CHARLBURY MEDCIAL CENTRE 15416041 3,137.61 OX000017506 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING CHILTERN SURGERY 15416043 1,180.85 OX000017508 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING CHILTERN SURGERY 15416043 52,450.84 OX000017508 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING CHILTERN SURGERY 15416043 2,009.08 OX000017508 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING CHILTERN SURGERY 15416043 5,911.41 OX000017508 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING CHILTERN SURGERY 15416043 6,950.00 OX000017508 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING CHILTERN SURGERY 15416043 4,957.57 OX000017508 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING CHURCH STREET PRACTICE 15416045 2,102.83 OX000017510 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING CHURCH STREET PRACTICE 15416045 86,484.79 OX000017510 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other Baseline Adjustment PRC DELEGATED CO-COMMISSIONING CHURCH STREET PRACTICE 15416045 748.57 OX000017510 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other FDR Payment PRC DELEGATED CO-COMMISSIONING CHURCH STREET PRACTICE 15416045 4,769.21 OX000017510 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING CHURCH STREET PRACTICE 15416045 5,807.61 OX000017510 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Rates PRC DELEGATED CO-COMMISSIONING CHURCH STREET PRACTICE 15416045 3,258.50 OX000017510 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING CHURCH STREET PRACTICE 15416045 10,066.28 OX000017510 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING COGGES SURGERY 15416047 1,086.64 OX000017512 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES UNPLANNED ADMISSIONS PRC DELEGATED CO-COMMISSIONING COGGES SURGERY 15416047 5,284.51 OX000017512 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING COGGES SURGERY 15416047 36,293.34 OX000017512 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING COGGES SURGERY 15416047 2,520.91 OX000017512 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING COGGES SURGERY 15416047 4,402.44 OX000017512 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING COGGES SURGERY 15416047 3,965.33 OX000017512 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING COGGES SURGERY 15416047 4,021.89 OX000017512 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING CROPREDY SURGERY 15416049 556.70 OX000017514 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING CROPREDY SURGERY 15416049 25,900.85 OX000017514 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING CROPREDY SURGERY 15416049 661.37 OX000017514 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING CROPREDY SURGERY 15416049 3,247.37 OX000017514 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING CROPREDY SURGERY 15416049 2,228.48 OX000017514 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING DR A MURPHY & PARTNERS 15416051 2,016.38 OX000017516 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING DR A MURPHY & PARTNERS 15416051 84,338.60 OX000017516 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING DR A MURPHY & PARTNERS 15416051 8,019.34 OX000017516 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING DR A MURPHY & PARTNERS 15416051 3,301.32 OX000017516 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING DR A MURPHY & PARTNERS 15416051 9,987.60 OX000017516 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING DIDCOT HEALTH CENTRE 15416053 2,804.88 OX000017518 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING DIDCOT HEALTH CENTRE 15416053 101,001.39 OX000017518 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other Baseline Adjustment PRC DELEGATED CO-COMMISSIONING DIDCOT HEALTH CENTRE 15416053 555.56 OX000017518 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other FDR Payment PRC DELEGATED CO-COMMISSIONING DIDCOT HEALTH CENTRE 15416053 16,137.32 OX000017518 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING DIDCOT HEALTH CENTRE 15416053 9,342.74 OX000017518 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Actual Rent PRC DELEGATED CO-COMMISSIONING DIDCOT HEALTH CENTRE 15416053 21,245.92 OX000017518 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING DIDCOT HEALTH CENTRE 15416053 11,560.35 OX000017518 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING DR HAMMERSLEY & PARTNERS OXFORD 15416055 1,043.58 OX000017520 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING DR HAMMERSLEY & PARTNERS OXFORD 15416055 37,135.02 OX000017520 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING DR HAMMERSLEY & PARTNERS OXFORD 15416055 4,455.82 OX000017520 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING DR HAMMERSLEY & PARTNERS OXFORD 15416055 5,134.16 OX000017520 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING DR HAMMERSLEY & PARTNERS OXFORD 15416055 2,532.66 OX000017520 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING DR KENYON & PARTNERS 15416057 2,263.85 OX000017522 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING DR KENYON & PARTNERS 15416057 75,608.32 OX000017522 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING DR KENYON & PARTNERS 15416057 5,762.90 OX000017522 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING DR KENYON & PARTNERS 15416057 6,638.37 OX000017522 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Actual Rent PRC DELEGATED CO-COMMISSIONING DR KENYON & PARTNERS 15416057 11,614.27 OX000017522 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING DR KENYON & PARTNERS 15416057 5,938.51 OX000017522 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING DR T W ANDERSON & PARTNERS 15416059 1,533.30 OX000017524 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING DR T W ANDERSON & PARTNERS 15416059 50,083.21 OX000017524 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING DR T W ANDERSON & PARTNERS 15416059 10,768.48 OX000017524 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING DR T W ANDERSON & PARTNERS 15416059 5,897.46 OX000017524 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Actual Rent PRC DELEGATED CO-COMMISSIONING DR T W ANDERSON & PARTNERS 15416059 4,500.00 OX000017524 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Cost Rent PRC DELEGATED CO-COMMISSIONING DR T W ANDERSON & PARTNERS 15416059 3,784.42 OX000017524 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING DR T W ANDERSON & PARTNERS 15416059 983.33 OX000017524 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING DR T W ANDERSON & PARTNERS 15416059 4,682.02 OX000017524 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING EARLS LANE HEALTH CENTRE 15416061 68,852.42 OX000017526 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING EARLS LANE HEALTH CENTRE 15416061 5,311.42 OX000017526 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING EARLS LANE HEALTH CENTRE 15416061 6,054.17 OX000017526 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING EARLS LANE HEALTH CENTRE 15416061 6,610.54 OX000017526 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING EAST OXFORD HEALTH CENTRE STEVENS 15416063 45,559.19 OX000017528 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING EAST OXFORD HEALTH CENTRE STEVENS 15416063 1,668.13 OX000017528 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING EAST OXFORD HEALTH CENTRE STEVENS 15416063 1,765.84 OX000017528 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Actual Rent PRC DELEGATED CO-COMMISSIONING EAST OXFORD HEALTH CENTRE STEVENS 15416063 32,423.14 OX000017528 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING EAST OXFORD HEALTH CENTRE STEVENS 15416063 3,618.61 OX000017528 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING EYNSHAM MEDICAL CENTRE 15416065 2,177.08 OX000017530 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES UNPLANNED ADMISSIONS PRC DELEGATED CO-COMMISSIONING EYNSHAM MEDICAL CENTRE 15416065 10,584.42 OX000017530 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING EYNSHAM MEDICAL CENTRE 15416065 90,115.37 OX000017530 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING EYNSHAM MEDICAL CENTRE 15416065 4,373.62 OX000017530 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING EYNSHAM MEDICAL CENTRE 15416065 10,321.60 OX000017530 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING EYNSHAM MEDICAL CENTRE 15416065 9,366.67 OX000017530 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING EYNSHAM MEDICAL CENTRE 15416065 11,436.42 OX000017530 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING FANE DRIVE HEALTH CENTRE 15416067 763.48 OX000017532 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING FANE DRIVE HEALTH CENTRE 15416067 33,732.92 OX000017532 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING FANE DRIVE HEALTH CENTRE 15416067 1,851.97 OX000017532 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING FANE DRIVE HEALTH CENTRE 15416067 1,973.78 OX000017532 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING FANE DRIVE HEALTH CENTRE 15416067 4,465.30 OX000017532 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING GOSFORD HILL MEDICAL CENTRE 15416069 1,104.38 OX000017534 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING GOSFORD HILL MEDICAL CENTRE 15416069 42,689.60 OX000017534 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING GOSFORD HILL MEDICAL CENTRE 15416069 3,320.70 OX000017534 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING GOSFORD HILL MEDICAL CENTRE 15416069 2,727.55 OX000017534 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING GOSFORD HILL MEDICAL CENTRE 15416069 15,375.00 OX000017534 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING GOSFORD HILL MEDICAL CENTRE 15416069 5,229.54 OX000017534 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING GORING & WOODCOTE MEDICAL PRACTICE 15416071 1,515.88 879063483 OX000017538 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING GORING & WOODCOTE MEDICAL PRACTICE 15416071 65,994.93 879063483 OX000017538 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING GORING & WOODCOTE MEDICAL PRACTICE 15416071 2,408.62 879063483 OX000017538 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING GORING & WOODCOTE MEDICAL PRACTICE 15416071 3,490.03 879063483 OX000017538 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING GORING & WOODCOTE MEDICAL PRACTICE 15416071 9,725.00 879063483 OX000017538 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING GORING & WOODCOTE MEDICAL PRACTICE 15416071 7,534.62 879063483 OX000017538 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING HART SURGERY 15416073 1,640.18 OX000017540 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING HART SURGERY 15416073 64,818.66 OX000017540 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other Baseline Adjustment PRC DELEGATED CO-COMMISSIONING HART SURGERY 15416073 782.07 OX000017540 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other FDR Payment PRC DELEGATED CO-COMMISSIONING HART SURGERY 15416073 6,783.28 OX000017540 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING HART SURGERY 15416073 4,009.02 OX000017540 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING HART SURGERY 15416073 7,525.00 OX000017540 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING HART SURGERY 15416073 5,730.30 OX000017540 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING HOLLOW WAY MEDICAL CENTRE 15416076 1,327.78 OX000017543 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING HOLLOW WAY MEDICAL CENTRE 15416076 50,198.33 OX000017543 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING HOLLOW WAY MEDICAL CENTRE 15416076 1,411.21 OX000017543 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING HOLLOW WAY MEDICAL CENTRE 15416076 7,190.22 OX000017543 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING HOLLOW WAY MEDICAL CENTRE 15416076 10,595.00 OX000017543 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING HOLLOW WAY MEDICAL CENTRE 15416076 6,040.19 OX000017543 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING HIGHTOWN SURGERY 15416078 1,686.25 OX000017545 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING HIGHTOWN SURGERY 15416078 66,777.00 OX000017545 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING HIGHTOWN SURGERY 15416078 2,643.63 OX000017545 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING HIGHTOWN SURGERY 15416078 1,702.35 OX000017545 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Actual Rent PRC DELEGATED CO-COMMISSIONING HIGHTOWN SURGERY 15416078 16,897.25 OX000017545 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING HIGHTOWN SURGERY 15416078 4,500.00 OX000017545 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING HIGHTOWN SURGERY 15416078 7,735.04 OX000017545 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING JERICHO HEALTH CENTRE KEARLEY 15416082 1,744.83 OX000017551 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING JERICHO HEALTH CENTRE KEARLEY 15416082 60,526.66 OX000017551 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING JERICHO HEALTH CENTRE KEARLEY 15416082 1,717.52 OX000017551 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other FDR Payment PRC DELEGATED CO-COMMISSIONING JERICHO HEALTH CENTRE KEARLEY 15416082 1,246.14 OX000017551 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING JERICHO HEALTH CENTRE KEARLEY 15416082 6,879.51 OX000017551 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING JERICHO HEALTH CENTRE KEARLEY 15416082 12,148.67 OX000017551 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING JERICHO HEALTH CENTRE KEARLEY 15416082 5,768.23 OX000017551 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING JERICO HEALTH CENTRE BOGDANOR 15416084 1,066.38 OX000017553 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Minor Surgery PRC DELEGATED CO-COMMISSIONING JERICO HEALTH CENTRE BOGDANOR 15416084 827.26 OX000017553 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING JERICO HEALTH CENTRE BOGDANOR 15416084 36,700.23 OX000017553 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING JERICO HEALTH CENTRE BOGDANOR 15416084 4,941.27 OX000017553 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING JERICO HEALTH CENTRE BOGDANOR 15416084 2,238.48 OX000017553 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING JERICO HEALTH CENTRE BOGDANOR 15416084 8,146.58 OX000017553 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING JERICO HEALTH CENTRE BOGDANOR 15416084 1,961.48 OX000017553 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING KING EDWARD STREET SURGERY 15416086 727.86 OX000017555 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING KING EDWARD STREET SURGERY 15416086 24,751.26 OX000017555 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING KING EDWARD STREET SURGERY 15416086 1,035.82 OX000017555 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING KING EDWARD STREET SURGERY 15416086 1,204.45 OX000017555 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING LONG FURLONG MEDICAL CENTRE 15416088 1,436.72 OX000017557 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING LONG FURLONG MEDICAL CENTRE 15416088 46,009.51 OX000017557 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING LONG FURLONG MEDICAL CENTRE 15416088 6,068.31 OX000017557 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING LONG FURLONG MEDICAL CENTRE 15416088 6,734.85 OX000017557 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Cost Rent PRC DELEGATED CO-COMMISSIONING LONG FURLONG MEDICAL CENTRE 15416088 5,616.83 OX000017557 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING LONG FURLONG MEDICAL CENTRE 15416088 1,403.33 OX000017557 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING LONG FURLONG MEDICAL CENTRE 15416088 4,482.23 OX000017557 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING LEYS HEALTH CENTRE 15416090 1,716.18 OX000017559 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING LEYS HEALTH CENTRE 15416090 66,539.54 OX000017559 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING LEYS HEALTH CENTRE 15416090 2,784.97 OX000017559 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING LEYS HEALTH CENTRE 15416090 2,249.78 OX000017559 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Actual Rent PRC DELEGATED CO-COMMISSIONING LEYS HEALTH CENTRE 15416090 54,713.01 OX000017559 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Clinical Waste PRC DELEGATED CO-COMMISSIONING LEYS HEALTH CENTRE 15416090 1,324.18 OX000017559 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING LEYS HEALTH CENTRE 15416090 7,496.42 OX000017559 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING MARSTON MEDICAL CENTRE 15416092 777.73 OX000017561 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING MARSTON MEDICAL CENTRE 15416092 29,011.69 OX000017561 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING MARSTON MEDICAL CENTRE 15416092 1,290.40 OX000017561 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING MARSTON MEDICAL CENTRE 15416092 1,445.66 OX000017561 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING MARSTON MEDICAL CENTRE 15416092 2,966.67 OX000017561 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING MARSTON MEDICAL CENTRE 15416092 2,503.38 OX000017561 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING MALTHOUSE SURGERY 15416094 2,918.56 OX000017563 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING MALTHOUSE SURGERY 15416094 110,763.39 OX000017563 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other Baseline Adjustment PRC DELEGATED CO-COMMISSIONING MALTHOUSE SURGERY 15416094 802.66 OX000017563 31/12/2016 C&M-GMS Other FDR Payment PRC DELEGATED CO-COMMISSIONING MALTHOUSE SURGERY 15416094 12,226.19 OX000017563 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING MALTHOUSE SURGERY 15416094 10,277.07 OX000017563 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Actual Rent PRC DELEGATED CO-COMMISSIONING MALTHOUSE SURGERY 15416094 11,344.33 OX000017563 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING MALTHOUSE SURGERY 15416094 15,238.59 OX000017563 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING MANOR SURGERY 15416096 2,339.85 OX000017565 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING MANOR SURGERY 15416096 95,019.98 OX000017565 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other Baseline Adjustment PRC DELEGATED CO-COMMISSIONING MANOR SURGERY 15416096 469.02 OX000017565 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other FDR Payment PRC DELEGATED CO-COMMISSIONING MANOR SURGERY 15416096 6,725.77 OX000017565 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING MANOR SURGERY 15416096 5,214.03 OX000017565 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING MANOR SURGERY 15416096 6,541.67 OX000017565 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING MANOR SURGERY 15416096 9,165.22 OX000017565 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING MARCHAM ROAD HEALTH CENTRE 15416098 74,955.18 OX000017567 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING MARCHAM ROAD HEALTH CENTRE 15416098 1,894.93 OX000017567 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING MARCHAM ROAD HEALTH CENTRE 15416098 6,981.49 OX000017567 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Cost Rent PRC DELEGATED CO-COMMISSIONING MARCHAM ROAD HEALTH CENTRE 15416098 11,483.33 OX000017567 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING MARCHAM ROAD HEALTH CENTRE 15416098 7,667.03 OX000017567 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING MILL STREAM SURGERY 15416100 750.66 OX000017569 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING MILL STREAM SURGERY 15416100 32,376.14 OX000017569 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING MILL STREAM SURGERY 15416100 1,573.95 OX000017569 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Locum Adop/Pat/Mat PRC DELEGATED CO-COMMISSIONING MILL STREAM SURGERY 15416100 2,092.98 OX000017569 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING MILL STREAM SURGERY 15416100 2,088.45 OX000017569 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING MILL STREAM SURGERY 15416100 4,773.33 OX000017569 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING MILL STREAM SURGERY 15416100 3,290.68 OX000017569 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING MORLAND HOUSE SURGERY 15416102 1,683.24 OX000017571 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING MORLAND HOUSE SURGERY 15416102 70,960.99 OX000017571 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other Baseline Adjustment PRC DELEGATED CO-COMMISSIONING MORLAND HOUSE SURGERY 15416102 496.91 OX000017571 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other FDR Payment PRC DELEGATED CO-COMMISSIONING MORLAND HOUSE SURGERY 15416102 9,698.36 OX000017571 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING MORLAND HOUSE SURGERY 15416102 3,058.92 OX000017571 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING MORLAND HOUSE SURGERY 15416102 8,262.92 OX000017571 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING MORLAND HOUSE SURGERY 15416102 7,363.65 OX000017571 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES UNPLANNED ADMISSIONS PRC DELEGATED CO-COMMISSIONING NETTLEBED SURGERY 15416106 2,884.42 OX000017575 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING NETTLEBED SURGERY 15416106 26,425.93 OX000017575 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other Baseline Adjustment PRC DELEGATED CO-COMMISSIONING NETTLEBED SURGERY 15416106 280.13 OX000017575 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other FDR Payment PRC DELEGATED CO-COMMISSIONING NETTLEBED SURGERY 15416106 3,476.78 OX000017575 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING NETTLEBED SURGERY 15416106 3,091.00 OX000017575 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING NETTLEBED SURGERY 15416106 8,750.00 OX000017575 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING NETTLEBED SURGERY 15416106 2,973.50 OX000017575 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING NEWBURY STREET PRACTICE 15416108 2,453.85 OX000017577 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING NEWBURY STREET PRACTICE 15416108 98,386.80 OX000017577 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other Baseline Adjustment PRC DELEGATED CO-COMMISSIONING NEWBURY STREET PRACTICE 15416108 655.58 OX000017577 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other FDR Payment PRC DELEGATED CO-COMMISSIONING NEWBURY STREET PRACTICE 15416108 6,262.16 OX000017577 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING NEWBURY STREET PRACTICE 15416108 3,108.10 OX000017577 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Achievement PRC DELEGATED CO-COMMISSIONING NEWBURY STREET PRACTICE 15416108 3,781.80 OX000017577 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING NEWBURY STREET PRACTICE 15416108 9,954.56 OX000017577 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING NUFFIELD HEALTH CENTRE 15416110 70,988.89 OX000017579 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING NUFFIELD HEALTH CENTRE 15416110 1,910.06 OX000017579 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING NUFFIELD HEALTH CENTRE 15416110 3,016.23 OX000017579 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING NUFFIELD HEALTH CENTRE 15416110 10,460.00 OX000017579 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING NUFFIELD HEALTH CENTRE 15416110 10,250.93 OX000017579 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING OAK TREE HEALTH CENTRE 15416112 49,257.78 OX000017581 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other Baseline Adjustment PRC DELEGATED CO-COMMISSIONING OAK TREE HEALTH CENTRE 15416112 302.58 OX000017581 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other FDR Payment PRC DELEGATED CO-COMMISSIONING OAK TREE HEALTH CENTRE 15416112 12,424.95 OX000017581 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING OAK TREE HEALTH CENTRE 15416112 2,740.14 OX000017581 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Actual Rent PRC DELEGATED CO-COMMISSIONING OAK TREE HEALTH CENTRE 15416112 36,272.25 OX000017581 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING OAK TREE HEALTH CENTRE 15416112 4,437.74 OX000017581 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING SONNING COMMON HEALTH CENTRE 15416114 1,370.38 OX000017583 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES UNPLANNED ADMISSIONS PRC DELEGATED CO-COMMISSIONING SONNING COMMON HEALTH CENTRE 15416114 6,670.51 OX000017583 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING SONNING COMMON HEALTH CENTRE 15416114 56,362.33 OX000017583 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other Baseline Adjustment PRC DELEGATED CO-COMMISSIONING SONNING COMMON HEALTH CENTRE 15416114 908.67 OX000017583 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other FDR Payment PRC DELEGATED CO-COMMISSIONING SONNING COMMON HEALTH CENTRE 15416114 5,942.09 OX000017583 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING SONNING COMMON HEALTH CENTRE 15416114 6,440.18 OX000017583 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING SONNING COMMON HEALTH CENTRE 15416114 8,000.00 OX000017583 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING SONNING COMMON HEALTH CENTRE 15416114 6,814.76 OX000017583 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING SOUTH OXFORD HEALTH CENTRE 15416116 614.97 OX000017585 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING SOUTH OXFORD HEALTH CENTRE 15416116 21,472.85 OX000017585 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING SOUTH OXFORD HEALTH CENTRE 15416116 1,754.82 OX000017585 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING SOUTH OXFORD HEALTH CENTRE 15416116 2,151.57 OX000017585 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING SHEEP STREET SURGERY BURFORD 15416118 1,021.09 OX000017587 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING SHEEP STREET SURGERY BURFORD 15416118 43,121.53 OX000017587 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING SHEEP STREET SURGERY BURFORD 15416118 1,290.70 OX000017587 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING SHEEP STREET SURGERY BURFORD 15416118 5,470.46 OX000017587 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING SHEEP STREET SURGERY BURFORD 15416118 7,350.00 OX000017587 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING SHEEP STREET SURGERY BURFORD 15416118 5,136.36 OX000017587 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING SIBFORD SURGERY 15416120 423.23 GB879117988 OX000017589 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES UNPLANNED ADMISSIONS PRC DELEGATED CO-COMMISSIONING SIBFORD SURGERY 15416120 2,058.98 GB879117988 OX000017589 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING SIBFORD SURGERY 15416120 17,373.44 GB879117988 OX000017589 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING SIBFORD SURGERY 15416120 2,107.58 GB879117988 OX000017589 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING SIBFORD SURGERY 15416120 2,881.16 GB879117988 OX000017589 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Cost Rent PRC DELEGATED CO-COMMISSIONING SIBFORD SURGERY 15416120 1,384.42 GB879117988 OX000017589 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING SIBFORD SURGERY 15416120 1,860.58 GB879117988 OX000017589 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING ST BARTHOLOMEWS MEDICAL CENTRE 15416122 3,068.66 OX000017591 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING ST BARTHOLOMEWS MEDICAL CENTRE 15416122 94,510.37 OX000017591 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING ST BARTHOLOMEWS MEDICAL CENTRE 15416122 9,475.88 OX000017591 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING ST BARTHOLOMEWS MEDICAL CENTRE 15416122 5,432.06 OX000017591 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Cost Rent PRC DELEGATED CO-COMMISSIONING ST BARTHOLOMEWS MEDICAL CENTRE 15416122 8,915.83 OX000017591 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING ST BARTHOLOMEWS MEDICAL CENTRE 15416122 5,393.50 OX000017591 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING SUMMERTOWN HEALTH CENTRE 15416124 2,428.99 OX000017593 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING SUMMERTOWN HEALTH CENTRE 15416124 87,642.41 OX000017593 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING SUMMERTOWN HEALTH CENTRE 15416124 6,033.67 OX000017593 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING SUMMERTOWN HEALTH CENTRE 15416124 4,206.31 OX000017593 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Actual Rent PRC DELEGATED CO-COMMISSIONING SUMMERTOWN HEALTH CENTRE 15416124 20,317.50 OX000017593 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING SUMMERTOWN HEALTH CENTRE 15416124 7,856.66 OX000017593 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING ST CLEMENTS SURGERY OXFORD 15416126 721.68 OX000017595 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING ST CLEMENTS SURGERY OXFORD 15416126 26,072.90 OX000017595 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING ST CLEMENTS SURGERY OXFORD 15416126 2,808.29 OX000017595 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING ST CLEMENTS SURGERY OXFORD 15416126 1,636.07 OX000017595 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Cost Rent PRC DELEGATED CO-COMMISSIONING ST CLEMENTS SURGERY OXFORD 15416126 2,020.25 OX000017595 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING ST CLEMENTS SURGERY OXFORD 15416126 2,771.04 OX000017595 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING TEMPLE COWLEY HEALTH CENTRE 15416128 1,241.33 OX000017597 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING TEMPLE COWLEY HEALTH CENTRE 15416128 51,257.54 OX000017597 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING TEMPLE COWLEY HEALTH CENTRE 15416128 1,139.34 OX000017597 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING TEMPLE COWLEY HEALTH CENTRE 15416128 4,600.48 OX000017597 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Actual Rent PRC DELEGATED CO-COMMISSIONING TEMPLE COWLEY HEALTH CENTRE 15416128 14,007.40 OX000017597 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING TEMPLE COWLEY HEALTH CENTRE 15416128 5,937.73 OX000017597 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING WEST BAR SURGERY 15416130 2,666.02 OX000017601 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING WEST BAR SURGERY 15416130 104,809.83 OX000017601 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING WEST BAR SURGERY 15416130 4,448.57 OX000017601 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING WEST BAR SURGERY 15416130 11,498.51 OX000017601 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING WHITE HORSE MEDICAL CENTRE 15416132 2,379.91 OX000017603 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING WHITE HORSE MEDICAL CENTRE 15416132 104,493.63 OX000017603 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING WHITE HORSE MEDICAL CENTRE 15416132 1,389.90 OX000017603 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other Baseline Adjustment PRC DELEGATED CO-COMMISSIONING WHITE HORSE MEDICAL CENTRE 15416132 147.75 OX000017603 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other FDR Payment PRC DELEGATED CO-COMMISSIONING WHITE HORSE MEDICAL CENTRE 15416132 1,895.78 OX000017603 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING WHITE HORSE MEDICAL CENTRE 15416132 5,246.30 OX000017603 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Actual Rent PRC DELEGATED CO-COMMISSIONING WHITE HORSE MEDICAL CENTRE 15416132 3,624.60 OX000017603 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING WHITE HORSE MEDICAL CENTRE 15416132 11,191.75 OX000017603 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING WALLINGFORD MEDICAL PRACTICE 15416134 2,632.61 OX000017605 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING WALLINGFORD MEDICAL PRACTICE 15416134 110,011.69 OX000017605 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other Baseline Adjustment PRC DELEGATED CO-COMMISSIONING WALLINGFORD MEDICAL PRACTICE 15416134 758.86 OX000017605 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other FDR Payment PRC DELEGATED CO-COMMISSIONING WALLINGFORD MEDICAL PRACTICE 15416134 6,765.29 OX000017605 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING WALLINGFORD MEDICAL PRACTICE 15416134 5,217.89 OX000017605 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Cost Rent PRC DELEGATED CO-COMMISSIONING WALLINGFORD MEDICAL PRACTICE 15416134 4,800.00 OX000017605 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING WALLINGFORD MEDICAL PRACTICE 15416134 4,166.67 OX000017605 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING WALLINGFORD MEDICAL PRACTICE 15416134 12,719.94 OX000017605 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING WATERY LANE SURGERY 15416136 21,806.16 OX000017607 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING WATERY LANE SURGERY 15416136 1,764.15 OX000017607 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING WATERY LANE SURGERY 15416136 2,025.83 OX000017607 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING WATERY LANE SURGERY 15416136 1,950.00 OX000017607 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING WATERY LANE SURGERY 15416136 2,007.36 OX000017607 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING WOODLAND SURGERY BANBURY 15416139 1,104.38 OX000017610 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING WOODLAND SURGERY BANBURY 15416139 40,564.94 OX000017610 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING WOODLAND SURGERY BANBURY 15416139 4,124.24 OX000017610 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Locum Sickness PRC DELEGATED CO-COMMISSIONING WOODLAND SURGERY BANBURY 15416139 2,621.12 OX000017610 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING WOODLAND SURGERY BANBURY 15416139 4,092.77 OX000017610 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Cost Rent PRC DELEGATED CO-COMMISSIONING WOODLAND SURGERY BANBURY 15416139 2,757.25 OX000017610 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING WOODLAND SURGERY BANBURY 15416139 4,341.92 OX000017610 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING WOODLANDS MEDICAL CENTRE 15416141 1,712.38 OX000017612 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING WOODLANDS MEDICAL CENTRE 15416141 70,481.65 OX000017612 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING WOODLANDS MEDICAL CENTRE 15416141 2,248.88 OX000017612 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING WOODLANDS MEDICAL CENTRE 15416141 3,404.31 OX000017612 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING WOODLANDS MEDICAL CENTRE 15416141 9,500.00 OX000017612 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING WOODLANDS MEDICAL CENTRE 15416141 7,570.23 OX000017612 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING WOODSTOCK SURGERY 15416143 1,446.06 OX000017614 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING WOODSTOCK SURGERY 15416143 64,246.27 OX000017614 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING WOODSTOCK SURGERY 15416143 2,483.98 OX000017614 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING WOODSTOCK SURGERY 15416143 2,458.33 OX000017614 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING WOODSTOCK SURGERY 15416143 7,215.52 OX000017614 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING WYCHWOOD SURGERY 15416145 927.52 OX000017616 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING WYCHWOOD SURGERY 15416145 41,671.47 OX000017616 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING WYCHWOOD SURGERY 15416145 1,162.12 OX000017616 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING WYCHWOOD SURGERY 15416145 1,355.64 OX000017616 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING WYCHWOOD SURGERY 15416145 8,708.33 OX000017616 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING WYCHWOOD SURGERY 15416145 4,148.66 OX000017616 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING WINDRUSH MEDICAL PRACTICE WITNEY 15416147 2,304.54 OX000017618 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING WINDRUSH MEDICAL PRACTICE WITNEY 15416147 89,744.31 OX000017618 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING WINDRUSH MEDICAL PRACTICE WITNEY 15416147 2,866.81 OX000017618 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING WINDRUSH MEDICAL PRACTICE WITNEY 15416147 7,233.02 OX000017618 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING WINDRUSH MEDICAL PRACTICE WITNEY 15416147 69,400.00 OX000017618 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING WINDRUSH MEDICAL PRACTICE WITNEY 15416147 10,109.23 OX000017618 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING WINDRUSH SURGERY BANBURY 15416149 1,218.85 OX000017620 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Minor Surgery PRC DELEGATED CO-COMMISSIONING WINDRUSH SURGERY BANBURY 15416149 261.24 OX000017620 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING WINDRUSH SURGERY BANBURY 15416149 48,790.34 OX000017620 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING WINDRUSH SURGERY BANBURY 15416149 1,326.95 OX000017620 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING WINDRUSH SURGERY BANBURY 15416149 3,346.39 OX000017620 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING WINDRUSH SURGERY BANBURY 15416149 3,083.33 OX000017620 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING WINDRUSH SURGERY BANBURY 15416149 4,874.18 OX000017620 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING DONNINGTON MEDICAL PARTNERSHIP (THE) 15416151 2,374.05 OX000017622 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING DONNINGTON MEDICAL PARTNERSHIP (THE) 15416151 86,084.61 OX000017622 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING DONNINGTON MEDICAL PARTNERSHIP (THE) 15416151 4,953.89 OX000017622 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Cost Rent PRC DELEGATED CO-COMMISSIONING DONNINGTON MEDICAL PARTNERSHIP (THE) 15416151 1,454.42 OX000017622 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING DONNINGTON MEDICAL PARTNERSHIP (THE) 15416151 9,175.00 OX000017622 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING DONNINGTON MEDICAL PARTNERSHIP (THE) 15416151 10,637.56 OX000017622 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING CHIPPING NORTON HEALTH CENTRE 15416153 2,333.20 GB186693943 OX000017624 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING CHIPPING NORTON HEALTH CENTRE 15416153 102,707.06 GB186693943 OX000017624 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING CHIPPING NORTON HEALTH CENTRE 15416153 1,711.01 GB186693943 OX000017624 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING CHIPPING NORTON HEALTH CENTRE 15416153 5,243.80 GB186693943 OX000017624 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING CHIPPING NORTON HEALTH CENTRE 15416153 27,262.92 GB186693943 OX000017624 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING CHIPPING NORTON HEALTH CENTRE 15416153 11,855.73 GB186693943 OX000017624 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING ALCHESTER MEDICAL GROUP 15421942 1,212.36 OX000017599 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING ALCHESTER MEDICAL GROUP 15421942 47,566.82 OX000017599 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING ALCHESTER MEDICAL GROUP 15421942 3,529.21 OX000017599 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING ALCHESTER MEDICAL GROUP 15421942 1,741.36 OX000017599 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING ALCHESTER MEDICAL GROUP 15421942 4,357.84 OX000017599 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING KEY MEDICAL PRACTICE 15421944 1,994.21 OX000017626 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Learn Dsblty Hlth Chk PRC DELEGATED CO-COMMISSIONING KEY MEDICAL PRACTICE 15421944 232.00 OX000017626 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING KEY MEDICAL PRACTICE 15421944 71,880.67 OX000017626 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other Baseline Adjustment PRC DELEGATED CO-COMMISSIONING KEY MEDICAL PRACTICE 15421944 480.79 OX000017626 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other FDR Payment PRC DELEGATED CO-COMMISSIONING KEY MEDICAL PRACTICE 15421944 13,140.00 OX000017626 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING KEY MEDICAL PRACTICE 15421944 1,865.43 OX000017626 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING KEY MEDICAL PRACTICE 15421944 5,858.33 OX000017626 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING KEY MEDICAL PRACTICE 15421944 9,549.56 OX000017626 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING BLOXHAM & HOOK NORTON SURGERIES 15421946 1,131.93 GB 879120308 OX000017536 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING BLOXHAM & HOOK NORTON SURGERIES 15421946 48,407.82 GB 879120308 OX000017536 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING BLOXHAM & HOOK NORTON SURGERIES 15421946 464.77 GB 879120308 OX000017536 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING BLOXHAM & HOOK NORTON SURGERIES 15421946 3,549.53 GB 879120308 OX000017536 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING BLOXHAM & HOOK NORTON SURGERIES 15421946 7,275.00 GB 879120308 OX000017536 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING BLOXHAM & HOOK NORTON SURGERIES 15421946 4,398.99 GB 879120308 OX000017536 Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Clinical Other NON RECURRENT PROGRAMMES PRINCIPAL MEDICAL 15434380 297,067.00 2001772 Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Independent Sector PLANNED CARE GLOBAL DIAGNOSTICS LTD 15434383 27,463.17 974956749 1907 Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Independent Sector PLANNED CARE INHEALTH ENDOSCOPY LTD 15434389 74,993.74 001271 Department of Health NHS Oxfordshire CCG 31/12/2016 Other Research Exp NON RECURRENT PROGRAMMES UNIVERSITY OF OXFORD 15434398 147,456.50 125506730 210039299 Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Independent Sector ACUTE COMMISSIONING FOSCOTE PRIVATE HOSPITAL (BMI) 15434406 61,576.33 10QFOSM09DECEMBER16INVOICE Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Independent Sector ACUTE COMMISSIONING NUFFIELD HEALTH 15434410 154,162.00 564291137 DECEMBER2016001 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING HORSEFAIR SURGERY 15439540 2,770.52 OX000017547 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Learn Dsblty Hlth Chk PRC DELEGATED CO-COMMISSIONING HORSEFAIR SURGERY 15439540 928.00 OX000017547 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING HORSEFAIR SURGERY 15439540 105,909.58 OX000017547 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Other Baseline Adjustment PRC DELEGATED CO-COMMISSIONING HORSEFAIR SURGERY 15439540 25,982.00 OX000017547 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING HORSEFAIR SURGERY 15439540 5,097.97 OX000017547 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Notional Rent PRC DELEGATED CO-COMMISSIONING HORSEFAIR SURGERY 15439540 675.00 OX000017547 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING HORSEFAIR SURGERY 15439540 13,732.31 OX000017547 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS DES Extended Hours Access PRC DELEGATED CO-COMMISSIONING KENNINGTON HEALTH CENTRE 15439541 1,029.01 OX000017549 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Global Sum PRC DELEGATED CO-COMMISSIONING KENNINGTON HEALTH CENTRE 15439541 40,491.94 OX000017549 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS MPIG Correction Factor PRC DELEGATED CO-COMMISSIONING KENNINGTON HEALTH CENTRE 15439541 901.05 OX000017549 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Seniority PRC DELEGATED CO-COMMISSIONING KENNINGTON HEALTH CENTRE 15439541 4,976.53 OX000017549 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Actual Rent PRC DELEGATED CO-COMMISSIONING KENNINGTON HEALTH CENTRE 15439541 3,310.10 OX000017549 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS QOF Aspiration PRC DELEGATED CO-COMMISSIONING KENNINGTON HEALTH CENTRE 15439541 5,356.80 OX000017549 31/12/2016 Hcare Srv Rec Fdtn Trust-Contract Baseline ACUTE COMMISSIONING SOUTH WARWICKSHIRE NHS FOUNDATION TRUST 15441331 51,565.00 W0097546 Department of Health NHS Oxfordshire CCG 31/12/2016 Hcare Srv Rec Fdtn Trust-Contract Baseline ACUTE COMMISSIONING GLOUCESTERSHIRE HOSPITALS NHS FOUNDATION TRUST 15441349 42,510.00 1015699 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES ALCHESTER MEDICAL GROUP 15474663 (29,793.96) OX000017811 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscChrgsCll&RmttdbyGPCntra PRC DELEGATED CO-COMMISSIONING ALCHESTER MEDICAL GROUP 15474663 (1,041.60) OX000017811 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES ALCHESTER MEDICAL GROUP 15474664 34,434.95 OX000017812 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING ALCHESTER MEDICAL GROUP 15474664 3,683.55 OX000017812 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES ALCHESTER MEDICAL GROUP 15474664 1,041.60 OX000017812 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES BLOXHAM & HOOK NORTON SURGERIES 15474665 (39,793.68) GB 879120308 OX000017773 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscChrgsCll&RmttdbyGPCntra PRC DELEGATED CO-COMMISSIONING BLOXHAM & HOOK NORTON SURGERIES 15474665 (3,410.40) GB 879120308 OX000017773 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES BLOXHAM & HOOK NORTON SURGERIES 15474666 78,222.89 GB 879120308 OX000017774 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING BLOXHAM & HOOK NORTON SURGERIES 15474666 15,293.61 GB 879120308 OX000017774 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES BLOXHAM & HOOK NORTON SURGERIES 15474666 3,410.40 GB 879120308 OX000017774 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES BAMPTON MEDICAL PRACTICE 15475445 40,421.01 OX000017738 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING BAMPTON MEDICAL PRACTICE 15475445 7,708.70 OX000017738 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES BAMPTON MEDICAL PRACTICE 15475445 1,226.40 OX000017738 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES BLETCHINGTON ROAD SURGERY 15475457 (43,051.89) OX000017742 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscChrgsCll&RmttdbyGPCntra PRC DELEGATED CO-COMMISSIONING BLETCHINGTON ROAD SURGERY 15475457 (3,662.40) OX000017742 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES BLETCHINGTON ROAD SURGERY 15475461 85,886.22 OX000017743 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING BLETCHINGTON ROAD SURGERY 15475461 18,768.52 OX000017743 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES BLETCHINGTON ROAD SURGERY 15475461 3,662.40 OX000017743 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES CHARLBURY MEDCIAL CENTRE 15475477 24,005.61 OX000017749 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING CHARLBURY MEDCIAL CENTRE 15475477 4,635.20 OX000017749 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES CHARLBURY MEDCIAL CENTRE 15475477 739.20 OX000017749 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-PMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES COKER CLOSE HEALTH CENTRE 15475484 (27,667.20) OX000017753 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-PMS Prsc Chrgs Cll&Rmttd by GPs PRC DELEGATED CO-COMMISSIONING COKER CLOSE HEALTH CENTRE 15475484 (1,789.20) OX000017753 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-PMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES COKER CLOSE HEALTH CENTRE 15475485 59,247.87 OX000017754 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-PMS Prsc Chrgs Cll&Rmttd by GPs LOCAL ENHANCED SERVICES COKER CLOSE HEALTH CENTRE 15475485 1,789.20 OX000017754 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES CROPREDY SURGERY 15475490 (37,685.34) OX000017757 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscChrgsCll&RmttdbyGPCntra PRC DELEGATED CO-COMMISSIONING CROPREDY SURGERY 15475490 (2,730.00) OX000017757 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES CROPREDY SURGERY 15475491 65,591.25 OX000017758 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING CROPREDY SURGERY 15475491 15,266.68 OX000017758 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES CROPREDY SURGERY 15475491 2,730.00 OX000017758 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES DR A MURPHY & PARTNERS 15475493 (31,545.15) OX000017759 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscChrgsCll&RmttdbyGPCntra PRC DELEGATED CO-COMMISSIONING DR A MURPHY & PARTNERS 15475493 (2,192.40) OX000017759 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES DR A MURPHY & PARTNERS 15475494 66,535.94 OX000017760 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING DR A MURPHY & PARTNERS 15475494 14,843.51 OX000017760 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES DR A MURPHY & PARTNERS 15475494 2,192.40 OX000017760 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES EARLS LANE HEALTH CENTRE 15475504 (74,797.22) OX000017766 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscChrgsCll&RmttdbyGPCntra PRC DELEGATED CO-COMMISSIONING EARLS LANE HEALTH CENTRE 15475504 (8,568.00) OX000017766 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES EARLS LANE HEALTH CENTRE 15475505 168,311.45 OX000017767 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING EARLS LANE HEALTH CENTRE 15475505 34,433.05 OX000017767 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES EARLS LANE HEALTH CENTRE 15475505 8,568.00 OX000017767 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES EYNSHAM MEDICAL CENTRE 15475508 (55,786.02) OX000017769 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscChrgsCll&RmttdbyGPCntra PRC DELEGATED CO-COMMISSIONING EYNSHAM MEDICAL CENTRE 15475508 (2,536.80) OX000017769 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES EYNSHAM MEDICAL CENTRE 15475510 103,399.99 OX000017770 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING EYNSHAM MEDICAL CENTRE 15475510 22,527.15 OX000017770 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES EYNSHAM MEDICAL CENTRE 15475510 2,536.80 OX000017770 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES GORING & WOODCOTE MEDICAL PRACTICE 15475515 (46,288.80) 879063483 OX000017775 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscChrgsCll&RmttdbyGPCntra PRC DELEGATED CO-COMMISSIONING GORING & WOODCOTE MEDICAL PRACTICE 15475515 (3,780.00) 879063483 OX000017775 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES GORING & WOODCOTE MEDICAL PRACTICE 15475516 98,144.24 879063483 OX000017776 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING GORING & WOODCOTE MEDICAL PRACTICE 15475516 20,706.50 879063483 OX000017776 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES GORING & WOODCOTE MEDICAL PRACTICE 15475516 3,780.00 879063483 OX000017776 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES MARCHAM ROAD HEALTH CENTRE 15475537 (43,512.00) OX000017790 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscChrgsCll&RmttdbyGPCntra PRC DELEGATED CO-COMMISSIONING MARCHAM ROAD HEALTH CENTRE 15475537 (2,536.80) OX000017790 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES MARCHAM ROAD HEALTH CENTRE 15475538 73,156.39 OX000017791 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING MARCHAM ROAD HEALTH CENTRE 15475538 15,732.29 OX000017791 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES MARCHAM ROAD HEALTH CENTRE 15475538 2,536.80 OX000017791 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES MORLAND HOUSE SURGERY 15475541 (54,834.44) OX000017793 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscChrgsCll&RmttdbyGPCntra PRC DELEGATED CO-COMMISSIONING MORLAND HOUSE SURGERY 15475541 (3,208.80) OX000017793 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES MORLAND HOUSE SURGERY 15475543 116,255.11 OX000017794 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING MORLAND HOUSE SURGERY 15475543 18,353.18 OX000017794 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES MORLAND HOUSE SURGERY 15475543 3,208.80 OX000017794 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES NETTLEBED SURGERY 15475545 (32,935.80) OX000017795 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscChrgsCll&RmttdbyGPCntra PRC DELEGATED CO-COMMISSIONING NETTLEBED SURGERY 15475545 (1,940.40) OX000017795 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES NETTLEBED SURGERY 15475547 54,078.54 OX000017796 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING NETTLEBED SURGERY 15475547 13,817.57 OX000017796 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES NETTLEBED SURGERY 15475547 1,940.40 OX000017796 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Prescribing LOCAL ENHANCED SERVICES NEWBURY STREET PRACTICE 15475549 27,699.87 OX000017797 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Prescribing PRC DELEGATED CO-COMMISSIONING NEWBURY STREET PRACTICE 15475549 6,857.77 OX000017797 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES SONNING COMMON HEALTH CENTRE 15475555 34,312.01 OX000017801 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING SONNING COMMON HEALTH CENTRE 15475555 6,923.83 OX000017801 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES SONNING COMMON HEALTH CENTRE 15475555 1,495.20 OX000017801 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES SHEEP STREET SURGERY BURFORD 15475560 46,384.00 OX000017804 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING SHEEP STREET SURGERY BURFORD 15475560 9,224.18 OX000017804 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES SHEEP STREET SURGERY BURFORD 15475560 1,386.00 OX000017804 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES SIBFORD SURGERY 15475563 26,502.13 GB879117988 OX000017806 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING SIBFORD SURGERY 15475563 5,608.70 GB879117988 OX000017806 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES SIBFORD SURGERY 15475563 1,537.20 GB879117988 OX000017806 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES WHITE HORSE MEDICAL CENTRE 15475573 (83,914.63) OX000017814 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscChrgsCll&RmttdbyGPCntra PRC DELEGATED CO-COMMISSIONING WHITE HORSE MEDICAL CENTRE 15475573 (3,897.60) OX000017814 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES WHITE HORSE MEDICAL CENTRE 15475574 159,659.86 OX000017815 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING WHITE HORSE MEDICAL CENTRE 15475574 31,189.78 OX000017815 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES WHITE HORSE MEDICAL CENTRE 15475574 3,897.60 OX000017815 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES WALLINGFORD MEDICAL PRACTICE 15475576 (39,668.64) OX000017816 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscChrgsCll&RmttdbyGPCntra PRC DELEGATED CO-COMMISSIONING WALLINGFORD MEDICAL PRACTICE 15475576 (2,587.20) OX000017816 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES WALLINGFORD MEDICAL PRACTICE 15475577 61,056.36 OX000017817 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING WALLINGFORD MEDICAL PRACTICE 15475577 12,461.95 OX000017817 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES WALLINGFORD MEDICAL PRACTICE 15475577 2,587.20 OX000017817 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES WATERY LANE SURGERY 15475581 40,880.68 OX000017819 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING WATERY LANE SURGERY 15475581 8,902.89 OX000017819 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES WATERY LANE SURGERY 15475581 1,646.40 OX000017819 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES WYCHWOOD SURGERY 15475588 46,265.20 OX000017824 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING WYCHWOOD SURGERY 15475588 8,547.96 OX000017824 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES WYCHWOOD SURGERY 15475588 1,705.20 OX000017824 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES WINDRUSH MEDICAL PRACTICE WITNEY 15475590 (39,627.04) OX000017825 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscChrgsCll&RmttdbyGPCntra PRC DELEGATED CO-COMMISSIONING WINDRUSH MEDICAL PRACTICE WITNEY 15475590 (1,696.80) OX000017825 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES WINDRUSH MEDICAL PRACTICE WITNEY 15475591 75,907.79 OX000017826 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING WINDRUSH MEDICAL PRACTICE WITNEY 15475591 15,823.22 OX000017826 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES WINDRUSH MEDICAL PRACTICE WITNEY 15475591 1,696.80 OX000017826 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES CHIPPING NORTON HEALTH CENTRE 15475596 (55,120.14) GB186693943 OX000017829 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscChrgsCll&RmttdbyGPCntra PRC DELEGATED CO-COMMISSIONING CHIPPING NORTON HEALTH CENTRE 15475596 (4,611.60) GB186693943 OX000017829 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Cost of Drugs -Dispensing LOCAL ENHANCED SERVICES CHIPPING NORTON HEALTH CENTRE 15475598 106,892.00 GB186693943 OX000017830 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prof Fees Dispensing PRC DELEGATED CO-COMMISSIONING CHIPPING NORTON HEALTH CENTRE 15475598 24,458.15 GB186693943 OX000017830 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PrscrptnChrgsColl&RmttdbyGP LOCAL ENHANCED SERVICES CHIPPING NORTON HEALTH CENTRE 15475598 4,611.60 GB186693943 OX000017830 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS Prem Actual Rent PRC DELEGATED CO-COMMISSIONING BARTLEMAS SURGERY 15477730 36,802.63 DCCDec-16_1 Department of Health NHS Oxfordshire CCG 31/12/2016 C&M-GMS PCO Other PRC DELEGATED CO-COMMISSIONING HORSEFAIR SURGERY 15477734 76,456.00 DCCDec-16_2 Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Clinical Other PRESCRIBING NORTH WEST OSTOMY SUPPLIES 15483685 114,556.42 391-5320-58 0000000082 Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Independent Sector ACUTE COMMISSIONING HORTON NHS TREATMENT CENTRE 15501080 603,687.00 426505170 HOROXF201609 31/12/2016 Clinical&Medical-Independent Sector ACUTE COMMISSIONING HORTON NHS TREATMENT CENTRE 15501133 (75,000.00) 426505170 HOROXF201608A Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Independent Sector ACUTE COMMISSIONING FOSCOTE PRIVATE HOSPITAL (BMI) 15501175 (30,000.00) 10QFOSM09PLCVCREDIT Department of Health NHS Oxfordshire CCG 31/12/2016 Hcare Srv Rec NHS CCG-Contract Baseline ACUTE COMMISSIONING NHS SLOUGH CCG 15501206 303,505.00 7028101645 Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Othe Public Sector MENTAL HEALTH SERVICES - COLLABORATIVE COMMISSIONINGOXFORDSHIRE COUNTY COUNCIL 15501216 (184,664.76) 3940003225 Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Independent Sector PLANNED CARE SCRIVENS LTD 15501263 31,038.92 10Q0518 Department of Health NHS Oxfordshire CCG 31/12/2016 Hcare Srv Rec Fdtn Trust-Contract Baseline COMMUNITY SERVICES OXFORD HEALTH NHS FOUNDATION TRUST 15501358 15,821.00 GB654935896 A0101624 Department of Health NHS Oxfordshire CCG 31/12/2016 Hcare Srv Rec Fdtn Trust-Contract Baseline OUT OF HOURS OXFORD HEALTH NHS FOUNDATION TRUST 15501358 (11,000.00) GB654935896 A0101624 Department of Health NHS Oxfordshire CCG 31/12/2016 Hcare Srv Rec Fdtn Trust-Contract Cost per Case MENTAL HEALTH SERVICES - COLLABORATIVE COMMISSIONINGOXFORD HEALTH NHS FOUNDATION TRUST 15501358 95,500.00 GB654935896 A0101624 Department of Health NHS Oxfordshire CCG 31/12/2016 Participation Fees CEO/ BOARD OFFICE OXFORD UNIVERSITY HOSPITALS NHS FOUNDATION TRUST 15501420 37,130.00 654935407 8244603 Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Clinical Other NON RECURRENT PROGRAMMES PRINCIPAL MEDICAL 15508036 84,019.50 2001774 Department of Health NHS Oxfordshire CCG 31/12/2016 Hcare Srv Rec Fdtn Trust-Contract Baseline COMMUNITY SERVICES OXFORD UNIVERSITY HOSPITALS NHS FOUNDATION TRUST 15508038 134,333.00 654935407 8244492 Department of Health NHS Oxfordshire CCG 31/12/2016 Charges from CSU OPERATIONS MANAGEMENT NHS SOUTH CENTRAL AND WEST COMMISSIONING SUPPORT UNIT 15522428 42,828.00 7312700995 Department of Health NHS Oxfordshire CCG 31/12/2016 Clinical&Medical-Independent Sector ACUTE COMMISSIONING HORTON NHS TREATMENT CENTRE 15526594 240,930.83 426505170 HOROXFR201511

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## Developing A Collections Information Policy You may re-use this information (excluding logos) free of charge in any format or medium, under the terms of the Open Government Licence. To view this licence, visit nationalarchives.gov.uk/doc/open-government-licence or email psi@nationalarchives.gsi.gov.uk. Where we have identified any third-party copyright information, you will need to obtain permission from the copyright holders concerned. This publication is available for download at nationalarchives.gov.uk . ## Contents 1. Purpose of the Guidance 2. Why have a Collections Information Policy 3. Understanding Collections Information 4. Policy, Plan or Procedure 5. Developing a Policy 6. Policy Scope and Content 7. Further Resources ## 1. Purpose Of The Guidance Archivists routinely gather and record information about their collections from the point of accessioning onwards, both to manage and provide access to collections effectively. As yet, archivists have not routinely evidenced their adopted approach towards recording information about collections nor evidenced the thinking and decisions which have influenced this approach - all important for advocacy, transparency and accountability. Developing a written information policy can be an opportunity to create this evidence for future use. The aim of this guidance therefore is to help archivists write a Collections Information Policy which reflects their own archive service's approach to collections information and which they can use practically by developing a policy which will:  Evidence why collections information activities are important and demonstrate the value of what the archive service does in this area  Help the archive service meet the Archive Service Accreditation Standard under requirement 2.3.1 Collections Information Policy The guidance is aimed at staff who work in any type of archive service and tasked with writing a Collections Information Policy. It is not a template, but should allow archivists to develop a Collections Information Policy which reflects the purpose of their archive service and the environment in which they operate. ## 2. **Why Have A Collections Information Policy?** Writing an effective policy requires the investment of staff time and it can be useful to identify some benefits and value of a Collections Information Policy to justify this investment. A tool for advocacy: A written statement which explains the importance of collections information and describes professional activities associated with this is valuable for both internal and external stakeholders, such as senior managers or funders. It communicates the value of core but 'hidden' work undertaken by the archive service. Gaining approval for your collections information policy by parties within your reporting structure can be a useful method of gaining internal support for work in this area. Improves transparency and ensures accountability: A clear and written statement that is available for consultation and which both describes and explains an archive service's approach and the reasons for what an archive service has promised to deliver can improve understanding and manage expectations among depositors, researchers and other key stakeholders. Documenting, explaining and justifying your approach can lead to improved confidence amongst these stakeholders. Improving Collections Management within the archive service: Documenting your approach to Collections Information can be an opportunity to review how well this integrates with other collections management activities such as accessioning, appraisal, collections care, and providing access to collections. It re-enforces the interrelationship between collections development, collections information and collections care. A policy should provide a framework to guide any decision making within the archive service and thereby encourages consistent planning across collections management. A policy also provides guidance to all staff and others involved in collections information activities. Guide Collections Information planning: A written document outlining your approach to managing and developing collections information can provide a practical tool to guide planning in line with identified priorities and ensure a consistent approach through successive planning cycles. Succession Planning: Documenting the archive service's current approach to managing collections information can preserve knowledge of staff and help with succession planning within the archive service. Increasing acceptance of national and international standards: With the increasing acceptance of national and internal standards within the archives community, particularly in with regard to cataloguing, it can be useful for an archive service to communicate their approach to recording this information. This can help with sharing collections information more widely through networks. ## 3. Understanding Collections Information 3.1 What Is Collections Information? Collections information is the information used for the management of the collections held by an archive service. It provides intellectual control over collections in order to enable access to collections. It is therefore any information collected from depositors or information generated during accessioning, appraisal of collections, cataloguing and the creation finding aids, and which records the location and movement of collections. PAS 197:2009 defines collections information as 'information an organisation collects, holds and maintains about its collections and/or collected items'. 'Points where archive services gathers information- deposit and accessioning, cataloguing, physical condition, preservation and conservation activities.' Those working in archive services are therefore very likely to be familiar with the concept of collections information if not the concept of a written collections information policy. ## 3.2 Collections Information And Archive Service Accreditation Archive Service Accreditation is the UK Standard for Archive Services and looks at how well an archive service performs in three areas: in organisational health, collections management, and providing access to collections for a range of stakeholders. The standard was designed to fit closely with other frameworks and standards already in use in the archive, museum and library sectors such as the PSQG Standard for Access to Archives PD 5454 and PAS 197:2009. In terms of collections management, Archive Service Accreditation adopted as primary reference the recommended structure for an integrated Collections Management Framework laid out in PAS 197:2009 i.e. a framework of policy, plans and procedures. The standard also borrows much of the terminology relating to the management of collections i.e. collections development, collections care, collections access and most importantly in this context collections information. ## Requirement 2.3.1 Of The Archive Service Accreditation Standard States That: 'The archive service has a policy on collections information which specifies how collections information is recorded and enhanced and the standards and procedures which must apply' The Standard also requires that the archives service has collections information plan and collections information procedures to deliver the policy in practice. ## 4. Policy, Plan Or Procedure? Understanding the scope and content of a policy, plan or procedure and the relationship between these can also help clarify the scope and content of the policy itself. With reference to the Archive Service Accreditation Guidance : Policy: Describes the overall intentions and directions of an organisation. Provide a framework for organisational planning and action. Can be written in the form of a statement, require the endorsement of the organisation's governing body. It should address the whys. Plan: Sets out the objectives of an organisation and identify the actions needed to achieve those objectives, in line with the organisation's policies and in order to deliver its mission statement. Planning documents should link with and be consistent with the policy to which it relates. Examples are strategies (3-5 years), business plans annual, departmental/individual action plans (often related to projects or reporting cycles) Procedures: Describe a specified way to carry out an activity or a process in order to deliver a particular output or outcome. Procedures may be documented in the form of operational guides, manuals, handbooks, instructions etc. Procedures should be consistent with and policy to which they relate. For small archive services or for those archive services who are integrated within a wider collections organisation, the Collections Information Policy may be part of an overall Collections Management Policy for the archive or be integrated within the policies of the wider organisation. ## 5. Developing A Policy This section will take you through the key steps of writing and developing a policy. It is recognised that many organisations have their own in house procedures and guidelines for developing and writing policies. Remember that your policy should cover both analogue and born digital collections. | | Step Activity | Notes | |-----------------------------------------|-------------------------------|-----------------------------------------------| | 1 | Define the aim and scope of | Be clear as to why you are writing the policy | | your policy | and what you want to include. | | | | | | | Questions to consider: | | | |  | | | | Why are you writing the policy, what do | | | | you want your policy to achieve? | | | |  | | | | Who are your audiences? who you are | | | | writing the policy for, for example | | | | archive service staff, researchers, | | | | depositors, funders? What do they | | | | need to know? | | | |  | | | | How will your policy provide effective | | | | guidance for collections information | | | | management planning and link with | | | | procedures? | | | |  | | | | How will it link with collections | | | | development, collections care, and | | | | access to collections? | | | | | | | | 2 | Research the content and | Questions to consider: | | consult with other staff where | | | |  | | | | What is the current approach of the | | | | necessary | | | | archive service? How can this be | | | | reflected in the policy? | | | |  | | | | How does it relate to other policies | | | | such as access policies, collections | | | | care policies, collections development | | | polices? Do these policies successfully integrate with each other and support rather than work in conflict? 3 Develop the structure and Questions to consider: content of the policy  How will the archive service's approach be reflected in the policy?  How is this best communicated? What format or style is best suited to your content? 4 Write the policy Questions to consider:  Will you policy be easily understood by non archivists if these are part of the intended readership of the policy? 5 Policy sign off This will depend on the management structure within your organisation and how powers of approval are delegated within the management structure. Obtaining approval for the policy by a more senior manager within the management structure can mean generating interest and creating visibility for what you are doing, achieving advocacy for your archive service. 6 Publicise and communicate Questions to consider: your new policy  Who needs to know about your new policy? Who needs to know the detail of your policy? Who needs to be aware of your new policy? Consider this with reference to different audiences such as: archive service staff, senior management, depositors, funders, researchers  What is the best method to communicate this for each audience - via a website, intranet, newsletter, email, face to face or team meeting, a training session? 7 Policy Review Reviewing your policy on a regular basis ensures it remains current and reflects the aims and needs of your archive service. ## 6) Policy Scope And Content This section will help you decide what to include in your collections information policy, remembering that every archive service is different and not every suggestion may be relevant to your service and situation. There is no model template or model structure for a Collections Information Policy, but some of the following are likely to be relevant.  **Providing context to your overall approach**  **Legislative context**  Systems used for recording collections information  Point of deposit and accessioning  Disposals and withdrawals  Location and movement control  Cataloguing  Staffing and funding  Protecting your collections information The policy should cover collections information concerning both analogue and born digital collections. ## Content Notes Stating why collections information is ## Providing Context To Your Approach – important will help to engage your ## The Importance Of Collections audience or readership and make it clear ## Information how collections information helps the The archive service 'recognises that archive service to achieve its aims. good documentation of its collections, through accessioning cataloguing and Linking collections information to the other activities, is fundamental to overall mission, purpose and aims of the collections management and to good archive service and how it relates to public access; [the] archives is other areas of collections management committed to improving the quality of and access to collections can strengthen collections information in terms of its this further and provides evidence of how structures and completeness.' well functions work together within the (Lancashire Archives) archive service. '…explains how we aim to maintain and This might be expressed through a statement reflecting the archive service's provide accurate documentation of our collections for the purpose of their overall commitment to collections improved control and access. It supports information. our Mission Statement as set out and should be seen in conjunction with [the] forward plan.' (Flintshire Record Office) Stating why a collections information ## Providing Context To Your Approach – policy is important and how the archive ## Importance Of Your Collections service will use the policy during the ## Information Policy course of its work is also crucial. 'It will assist in decision making and prioritising work in a range of Explaining how your policy influences circumstances; providing access to the your collections information planning can holdings which is balanced with their demonstrate the link between policy and long-term preservation and legislative plan: the difference the policy will make requirements; cataloguing work by staff in practice. and volunteers; submission of funding bids with a cataloguing and information Examples might include guiding the enhancement aspect.' University of archive service's approach to recording Huddersfield Archives and making accessible catalogue information; guiding cataloguing 'The policy is supported by a Collections planning; providing evidence of your Information Plan, which outlines the approach to stakeholders and potential objectives through which we will achieve funders. the aims of this policy' (Worcestershire Archive and Archaeology Service) Explaining the background to your ## Providing Context To Your Approach – current situation with regards to ## Historical Background collections information can provide 'The approach to creating collections essential additional context for your information depends on the size of the approach. You may wish to clarify any cataloguing background, legacy of legacy issues in terms of cataloguing cataloguing systems and professional backlogs, periods of missing depositor standards used in the past' University of details or gaps in accessions information, Huddersfield Archives as prioritising these. You may wish to describe the legislative ## Legislative Context framework in which your archive service operates and any other organisational policies or codes of practice that might influence access to collections and the level of information made available, internally and to the wider public. The policy should note where the archive ## Systems For Recording Collections services records or holds collections ## Information information or any software used for recording and making available collections information. Examples include accession registers, depositor records, filing systems, and any software used. The policy should include the archive ## Point Of Deposit/Accessioning 'Accessioning is the process of capturing service's approach to recording information about acquisitions as they information about accessions, depositor are transferred into our care. For records, intellectual property rights, archives, this is the foundation on which access restrictions/ownership and legal all subsequent management processes status of collections, what information is rest.' (Derbyshire Record Office) recorded and any timescales for achieving this. 'We will accurately record key information about the archives we Where some of all of your collections acquire, their nature and contents, the arrive through internal transfer, a policy identity of the person or body transferring on levels of information expected on the archives into our custody, and the transfer helps to set expectations from terms on which we are to hold the transferring bodies. records.' (Derbyshire Record Office) Publicising newly accessioned material 'Recording the provenance of collections to your stakeholder groups both internal is crucial to ensuring the integrity of our or external groups is an element of the archive collections. (Institute of accessioning process and your approach Education Archives) to this should be included in the Collections Information Policy, for 'Shropshire Archives participates in The example publishing information in an National Archives' annual Accessions to annual report, on the website or internal Repositories Survey to enable up-to-date intranet, via a newsletter or in the reading information to appear on the National rooms. Register of Archives. Summaries of significant new accessions also regularly If you participate in The National appear in the Salopian Recorder, the Archives' annual accessions to Newsletter of the Friends of Shropshire repositories survey then this could also Archives, and in the Transactions of the be included here as a way of making Shropshire Historical and Archaeological information available to a wider Society.' (Shropshire Archives) audience. Explaining your approach to recording ## Disposals And Withdrawals any decision about collection disposal or 'All disposals are recorded in the Content withdrawals in your policy is important and Structure field of the Adlib database.' not only for staff awareness but also for (Royal College of Gynaecologist and stakeholder confidence in collections Obstetricians) management. Including a short statement about why Location and movement control the archive service services records 'To help fulfil its obligations of care to the location and movement of collections archive material it holds and to the reinforces the link between collections depositors of such material, FRO always information, including collections aims to maintain up-to date information information procedures and collections on the locations of all items in its care.' care, including security of collections, at (Flintshire Record Office) policy level. Any finding aids which facilitate access to ## Finding Aids collections should be mentioned, including how these are improved and where published if relevant. Any older finding aids, such as published guides, which are not updated as a matter of policy may also be mentioned to clarify the approach. Explaining the approach to cataloguing in ## Cataloguing the context of what your archive service 'Cataloguing the material within Cumbria offers and in terms of providing access to Archive Service's custody is essential to collections is valuable in making the link enable staff to effectively manage the between collections management and information retained for permanent providing access to collections. Stating preservation within the Archive Centres, why cataloguing is important and linking and to enable public access as this to access to collections can endorse appropriate.' (Cumbria Archive Service) the commitment to these. This can be particularly helpful in securing resource 'Cataloguing since 2009 has been for further description. undertaken using CALM software supported by an in-house General This section should reference both Manual for Cataloguing. FRO uses the analogue and born digital material as following standards: appropriate. The mandatory elements of International Council on Archives, Archive Service Accreditation uses the General International Standard of following categories to describe the cataloguing state, which may be helpful Archival Description [**ISAD(G)**], International Council on Archives, for reference: International Standard Archival  Fully catalogued (the expectation Authority for Corporate Bodies, Persons is that this will be in accordance and Families [**ISAAR(CPF)**], National with at the mandatory elements of Council on Archives, Rules for the ISAD (g)) Construction of Personal, Place and  Fully catalogued (but to a lower Corporate Names [**NCA Rules**]' standard then ISAD (g) (Flintshire Record Office)  Box-listed or roughly-listed material, or collections for which only collection-level descriptions exist  Completely unlisted collections  Full catalogue available online Your policy can make reference to which cataloguing standards you use for analogue and digital collections. If relevant you may also think about including your approach to retrospective conversion and your approach to prioritising cataloguing backlogs and revisiting collections. Any timescales or targets for cataloguing of collections could also be included, or may instead be included in planning. For services with particularly extensive backlog levels of collections without standards-based information, any policy on making accessible incomplete or lower-quality information to facilitate access may be explored and explained. Stating where your catalogues are available internally or externally for example on your website, through shared networks such as AIM25 or Archives Hub, or through TNA's Discovery, makes clearer the link between cataloguing and providing better access to collections. Staffing and Funding Describing how collections information activities are resourced, particularly for archive services with cataloguing backlogs, establishes a link between collections information activities, staffing, funding and forward planning. Resourcing might include seeking external grant funding eg Heritage Lottery Fund, National Cataloguing Grants Scheme; working in partnership with other organisations; allocating staff time to cataloguing work; using volunteers or dedicated project staff, and the basis on which professional/paraprofessional staff are needed for cataloguing. If your service works extensively with volunteers to improve collections information, issues such as intellectual property in volunteer-created information and how this can be reused (e.g. if indexes may be licensed commercially) can add transparency to your relationship with volunteer contributors. Here you might describe how the archive ## Protecting Your Collections service ensures the security of its ## Information collections information to avoid loss or compromise, for example if any information held in online systems is regularly backed up, whether any paper files are held in a lockable filing cabinet. This underlines investment needed in protecting resource already expended on improving collection information and where relevant provides assurance to depositors and donors. ## 7) Further Resources Archive Service Accreditation Guidance Revisiting Archive Collections ## Websites: UK Archives Discovery Network (UKAD) The National Archives: http://www.nationalarchives.gov.uk/archives-sector/documenting-collections.htm http://www.nationalarchives.gov.uk/archives-sector/loan-agreements-andaccessions-registers.htm Archives and Records Association *Guide to Archival Standards* ## Standards PAS 197:2009 *Code of Practice for Cultural Collections Management* BS 6879/ISO 3166-2: 1998, Codes for the representation of names of countries and their subdivisions, Part 2 International Council on Archives, General International Standard Archival Description [ISAD (G)], 2nd edition, 1999 International Council on Archives, International Standard Archival Authority Record for Corporate Bodies, Persons and Families *(ISAAR (CPF*), 2004) http://www.ica.org/en/isaar-cpf-international-standard-archival-authority-recordcorporate-bodies-persons-and-families-2nd National Council on Archives, Rules for the Construction of Personal, Place and Corporate Names ## Links To Collection Information Policies: Cumbria Archive Service Collection Information Policy Richard Burton Archive, Swansea University Collection Information Policy Flintshire Record Office Collection Information Policy University of Huddersfield Special Collections draft Collections Information Policy: Shropshire Archives Collections Information Policy Kings College London Archives Collections Information Policy

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## 1 | | | | | | | | | | | | | Full Year | Full Year | Full Year | |----------------------------------------|-----------|-----------|-----------|-----------|-----------|-----------|-----------|-----------|-----------|-----------|-----------|--------------|--------------|--------------| | Quarter 1 | Quarter 2 | Quarter 3 | Quarter 4 | Quarter 1 | Quarter 2 | Quarter 3 | Quarter 4 | Quarter 1 | Quarter 2 | Quarter 3 | Quarter 4 | Quarter 1 | Quarter 2 | Quarter 3 | | 2010-11 | 2010-11 | 2011-11 | 2010-11 | 2011-12 | 2011-12 | 2011-12 | 2011-12 | 2012-13 | 2012 - 13 | | | | | | | 5 | | | | | | | | | | | | | | | | 2012-13 | | | | | | | | | | | | | | | | 6 | | | | | | | | | | | | | | | | 2012-13 | 2013-14 | 2013-14 | 2013-14 | | | | | | | | | | | | | 7, 8 | | | | | | | | | | | | | | | | Outturn | | | | | | | | | | | | | | | | 2010-11 | | | | | | | | | | | | | | | | Outturn | | | | | | | | | | | | | | | | 2011-12 | | | | | | | | | | | | | | | | Outturn | | | | | | | | | | | | | | | | 2012-13 | | | | | | | | | | | | | | | | Number of passengers sampled | | | | | | | | | | | | | | | | 2,3,4 | | | | | | | | | | | | | | | | 51,086 | 55,748 | 47,240 | 44,636 | | | | | | | | | | | | | 198,710 | | | | | | | | | | | | | | | | 55,145 | 63,152 | 54,900 | 55,679 | | | | | | | | | | | | | 228,876 | | | | | | | | | | | | | | | | 62,013 | 78,906 | 119,632 | 126,694 | 387,245 | 131,513 | 135,741 | 127,470 | | | | | | | | | Number of passengers cleared within | | | | | | | | | | | | | | | | service standards | | | | | | | | | | | | | | | | 50,295 | 54,236 | 46,654 | 43,935 | | | | | | | | | | | | | 195,120 | | | | | | | | | | | | | | | | 53,511 | 60,876 | 54,086 | 54,558 | | | | | | | | | | | | | 223,031 | | | | | | | | | | | | | | | | 60,422 | 78,118 | 119,186 | 126,439 | 384,165 | 131,023 | 134,893 | 127,106 | | | | | | | | | % of passengers cleared within service | | | | | | | | | | | | | | | | standards | | | | | | | | | | | | | | | | 98.5% | 97.3% | 98.8% | 98.4% | | | | | | | | | | | | | 98.2% | | | | | | | | | | | | | | | | 97.0% | 96.4% | 98.5% | 98.0% | | | | | | | | | | | | | 97.4% | | | | | | | | | | | | | | | | 97.4% | 99% | 99.6% | 99.8% | 99.2% | 99.6% | 99.4% | 99.7% | | | | | | | | ## Footnotes 1) The service standards are: 95% of European Economic Area (EEA) passengers with 25 minutes; and 95% non-EEA passengers within 45 minutes 2) Sampling methodology: Most ports and airports involved in the sampling aim to take one queue measurement every hour during passenger arrival times, where it is practical to do so (but see notes 3 and 4 below). A queue is defined from when a passenger / vehicle joins a static body of people / line of vehicles to when they arrive at the UK Border control desk. To ensure consistency of approach ports are advised to used on of two recommended methods - either a passenger or vehicle is picked out as they join a queue and then visually traced (by an officer on location or by CCTV) until they reach the border control desk or the passenger will be handed a card with the time of joining queue noted and they are asked hand the card to UKBA officer on the desk as soon as they reach that point. 3) At some ferry ports, we measure the median queue length for cars and coaches as the representative sample of immigration queue length. At these locations, we measure the time taken for the first car and the last car to clear the controls and divide this by 2 to calculate the median queue length. This allows for a more accurate evaluation of the queuing time that excludes the waiting on board ship for disembarkation. 4) A recent audit of the methods used to measure waiting times found variations in the approaches being used. As a result of the recommendations made, work is underway to implement a more robust and consistent approach across all ports on entry. 5) From 25th August 2012, queue measures were taken every 15 minutes at Heathrow. This means that there has been an increase in the number of passengers sampled. 6) From 28th October 2012, queue measures were taken every 15 minutes at Gatwick. This means that there has been an increase in the number of passengers sampled. 7) From 2nd November 2013, queue measures were taken every 15 minutes at Stansted. 8) Ports have been reminded not to record a zero queue length unless passengers are present in the arrivals hall. As a result the number of measures taken have

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RUN AT 02/01/2018 08:54:45 | Department family | Entity | Date | Expense Type | Expense area | Supplier | Transaction number | AP Amount (£) | |----------------------|---------------------------|------------|---------------------------------------------------------------|-------------------------------------------|--------------------------------------------------------|----------------------|-----------------| | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Travel Booking Services | PATIENT TRANSPORT | ARRIVA TRANSPORT SOLUTIONS | 20206736 | 58,310.52 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS DES Minor Surgery | PRC DELEGATED CO-COMMISSIONING | BARNBY GATE SURGERY | 20128924 | 2,757.29 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Global Sum | PRC DELEGATED CO-COMMISSIONING | BARNBY GATE SURGERY | 20128924 | 93,509.92 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS PCO Seniority | PRC DELEGATED CO-COMMISSIONING | BARNBY GATE SURGERY | 20128924 | 6,329.04 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Prem Notional Rent | PRC DELEGATED CO-COMMISSIONING | BARNBY GATE SURGERY | 20128924 | 8,194.56 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | BARNBY GATE SURGERY | 20128924 | 10,221.35 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Clinical&Medical-Voluntary Sector | COMMISSIONING - NON ACUTE | BEAUMOND HOUSE COMMUNITY HOSPICE | 19943352 | 26,710.83 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Global Sum | PRC DELEGATED CO-COMMISSIONING | BILSTHORPE SURGERY | 20129405 | 27,672.23 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS PCO Seniority | PRC DELEGATED CO-COMMISSIONING | BILSTHORPE SURGERY | 20129405 | 245.70 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Prem Clinical Waste | PRC DELEGATED CO-COMMISSIONING | BILSTHORPE SURGERY | 20129405 | 167.04 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Prem Notional Rent | PRC DELEGATED CO-COMMISSIONING | BILSTHORPE SURGERY | 20129405 | 7,576.30 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Prem Other | PRC DELEGATED CO-COMMISSIONING | BILSTHORPE SURGERY | 20129405 | 398.70 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Prem Water Rates | PRC DELEGATED CO-COMMISSIONING | BILSTHORPE SURGERY | 20129405 | 841.12 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | BILSTHORPE SURGERY | 20129405 | 3,467.33 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Clinical&Medical-Independent Sector | ACUTE COMMISSIONING | BMI HEALTHCARE COLLECTIONS | 20099980 | 127,646.77 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Clinical&Medical-Independent Sector | ACUTE COMMISSIONING | CARE UK CLINICAL SERVICES LTD | 20100102 | 28,197.49 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Clinical&Medical-Independent Sector - Over/ Under Performance | ACUTE COMMISSIONING | CARE UK CLINICAL SERVICES LTD | 20159509 | 41,861.58 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Clinical&Medical-Independent Sector - Over/ Under Performance | CLINICAL ASSESSMENT AND TREATMENT CENTRES | CIRCLE NOTTINGHAM LTD | 19914769 | (39,501.30) | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Clinical&Medical-Commercial Sector | CLINICAL ASSESSMENT AND TREATMENT CENTRES | CIRCLE NOTTINGHAM LTD | 20099973 | 156,461.09 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS DES Extended Hours Access | PRC DELEGATED CO-COMMISSIONING | COLLINGHAM MEDICAL CENTRE | 20128908 | 9,959.34 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS DES Minor Surgery | PRC DELEGATED CO-COMMISSIONING | COLLINGHAM MEDICAL CENTRE | 20128908 | 790.74 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Global Sum | PRC DELEGATED CO-COMMISSIONING | COLLINGHAM MEDICAL CENTRE | 20128908 | 55,756.80 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Prem Clinical Waste | PRC DELEGATED CO-COMMISSIONING | COLLINGHAM MEDICAL CENTRE | 20128908 | 272.20 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Prem Notional Rent | PRC DELEGATED CO-COMMISSIONING | COLLINGHAM MEDICAL CENTRE | 20128908 | 9,091.67 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | COLLINGHAM MEDICAL CENTRE | 20128908 | 6,448.22 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Cost of Drugs -Dispensing | PRESCRIBING | COLLINGHAM MEDICAL CENTRE | 20195054 | (51,893.24) | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS PrscChrgsCll&RmttdbyGPCntra | PRC DELEGATED CO-COMMISSIONING | COLLINGHAM MEDICAL CENTRE | 20195054 | (2,494.00) | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Cost of Drugs -Dispensing | PRESCRIBING | COLLINGHAM MEDICAL CENTRE | 20195055 | 92,641.16 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Prof Fees Dispensing | PRC DELEGATED CO-COMMISSIONING | COLLINGHAM MEDICAL CENTRE | 20195055 | 14,548.03 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS PrscrptnChrgsColl&RmttdbyGP | PRESCRIBING | COLLINGHAM MEDICAL CENTRE | 20195055 | 2,494.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Rent | ESTATES AND FACILITIES | COMMUNITY HEALTH PARTNERSHIPS LTD | 20101744 | 40,211.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Rent | ESTATES AND FACILITIES | COMMUNITY HEALTH PARTNERSHIPS LTD | 20101745 | 40,211.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Hcare Srv Rec Fdtn Trust-CQUIN | ACUTE COMMISSIONING | DERBY TEACHING HOSPITALS NHS FT | 20099979 | 925.89 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Hcare Srv Rec Fdtn Trust-Contract Baseline | ACUTE COMMISSIONING | DERBY TEACHING HOSPITALS NHS FT | 20099979 | 48,710.81 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Clinical&Medical-Independent Sector | NHS 111 | DHU 111 (EAST MIDLANDS) CIC | 20099984 | 27,853.82 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Hcare Srv Rec Fdtn Trust-Over/ Under Performance | ACUTE COMMISSIONING | DONCASTER AND BASSETLAW HOSPITALS NHS FOUNDATION TRUST | 19914773 | (149,361.00) | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Hcare Srv Rec Fdtn Trust-CQUIN | ACUTE COMMISSIONING | DONCASTER AND BASSETLAW HOSPITALS NHS FOUNDATION TRUST | 20100092 | 2,703.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Hcare Srv Rec Fdtn Trust-Contract Baseline | ACUTE COMMISSIONING | DONCASTER AND BASSETLAW HOSPITALS NHS FOUNDATION TRUST | 20100092 | 265,631.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Hcare Srv Rec NHS Trust-CQUIN | AMBULANCE SERVICES | EAST MIDLANDS AMBULANCE SERVICE NHS TRUST | 20100031 | 4,244.83 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Hcare Srv Rec NHS Trust-Contract Baseline | AMBULANCE SERVICES | EAST MIDLANDS AMBULANCE SERVICE NHS TRUST | 20100031 | 339,625.17 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS DES Extended Hours Access | PRC DELEGATED CO-COMMISSIONING | HILL VIEW SURGERY | 20128914 | 4,323.45 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Global Sum | PRC DELEGATED CO-COMMISSIONING | HILL VIEW SURGERY | 20128914 | 22,464.26 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS MPIG Correction Factor | PRC DELEGATED CO-COMMISSIONING | HILL VIEW SURGERY | 20128914 | 1,805.20 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS PCO Seniority | PRC DELEGATED CO-COMMISSIONING | HILL VIEW SURGERY | 20128914 | 275.14 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Prem Clinical Waste | PRC DELEGATED CO-COMMISSIONING | HILL VIEW SURGERY | 20128914 | 278.76 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Prem Notional Rent | PRC DELEGATED CO-COMMISSIONING | HILL VIEW SURGERY | 20128914 | 2,383.33 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | HILL VIEW SURGERY | 20128914 | 2,559.10 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS DES Minor Surgery | PRC DELEGATED CO-COMMISSIONING | HOUNDSFIELD SURGERY | 20128926 | 702.88 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Global Sum | PRC DELEGATED CO-COMMISSIONING | HOUNDSFIELD SURGERY | 20128926 | 32,779.21 | |------------------------|-----------------------------|--------------|-------------------------------------|------------------------------------------------------------|--------------------------------|------------|-------------| | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS PCO Seniority | PRC DELEGATED CO-COMMISSIONING | HOUNDSFIELD SURGERY | 20128926 | 275.14 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Prem Notional Rent | PRC DELEGATED CO-COMMISSIONING | HOUNDSFIELD SURGERY | 20128926 | 2,643.25 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | HOUNDSFIELD SURGERY | 20128926 | 2,826.49 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Cost of Drugs -Dispensing | PRESCRIBING | HOUNDSFIELD SURGERY | 20195064 | (40,791.34) | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS PrscChrgsCll&RmttdbyGPCntra | PRC DELEGATED CO-COMMISSIONING | HOUNDSFIELD SURGERY | 20195064 | (3,577.60) | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Cost of Drugs -Dispensing | PRESCRIBING | HOUNDSFIELD SURGERY | 20195065 | 86,386.35 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Prof Fees Dispensing | PRC DELEGATED CO-COMMISSIONING | HOUNDSFIELD SURGERY | 20195065 | 12,886.02 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS PrscrptnChrgsColl&RmttdbyGP | PRESCRIBING | HOUNDSFIELD SURGERY | 20195065 | 3,577.60 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS DES Extended Hours Access | PRC DELEGATED CO-COMMISSIONING | LOMBARD MEDICAL CENTRE | 20128921 | (17,079.10) | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | ME - GMS TPS Added Years Adj EEs | PRC DELEGATED CO-COMMISSIONING | LOMBARD MEDICAL CENTRE | 20128921 | (686.77) | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | ME-GMS GP Pension EEs | PRC DELEGATED CO-COMMISSIONING | LOMBARD MEDICAL CENTRE | 20128921 | (8,207.26) | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | ME-GMS GP Pension ERs Adjustments | PRC DELEGATED CO-COMMISSIONING | LOMBARD MEDICAL CENTRE | 20128921 | (8,995.49) | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS DES Extended Hours Access | PRC DELEGATED CO-COMMISSIONING | LOMBARD MEDICAL CENTRE | 20128922 | 26,020.50 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS DES Minor Surgery | PRC DELEGATED CO-COMMISSIONING | LOMBARD MEDICAL CENTRE | 20128922 | 1,444.54 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Global Sum | PRC DELEGATED CO-COMMISSIONING | LOMBARD MEDICAL CENTRE | 20128922 | 122,524.62 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS MPIG Correction Factor | PRC DELEGATED CO-COMMISSIONING | LOMBARD MEDICAL CENTRE | 20128922 | 4,915.11 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS PCO Locum Adop/Pat/Mat | PRC DELEGATED CO-COMMISSIONING | LOMBARD MEDICAL CENTRE | 20128922 | 10,125.90 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS PCO Seniority | PRC DELEGATED CO-COMMISSIONING | LOMBARD MEDICAL CENTRE | 20128922 | 4,528.58 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | LOMBARD MEDICAL CENTRE | 20128922 | 15,213.30 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS DES Extended Hours Access | PRC DELEGATED CO-COMMISSIONING | MAJOR OAK MEDICAL PRACTICE | 20128916 | 9,015.99 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS DES Learn Dsblty Hlth Chk | PRC DELEGATED CO-COMMISSIONING | MAJOR OAK MEDICAL PRACTICE | 20128916 | 280.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS DES Minor Surgery | PRC DELEGATED CO-COMMISSIONING | MAJOR OAK MEDICAL PRACTICE | 20128916 | 2,356.77 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Global Sum | PRC DELEGATED CO-COMMISSIONING | MAJOR OAK MEDICAL PRACTICE | 20128916 | 52,061.17 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS PCO Seniority | PRC DELEGATED CO-COMMISSIONING | MAJOR OAK MEDICAL PRACTICE | 20128916 | 1,190.15 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Prem Actual Rent | PRC DELEGATED CO-COMMISSIONING | MAJOR OAK MEDICAL PRACTICE | 20128916 | 8,218.60 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Prem Rates | PRC DELEGATED CO-COMMISSIONING | MAJOR OAK MEDICAL PRACTICE | 20128916 | 700.46 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Prem Water Rates | PRC DELEGATED CO-COMMISSIONING | MAJOR OAK MEDICAL PRACTICE | 20128916 | 88.36 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | MAJOR OAK MEDICAL PRACTICE | 20128916 | 6,463.24 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS DES Minor Surgery | PRC DELEGATED CO-COMMISSIONING | MIDDLETON LODGE SURGERY | 20128887 | 2,321.08 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Global Sum | PRC DELEGATED CO-COMMISSIONING | MIDDLETON LODGE SURGERY | 20128887 | 99,574.79 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS PCO Seniority | PRC DELEGATED CO-COMMISSIONING | MIDDLETON LODGE SURGERY | 20128887 | 1,682.22 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Prem Clinical Waste | PRC DELEGATED CO-COMMISSIONING | MIDDLETON LODGE SURGERY | 20128887 | 614.08 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Prem Notional Rent | PRC DELEGATED CO-COMMISSIONING | MIDDLETON LODGE SURGERY | 20128887 | 4,483.33 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | MIDDLETON LODGE SURGERY | 20128887 | 12,520.01 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Clinical&Medical-Commercial Sector | OUT OF HOURS | NEMS COMMUNITY BENEFIT SERVICE | 20114679 | 125,808.67 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Clinical&Medical-Serv Recd-CCGs | COMMISSIONING SCHEMES | NHS MANSFIELD & ASHFIELD CCG | 19960535 | 35,180.83 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Clinical&Medical-Serv Recd-CCGs | COMMUNITY SERVICES | NHS RUSHCLIFFE CCG | 20077132 | 131,364.50 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Clinical&Medical-Independent Sector | Learning Difficulties - S117 | NHS RUSHCLIFFE CCG | 20100070 | 41,953.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Clinical&Medical-Independent Sector | Mental Health Services - S117 Mental Health | NHS RUSHCLIFFE CCG | 20100070 | 106,518.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Cont Care- Adult 100% Fully Funded | CHC AD FULL FUND PERS HLTH BUD | NHS RUSHCLIFFE CCG | 20100070 | 7,000.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Cont Care- Adult 100% Fully Funded | CHC ADULT FULLY FUNDED | NHS RUSHCLIFFE CCG | 20100070 | 141,613.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Cont Care- Adult Joint Funded | ADULT JOINT FUNDED CONTINUING CARE | NHS RUSHCLIFFE CCG | 20100070 | 14,474.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Cont Care- Adult Joint Funded | Adult Joint Funded Continuing Care Personal Health Budgets | NHS RUSHCLIFFE CCG | 20100070 | 3,501.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Cont Care- Children | Children's Continuing Care | NHS RUSHCLIFFE CCG | 20100070 | 36,608.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Cont Care- Children | Children's Continuing Care Personal Health Budgets | NHS RUSHCLIFFE CCG | 20100070 | 1,934.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Cont Care- Palliative Care | CHC ADULT FULLY FUNDED | NHS RUSHCLIFFE CCG | 20100070 | 57,354.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Cont Care-Learning Disab(65+) | ADULT JOINT FUNDED CONTINUING CARE | NHS RUSHCLIFFE CCG | 20100070 | 13,220.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Cont Care-Learning Disab(<65) | ADULT JOINT FUNDED CONTINUING CARE | NHS RUSHCLIFFE CCG | 20100070 | 271,912.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Cont Care-Learning Disab(<65) | CHC AD FULL FUND PERS HLTH BUD | NHS RUSHCLIFFE CCG | 20100070 | 24,091.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Cont Care-Learning Disab(<65) | CHC ADULT FULLY FUNDED | NHS RUSHCLIFFE CCG | 20100070 | 52,140.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Cont Care-Mental Health (65+) | ADULT JOINT FUNDED CONTINUING CARE | NHS RUSHCLIFFE CCG | 20100070 | 7,830.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Cont Care-Mental Health (65+) | CHC AD FULL FUND PERS HLTH BUD | NHS RUSHCLIFFE CCG | 20100070 | 3,537.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Cont Care-Mental Health (65+) | CHC ADULT FULLY FUNDED | NHS RUSHCLIFFE CCG | 20100070 | 199,932.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Cont Care-Mental Health (<65) | ADULT JOINT FUNDED CONTINUING CARE | NHS RUSHCLIFFE CCG | 20100070 | 10,549.00 | |------------------------|-----------------------------|--------------|------------------------------------------------|------------------------------------------------------------|-------------------------------------------|------------|--------------| | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Cont Care-Mental Health (<65) | CHC ADULT FULLY FUNDED | NHS RUSHCLIFFE CCG | 20100070 | 38,660.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Cont Care-Physical Disab (65+) | ADULT JOINT FUNDED CONTINUING CARE | NHS RUSHCLIFFE CCG | 20100070 | 3,094.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Cont Care-Physical Disab (65+) | CHC ADULT FULLY FUNDED | NHS RUSHCLIFFE CCG | 20100070 | 7,963.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Cont Care-Physical Disab (<65) | ADULT JOINT FUNDED CONTINUING CARE | NHS RUSHCLIFFE CCG | 20100070 | 48,146.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Cont Care-Physical Disab (<65) | Adult Joint Funded Continuing Care Personal Health Budgets | NHS RUSHCLIFFE CCG | 20100070 | 1,882.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Cont Care-Physical Disab (<65) | CHC AD FULL FUND PERS HLTH BUD | NHS RUSHCLIFFE CCG | 20100070 | 51,033.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Cont Care-Physical Disab (<65) | CHC ADULT FULLY FUNDED | NHS RUSHCLIFFE CCG | 20100070 | 18,986.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | NHS CHC/FNC Risk-Sharing Recharge between CCGs | ADULT JOINT FUNDED CONTINUING CARE | NHS RUSHCLIFFE CCG | 20100070 | (65,722.00) | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | NHS CHC/FNC Risk-Sharing Recharge between CCGs | Adult Joint Funded Continuing Care Personal Health Budgets | NHS RUSHCLIFFE CCG | 20100070 | 5,158.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | NHS CHC/FNC Risk-Sharing Recharge between CCGs | CHC AD FULL FUND PERS HLTH BUD | NHS RUSHCLIFFE CCG | 20100070 | 7,192.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | NHS CHC/FNC Risk-Sharing Recharge between CCGs | CHC ADULT FULLY FUNDED | NHS RUSHCLIFFE CCG | 20100070 | 1,240.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | NHS CHC/FNC Risk-Sharing Recharge between CCGs | Children's Continuing Care | NHS RUSHCLIFFE CCG | 20100070 | 1,963.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | NHS CHC/FNC Risk-Sharing Recharge between CCGs | Children's Continuing Care Personal Health Budgets | NHS RUSHCLIFFE CCG | 20100070 | 8,118.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Cont Care-Funded Nursing Care Allow | FUNDED NURSING CARE | NHS RUSHCLIFFE CCG | 20100075 | 73,958.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | NHS CHC/FNC Risk-Sharing Recharge between CCGs | FUNDED NURSING CARE | NHS RUSHCLIFFE CCG | 20100075 | 15,858.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Clinical&Medical-Serv Recd-CCGs | CARERS | NHS RUSHCLIFFE CCG | 20100100 | 28,016.95 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Basic Sal-Rechgs to-from Other NHS | CONTINUING HEALTHCARE ASSESSMENT & SUPPORT | NHS RUSHCLIFFE CCG | 20206853 | 3,978.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Basic Sal-Rechgs to-from Other NHS | CONTRACT MANAGEMENT | NHS RUSHCLIFFE CCG | 20206853 | 6,604.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-APMS IT Comm Servs-GP Practices | PRIMARY CARE IT | NHS RUSHCLIFFE CCG | 20206853 | 35,436.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS IT Comm Servs -GP Practices | PRIMARY CARE IT | NHS RUSHCLIFFE CCG | 20206853 | 42,853.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-PMS IT Comm Servs -GP Practices | PRIMARY CARE IT | NHS RUSHCLIFFE CCG | 20206853 | 4,120.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Charges from CCG | NON RECURRENT PROGRAMMES | NHS RUSHCLIFFE CCG | 20206853 | 3,350.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Computer Network Costs | IM&T | NHS RUSHCLIFFE CCG | 20206853 | 26,697.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Recharge : Received | CONTINUING HEALTHCARE ASSESSMENT & SUPPORT | NHS RUSHCLIFFE CCG | 20206853 | 1,234.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Recharge : Received | CONTRACT MANAGEMENT | NHS RUSHCLIFFE CCG | 20206853 | 11.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Hcare Srv Rec NHS Trust-CQUIN | ACUTE COMMISSIONING | NOTTINGHAM UNIVERSITY HOSPITALS NHS TRUST | 20101743 | (16,757.28) | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Hcare Srv Rec NHS Trust-Contract Baseline | ACUTE COMMISSIONING | NOTTINGHAM UNIVERSITY HOSPITALS NHS TRUST | 20101743 | 1,005,379.67 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-Independent Sector - CQUIN | ACUTE COMMISSIONING | NOTTINGHAM WOODTHORPE HOSPITAL | 20099996 | 800.61 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Clinical&Medical-Independent Sector | ACUTE COMMISSIONING | NOTTINGHAM WOODTHORPE HOSPITAL | 20099996 | 64,049.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Clinical&Medical-Othe Public Sector | PROGRAMME PROJECTS | NOTTINGHAMSHIRE COUNTY COUNCIL | 19908432 | 246,443.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Clinical&Medical-Othe Public Sector | COMMISSIONING SCHEMES | NOTTINGHAMSHIRE COUNTY COUNCIL | 19943341 | 34,574.65 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Clinical&Medical-Othe Public Sector | COMMISSIONING SCHEMES | NOTTINGHAMSHIRE COUNTY COUNCIL | 19943347 | 35,004.81 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Hlthcre-Foundation Trsts | MENTAL HEALTH CONTRACTS | NOTTINGHAMSHIRE HEALTHCARE NHS TRUST | 20077080 | 79,810.50 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Hcare Srv Rec Fdtn Trust-Contract Baseline | COMMUNITY SERVICES | NOTTINGHAMSHIRE HEALTHCARE NHS TRUST | 20099977 | 883,756.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Hcare Srv Rec Fdtn Trust-Non Contract | IMPROVING ACCESS TO PSYCHOLOGICAL THERAPIES | NOTTINGHAMSHIRE HEALTHCARE NHS TRUST | 20100085 | 40,404.50 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Hcare Srv Rec Fdtn Trust-CQUIN | MENTAL HEALTH CONTRACTS | NOTTINGHAMSHIRE HEALTHCARE NHS TRUST | 20100087 | 25,344.65 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Hcare Srv Rec Fdtn Trust-Contract Baseline | MENTAL HEALTH CONTRACTS | NOTTINGHAMSHIRE HEALTHCARE NHS TRUST | 20100087 | 1,029,831.20 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-APMS Contract Value | PRC DELEGATED CO-COMMISSIONING | PRIMARY INTEGRATED COMMUNITY SERVICES LTD | 20041759 | 51,000.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-APMS DES Extended Hours Access | PRC DELEGATED CO-COMMISSIONING | PRIMARY INTEGRATED COMMUNITY SERVICES LTD | 20041759 | 7,903.05 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-APMS DES Minor Surgery | PRC DELEGATED CO-COMMISSIONING | PRIMARY INTEGRATED COMMUNITY SERVICES LTD | 20041759 | 571.09 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-APMS Prem Actual Rent | PRC DELEGATED CO-COMMISSIONING | PRIMARY INTEGRATED COMMUNITY SERVICES LTD | 20041759 | 12,629.17 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-APMS Prem Clinical Waste | PRC DELEGATED CO-COMMISSIONING | PRIMARY INTEGRATED COMMUNITY SERVICES LTD | 20041759 | 70.95 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-APMS Prem Rates | PRC DELEGATED CO-COMMISSIONING | PRIMARY INTEGRATED COMMUNITY SERVICES LTD | 20041759 | 886.73 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-APMS Prem Water Rates | PRC DELEGATED CO-COMMISSIONING | PRIMARY INTEGRATED COMMUNITY SERVICES LTD | 20041759 | 98.44 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-PMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | PRIMARY INTEGRATED COMMUNITY SERVICES LTD | 20041759 | 3,223.37 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS DES Extended Hours Access | PRC DELEGATED CO-COMMISSIONING | RAINWORTH HEALTH CENTRE | 20128912 | 8,555.70 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS DES Minor Surgery | PRC DELEGATED CO-COMMISSIONING | RAINWORTH HEALTH CENTRE | 20128912 | 1,098.25 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Global Sum | PRC DELEGATED CO-COMMISSIONING | RAINWORTH HEALTH CENTRE | 20128912 | 46,725.63 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS PCO Seniority | PRC DELEGATED CO-COMMISSIONING | RAINWORTH HEALTH CENTRE | 20128912 | 3,720.45 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Prem Actual Rent | PRC DELEGATED CO-COMMISSIONING | RAINWORTH HEALTH CENTRE | 20128912 | 16,020.32 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Prem Rates | PRC DELEGATED CO-COMMISSIONING | RAINWORTH HEALTH CENTRE | 20128912 | 1,000.25 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Prem Water Rates | PRC DELEGATED CO-COMMISSIONING | RAINWORTH HEALTH CENTRE | 20128912 | 158.40 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | RAINWORTH HEALTH CENTRE | 20128912 | 5,629.06 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Hcare Srv Rec Fdtn Trust-Contract Baseline | ACUTE COMMISSIONING | SHEFFIELD TEACHING HOSPITALS NHS FOUNDATION TRUST | 20100009 | 28,046.00 | |------------------------|-----------------------------|--------------|----------------------------------------------|--------------------------------|-----------------------------------------------------|------------|--------------| | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Hcare Srv Rec Fdtn Trust-Contract Baseline | ACUTE COMMISSIONING | SHERWOOD FOREST HOSPITALS NHS FOUNDATION TRUST | 20100094 | 5,467,702.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Computer Network Costs | PRIMARY CARE IT | SHERWOOD FOREST HOSPITALS NHS FOUNDATION TRUST | 20114677 | 68,869.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS DES Extended Hours Access | PRC DELEGATED CO-COMMISSIONING | SHERWOOD MEDICAL PARTNERSHIP | 20128917 | (13,680.96) | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | ME-GMS GP Pension EEs | PRC DELEGATED CO-COMMISSIONING | SHERWOOD MEDICAL PARTNERSHIP | 20128917 | (6,634.30) | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | ME-GMS GP Pension ERs Adjustments | PRC DELEGATED CO-COMMISSIONING | SHERWOOD MEDICAL PARTNERSHIP | 20128917 | (6,981.91) | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS DES Extended Hours Access | PRC DELEGATED CO-COMMISSIONING | SHERWOOD MEDICAL PARTNERSHIP | 20128918 | 21,855.24 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS DES Learn Dsblty Hlth Chk | PRC DELEGATED CO-COMMISSIONING | SHERWOOD MEDICAL PARTNERSHIP | 20128918 | 420.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS DES Minor Surgery | PRC DELEGATED CO-COMMISSIONING | SHERWOOD MEDICAL PARTNERSHIP | 20128918 | 3,108.73 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Global Sum | PRC DELEGATED CO-COMMISSIONING | SHERWOOD MEDICAL PARTNERSHIP | 20128918 | 117,001.75 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS PCO Seniority | PRC DELEGATED CO-COMMISSIONING | SHERWOOD MEDICAL PARTNERSHIP | 20128918 | 1,988.61 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Prem Actual Rent | PRC DELEGATED CO-COMMISSIONING | SHERWOOD MEDICAL PARTNERSHIP | 20128918 | 42,948.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Prem Notional Rent | PRC DELEGATED CO-COMMISSIONING | SHERWOOD MEDICAL PARTNERSHIP | 20128918 | 3,583.33 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | SHERWOOD MEDICAL PARTNERSHIP | 20128918 | 13,279.06 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | ME - GMS GP Prior Year ERs | PRC DELEGATED CO-COMMISSIONING | SHERWOOD MEDICAL PARTNERSHIP | 20128918 | 6,137.38 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | ME-GMS GP Pension EEs Adjustments | PRC DELEGATED CO-COMMISSIONING | SHERWOOD MEDICAL PARTNERSHIP | 20128918 | 9,094.40 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | ME-GMS GP Pension ERs Adjustments | PRC DELEGATED CO-COMMISSIONING | SHERWOOD MEDICAL PARTNERSHIP | 20128918 | 9,687.20 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | ME-GMS GP Prior Year EEs | PRC DELEGATED CO-COMMISSIONING | SHERWOOD MEDICAL PARTNERSHIP | 20128918 | 5,794.01 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Global Sum | PRC DELEGATED CO-COMMISSIONING | SOUTHWELL MEDICAL CENTRE | 20128928 | 79,750.91 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS MPIG Correction Factor | PRC DELEGATED CO-COMMISSIONING | SOUTHWELL MEDICAL CENTRE | 20128928 | 5,113.55 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS PCO Seniority | PRC DELEGATED CO-COMMISSIONING | SOUTHWELL MEDICAL CENTRE | 20128928 | 3,288.34 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Prem Notional Rent | PRC DELEGATED CO-COMMISSIONING | SOUTHWELL MEDICAL CENTRE | 20128928 | 17,670.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Prem Other | PRC DELEGATED CO-COMMISSIONING | SOUTHWELL MEDICAL CENTRE | 20128928 | 775.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | SOUTHWELL MEDICAL CENTRE | 20128928 | 10,040.61 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Cost of Drugs -Dispensing | PRESCRIBING | SOUTHWELL MEDICAL CENTRE | 20195066 | (43,572.70) | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS PrscChrgsCll&RmttdbyGPCntra | PRC DELEGATED CO-COMMISSIONING | SOUTHWELL MEDICAL CENTRE | 20195066 | (3,474.40) | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Cost of Drugs -Dispensing | PRESCRIBING | SOUTHWELL MEDICAL CENTRE | 20195067 | 93,079.31 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Prof Fees Dispensing | PRC DELEGATED CO-COMMISSIONING | SOUTHWELL MEDICAL CENTRE | 20195067 | 15,351.68 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS PrscrptnChrgsColl&RmttdbyGP | PRESCRIBING | SOUTHWELL MEDICAL CENTRE | 20195067 | 3,474.40 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS DES Extended Hours Access | PRC DELEGATED CO-COMMISSIONING | THE ABBEY MEDICAL GROUP | 20128909 | (11,209.06) | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | ME - GMS TPS Added Years Adj EEs | PRC DELEGATED CO-COMMISSIONING | THE ABBEY MEDICAL GROUP | 20128909 | (713.82) | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | ME-GMS GP Pension EEs | PRC DELEGATED CO-COMMISSIONING | THE ABBEY MEDICAL GROUP | 20128909 | (7,825.42) | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | ME-GMS GP Pension ERs Adjustments | PRC DELEGATED CO-COMMISSIONING | THE ABBEY MEDICAL GROUP | 20128909 | (8,184.61) | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS DES Extended Hours Access | PRC DELEGATED CO-COMMISSIONING | THE ABBEY MEDICAL GROUP | 20128910 | 16,957.50 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS DES Learn Dsblty Hlth Chk | PRC DELEGATED CO-COMMISSIONING | THE ABBEY MEDICAL GROUP | 20128910 | 1,120.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS DES Minor Surgery | PRC DELEGATED CO-COMMISSIONING | THE ABBEY MEDICAL GROUP | 20128910 | 2,761.41 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Global Sum | PRC DELEGATED CO-COMMISSIONING | THE ABBEY MEDICAL GROUP | 20128910 | 93,792.27 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS PCO Locum Adop/Pat/Mat | PRC DELEGATED CO-COMMISSIONING | THE ABBEY MEDICAL GROUP | 20128910 | 3,900.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS PCO Other | PRC DELEGATED CO-COMMISSIONING | THE ABBEY MEDICAL GROUP | 20128910 | 5,237.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS PCO Seniority | PRC DELEGATED CO-COMMISSIONING | THE ABBEY MEDICAL GROUP | 20128910 | 5,963.07 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Prem Clinical Waste | PRC DELEGATED CO-COMMISSIONING | THE ABBEY MEDICAL GROUP | 20128910 | 805.70 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Prem Notional Rent | PRC DELEGATED CO-COMMISSIONING | THE ABBEY MEDICAL GROUP | 20128910 | 16,604.00 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | THE ABBEY MEDICAL GROUP | 20128910 | 10,605.28 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS DES Extended Hours Access | PRC DELEGATED CO-COMMISSIONING | THE FOUNTAIN MEDICAL CENTRE | 20128919 | (13,406.40) | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | ME - GMS TPS Added Years Adj EEs | PRC DELEGATED CO-COMMISSIONING | THE FOUNTAIN MEDICAL CENTRE | 20128919 | (975.00) | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | ME-GMS GP Pension EEs | PRC DELEGATED CO-COMMISSIONING | THE FOUNTAIN MEDICAL CENTRE | 20128919 | (8,942.08) | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | ME-GMS GP Pension ERs Adjustments | PRC DELEGATED CO-COMMISSIONING | THE FOUNTAIN MEDICAL CENTRE | 20128919 | (9,101.10) | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS DES Extended Hours Access | PRC DELEGATED CO-COMMISSIONING | THE FOUNTAIN MEDICAL CENTRE | 20128920 | 20,253.54 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS DES Minor Surgery | PRC DELEGATED CO-COMMISSIONING | THE FOUNTAIN MEDICAL CENTRE | 20128920 | 3,498.95 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Global Sum | PRC DELEGATED CO-COMMISSIONING | THE FOUNTAIN MEDICAL CENTRE | 20128920 | 98,202.45 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS PCO Seniority | PRC DELEGATED CO-COMMISSIONING | THE FOUNTAIN MEDICAL CENTRE | 20128920 | 4,697.14 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Prem Clinical Waste | PRC DELEGATED CO-COMMISSIONING | THE FOUNTAIN MEDICAL CENTRE | 20128920 | 1,247.99 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS Prem Notional Rent | PRC DELEGATED CO-COMMISSIONING | THE FOUNTAIN MEDICAL CENTRE | 20128920 | 6,833.33 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | C&M-GMS QOF Aspiration | PRC DELEGATED CO-COMMISSIONING | THE FOUNTAIN MEDICAL CENTRE | 20128920 | 12,566.63 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Hcare Srv Rec NHS Trust-Over/ Under Performance | ACUTE COMMISSIONING | UNITED LINCOLNSHIRE HOSPITALS NHS TRUST | 19914774 | (98,020.80) | |------------------------|-----------------------------|--------------|---------------------------------------------------|-----------------------|-------------------------------------------|------------|---------------| | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Hcare Srv Rec NHS Trust-CQUIN | ACUTE COMMISSIONING | UNITED LINCOLNSHIRE HOSPITALS NHS TRUST | 20099971 | 2,886.68 | | Department of Health | NHS Newark & Sherwood CCG | 31/12/2017 | Hcare Srv Rec NHS Trust-Contract Baseline | ACUTE COMMISSIONING | UNITED LINCOLNSHIRE HOSPITALS NHS TRUST | 20099971 | 391,732.42 | | TOTAL | 13,541,891.85 | | | | | | |

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London Councils Minutes of the London Councils Leaders' Committee held on 10 December 2013 Mayor Jules Pipe chaired the meeting Present: BARKING AND DAGENHAM Cllr Rocky Gill | BARNET | | | | | Cllr Richard Cornelius | |----------------------|-----|---------------------------|-------------------|------------------------|---------------------------| | BEXLEY | | | | | Cllr Teresa O'Neill | | BRENT | | | | | Cllr Mohammed Butt | | BROMLEY | | | | | Cllr Stephen Carr | | CAMDEN | | | | | Cllr Sarah Hayward | | CROYDON | | | | | - | | EALING | | | | | Cllr Julian Bell | | ENFIELD | | | | | Cllr Doug Taylor | | GREENWICH | | | | Cllr Chris Roberts | | | HACKNEY | | | | | Mayor Jules Pipe | | HAMMERSMITH & FULHAM | | Cllr Nicholas Botterill | | | | | HARINGEY | | | | | Cllr Claire Kober | | HARROW | | | | | Cllr Susan Hall | | HAVERING | | | | | Cllr Michael White | | HILLINGDON | | | | Cllr David Simmonds | | | HOUNSLOW | | | | Cllr Jagdish Sharma | | | ISLINGTON | | | | | Cllr Richard Watts | | KENSINGTON & CHELSEA | | Cllr Nicholas Paget-Brown | | | | | KINGSTON | | | | | Cllr Liz Green | | LAMBETH | | | | | Cllr Paul McGlone* | | LEWISHAM | | | | | Mayor Sir Steve Bullock | | MERTON | | | | | Cllr Stephen Alambritis | | NEWHAM | | | | | Cllr Lester Hudson | | REDBRIDGE | | | | Cllr Keith Prince | | | RICHMOND UPON THAMES | | Cllr Lord True | | | | | SOUTHWARK | | | | | Cllr Peter John | | SUTTON | | | | | Cllr Ruth Dombey | | TOWER HAMLETS | | | | Mayor Lutfur Rahman | | | WALTHAM FOREST | | | Cllr Clyde Loakes | | | | WANDSWORTH | | | | Cllr Guy Senior | | | WESTMINSTER | | | | Cllr Philippa Roe | | | CITY OF LONDON | | | | Ms Catherine McGuiness | | | LFEPA | | | | | | | * Also GRANTS | | | | | | Ex officio (under the provisions of Standing Order 2.2) CAPITAL AMBITION Mr Edward Lord JP OBE CC Ex officio (under the provisions of Standing Order 2.4) EQUALITIES Cllr Marie Pye Apologies: BARKING AND DAGENHAM Cllr Liam Smith CROYDON Cllr Mike Fisher LAMBETH Cllr Lib Peck NEWHAM Mayor Sir Robin Wales WALTHAM FOREST Cllr Chris Robbins WANDSWORTH Cllr Ravi Govindia CITY OF LONDON Mr Mark Boleat London Councils officers and Mr Chris Bilsland ( Chamberlain, City of London) and Mr Bob Claxton (LB Wandsworth),were in attendance for item 4 Pensions Working Group: Progress report and proposed next steps towards a London LGPS CIV. The Chair began the meeting by apologizing to Cllr Richard Watts, Islington's new leader, for neglecting to welcome him at the previous meeting of Leaders' Committee. He also welcomed Ms Catherine McGuiness substituting from the City of London and attending Leaders' Committee for the first time. ## 1. Declarations Of Interest No interests were declared. ## 2. Minutes Of Leaders' Committee Held On The 12 November 2013 Leaders' Committee agreed the minutes of Leaders' Committee held on the 12 November 2013 ## 3. Grants Programme 2013/15: Quarter Two Update Report Cllr Paul McGlone (Labour, Grants Committee) introduced the report saying that: - it set out achievements during the six months of the programme for the 35 commissions agreed at Grants Committee 20 February 2013 - it had originally been provided to Grants Committee on 6 November and was being brought to Leaders' Committee as requested - the Grants programme was on track and largely delivering on targets - there was a tough monitoring regime in place based on a triangulation of input from o the recipient group o Grants officers and o the boroughs themselves all underpinned by member and officer visits to the commissions - the focus of the scheme was to deliver pan-London provision that did not duplicate borough services and also provided value-for-money - the process leading to the review of the Grants programme was already mapped out and would start with an analysis of the performance of commissions. - a more coherent business plan was being sought from London Funders to justify the £60,000 grant made to it Leaders' Committee agreed to note: - the results of the Red Amber Green (RAG) risk rating, and approved actions suggested by officers in this regard. - provider progress against profile and approved actions proposed by officers and that the number of red ratings had decreased from three (9%) in Q1 to zero in Q2. - the following areas highlighted by the Chair of the Grants Committee: o No interventions regarding reductions in funding to organisations were recommended at this six month review stage; o Twenty-five monitoring visits had been conducted by the end of Q2, with three organisations to receive priority visits in Q3 (Hopscotch Asian Women's Centre - 25 November, Inclusion London - 13 November, Age Concern - 29 November) The Chair concluded by proposing that the Grants section of item 9 The London Councils Business Plan: Portfolio Holder Progress Reports should be taken at this point in the meeting and invited questions or comments on it but received none. ## 4. Pensions Working Group: Progress Report And Proposed Next Steps Towards A London Lgps Civ The Chair welcomed Mr Chris Bilsland ( Chamberlain, City of London) and Mr Bob Claxton( LB Wandsworth), who he informed the committee had been working with London Councils' Director, Fair Funding, Performance and Procurement on the set of proposals that had come out of previous discussions, in particular at Leaders' Committee in March 2012, November 2012, December 2012, and May 2013, and more lately at the Executive in September and November 2013. The Chair introduced the report saying: - participation in any fund that may be established would be voluntary - that significant financial benefits could accrue from establishing a CIV from reduced costs and, for many, improved investment returns - a collaborative approach provided opportunities to potentially invest in types of assets that smaller individual funds may not have been able to easily access, for instance direct investment in appropriate infrastructure projects. The Chair invited the guest speakers to contribute and Mr Bilsland expressed his view that 'no change' was not likely to be an option at the end of the Government consultation. He went on to say that the work described in the report pre-dated the Government's decision to release an invitation to tender seeking professional advice and evidence looking at three potential, fully-costed, collaborative models: - A common investment vehicle at England and Wales level, with asset allocation strategies still determined by the local pension funds - 5-10 common investment vehicles across England and Wales, for example based on aggregate fund size or geographical areas, again with asset allocation strategies decided by local governance structures - 5-10 merged funds across England and Wales, grouped on the same basis as the common investment vehicles above, but with decision-making taken by new governance arrangements at the merged fund level. The third option, he felt sure, had been included because of the work initiated by London Councils. Leaders' Committee agreed to indicate its support for the establishment of a London LGPS CIV and that London Councils should: - continue to facilitate further work, under the oversight of the PWG, with the next step being the engagement of expert legal and financial services advisers and the formulation of a robust business case and formal proposal to proceed with implementation - explore, as part of this work, how London Councils could best support collective borough interests where those boroughs agreed to participate in the ASC and invest in the CIV - recruit a suitably qualified Project Manager and any other staff required - establish a designated fund with contributions from those boroughs interested in exploring these proposals - maintain on-going dialogue with HM Government relating to the Government's review of local authority pensions schemes which may directly impact upon these proposals and their implementation. ## 5. Growth Deal For London The Chair introduced the report saying: - Leaders' Committee on 12 November 2013 had endorsed the agreement made with the Mayor of London to advance opportunities for devolution to London through a Growth Deal. The specific proposals covered: o Welfare to Work including Skills o Housing Investment and Supply - Subsequently, the London Enterprise Panel (LEP) had also given its support to the draft Growth Deal submission which was currently being finalised in collaboration with the GLA, in preparation for the deadline on 19 December 2013. - It was anticipated that informal feedback from Government on the proposals would begin to emerge early in the New Year, and the focus would move quickly towards preparation of a more detailed final submission for March 2014. - London was likely to be challenged to calibrate the scale of its ambitions more precisely in relation to delivering better outcomes, and to demonstrate a readiness to deliver on the proposals through borough groupings. Cllr Philippa Roe (Conservative, Westminster) expressed her support for the proposals and said that there was a need to demonstrate that different boroughs and different political parties could work together. She went on to suggest that a sub-group could be a vehicle to take the work forward and the Chair undertook to explore the idea and bring back a proposal. Leaders Committee agreed: - to note the 'in principle' endorsement of the LEP for the headline Growth Deal proposals, as agreed between London Councils and the Mayor of London - to note that the initial response from Government was likely to lead to the need for finer calibration of the scale of our ambitions in relation to delivering better outcomes and a need to demonstrate a readiness to deliver on the proposals through borough groupings. - that the Chair and leading members work with officers to develop a more detailed and costed case early in 2014, drawing on the expertise of senior officers in member authorities. ## 6. Local Government Finance - Key Issues The Chair introduced the report saying that London local government could see a potential funding gap of £3.4bn by 2020 - a shortfall of 31 per cent. One major issue that needed consideration was how London Councils should respond to the Government's approach to top slicing of the New Homes Bonus in London. Cllr Richard Watts (Labour, Islington) pointed out that his borough and Tower Hamlets were the biggest losers and he could not see any reasoning why local authorities outside London were able to retain New Homes Bonus but not in London. He argued that the impact was not just in the headline losses but the further losses that came under it and that a line in the sand needed to be drawn. He called for the consideration of Judicial Review (JR) of the decision on the New Homes Bonus. Cllr Peter John (Labour, Southwark) pointed out that if the New Homes Bonus went into the LEP, boroughs would be the largest funder of it, a matter that was not reflected in its constitution. He supported the idea of exploring a judicial review. Cllr Sarah Hayward (Labour, Camden) argued that there was not the influence over the LEP that the level of funding would imply if the New Homes Bonus went into it and even if legal action was not eventually taken, advice on it should be sought. The Chair suggested that Government thinking behind the reason why London was being treated differently could be sought via an FoI while Cllr Teresa O'Neill (Conservative, Bexley) suggested a letter may achieve the same goal.The Chair proposed a letter in the first instance and if it did not elicit the required response, it should be followed by an FoI application. Cllr Richard Cornelius (Conservative, Barnet) pointed out that JR was costly and normally ineffective and should be something to explore only after all other alternatives had failed. The Chair summed up by saying that: - he noted the reservations expressed about a JR but that all options remained in play - a letter would be written to Government to establish why London was being treated so differently in relation to the New Homes Bonus and if this did not elicit the information required an FoI application would be made - that legal advice would be sought on the potential JR and this would be considered by the three party group leaders Leaders' Committee agreed to support the approach summarised by the Chair above and to note the report. ## 7. Beyond 2011: Future Census The Chair introduced the item saying that the purpose of the paper was to seek approval for London Councils' response to the ONS consultation on Beyond 2011: The census and future provision of population statistics in England and Wales. Cllr Roe pointed out that her borough was something of an outlier. She saw the proposals as merely tinkering at the edges when she would have been happier seeing a more radical approach. Leaders' Committee agreed - to note the report - the consultation response included in an appendix to the report ## 8. Proposed Revenue Budget And Borough Subscriptions And Charges 2014/15 The Chair introduced the report saying that it had received members' approval on previous occasions. Leaders' Committee agreed the following borough subscription and charges for 2014/15: - The Joint Committee subscription for boroughs of £172,427 per borough for 2014/15, the same level as for 2013/14. The City of London will continue to pay £168,664, in recognition of the fact the City is historically not part of the regional Local Government Employers (LGE) arrangements - The Joint Committee subscription for the MOPAC and the LFEPA of £16,700 for 2014/15, the same level as for 2013/14 - An overall level of expenditure of £10 million for the Grants Scheme in 2014/15 (inclusive of £2 million gross ESF programme) that taking into account the application of £1 million ESF grant, net borough contributions for 2014/15 should be £9 million, the same level as for 2013/14 - The Parking Core Administration Charge of £1,500 per borough and for TfL (2013/14 - £1,500) - The total Parking Enforcement Service Charge of £0.4519 per PCN, which will be distributed to boroughs and TfL in accordance with the number of PCNs issued in 2012/13 (2013/14 - £0.4519 per PCN) - The Freedom Pass Administration Charge of £8,674 per borough (2013/14 - £8,674) - The Taxicard Administration Charge of £4.00 per permit (2013/14 - £4.00) - The Lorry Ban Administration Charge of £98,612 in total, net of estimated PCN income, to be apportionment by population figures, with TfL paying the average borough charge of £3,287 (2013/14 - £103,172; TfL charge £3,439) - The Parking and Traffic Appeals Charge of £38.54 per appeal or £36.92 per appeal where electronic evidence is provided by the enforcing authority (2013/14 - £41.38/£39.81 per appeal) - Congestion Charging Appeals - to be recovered on a full cost recovery basis, as for 2013/14, subject to the continuing agreement of the GLA under existing contractual arrangements - The TRACE (Electronic) Charge of £10.40 per transaction (2013/14 - £10.40) - The TRACE (Fax) Charge of £12.83 per transaction (2013/14 - £12.83) and - The PEC, PED and PIE Charges of £0.20 per transaction (2013/14 - £0.20). On the basis of the above subscriptions and charges, the Leaders' Committee agreed to approve: - The consolidated revenue expenditure budget for 2014/15 for London Councils of £392.755 million - The consolidated revenue income budget for 2014/15 for London Councils of £392.755 million - Within the total income requirement, the use of London Council reserves of £1.902 million in 2014/15, inclusive of the £1.309 million repatriation to boroughs in 2014/15 The Leaders' Committee also agreed to note: - The position in respect of forecast uncommitted London Council reserves as at 31 March 2014 and - The positive statement on the adequacy of the residual London Councils reserves issued by the Director of Corporate Resources. ## 9. London Councils Business Plan: Portfolio Holder Progress Reports The Chair introduced the report by saying that the Chair of the Transport and Environment Committee (TEC), Cllr Catherine West was representing London Councils at another event and was, therefore, absent and unable to introduce her part of the report. He asked if there were any questions or comments, they should be supplied to him to be dealt with at the next meeting. The second part of the report on Grants had been disposed of under item 3. ## 10. Minutes And Summaries Leaders' Committee agreed to note the minutes and summaries - Capital Ambition - 7 October - Transport & Environment Committee - 24 October - Transport & Environment Executive Sub Committee - 14 November. ## Action Points Progress Item Action PAPA Fair Funding 4. Pensions Working Group: Progress report and proposed next steps towards a London LGPS CIV Work toward the establishment of a London LGPS CIV and that London Councils to: - continue to facilitate further work, under the oversight of the PWG, with the next step being the engagement of expert legal and financial services advisers and the formulation of a robust business case and formal proposal to proceed with implementation - explore, as part of this work, how London Councils could best support collective borough interests where those boroughs agreed to participate in the ASC and invest in the CIV Advisers engaged. Engagement of Project Management resource under review. Invoices being raised to committed boroughs for the designated fund. Dialogue with - recruit a suitably qualified Project Manager | and any other staff required | Government | |-----------------------------------------------------|------------------------------------------------| | continuing. | | | - | | | | establish a designated fund with contributions | | from those boroughs interested in exploring | | | these proposals | | | - | | | | maintain on-going dialogue with HM | | Government relating to the Government's | | | review of local authority pensions schemes | | | which may directly impact upon these | | | proposals and their implementation. | | | | | | 5. | Growth Deal for London | | | | | | | | | | | | | | | | | - | | | | | | The Chair and leading members | | | officers to develop a more detailed and costed | | | case early in 2014, drawing on the expertise of | | | senior officers in member authorities. | | | | | | | | | Discussions | | | are in train | | | with a view to | | | agreeing the | | | scope of a | | | detailed | | | submission | | | PAPA Fair | | | Funding | | | Letter sent. | | | | | | Seeking legal | | | advice. | | | 6. | Local Government Finance - Key Issues | | | | | - | | | | A letter would be written to Government to | | establish why the New Homes Bonus would not | | | be going to boroughs and if this did not elicit the | | | information required an FoI application would be | | | made | | | - | | | | Legal advice to be sought on a JR and | | proceeding with one would require the agreement | | | of the three party group leaders | | | | | | 7. | Beyond 2011: future census | | | | | PAPA Fair | | | Funding | | | - | | | | Submit the response. | | | | | | |

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A maximum quantity of 50 Kgs cement bonded asbestos will be allowed for free disposal (a charge to cover the cost of collecting the asbestos is applicable). 50Kgs equates to approximately three 1.8 x 0.7 metre standard corrugated sheets, 3 x 2 metre lengths of pipe / guttering or 2-3 x 25 Kg size plastic sacks of pieces (dependent upon quantity within the sack) A water tank will weigh up to around 40 Kgs dependent upon size. Nb. Due to the extra size, thickness and hence increased weight, asbestos sheets larger than the standard 1.8 x 0.7 metres (or the equivalent area of 1.35 square metres) eg. whole 2.0 x 1.0 metre corrugated sheets will not be accepted as they cannot be safely managed within the terms of the scheme. As hazardous fibres will be released sheets larger than the maximum specified within the collection terms must not be broken to reduce the size of the sheet and alternative collection arrangements will need to be made. Please ensure that any asbestos presented for collection is free of exposed nails. Damping the asbestos with water will minimise the release of any hazardous fibres. DO NOT BREAK THE ASBESTOS TO REMOVE NAILS. If you have concerns regarding health risks from handling asbestos advice is available online at www.hse.gov.uk/asbestos or by telephoning the HSE Info line on 0845 345 0055 (Minicom: 0845 408 9577) or e-mailing hse.infoline@natbrit.com If the asbestos has been produced by the householder carrying out the work and not left as a result of a work carried out by a contractor, we will dispose of the asbestos for free and only charge to cover the cost of collection. It is the contractor's responsibility to make arrangements for the disposal of any asbestos waste they generate. The asbestos may still be collected if left by a contractor but the householder will be liable for the disposal cost of £0.51 per Kg. Dismantled garages, sheds or outhouses etc. (even if dismantled by the householder) are classed (using DEFRA Guidelines) as construction and demolition waste and are not within the scope of the service provided. Our contractors Enviroco may be able to quote for such work by contacting them

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d e v e l o p m e n t a n d c l i m at e c h a n g e d i s c u s s i o n pa p e r s D E V E L O P M E N T A N D C L I M A T E C H A N G E ## The Costs Of Adapting To Climate Change for **Infrastructure** ## D E V E L O P M E N T A N D C L I M A T E C H A N G E The Costs Of Adapting To Climate Change For **Infrastructure** *Gordon Hughes **Paul Chinowsky ***Ken Strzepek © 2010 The International Bank for Reconstruction and Development / THE WORLD BANK 1818 H Street, NW Washington, DC 20433, U.S.A. Telephone: 202-473-1000 Internet: www.worldbank.org/climatechange E-mail: feedback@worldbank.org All rights reserved. August 2010 This volume is a product of the staff of the International Bank for Reconstruction and Development / The World Bank. The findings, interpretations, and conclusions expressed in this volume do not necessarily reflect the views of the Executive Directors of The World Bank or the governments they represent. The World Bank does not guarantee the accuracy of the data included in this work. The boundaries, colors, denominations, and other information shown on any map in this work do not imply any judgement on the part of the World Bank concerning the legal status of any territory or the endorsement or acceptance of such boundaries. ## R I G H T S A N D P E R M I S S I O N S The material in this publication is copyrighted. Copying and/or transmitting portions or all of this work without permission may be a violation of applicable law. The International Bank for Reconstruction and Development / The World Bank encourages dissemination of its work and will normally grant permission to reproduce portions of the work promptly. For permission to photocopy or reprint any part of this work, please send a request with complete information to the Copyright Clearance Center Inc., 222 Rosewood Drive, Danvers, MA 01923, USA; telephone 978-750-8400; fax 978-750-4470; Internet: www.copyright.com. Cover photo: Darjeeling, India. © Shutterstock Images, LLC Note: All dollars are U.S. dollars unless otherwise indicated. ## Table Of Contents | Abstract | vii | |----------------------------------------------------------------|-------| | Section 1. Setting the Scene | 1 | | Section 2. Data | 5 | | Section 3. Climate Change | 5 | | Section 4. Econometric Specifications | 8 | | Section 5. The Effects of Climate on Demand for Infrastructure | 13 | | Section 6. Calculating the Cost of Adaptation | 30 | | Section 7. Estimates of the Costs of Adaptation | 34 | | Section 8. Conclusion | 43 | | References | 43 | ## Tables | 1. | Correlation matrix of climate variables and historic demographic indicators | 7 | |----|----------------------------------------------------------------------------------|----------------------------------| | 2. | Projection equations for electricity generating capacity, fixed telephone lines, | | | | | and electricity network coverage | | 3. | Projection equations for municipal and industrial water demand | 17 | | 4. | Projection equations for water and sewer networks | 19 | | 5. | Projection equations for roads | 20 | 6. Projection equations for other transport 23 | 7. | Projection equations for health | 25 | |---|-------------------------------------------------|------| | 8 | Projection equations for social infrastructure | 27 | | 9 | Projection equations for average household size | 31 | 10. Delta-P costs of adaptation by category and country class for 2010–50 | | | (US$ billion per year at 2005 prices, no discounting) | 34 | |---|---|---|------| | | | 11. | Delta-P costs of adaptation by infrastructure category and World Bank region for 2010–50 | |-------------------------------------------------------------------|------------------------------------------------------------------------------------|-------------------------------------------------------|----------------------------------------------------------------------------------------------| | | | (US$ billion per year at 2005 prices, no discounting) | 36 | | 12. | Delta-P costs of adaptation by decade and World Bank region for all infrastructure | | | | | | (US$ billion per year at 2005 prices, no discounting) | 38 | | 13. | Total costs of adaptation by infrastructure category and country class for 2010–50 | | | | | | (US$ billion per year at 2005 prices, no discounting) | 40 | | 14. | Total costs of adaptation by infrastructure category and region for 2010–50 | | | | | | (US$ billion per year at 2005 prices, no discounting) | 41 | | Appendix 1. Derivation of the climate dose-response relationships | 45 | | | | References | 51 | | | ## Abstract An approach to estimating the costs of adapting to climate change is presented along with results for major components of infrastructure. The analysis separates the price/cost and quantity effects of climate change. The first component measures how climate change alters the cost of a baseline program of infrastructure development via changes in design standards and operating costs. The second component measures the effect of climate changes on the long-run demand for infrastruc- ture. The results indicate that the price/cost element is usually less than 1 percent of baseline costs, while the quantity effect may be negative for many countries. ## 1. Setting The Scene This paper presents the results of a global analysis of the costs of adapting infrastructure to climate change over the period from 2010 to 2050. The analysis was carried out as part of the World Bank's Economics of Adaptation to Climate Change study. In this context, infrastructure has been given a rather broad definition. It includes the usual types of infrastructure services, including transport (especially roads, rail, and ports), electricity, water and sanitation, and communications.1 In addition, urban and social infrastructure such as urban drainage, urban housing, health and educational facilities (both rural and urban), and general public buildings have been included. The basic approach is extremely simple. For any counter-only jard put $\alpha$ ($\leftarrow$ 2010, 2015, $\ldots$, 2050), we start from the assumption (that we ignore the "efficient" level of provision of infrastructure is often), which will become is denoted by $Q_{ij}$. The correction of type i, which will become is not the which would be reached if the country had invested up to the point at which the marginal benefits of addition, but it is different for the marginal cost--both empirical infrastructure. It is often found that the loss of information due to the fact that the original cost--the distribution of interest is introduced that the extent of underninsert is in infrastructure and that the boost counters (ALG 2009). This is an important development issue, which is not directly related to climate change. Hence, the approach attempts to stop out the effects of country differences in brief actual provision of infrastructure by establishing a common benchmark that depends upon factors such as population and income. In the period from t to t+1, for example from 2010 to 2015, the country will have to invest in order to meet the efficient level of infrastructure in t+1 and to replace infrastructure in situ at date t, which reaches the end of its useful life during the period. Thus, the total value of investment in infrastructure of type i in country j and period t is $$I_{i j t}=C_{i j t}[Q_{i j t+1}-Q_{i j t}+R_{j t}]\tag{1}$$ where Cijt is the unit cost of investment and Rijt is the quantity of existing infrastructure of type i that has to be replaced during the period. The change in the total cost of infrastructure investment may be expressed in terms of the total differential of (1) with respect to the relevant climate variables that affect either unit costs or efficient levels of provision for infrastructure of type i: $$\Delta I_{j i t}=\Delta C_{i j t}[Q_{j i t+1}-Q_{j i t}+R_{i j t}\,]+\qquad\qquad\qquad(2)$$ An equivalent equation may be derived for the costs of operating and maintaining infrastructure. In the discussion that follows, the first part of the right-hand side of equation (2) is referred to as the Delta-P component of the cost of adaptation, while the second part is referred to as the Delta-Q component. These components themselves cover a number of ways in which climate change may cause changes in the costs or quantities of providing infrastructure services. Delta-P. At the simplest level, changes in temperature, precipitation, or other climate variables may alter the direct cost of constructing infrastructure to a standard specification. For example, seasonal weather variations can increase the costs of building. However, this is a minor factor. More important is the impact of climate change on the design standards that are applied in order to maintain the quality of infrastructure services provided by a unit of infrastructure, such as a kilometer of paved road or a fixed telephone connection (See Canadian Standards Association 2006 for a discussion of this issue). ## Changes In The Frequency And/Or The Severity Of A. storms, flooding, and other extreme weather events may compromise the performance of infrastructure designed to existing standards. Hence, it is common to refer to "climate proofing" investments or ensuring "climate resilience." The study starts from the basis that design standards should be adjusted so as to deliver the same level of performance as would have applied if climate change had not occurred. Thus, if roads or buildings are currently constructed to withstand a 1-in- 50 or 1-in-100-year flood or wind storm, then the same design standard should apply, but under the circumstances of a changed frequency or severity of those events. The changes in the unit costs— ΔCijt —represent the costs of building infrastructure that delivers the same level of performance in the face of different climatic stresses. The derivation of the cost changes, expressed as doseresponse relationships for different climate stressors, are described in Appendix 1. The doseresponse functions are applied to estimates of the average values of climate variables under a scenario of a stable climate and alternative scenarios for climate change by country.2 This gives a series of cost increases—at constant 2005 prices— by type of infrastructure, country, and time period. When applied to the baseline projection of infrastructure demand, we obtain the Delta-Q cost of adaptation; that is, the difference between the cost of the baseline investment program for a stable climate and for a changing climate. A similar exercise may be carried out for operating, mainte- nance, and replacement costs in order to calculate the increment in annualized infrastructure costs as a consequence of climate change. Delta-Q. b. The quantities of infrastructure assets required (holding income constant) will change as a consequence of different climatic conditions. Again, this has two dimensions. The first is that climate change may change the level or composition of demand for energy, transport, and water at given levels of income, so we need to calculate the net impact of these changes in terms of capital and operating costs. The second is that climate change will mean that countries have to invest in specific additional assets in order to maintain specific standards of protection for non-infrastructure activities. The Delta-P dimension of the study is uncontroversial in principle, though more or less difficult in practice. Various organizations have made broad brush estimates of the cost of "climate proofing" existing investment programs in developing countries (UNFCCC 2007; McGray et al. 2008). Typically, the analysis starts from a baseline program in investment by time of infrastruc- ture. Then, an estimate is made of the percentage increase in unit costs required to ensure that invest- ments are resilient to climate change. One problem with the "climate proofing" approach concerns the investment program to which the cost of climate proofing should be applied. For some sectors or countries/regions, it is possible to start from a detailed inventory of infrastructure assets and then to ask what investments will be required to meet future demand for infrastructure services. The best example of this approach is a study of the costs of adaptation to climate change in Alaska (Larsen et al. 2008). However, this type of exercise requires an inventory of infrastructure assets and it does not take account of future investment in infrastructure. In the case of developing countries, many institutions that are concerned with adaptation to climate change for infrastructure draw a distinction between (a) the cost of eliminating the "development deficit,"—that is, the gap between the infrastructure that a country "ought" to have and the infrastructure that it actually has—and (b) the cost of adapting to climate change on the assumption that the country has an efficient level of infrastructure. The former is seen as a development problem, while the latter is a climate change problem. Even though it is understood that money is fungible, the two elements of total investment in infrastructure might be financed out of different pots of money. The corollary of this distinction between adaptation and the development budget is that the baseline program for infrastructure investment used in constructing the Delta-Q should not be derived from actual or planned investment in infrastructure. Instead, it should reflect the "efficient" demand for infrastructure.3 This is no simple task. The World Bank has recently completed a detailed assessment of infrastructure investment needs in 22 African countries, assuming a catch-up from actual to efficient provision over a decade to 2020 (AICD 2009). That exercise involved very substantial work and cannot be extended to all countries in a short period. Instead, the analysis has to be based on an econometric model that can be used to construct projec- tions of the efficient demand for infrastructure up to 2050. While the principle of drawing a distinction between the "development deficit" and adaptation to climate change is widely followed in international negotiations, many economists consider that the distinction is either unworkable in practice or simply wrong as a matter of economic logic. The reason is that most assessments of the "efficient" demand for infrastructure ignore the question of resources. A specific country might wish to have more roads, schools, or hospitals than the stocks that are currently in situ, and the rest of the world might agree that this would be a desirable goal. But, this is nothing more than a wish list independent of the resources that are available. With limited resources some countries may choose to spend their funds on providing better roads or more healthcare services. Relying either upon wish lists or on the envelope of what other countries at similar incomes have invested ignores the trade-offs that all governments have to make. Even if external assistance is available to fund capital projects, it is common experience that lack of funds for operations and maintenance may lead to rapid deterioration in the services provided by stocks of infra- structure assets. Thus, it may be argued that the analysis should not be based on some notional "efficient" level of infrastructure, but should start from the actual levels and growth of infrastructure based on decisions that reflect real constraints on budgets and the associated priorities. To examine whether the distinction is important in prac- tice, the full study has used two sets of baseline projec- tions of demand for infrastructure. The "frontier" projection is derived by using frontier methods of esti- mation to estimate econometric equations that charac- terize the envelope of infrastructure demand given exogenous variables such as income, population, urban- ization, etc. This is intended to provide an estimate of the "efficient" level of infrastructure demand as envis- aged in discussions of the development gap. In contrast, the "panel" projection uses conventional projections derived from econometric estimates of the average rela- tionship between infrastructure and the exogenous variables. The difference between the Delta-P estimates using the two sets of baseline projections is not as large as some might expect. There is an important reason for this. We find that the relative gap between the frontier and panel projections tends to narrow, because there appears to be convergence toward standard patterns of infra- structure provision. Further, the income elasticity of demand for infrastructure is generally less than 1 for the frontier demand equations and is lower than the equivalent income elasticities for the average demand equations. For the frontier baselines projection, these factors lead to a lower level of new investment in infra- structure, but a higher level of expenditure on replacing and maintaining the initial level of infrastructure. Under the panel baseline projection, lower levels of spending on replacement and maintenance are offset by higher spending on new investment. Depending on the initial development gap and the timing of new invest- ment, it is possible—though not usual—for the cost of adaptation to be larger for the average baseline than for the frontier baseline. In this paper we will focus exclusively upon the panel projections derived from panel data models rather than the frontier models. This is consistent with the view that the distinction between the development deficit and the adaptation deficit is difficult to draw under the best of circumstances and may not be useful in practical terms. The second, Delta-Q, aspect of this work concerns the impact of changes in climate on the demand for infra- structure. To approach this issue, we have to consider the mechanisms by which changes in climate may affect the demand for infrastructure and how we might iden- tify these consequences. For example, it is generally accepted that demand for electricity depends upon climate in general, but it is not so easy to identify the key climate parameters when estimating the demand for electricity or for electricity-generating capacity. Note that even these two variables may be subject to different influences because the seasonal or diurnal pattern of electricity demand is strongly influenced by climate.4 Part of the difficulty is that the outcome depends upon the relative weights assigned to different factors. An increase in average temperatures will lead to less demand for heating in the colder seasons but more demand for cooling in the warmer seasons. The overall direction of change is not easy to predict and is likely to depend upon the way in which we set up the problem. Electricity is simple to think about by comparison with roads or other transport infrastructure because there is an intuitive sense of the mechanisms involved in a rela- tionship between climate variables and the stock of electricity-generating capacity. But it would be wrong simply to impose the assumption that climate has no effect on the demand for roads. Patently, climate vari- ables do affect the structure of economic activity hold- ing other factors constant —for example, through the level and composition of agricultural output—and this ticular location is calculated from the truncated distribution of temperatures below some threshold—often 18°C—either on an hourly or a daily basis. will influence the nature of investment in roads. There are more complex but potentially larger effects operat- ing through the economic geography of urban life, industry, and commerce; that is, in the ways in which we organize economic activity in space. Small changes may have significant consequences for the level of investment in infrastructure. While the principle that climate change may affect the demand for infrastructure seems straightforward, the task of estimating the Delta-Q costs of adaptation is much more difficult for two general reasons. ## Many Of The Impacts Of Climate On Demand For A. infrastructure are long term in nature. This may not be true for electricity, but any influence of climate on the demand for roads will operate via the path of economic development over a period of one, two, or many decades. There are two consequences. First, we should not think of the Delta-Q component of the costs of adaptation as arising on a regular schedule every five years. The calculation merely identifies additions to and subtractions from a liability (or asset) that will materialize in future as economic activity adjusts to the changes in climate that are taking place. Second, in planning for future infrastructure development, governments need to consider how climate change may affect the amount and type of infrastructure that is required if it will influence future patterns of economic activity. In practice, there is no way of examining the b. empirical impact of climate on the demand for infrastructure other than through some form of panel data analysis—pooling data for countries, regions, states, or other geographical units over time. Inevitably, climate is a cross-sectional vari- able (since year-to-year variations are weather), which may easily be confounded with other cross- section fixed effects. This has prompted various criticisms of the Ricardian approach to identifying the impact of climate change on agriculture or GDP on the grounds that climate variables are acting as a proxy for non-climate factors such as institutions. Some economists draw the conclu- sion that climate variables should not be used in this way. We do not accept this view, since it closes off any possibility of estimating the impact of climate change on overall demand for infra- structure. Instead, we have carried an extensive econometric analysis of the role of climate vari- ables in modeling the demand for infrastructure. The details are technical and take up a large amount of space, so that they are reported in a separate paper (Hughes 2010). The issues and results are summarized in sections 4 and 5 below. Our results suggest that the demand for some categories of infrastructure is affected by different climate variables with important interactions with income per capita and urbanization. The results of our econometric analysis suggest that the absolute magnitude of the Delta-Q component of adaptation should not be ignored in the long run. On the other hand, the Delta-P component is much more predictable as a basis for discussing plans for adapting to climate change. For these reasons, our detailed estimates of the costs of adaptation by 5-year period up to 2050 concentrate on the Delta-P component, while the Delta-Q estimates are presented as indicative estimates for the whole period. ## 2. Data The core data used in this study is the World Development Indicators (WDI) database published in 2008 by the World Bank, which provides panel data for up to 168 countries and the years 1960 to 2006. The year 2005 is treated as the base year for all of our estimation. Our work relies on the 2008 version of the database. One crucial consequence is that the purchasing power parity estimates of GDP per person rely on a version of the 2005 ICP baseline due to appear as Penn World Tables (PWT) Version 7. These estimates cover the period 1980–2007 for a large set of countries. They have been extended backwards to 1960 by splicing estimates from PWT Version 6.2, which uses the 2000 ICP baseline. Country gaps have been filled by the standard approach of using a quadratic equation linking GDP per person in constant (2000) USD at market exchange rates to GDP per person at constant (2005) PPP exchange rates. The WDI data has been supplemented with data on infrastructure availability from a wide variety of sources, including other international organizations (FAO, ITU, WHO, UNICEF, UPU), official country data (espe- cially census data), and various systematic surveys such as Demographic and Health Surveys (DHS) and Living Standards Measurement Surveys (LSMS), which are broadly consistent across countries. Even so, the final dataset is very patchy in terms of coverage, especially for earlier periods. The panels are unbalanced and there are many missing values for intermediate years. Thus, it is not possible to make use of econometric specifications involving autoregressive or similar errors over time. A further remark concerns the nature of the data relat- ing to different types of infrastructure. In a few cases, we have direct measures of the quantity of infrastruc- ture assets—for example, kilometers of paved or all roads, kilometers of rail track, MW of generating capac- ity. More commonly we have to rely upon measures of infrastructure output—for example, numbers of house- holds connected to electricity, water, or sewer systems. In practice, the efficient levels of infrastructure assets are closely linked to these output or input variables, so we believe that it is reasonable to base our projections on an analysis of these infrastructure indicators. ## 3. Climate Change Describing the historic climate in a manner that is compatible with macroeconomic data is far from straightforward without any of the complications of projecting climate change into the second half of the 21st century. The literature on the influence of climate on economic variables has tended to rely upon average values of climate variables, primarily temperature, measured for the capital city of the country. The classic dataset is the data compiled by NCAR—NOAA's National Center for Atmospheric Research in Boulder, Colorado—for weather stations around the world iden- tified by their World Meteorological Organization reference code. The difficulty with this dataset is that there is no consistency across stations in the data that is reported. We have examined average data for capital cities derived from weather stations in or near the capi- tal—including, for example, nearby airports. This is used to obtain an average elevation for the capital city, but there are too many missing values to rely upon the climate variables for our econometric analysis. The Climate Research Unit at the University of East Anglia has compiled a series of historic weather data for 0.5 degree grid squares for land areas of the globe. Summary statistics have been computed for each grid cell for monthly average, maximum and minimum temperatures (in degrees C), and precipitation (in mm) for the period 1901–2002. The distribution of tempera- tures is generally accepted as being well-approximated by the normal distribution, so it was sufficient to compute the mean and standard deviation for each grid cell. For precipitation, the distribution is closer to the log-normal, so the mean and standard deviation of ln(precipitation+1mm) were calculated in addition to the mean of precipitation.5 Country estimates of the climate variables were constructed using grid cell means for monthly mean, maximum, and minimum temperatures and precipita- tion. The primary variables are population-weighted averages using the population in each country in each grid cell to weight the grid-cell means, thus reflecting the average exposure for the population of each coun- try.6 Alternative sets of country means weighted by (a) the land areas in each cell, and (b) the inverse of popu- lation in each cell were also constructed. The reason for doing this is linked to the demand for transport and other types of hard infrastructure. Consider a country such as Australia. The population is concentrated in the coastal areas of the continent, while the interior— with very different climatic conditions—is very thinly populated. So the population-weighted averages will reflect the climate on the coast whereas the inverse population-weighted averages reflect the climate in the interior, while the area-weighted averages fall in between.7 The correlations between the population- more than one country, but the data only provide the land area of each country in each grid cell plus total population in the grid cell. It is, therefore, necessary to assume that population density is uniform over these grid cells so that population is split between countries in the same proportion as land area. 7 We have tested whether using either the inverse-population-weight- weighted and inverse population-weighted climate variables are shown in Table 1 along with correlations with historic demographic variables used as instruments for institutional development as discussed in Section 4. The primary climate variables used in the econometric analyses are the two weighted means for (a) annual average temperature (computed as the average of monthly average temperatures) in °C; (b) total annual precipitation (computed as the sum of monthly average precipitation); (c) the temperature range (the average maximum temperature in the hottest month, the aver- age minimum temperature in the coldest month); and (d) the precipitation range (average precipitation in the wettest month, average precipitation in the driest month). One point to note is that annual average temperature measured in degrees C is negative or very small in a number of countries, especially for the inverse popula- tion-weighted means. Because of the use of the loga- rithmic transform, it is necessary either to exclude countries with extreme temperatures or to apply some linear shift to temperatures. The transformation adopted was to add 40°C to all temperatures. This value reflects the range from the minimum value of the monthly minimum temperature (-29.1°C) and the maximum value of the monthly maximum temperature (+46.9°C). Of course, the shift has no effect on the temperature range. The choice and use of climate projections to 2050 and beyond is considerably more complex. Global climate models (GCMs) are programmed to produce projec- tions of different variables for different time periods. At a micro scale, there are large differences between the results generated by the various models, so that it is necessary to be very careful about relying upon a single model. The standard deviation of projections for any one grid cell is typically large relative to the mean value of the projected change up to 2050 or even 2100. Further, the problem is more serious than simple models may suggest. Our econometric models suggest ed and area-weighted means instead of or in addition to the popula- tion-weighted means improves the performance of our equations. In all of the cases that we have examined, the area-weighted climate vari- ables are dominated by the inverse population-weighted (ipop) climate variables. | Population-weighted climate | Inverse population-weighted climate | |-------------------------------|---------------------------------------| | Average | | | temper- | | | ature | | | Precipi- | | | tation | | | Temper- | | | ature | | | range | | | Precipi- | | | tation | | | range | | | Population-weighted | | | climate | | | Average temperature | 1 | | Precipitation | 0.229 | | Temperature range | -0.656 | | Precipitation range | 0.6 | | Inverse population- | | | weighted climate | | | Average temperature | 0.83 | | Precipitation | 0.083 | | Temperature range | -0.563 | | Precipitation range | 0.373 | | Historic demographic | | | indicators | | | Birth rate 1950-54 | 0.728 | | Infant mortality 1950-54 | 0.595 | Source: Authors' estimates using data for 157 countries with non-missing data for GDP, population, urbanization, and generating capacity in 2005. that the ranges between maximum and minimum monthly temperatures and precipitation are often the primary drivers of infrastructure demand. This means that the projections used to calculate the Delta-Q costs must be based upon climate scenarios that generate monthly maximum and minimum temperatures as well as average temperatures, which restricts the set of GCMs that can be used. But even more important, the variance of the difference between two variables is the sum of their variances minus their covariance. Under most plausible outcomes, this will exceed the variance of each element, so that the uncertainty about climate ranges will be higher than for climate means.8 Average temperature Precipitation Temperature range Precipitation range Birth rate 1950–54 For the main scenario analysis in this study, we have used results from the NCAR CCSM-3 and CSIRO-3 models (abbreviated to NCAR and CSIRO). These have relatively similar changes in the global moisture index, but they differ significantly in their patterns of climate change at the regional and country level. The models are part of a larger set of 26 GCMs that have been examined in detail by the MIT Joint Program on the Science and Policy of Global Change. As part of their analysis, the MIT group has down-scaled the climate projections to match the 0.5 degree grid cells used for the historic climate data, so population- and area-weighted means were constructed for the countries covered by our study for the NCAR and CSIRO scenarios. These projections are not sufficient for the Delta-P analysis, because design standards for certain types of infrastructure are driven by extreme values rather than monthly average values. However, GCMs are not capa- ble of generating reliable estimates of daily maximum/ minimum temperatures, precipitation, or wind speed, so it is necessary to deal with this requirement in an indirect manner. We have proceeded as follows: Use the normal or log-normal distributions of a. monthly averages of maximum/minimum temperature and monthly precipitation to estimate the 99th percentile of monthly maximum temperature, the 1st percentile of monthly minimum temperature, and the 99th percentile of maximum monthly precipitation. Express these percentiles as a ratio of the maxib. mum/minimum of monthly average maximum/ minimum temperatures and the maximum monthly precipitation and assume that these ratios will remain broadly constant in the future. Apply the ratios of the 99 c. th/1st percentiles to the associated monthly extremes for 2050 in order to compute the change from extreme values for the historic climate to extreme values for the climate scenario in absolute units—degrees C or mm of rainfall. In the case of wind speed, we have estimated the d. elasticity of the 99th percentile of wind speed with respect to the 99th percentile of precipitation by fitting extreme value distributions to the historic climate data and used the change in maximum precipitation to project changes in extreme wind events. ## 4. Econometric Specifications In considering the specification of the econometric analysis, it has to be remembered that the goal is to generate projections of the average demand for infrastructure up to 2050, whether or not these are affected by climate. We are not trying to examine the factors that drive the actual amounts of infrastructure assets supplied today or in the past. The key implication is that it is not appropriate to include, for example, indicators of governance or institutional development in the analysis. These may be relevant factors explaining actual outcomes for individual countries today. But they are not relevant when we wish to make projections 40 or more years into the future, since it is neither possible nor desirable to attempt to project how governance or institutions will evolve over that period. To the extent that (a) institutional factors influence the current level of infrastructure provision, and (b) there is a correlation between institutional development and GDP per person or urbanization, then the impact of institutional development will be (partly) captured by the coefficients on GDP per person or urbanization in the reduced form discussed below. This is one reason why the elasticities of infrastructure demand with respect to these variables may be higher when estimated using a sample of all countries than for a sample of high-income countries only. But, equally, there are many other factors that may affect the reduced form elasticities. Quite apart from matters of econometric philosophy, the nature of the data available for the purpose of making projections of future demand for infrastructure has an important influence upon the specification of the models. There are a very limited number of variables for which independent projections extending to 2050 have been constructed and can be used. In addition to the climate variables discussed above, these are total population, the age structure of the population, urban- ization, and growth in income (GDP per capita measured at purchasing power parity), plus a number of geographical features, which act as country-fixed effects.9 The basic approach for the econometric analysis is to develop a reduced form specification of the efficient demand for the services provided by each type of infrastructure—for example, paved roads or railways.10 9 The demographic projections are based on the medium fertility projection in the UN Population Division's 2006 revision, which is linked to the urbanization projections. The central scenario for growth rates for GDP per person at purchasing power is computed by taking the average of five economic integrated assessment models— Hope (2003), Nordhaus (2002), Tol (2007), IEA (2008) and EIA (2008). The average growth rate for world GDP in real terms is very close to the IPCC A1 SRES scenario, but the country growth rates are not based upon the downscaled versions of that scenario since those were constructed with a base data of 1990 and the relative country weights are very out of date. The sources of the population and income projections are described in a separate note. 10 There is an extensive literature, much of it originating in the World Bank, on developing econometric models to identify links between We assume that the structural equation defining the efficient demand for infrastructure type i in country j in period t may be written as: $$Q_{i j t}=f_{i}\{P_{j t},Y_{j t},C_{i j t},X_{j t},Z_{i j t},V_{j t},t\}\qquad\qquad(3)$$ The variables are defined as follows: Pjt is the population of country j in period t;11 Yjt is average income per head for country j in period t; d p y x v y x = + + + + + + a b b b b g g 2 2 ijt i pi jt yi jt xim mjt vir rjt yi jt xim mjt y x y v x x x v r j s f Cijt is the unit cost of infrastructure type i for country j in period t; im jt mjt ir jt rjt imn mjt njt imr mjt rjt + + + + ∑ ∑ ∑ ∑ ∑ ∑ ∑ d p y x v y x = + + + + + + a b b b b g g + + + + ∑ ∑ ∑ ∑ ∑ ∑ ∑ 2 2 ijt i pi jt yi jt xim mjt vir rjt yi jt xim mjt y x y v x x x v r j s f im jt mjt ir jt rjt imn mjt njt imr mjt rjt $\mathbf{X_{jt}}$ is a vector of country characteristics for country j in period t; $\sum\mathbf{r}_{\text{\emph{inv}}}\mathbf{y}_{\text{\emph{jt}}}\mathbf{x}_{\text{\emph{mijt}}}+\sum\mathbf{j}_{\text{\emph{iv}}}\mathbf{y}_{\text{\emph{jt}}}\mathbf{v}_{\text{\emph{jt}}}$ - $\sum\mathbf{s}_{\text{\emph{inv}}}\mathbf{x}_{\text{\emph{mijt}}}\mathbf{x}_{\text{\emph{jt}}}+\sum\mathbf{f}_{\text{\emph{inv}}}\mathbf{x}_{\text{\emph{mijt}}}\mathbf{v}_{\text{\emph{jt}}}$ Zijt is a vector of economic or other variables that affect the demand for infrastructure type i for country j in period t; and Vjt is a vector of climate variables for country j in period t. We can observe or project values for some of these variables, notably P, Y, X, and V (dropping subscripts). For the other variables we assume that: $$C_{ijt}=c_{i}\{Y_{jt},X_{j},Z_{ijt},V_{jt},t\}\tag{4}$$ and $$Z_{ijt}=g_{i}\{Y_{jt},X_{jt},V_{jt},t\}\,.\tag{5}$$ Solving for Zijt and Cijt allows us to write the reduced form as $$Q_{ijt}=h_{i}\{P_{jt},Y_{jt},X_{jt},V_{jt},t\}\tag{6}$$ Since there are no strong priors on the appropriate functional forms for fi{ }, ci{ }, and gi{ }, we can use a standard flexible functional form to represent the demand equation hi{ } in terms of the explanatory vari- ables. We have adopted a restricted version of the translog specification for all variables other than popu- lation. Using the notation xj=ln(Xj), the general trans- log function for infrastructure services may be written as: d p y x v y = + + + + + + a b b b b g g (7) 2 ijt i pi jt yi jt xim mjt vir rjt yi jt d p y = + + + a b b b ijt i pi jt yi jt x y x y v x x x v r j s f im jt mjt ir jt rjt imn mjt njt imr mjt rjt + + + + ∑ ∑ ∑ ∑ ∑ ∑ ∑ d p y x v y = + + + + + + a b b b b g g y x y v r j 2 ijt i pi jt yi jt xim mjt vir rjt yi jt x im jt mjt ir jt r + + ∑ ∑ ∑ . y x y v x x x v r j s f im jt mjt ir jt rjt imn mjt njt imr mjt rjt In practice, it is often difficult to estimate the full trans- log specification using the more complex econometric models, so the approach adopted was to start with the log-linear specification and then test whether the coef- ficients on the quadratic and cross-product terms are significant. Because this involves repeated testing of overlapping specifications, we have followed the spirit of the Bonferroni adjustment to test statistics by requir- ing that any coefficients retained in the model are significantly different from zero at the 1 percent level using conventional statistical tests.12 We have noted that including climate variables in equa- tions for the demand for infrastructure may be chal- lenged by some economists, especially if one goes on to assume that future demand for infrastructure will be affected by projected changes in these climate variables. The reason for the debate is that climate variables are believed to act as a proxy for institutional and other factors that determine actual outcomes, partly as a consequence of historical patterns of development (Acemoglu et al. 2001; Albouy 2008; Dell et al. 2008; Horowitz 2008. For example, attempts have been made to estimate a relationship linking income per person and average temperature as a basis for measuring the impact of climate change at highly aggregated level. Indeed, any simple correlation of these variables appears to show that a higher average temperature (usually for the capital city of the country) is associated with lower average income per person. But even this relationship is complicated by the role of natural resource endowments. Acemoglu et al. (2001) suggest that, in part, temperature is serving as an instrument for institutional development, so they include historical mortality rates in their analysis on the grounds that this is an alternative—and better—proxy for institutional development. The strategy adopted for our analysis relies on a number of alternative ways of dealing with this problem. The Acemoglu et al (AJR) study used colonial a. (mostly 18th century) mortality as an instrument for institutional development and found that this had a very significant coefficient in their equations for recent economic growth. However, estimates of colonial mortality are not available for more than one-half of the countries in our sample and, in any case, there is considerable controversy about the reliability of the estimates that have been used. Instead, we have used an alternative set of instru- mental variables. The UN's population statistics include a variety of demographic variables for the early 1950s for almost all countries. These provide good instruments because they are closely correlated with the historical endowment of both institutions and infrastructure, but demographic changes over the past 50 years mean they are less associated with current patterns.13 Two instru- ments have been used—the crude birth rate and infant mortality. These two were chosen because they capture the highest proportion of the cross- country variation of the demographic variables examined. Reflecting their special role, these vari- ables were included on their own without quadratic terms or cross-products with other explanatory variables. Consistently, one or both of the variables have coefficients that are significantly different from zero at the 95 percent or 99 percent levels. For this reason, the variables are included in all of the models discussed below. So, it must be remembered that—even without further controls for the possible role of climate as an instrument for institutional development—the analysis starts from a point that matches the state of the art in the current literature. The role of climate as an instrument for institub. tional development is a geographical argument— that is, it is about the geography of regional development—as much as it is about climate per se. Thus, the natural approach— again made difficult in the past by data limitations—is to consider the use of spatial econometrics in which spatially weighted values of variables are used as instruments for institutional and other factors. The standard model of spatial interaction (or autocorrelation) is: $$y_{i}={\bf a}\ +{\bf j}\ \sum_{j\neq i}W_{ij}y_{j}+{\bf b}\,x_{i}+{\bf e}_{i}\tag{8}$$ where the matrix W is a matrix of weights capturing the spatial influence of location j on location i, φ is called the spatial autocorrelation coefficient, and ε is the error term whose distribution depends upon the model specification. The inverse-distance model has been used for this analysis for which the elements of W are proportional to the reciprocal of the distance between the population centroids for countries i and j up to a maximum of 2,500 km.14 The W matrix is normalized so that the row sums are equal to 1. The equations are estimated using panel GMM with spatially weighted values of population, GDP per person, urbanization, and country size as instruments. The details of the analysis are given in a separate paper, but the overall bors." conclusion is that (a) the spatial interactions are consistently insignificant, and (b) including them does not alter the role of the climate variables in our equations. Setting aside the spatial argument, the central c. econometric contention of the argument that climate variables do not reflect the role of climate per se is that some or all of these variables are correlated with the error terms in the regression. This is a classic econometric problem that may be caused by omitted variables, measurement errors, or other factors. The standard solution is to treat the suspect climate variables as endogenous and look for instruments that are correlated with the climate variables but not with the error term—see, for example, Cameron and Trivedi (2006, chapter 4) or Baum (2005, chapter 8). It is not easy to find suitable instruments for all of the climate variables, especially as a group, since physical char- acteristics of countries are included in the infra- structure demand equations. We have investigated a range of potential instruments, such as the abso- lute value of latitude (the best instrument for temperature); internal renewable water resources; numbers of bird, mammal, and plant species per sq km; percentage covered by water and snow/ice; and spatially weighted physical characteristics for neighboring countries. These instruments perform reasonably well for mean temperature and temperature range (both population-weighted and inverse population-weighted) on their own. In these cases, the use of instrumental variables does not alter our conclusions. The variables turn out to be weak instruments for total precipitation and precipitation range on their own or for all climate variables together, but no one has seriously proposed that either total precipitation or precipi- tation range act as proxies for other influences on infrastructure demand. Finally, the analysis using instrumental variables consistently fails to reject the hypothesis that the climate variables—either individually or as a group—can be treated as exog- enous; that is, that the correlation between the climate variables and the error term is zero. A final possibility is that climate variables act as d. instruments for governance variables. One problem is that governance ratings change over time, whereas the climate variables are constant. To get around this, we have computed country averages for the years for which data is available and constructed the correlation matrices for both population-weighted and inverse population- weighted climate variables. Population-weighted mean temperature and precipitation range would be the best instruments, as they have simple corre- lations of -0.41 to -0.49 for the main WGI gover- nance variables—notably government effectiveness, regulatory quality, and rule of law. Population-weighted precipitation and tempera- ture range have very low correlations with the governance variables, and the correlations for the inverse population-weighted variables are signifi- cantly worse than for the population-weighted variables. With squared correlations of 0.2 or less, climate variables would have high standard errors if they were acting as instruments for gover- nance—roughly 5 times the true standard errors for the governance variables—which is difficult to reconcile with the relatively high t-ratios actually obtained. Further, including governance variables in the tests reported below may reduce or increase the F-values for the joint tests on the sets of climate variables, but it does not alter the infer- ence. Overall, our results provide little support for this interpretation. It is not possible to prove a negative. Our analysis cannot demonstrate conclusively that the coefficients on our climate variables reflect the effects of climate per se rather than the indirect influence of other, non-climate, factors. Nonetheless, we would argue that the cumula- tive weight of evidence is strong enough to shift the burden of proof. A key point is that the influence of climate in our infrastructure equations rarely depends upon a single climate variable on its own, whereas argu- ments about the role of climate as a proxy or instrument for other factors focus almost exclusively on mean temperature. There is even less reason to believe that inverse population-weighted climate variables act in this way, since by definition these reflect climate patterns in areas where people do not live and have not lived in large numbers.15 Hence, after extensive and careful investigation, we conclude that the evidence supports the view that climate does and will have a significant influence on future demand for infrastructure. In reaching this conclusion, we have been particularly strict when considering the inclusion of mean temperature (population-weighted and inverse population-weighted) in our projection models, so there has been a bias in favor of omitting these variables unless there was unam- biguous support for retaining them. On that basis, we believe it is reasonable to estimate the Delta-Q compo- nent of adaptation over the full period from 2010 to 2050 on the basis of the demand projections generated by our equations. The primary investigation of alternative specifications is carried out using pooled OLS with Driscoll-Kraay stan- dard errors, which allow for a general pattern of spatial dependence between countries (Driscoll and Kraay 1998; Hoechle 2007).16 In the case of the proportions of the population covered by electricity, water, and sewer networks, the dependent variable is the logit of the rele- vant shares in order to translate values between 0 and 1 to the entire real line. It is necessary to censor values that are reported as either 0 or 1 in order to avoid degeneracy. Thus, the minimum and maximum values correspond to shares of 0.001 and 0.999, as the shares are reported to the nearest 0.1 of a percentage point. A panel tobit model has been used to estimate the demand equations for coverage rates for which a 15 The absolute values of the correlation coefficients between the logs of similarly weighted climate variables are less than 0.66 across our sample of countries, with the sole exception of total precipitation and precipitation range (see Table 1). Both temperature and precipitation are negatively correlated with temperature range. The correlation coefficients between population-weighted and inverse populationweighted variables range from 0.78 to 0.83, with the exception of temperature range, for which the value is 0.94. In view of this last correlation, we have excluded the inverse-population weighted temperature range from the analysis. 16 Driscoll-Kraay standard errors are robust to panel heteroscedasticity and temporal autocorrelation as well as spatial interdependence. The estimation is carried out using Hoechle's xtscc procedure in Stata, which generalizes the Driscoll-Kraay estimator to allow for unbalanced panels. There is an important feature of the Driscoll-Kraay/Hoechle procedure that needs to be kept in mind. The method relies upon the derivation of a robust covariance matrix for a sequence of cross-sectional averages. The panels used for our analysis of some categories of infrastructure are very unbalanced and do not span continuous periods of time. Nonetheless, cross-sectional averages can be calculated for more than 25 years. The sample of countries in each cross-sectional average differs, but this is consistent with the way in which the covariance estimator is specified. Thus, even though the Driscoll-Kraay analysis relies upon asymptotics as T→∞, the nature of our data is significant fraction of observations are censored from above with the upper limit equal to logit (0.999). In addition to climate variables, the explanatory variables in the base models are: Log of population - Logs of GDP per person at 2005 PPP, country size, - and urban population as percentage of total population plus quadratic terms in these variables Log of a cross-country building cost index with the - U.S.=1.0 Logs of the proportions of land area that are desert, - arid, semi-arid, steep, very steep, and have no soil constraints for agriculture—obtained from FAO's Terrastat database Logs of the birth rate and infant mortality for - 1950-54 Dummy variables for World Bank regions. - The last two groups of variables are retained in all models. Tests for the inclusion of non-climate and climate variables are performed separately. At the first stage, the non-climate variables are tested for signifi- cance in a model containing the seven climate vari- ables—pop and ipop variants other than temperature range. After dropping non-climate variables that do not have significant coefficients, tests on the hypotheses that the coefficients for (a) the population-weighted climate variables, (b) the inverse population-weighted climate variables, and (c) all climate variables are all equal to zero are carried out. If one or more of these hypotheses are rejected, the set of climate variables included in the model is reduced by first dropping either the pop or the ipop variants and then those vari- ables within each category that do not have significant coefficients. Finally, interactions with GDP and urban- ization are tested for the climate variables that have been retained. Finally, we have used total, urban, or rural population weights (as appropriate) in estimating equations for which the dependent variable is the log or logit of an infrastructure indicator per person or per household; for example, municipal industrial water use per person, average household size, or the percentages of households connected to electricity, water, or sewer networks. In all cases, the weights are normalized to sum to the number of observations used for the analysis. ## 5. The Effects Of Climate On Demand For Infrastructure the inverse population-weighted climate variables. The rejection of the hypothesis of zero coefficients is partic- ularly strong for the inverse-population weighted climate variables; this is reinforced by the higher values of the t-ratios for these coefficients. The only climate variable with a coefficient that is not significantly different from zero is population-weighted mean temperature. On the other hand, both temperature range and inverse population-weighted mean tempera- ture have coefficients that are highly significant. The signs of the coefficients differ, but these variables are negatively correlated (see Table 1) so that warmer coun- tries tend to have less generating capacity, holding other factors constant. Electricity generating capacity. Model (1) in Table 2 shows that the tests for the joint significance of the climate variables reject the hypothesis of zero coefficients decisively for both the population-weighted and | Ln(Generating capacity) | Ln(Fixed telephone lines) | |---------------------------|-----------------------------| | Logit(Urban | | | electricity coverage) | | | Logit(Rural | | | electricity coverage) | | | Variables | (1) | | Ln(Population) | 0.954*** | | (0.028) | (0.021) | | Ln(GDP per per- | | | son) | | | 0.975*** | 0.926*** | | (0.141) | (0.129) | | Ln(Country size) | 1.111*** | | (0.137) | (0.117) | | Ln(% urban) | 2.936*** | | (0.563) | (0.711) | | Ln(% urban) | | | squared | | | 0.324*** | 0.309*** | | (0.050) | (0.044) | | Ln(GDP per per- | | | son) * | | | -0.115*** | -0.108*** | | Ln(Country | | | size) | | | (0.014) | (0.012) | | Ln(GDP per per- | | | son) * | | | -0.239*** | -0.226*** | | Ln(% urban) | (0.056) | | Ln(Country size) * | 0.131*** | | Ln(% urban) | (0.027) | | Ln(Generating capacity) | Ln(Fixed telephone lines) | |---------------------------|-----------------------------| | Logit(Urban | | | electricity coverage) | | | Logit(Rural | | | electricity coverage) | | | Variables | (1) | | Ln(Building cost) | -1.878*** | | (0.289) | (0.284) | | Ln(% desert) | 0.0276*** | | (0.004) | (0.005) | | Ln(% semi-arid) | -0.0378*** | | (0.011) | (0.011) | | Ln(% steep land) | -0.107*** | | (0.008) | (0.012) | | Ln(% very steep | | | land) | | | 0.0947*** | 0.0792*** | | (0.008) | (0.007) | | Ln(% no soil con- | | | straint) | | | -0.0522*** | -0.0414*** | | (0.010) | (0.008) | | Ln(Temperature - | | | pop) | | | -0.837 | -2.158*** | | (0.480) | (0.202) | | Ln(Precipitation - | | | pop) | | | 0.395*** | 0.152*** | | (0.069) | (0.040) | | Ln(Temp range - | | | pop) | | | 0.313** | 0.386*** | | (0.103) | (0.074) | | Ln(Precip range - | | | pop) | | | -0.431*** | -0.272*** | | 1.388*** | | | (0.055) | (0.052) | | Ln(Temperature - | | | ipop) | | | -1.057*** | -1.447*** | | -13.65*** | | | (0.137) | (0.125) | | Ln(Precipitation - | | | ipop) | | | -0.272*** | -0.269*** | | (0.045) | (0.036) | | Ln(Precip range - | | | ipop) | | | 0.479*** | 0.468*** | | (0.055) | (0.048) | | Ln(% urban) * | -1.006** | | | | | Ln(Temperature - | | | pop) | | | (0.363) | | | Ln(Generating capacity) | Ln(Fixed telephone lines) | |---------------------------|-----------------------------| | Logit(Urban | | | electricity coverage) | | | Logit(Rural | | | electricity coverage) | | | Variables | (1) | | Ln(% urban) * | -0.388*** | | | | | Ln(Precipitation - | | | pop) | | | (0.050) | | | Ln(% urban) * | 0.328*** | | | | | Ln(Temp range - | | | pop) | | | (0.070) | | | Ln(% urban) * | 0.270*** | | | | | Ln(Precip range - | | | pop) | | | (0.066) | (0.031) | | Ln(% urban) * | 0.862*** | | | | | Ln(Temperature - | | | ipop) | | | (0.102) | (1.151) | | Ln(% urban) * | -0.0749*** | | Ln(Precip | | | range - ipop) | | | (0.009) | | | Model | POLS | | Observations | 6027 | | Number of coun- | | | tries | | | 165 | 165 | | R-squared | 0.923 | | Log-likelihood | -250.6 | | DF | 26 | | No of censored | | | obs | | | 716 | 716 | | P-value for all cli- | | | mate variables = | | | 0 | | | 0.000 | 0.000 | | P-value for pop | | | climate variables | | | = 0 | | | 0.000 | 0.000 | | P-value for ipop | | | climate variables | | | = 0 | | | 0.000 | 0.000 | Note: Standard errors are shown in brackets underneath the relevant coefficients with *** p < 0.001, ** p < 0.01, * p < 0.05. In addition to the variables shown, all of the equations include the following explanatory variables: ln(birthrate 1950), ln(infant mortality 1950) and dummy variables for World Bank regions. Source: Authors' estimates. Overall, however, temperature and temperature range are less important influences on the amount of generating capacity than precipitation and precipitation range together with their interactions with urbanization. There are various mechanisms by which precipitation may affect installed capacity. One factor is the role of hydro power in total electricity supply, since utilization factors tend to be lower for hydro plants. Another is the role of pumped irrigation systems and similar influences on patterns of electricity demand in countries with high interseasonal variations in rainfall. Even though the absolute values of the coefficients for precipitation and precipitation range are smaller than the equivalent coefficients for temperature, these variables have an important effect in the calculation of the Delta-Q changes because the distributions of changes in total precipitation and precipitation range are much more dispersed and much larger relative to their historic values than are the equivalent distributions for temperature. Fixed telephone lines. The projection equations for fixed telephone lines are reported as Models (3) & (4) in Table 2. Again, the hypotheses of zero coefficients for climate variables are decisively rejected, particularly for the population-weighted variables, with mean temperature, temperature range, and precipitation range all having significant coefficients. There are strong interactions with urbanization, so that the impact of climate change on demand for telephones varies markedly both within and across country classes. Electricity network coverage. Models (5) through (8) in Table 2 show the estimated equations for the logits of electricity coverage for urban and rural households weighted by the relevant populations in 2005.17 Panel tobit models are used with an upper censoring value corresponding to a coverage of 99.9 percent. Since the majority of observations are censored, the number of exogenous variables is reduced in each equation by much more than for electricity generating capacity. Nonetheless, population-weighted precipitation, precipi- tation range, and temperature range clearly warrant inclusion in the equation for urban coverage. For rural coverage, population-weighted precipitation range and inverse population-weighted temperature—on its own and interacted with urbanization—are the key climate variables. The chi-square statistic for the test of zero influence of the temperature variables is 59.7, so that these cannot be excluded. Water use. The dependent variables for water use are the logs of water abstractions per person for municipal and industrial use, which are derived from FAO data. This includes water that is lost in treatment and in water supply networks. Models (1) and (2) in Table 3 summarize the results of the econometric analysis for municipal water use per person. In this case, the tests for the joint significance of the climate variables reject the hypothesis of zero coefficients decisively for the population-weighted variables, but not for the inverse population-weighted variables. The best specification includes population-weighted precipitation and precipi- tation range. Another point to note is the quadratic in GDP per person. The results seem to be intuitively reasonable, reflecting rainfall patterns where people live and the effect of changes in GDP on water use. The quadratic terms in GDP per person imply that water consumption per person reaches a peak at an income of about $12,000 per capita in 2005 PPP, and falls gradu- ally as countries get richer beyond this point. Models (3) and (4) in Table 3 summarize the results for industrial water use per person. In this case, the tests reject the hypotheses that the population-weighted and/ or inverse population-weighted climate variables have zero coefficients. The detailed investigation identifies population-weighted temperature range and precipita- tion range plus inverse population-weighted precipita- tion and precipitation range as having significant coefficients. There are significant interactions between the inverse-population weighted climate variables and GDP per person with urbanization. Use of water in industry is a derived demand, so the influence of climate variables operates through the scale and location of food processing and similar resource-based industries. Hence, it is climate conditions in rural and thinly popu- lated areas that have a significant influence. Water and sewer connections. Table 4 summarizes the results for coverage rates of piped water supply and | | | | Ln(Municipal water use per person) | Ln(Industrial water use per person) | |----------------------------|-----------|-----------|--------------------------------------|---------------------------------------| | Variables | (1) | (2) | (3) | (4) | | Ln(GDP per person) | 2.159** | 2.000** | 3.455** | 2.953* | | (0.679) | (0.632) | (1.073) | (1.197) | | | Ln(Country size) | | | | | | Ln(% urban) | 0.530*** | 0.559*** | | | | (0.071) | (0.067) | | | | | Ln(GDP per person) squared | -0.115** | -0.105** | -0.191** | -0.219*** | | (0.039) | (0.036) | (0.064) | (0.064) | | | Ln(Building cost) | -2.477*** | -2.342* | | | | (0.662) | (0.904) | | | | | Ln(% steep land) | 0.970*** | 0.943*** | | | | (0.124) | (0.100) | | | | | Ln(% very steep land) | 0.152*** | 0.156*** | -0.225*** | -0.183** | | (0.023) | (0.032) | (0.054) | (0.059) | | | Ln(% no soil constraint) | -0.265*** | -0.156*** | | | | (0.040) | (0.027) | | | | | Ln(Temperature - pop) | 0.923* | -0.027 | | | | (0.391) | (1.219) | | | | | Ln(Precipitation - pop) | -0.150 | -0.306*** | 0.456 | | | (0.173) | (0.087) | (0.354) | | | | Ln(Temp range - pop) | 0.459** | 2.091*** | 2.003*** | | | (0.163) | (0.294) | (0.221) | | | | Ln(Precip range - pop) | 0.205 | 0.367*** | -0.819* | -0.594*** | | (0.175) | (0.103) | (0.323) | (0.127) | | | Ln(Temperature - ipop) | 0.079 | -0.842 | | | | (0.239) | (0.592) | | | | | Ln(Precipitation - ipop) | 0.102 | -0.512* | -5.318*** | | | (0.081) | (0.240) | (0.836) | | | | Ln(Precip range - ipop) | -0.054 | 0.902** | 5.682*** | | | (0.103) | (0.287) | (0.931) | | | | Ln(GDP per person) * | 0.577*** | | | | | Ln(Precipitation - ipop) | (0.099) | | | | | Ln(GDP per person) * | -0.577*** | | | | | Ln(Precip range - ipop) | (0.107) | | | | | Model | POLS | POLS | POLS | POLS | | Observations | 368 | 368 | 337 | 337 | | Number of countries | 161 | 161 | 158 | 158 | | | | | Ln(Municipal water use per person) | Ln(Industrial water use per person) | |---------------------------------------|-------|-------|--------------------------------------|---------------------------------------| | Variables | (1) | (2) | (3) | (4) | | R-squared | 0.980 | 0.979 | 0.954 | 0.955 | | Log-likelihood | | | | | | DF | 19 | 14 | 19 | 18 | | No of censored obs | | | | | | P-value for all climate variables = 0 | 0.000 | 0.000 | | | | P-value for pop climate | | | | | | variables = 0 | | | | | | 0.000 | 0.000 | | | | | P-value for ipop climate | | | | | | variables = 0 | | | | | | 0.087 | 0.000 | | | | Note: Standard errors are shown in brackets underneath the relevant coefficients with *** p < 0.001, ** p < 0.01, * p < 0.05. In addition to the variables shown, all of the equations include the following explanatory variables: ln(birthrate 1950), ln(infant mortality 1950) and dummy variables for World Bank regions. Source: Authors' estimates. sewer networks in urban and rural areas. Models (1) to (6) are based upon panel tobit estimation, allowing for the upper censoring of countries with reported coverage of 99.9 percent or higher. In general, populationweighted climate variables have a significant influence on coverage rates in urban areas, while inverse population-weighted climate variables are more important in rural areas. The only exception is rural water supply, for which both sets of climate variables are significant. Interactions with GDP per person and urbanization are not significant. Since coverage rates for piped water supply are close to or equal to 99.9 percent in high income countries, changes in climate variables will not have any effect on costs of adaptation in many countries. However, changes in average temperature—and precipitation for rural households—may affect the numbers of households connected to collective sewer systems.18 For the purpose of costing wastewater treatment, we have assumed that the BOD/COD concentration and other characteristics of sewage handled by wastewater treatment plants correspond to typical values for munic- ipal wastewater. This implies that industries will be expected to process wastewater with high concentra- tions of industrial pollutants. Further, it is assumed that wastewater treatment plants are scaled to process 80 percent of the volume of water treated by water treat- ment plants, allowing for network losses and wastewater that is not discharged to sewers. Roads. Table 5 shows equations for the total length of roads (both paved and unpaved) and for the logit of the share of paved roads in total road length, weighted by total road length in the latter case. The key climate variables affecting the length of roads are temperature and precipitation range—both population-weighted and inverse population-weighted—plus population-weighted temperature range. There are strong interactions with GDP per person for temperature and precipitation tions by assuming that the total numbers of water supply and sewer connection are 10 percent higher than the numbers of household con- nections, based on typical ratios for middle-income countries. Logit(Urban water coverage) Logit(Rural water coverage) Logit(Urban sewer coverage) Logit(Rural water coverage) Variables (1) (2) (3) (4) (5) (6) (7) (8) Ln(Population) 0.353** 0.300* 0.513*** 0.488*** 0.357** 0.278* 0.765*** 0.783*** (0.127) (0.118) (0.113) (0.113) (0.119) (0.117) (0.149) (0.230) Ln(GDP per person) 0.889*** 0.901*** 0.430 0.647 2.576*** 2.629*** 1.405*** 1.407*** (0.150) (0.148) (0.826) (0.824) (0.348) (0.350) (0.346) (0.335) Ln(Country size) -0.580*** -0.539*** 1.327*** 1.439*** 2.035*** 2.161*** -0.636*** -0.635*** (0.112) (0.095) (0.318) (0.314) (0.407) (0.405) (0.102) (0.175) Ln(% urban) -3.744*** -3.797*** 1.388*** 1.371*** 1.247*** 1.226*** (0.995) (0.982) (0.230) (0.229) (0.339) (0.268) Ln(GDP per person) squared 0.157** 0.149** (0.053) (0.053) Ln(GDP per person) * -0.282*** -0.293*** -0.276*** -0.285*** Ln(Country size) (0.035) (0.034) (0.041) (0.042) Ln(GDP per person) * 0.451*** 0.462*** Ln(% urban) (0.131) (0.130) Ln(Building cost) -7.790** -9.089*** 13.91** 14.16* (2.878) (2.607) (4.162) (5.822) Ln(% desert) -0.188* -0.201*** (0.080) (0.051) Ln(% arid land) -0.421*** -0.295*** -0.254*** -0.266*** (0.082) (0.073) (0.053) (0.072) Ln(% semi-arid land) 0.141* 0.162* 0.375*** 0.449*** (0.064) (0.063) (0.075) (0.074) Ln(% no soil constraint) -0.282* -0.422*** (0.114) (0.091) Ln(Temperature - pop) -8.469*** -8.000*** -0.351 -5.950** -7.603*** 0.281 (2.303) (1.352) (2.406) (2.128) (1.452) (3.102) Ln(Precipitation - pop) -0.262 -1.690** -1.319*** 0.128 0.149 (0.530) (0.570) (0.214) (0.529) (0.625) Ln(Temp range - pop) -0.693 -1.793* -1.498** -0.119 -0.023 (0.742) (0.767) (0.484) (0.747) (0.325) Ln(Precip range - pop) -1.184* -1.500*** 0.870 0.288 -0.413 (0.517) (0.238) (0.593) (0.531) (0.823) Ln(Temperature - ipop) -0.761 -6.472*** -6.385*** -1.098 -3.842*** -3.745*** (1.033) (0.947) (0.863) (0.889) (0.864) (0.485) Ln(Precipitation - ipop) -0.017 0.131 -0.283 -0.981*** -0.855*** (0.375) (0.381) (0.356) (0.190) (0.085) Logit(Urban water coverage) Logit(Rural water coverage) Logit(Urban sewer coverage) Logit(Rural water coverage) Variables (1) (2) (3) (4) (5) (6) (7) (8) Ln(Precip range - ipop) -0.084 -0.486 -0.429 0.255 (0.416) (0.425) (0.430) (0.269) Model Tobit Tobit Tobit Tobit Tobit Tobit POLS POLS Observations 582 582 547 547 318 318 272 272 Number of countries 157 157 155 155 140 140 124 124 R-squared 0.901 0.901 Log-likelihood -452.1 -452.9 -461.5 -464.7 -327.0 -335.1 DF 21 16 21 17 21 15 20 15 No of censored obs 94 94 36 36 10 10 P-value for all climate variables = 0 0.000 0.000 0.000 0.000 P-value for pop climate variables = 0 0.000 0.000 0.024 0.021 P-value for ipop climate variables = 0 0.854 0.001 0.002 0.000 Note: Standard errors are shown in brackets underneath the relevant coefficients with *** p < 0.001, ** p < 0.01, * p < 0.05. In addition to the variables shown, all of the equations include the following explanatory variables: ln(birthrate 1950), ln(infant mortality 1950) and dummy variables for World Bank regions. Source: Authors' estimates. | | | | Ln(Total road length) | Logit(Share of paved roads) | |--------------------------|-----------|------------|-------------------------|-------------------------------| | Variables | (1) | (2) | (3) | (4) | | Ln(Population) | 0.584*** | 0.590*** | 0.599*** | 0.668*** | | (0.004) | (0.005) | (0.057) | (0.064) | | | Ln(GDP per person) | -0.042 | 2.070*** | 1.980*** | 8.010*** | | (0.034) | (0.098) | (0.094) | (0.781) | | | Ln(Country size) | -0.0931* | -0.007 | 3.645*** | 0.081 | | (0.045) | (0.029) | (0.473) | (0.300) | | | Ln(% urban) | 0.395*** | 0.786*** | -2.207*** | -0.845 | | (0.069) | (0.074) | (0.389) | (0.520) | | | Ln(Country size) squared | 0.0166*** | 0.0175*** | -0.108*** | -0.0668*** | | (0.002) | (0.001) | (0.019) | (0.013) | | | Ln(% urban) squared | -0.155*** | -0.0581*** | | | | (0.015) | (0.010) | | | | | | | | Ln(Total road length) | Logit(Share of paved roads) | |--------------------------|------------|------------|-------------------------|-------------------------------| | Variables | (1) | (2) | (3) | (4) | | Ln(GDP per person) * | 0.0331*** | 0.0217*** | -0.316*** | 0.010 | | Ln(Country size) | (0.003) | (0.002) | (0.023) | (0.023) | | Ln(GDP per person) * | -0.105*** | -0.199*** | | | | Ln(% urban) | (0.006) | (0.012) | | | | Ln(Country size) * | 0.434*** | 0.036 | | | | Ln(% urban) | (0.053) | (0.037) | | | | Ln(Building cost) | -11.84*** | -9.597*** | | | | Ln(% desert) | 0.0347*** | 0.0546*** | -0.157*** | -0.232*** | | (0.009) | (0.006) | (0.025) | (0.033) | | | Ln(% arid) | 0.396*** | 0.371*** | | | | Ln(% semi-arid) | -0.0492*** | -0.0503*** | | | | (0.005) | (0.004) | | | | | Ln(% steep land) | 0.100*** | 0.0660*** | | | | (0.013) | (0.011) | | | | | Ln(% very steep land) | -0.0245*** | -0.0111*** | 0.196*** | 0.174*** | | (0.004) | (0.002) | (0.040) | (0.045) | | | Ln(% no soil constraint) | 0.0279*** | 0.0402*** | | | | (0.006) | (0.005) | | | | | Ln(Temperature - pop) | -1.267*** | 1.589*** | 2.041 | | | (0.190) | (0.424) | (1.121) | | | | Ln(Precipitation - pop) | 0.017 | 0.262 | | | | (0.030) | (0.242) | | | | | Ln(Temp range - pop) | -0.108** | -0.208*** | -2.074*** | 16.46*** | | (0.038) | (0.042) | (0.106) | (1.595) | | | Ln(Precip range - pop) | -0.170** | -0.154*** | -2.099*** | 0.663* | | (0.055) | (0.028) | (0.319) | (0.315) | | | Ln(Temperature - ipop) | 0.593*** | 0.684*** | -2.213*** | -1.829*** | | (0.141) | (0.145) | (0.530) | (0.256) | | | Ln(Precipitation - ipop) | 0.039 | -0.646*** | | | | (0.069) | (0.176) | | | | | Ln(Precip range - ipop) | 0.156* | 1.334*** | 0.976*** | | | (0.060) | (0.070) | (0.071) | | | | Ln(% urban) * | 0.110*** | | | | | Ln(Precip range - pop) | (0.011) | | | | | Ln(GDP per person) * | -0.373*** | | | | | Ln(Temperature - pop) | (0.025) | | | | | (0.778) | (0.527) | | | | | (0.041) | (0.065) | | | | | | | | Ln(Total road length) | Logit(Share of paved roads) | |----------------------------------------|-----------|-------|-------------------------|-------------------------------| | Variables | (1) | (2) | (3) | (4) | | Ln(GDP per person) * | -2.150*** | | | | | Ln(Temp range - pop) | (0.192) | | | | | Ln(GDP per person) * | -0.190*** | | | | | Ln(Precip range - pop) | (0.038) | | | | | Ln(GDP per person) * | -0.127*** | | | | | Ln(Precip range - ipop) | (0.008) | | | | | Model | POLS | POLS | POLS | POLS | | Observations | 2040 | 2040 | 1790 | 1790 | | Number of countries | 182 | 182 | 179 | 179 | | R-squared | 0.922 | 0.926 | 0.816 | 0.822 | | Log-likelihood | | | | | | DF | 27 | 28 | 25 | 23 | | No of censored obs | | | | | | P-value for all climate variables = 0 | 0.000 | 0.000 | | | | P-value for pop climate variables = 0 | 0.000 | 0.000 | | | | P-value for ipop climate variables = 0 | 0.000 | 0.000 | | | Note: Standard errors are shown in brackets underneath the relevant coefficients with *** p < 0.001, ** p < 0.01, * p < 0.05. In addition to the variables shown, all of the equations include the following explanatory variables: ln(birthrate 1950), ln(infant mortality 1950) and dummy variables for World Bank regions. Source: Authors' estimates. GDP per person. In particular, higher temperatures in rural areas—that is, inverse population-weighted temperature—lead to a lower share of paved roads, which is exactly what one would expect in view of the higher costs of construction and maintenance for rural paved roads associated with higher temperatures. range and with urbanization for precipitation range. These climate variables are directly linked to the cost of building and maintaining roads—temperature is particularly important for paved roads subject to heavy use, while temperature and precipitation ranges affect the capital and maintenance costs of both paved and unpaved roads. The fact that both population-weighted and inverse-population weighted climate variables are significant reflects the impact of climate on all types of roads—rural, urban, and national. It is likely that climate may also play a role through the structure of the economy—for example, the nature and role of agricultural production—and through geographical patterns of economic development. Other transport. Table 6 shows the projection equations for rail track length, aircraft movements, and container traffic handled by ports. The last two are indicators used in estimating investments in airports and sea/river ports. With one exception, the tests reject the hypothe- sis of zero coefficients for all climate variables decisively. The exception is for inverse population-weighted climate variables in the rail equation. The primary climate influences are: The share of paved roads in total road length is influenced by the same variables and their interactions with | | | | | Ln(Rail track length) | Ln(Aircraft movements) | Ln(Container traffic) | |--------------------------|-----------|-----------|-----------|-------------------------|--------------------------|-------------------------| | Variables | (1) | (2) | (3) | (4) | (5) | (6) | | Ln(Population) | 0.484*** | 0.472*** | 0.540*** | 0.540*** | 0.649*** | 0.649*** | | (0.043) | (0.041) | (0.035) | (0.032) | (0.034) | (0.023) | | | Ln(GDP per person) | 0.259*** | 0.971 | 0.710*** | 0.692*** | 0.005 | -2.830*** | | (0.053) | (0.741) | (0.065) | (0.066) | (0.074) | (0.748) | | | Ln(Country size) | 0.425*** | 0.405*** | -0.184*** | -0.167*** | -2.751*** | -3.495*** | | (0.076) | (0.049) | (0.030) | (0.030) | (0.195) | (0.363) | | | Ln(% urban) | -0.315 | -0.215 | -0.376** | 2.202*** | 3.989*** | -0.071 | | (0.172) | (0.146) | (0.143) | (0.571) | (0.389) | (1.116) | | | Ln(Country size) squared | 0.0337*** | 0.0325*** | 0.0299*** | 0.0278*** | | | | Ln(% urban) squared | -0.112* | 1.090*** | 1.563*** | | | | | Ln(GDP per person) * | 0.222*** | 0.302*** | | | | | | Ln(Country size) | (0.015) | (0.034) | | | | | | Ln(Country size) * | -0.507*** | -0.513*** | | | | | | Ln(% urban) | (0.021) | (0.026) | | | | | | Ln(Building cost) | -3.062*** | -2.936*** | | | | | | (0.349) | (0.339) | | | | | | | Ln(% desert) | 0.0862*** | 0.0728*** | 0.266*** | 0.223*** | | | | Ln(% arid) | -0.333*** | -0.363*** | | | | | | Ln(% semi-arid) | 0.0404*** | 0.0710*** | | | | | | Ln(% steep land) | -0.132*** | -0.144*** | | | | | | Ln(% very steep land) | 0.0743*** | 0.0819*** | | | | | | Ln(Temperature - pop) | -2.235*** | 3.225* | -0.466 | 0.712* | | | | (0.660) | (1.288) | (0.334) | (0.307) | | | | | Ln(Precipitation - pop) | 0.362*** | -1.378*** | -0.396*** | -0.351*** | 0.591*** | 0.909*** | | (0.035) | (0.153) | (0.102) | (0.080) | (0.140) | (0.124) | | | Ln(Temp range - pop) | 0.939*** | -0.797 | -1.038*** | -1.400*** | 0.232 | | | (0.183) | (0.512) | (0.131) | (0.111) | (0.170) | | | | Ln(Precip range - pop) | -0.175 | 0.373*** | 0.313*** | 0.035 | | | | (0.123) | (0.053) | (0.044) | (0.079) | | | | | Ln(Temperature - ipop) | 0.814 | -1.005*** | -1.084*** | -0.906*** | -6.590*** | | | (0.745) | (0.114) | (0.091) | (0.093) | (1.305) | | | | (0.003) | (0.003) | (0.003) | (0.003) | | | | | (0.047) | (0.168) | (0.171) | | | | | | (0.021) | (0.020) | (0.009) | (0.015) | | | | | (0.012) | (0.011) | | | | | | | (0.006) | (0.004) | | | | | | | (0.029) | (0.032) | | | | | | | (0.010) | (0.011) | | | | | | | | | | | Ln(Rail track length) | Ln(Aircraft movements) | Ln(Container traffic) | |----------------------------------------|-----------|-----------|---------|-------------------------|--------------------------|-------------------------| | Variables | (1) | (2) | (3) | (4) | (5) | (6) | | Ln(Precipitation - ipop) | 0.149 | 0.326*** | 0.026 | 0.429*** | 0.261*** | | | (0.133) | (0.046) | (0.072) | (0.075) | (0.051) | | | | Ln(Precip range - ipop) | -0.217 | -0.183*** | 0.060 | -0.457*** | -0.326*** | | | (0.174) | (0.041) | (0.059) | (0.034) | (0.058) | | | | Ln(% urban) * | 0.707*** | | | | | | | Ln(Precipitation - pop) | (0.163) | | | | | | | Ln(% urban) * | -0.508*** | | | | | | | Ln(Temp range - pop) | (0.074) | | | | | | | Ln(% urban) * | -0.354*** | | | | | | | Ln(Precipitation - ipop) | (0.089) | | | | | | | Ln(% urban) * | 0.324*** | | | | | | | Ln(Precip range - ipop) | (0.058) | | | | | | | Ln(GDP per person) * | -0.580*** | | | | | | | Ln(Temperature - pop) | (0.156) | | | | | | | Ln(GDP per person) * | 0.167*** | | | | | | | Ln(Precipitation - pop) | (0.014) | | | | | | | Ln(GDP per person) * | 0.159** | | | | | | | Ln(Temp range - pop) | (0.051) | | | | | | | Ln(GDP per person) * | 0.612*** | | | | | | | Ln(Temperature - ipop) | (0.139) | | | | | | | Model | POLS | POLS | POLS | POLS | POLS | POLS | | Observations | 1969 | 1969 | 5040 | 5040 | 407 | 407 | | Number of countries | 133 | 133 | 175 | 175 | 69 | 69 | | R-squared | 0.741 | 0.740 | 0.831 | 0.833 | 0.805 | 0.822 | | Log-likelihood | | | | | | | | DF | 19 | 18 | 23 | 24 | 25 | 24 | | No of censored obs | | | | | | | | P-value for all climate variables = 0 | 0.000 | 0.000 | 0.000 | | | | | P-value for pop climate variables = 0 | 0.000 | 0.000 | 0.000 | | | | | P-value for ipop climate variables = 0 | 0.040 | 0.000 | 0.000 | | | | Note: Standard errors are shown in brackets underneath the relevant coefficients with *** p < 0.001, ** p < 0.01, * p < 0.05. In addition to the variables shown, all of the equations include the following explanatory variables: ln(birthrate 1950), ln(infant mortality 1950) and dummy variables for World Bank regions. Source: Authors' estimates. Rail length—temperature, precipitation, and a. temperature range, both on their own and interacted with GDP per person movement will be affected by factors such as the amount and distribution of tourism (both internal and external), the dispersion and nature of natural-resource based industries, and the availability of alternative methods of transport. Aircraft movements—all climate variables other b. than population-weighted temperature plus interactions with urbanization Container traffic—both precipitation variables, c. inverse population-weighted temperature, and precipitation plus interactions with urbanization and GDP per person. Health care. Our analysis of adaptation costs relies upon two health care inputs—the numbers of hospital beds and physicians —as indicators used in assessing the baseline cost of health infrastructure (hospitals and clinics) and the impact of climate change. The projec- tion equations are shown in Models (1) through (4) of Table 7. In addition, Models (5) and (6) report equa- tions for one important indicator of health outcomes— the log of the infant mortality rate. In these cases, there is no easy explanation for the results since it is clear that there are multiple influences on the indicators. For example, the number of aircraft | | | | | Ln(No of hospital beds) | Ln(No of doctors) | Ln(Infant mortality rate) | |----------------------------|------------|------------|------------|---------------------------|---------------------|-----------------------------| | Variables | (1) | (2) | (3) | (4) | (5) | (6) | | Ln(Population 0-14) | 0.283** | 0.323*** | -0.520*** | -0.558** | 1.423*** | 1.444*** | | (0.099) | (0.060) | (0.135) | (0.187) | (0.116) | (0.129) | | | Ln(Population 15-64) | 0.881*** | 0.736*** | 1.300*** | 1.196*** | -0.982*** | -0.964*** | | (0.131) | (0.064) | (0.120) | (0.182) | (0.132) | (0.143) | | | Ln(Population 65+) | -0.224*** | -0.128*** | 0.275*** | 0.391*** | -0.475*** | -0.508*** | | (0.032) | (0.023) | (0.045) | (0.034) | (0.035) | (0.033) | | | Ln(GDP per person) | 1.721*** | -2.680*** | 0.246** | -4.951*** | 0.928* | 0.947* | | (0.327) | (0.605) | (0.080) | (0.589) | (0.390) | (0.384) | | | Ln(Country size) | -0.155*** | -0.0984*** | 0.364*** | 0.147** | 0.105*** | 0.109*** | | (0.021) | (0.021) | (0.106) | (0.046) | (0.031) | (0.031) | | | Ln(% urban) | -0.094 | 1.077*** | 1.301*** | -0.165*** | 1.738** | | | (0.072) | (0.211) | (0.162) | (0.031) | (0.584) | | | | Ln(GDP per person) squared | -0.100*** | -0.0853*** | -0.0661** | -0.0661** | | | | (0.019) | (0.010) | (0.023) | (0.023) | | | | | Ln(Country size) squared | 0.0173*** | 0.0124*** | 0.0111*** | 0.0116*** | | | | (0.002) | (0.001) | (0.001) | (0.001) | | | | | Ln(GDP per person) * | -0.0454*** | -0.0185*** | -0.0172*** | -0.0186*** | | | | Ln(Country size) | (0.011) | (0.004) | (0.004) | (0.004) | | | | Ln(GDP per person) * | -0.118*** | -0.130*** | | | | | | Ln(% urban) | (0.027) | (0.024) | | | | | | Ln(Country size) * | 0.0966*** | 0.0642*** | | | | | | Ln(% urban) | (0.015) | (0.010) | | | | | | | | | | Ln(No of hospital beds) | Ln(No of doctors) | Ln(Infant mortality rate) | |--------------------------------|-----------|-----------|-----------|---------------------------|---------------------|-----------------------------| | Variables | (1) | (2) | (3) | (4) | (5) | (6) | | Ln(% arid) | 0.0627*** | 0.0462*** | | | | | | (0.011) | (0.007) | | | | | | | Ln(% very steep land) | 0.0306*** | 0.0244*** | | | | | | (0.005) | (0.006) | | | | | | | Ln(Temperature - pop) | -1.275*** | -10.13*** | -1.512*** | -7.442*** | 0.954*** | 0.345 | | (0.084) | (1.416) | (0.173) | (1.432) | (0.142) | (0.216) | | | Ln(Precipitation - pop) | -0.275*** | -0.357*** | -0.244*** | 0.054 | | | | (0.079) | (0.040) | (0.031) | (0.047) | | | | | Ln(Temp range - pop) | 0.011 | -0.037 | 0.263*** | 0.203*** | | | | (0.102) | (0.044) | (0.052) | (0.053) | | | | | Ln(Precip range - pop) | 0.168* | 0.0722* | -0.102* | | | | | (0.080) | (0.035) | (0.049) | | | | | | Ln(Temperature - ipop) | 0.102 | -0.276* | -5.061*** | -0.262*** | -0.208*** | | | (0.110) | (0.113) | (1.114) | (0.049) | (0.047) | | | | Ln(Precipitation - ipop) | 0.164* | 0.0756*** | -0.0824* | 0.0911** | 0.0622** | | | (0.079) | (0.021) | (0.039) | (0.034) | (0.020) | | | | Ln(Precip range - ipop) | -0.039 | 0.104** | -0.028 | | | | | (0.058) | (0.037) | (0.044) | | | | | | Ln(% urban) * | -0.463** | | | | | | | Ln(Temperature - pop) | (0.139) | | | | | | | Ln(GDP per person) * | 1.022*** | 0.709*** | | | | | | Ln(Temperature - pop) | (0.159) | (0.162) | | | | | | Ln(GDP per person) * | 0.536*** | | | | | | | Ln(Temperature - ipop) | (0.125) | | | | | | | Model | POLS | POLS | POLS | POLS | POLS | POLS | | Observations | 1852 | 1852 | 2650 | 2650 | 2486 | 2486 | | Number of countries | 177 | 177 | 180 | 180 | 177 | 177 | | R-squared | 0.936 | 0.939 | 0.950 | 0.955 | 0.917 | 0.917 | | Log-likelihood | | | | | | | | DF | 22 | 17 | 25 | 23 | 24 | 22 | | No of censored obs | | | | | | | | P-value for all climate vari- | | | | | | | | ables = 0 | | | | | | | | 0.000 | 0.000 | 0.000 | | | | | | P-value for pop climate vari- | | | | | | | | ables = 0 | | | | | | | | 0.000 | 0.000 | 0.000 | | | | | | P-value for ipop climate vari- | | | | | | | | ables = 0 | | | | | | | | 0.000 | 0.000 | 0.000 | | | | | Note: Standard errors are shown in brackets underneath the relevant coefficients with *** p < 0.001, ** p < 0.01, * p < 0.05. In addition to the variables shown, all of the equations include the following explanatory variables: ln(birthrate 1950), ln(infant mortality 1950) and dummy variables for World Bank regions. Source: Authors' estimates. Again, the hypothesis that climate variables have no effect on either health inputs or health outcomes is consistently rejected at very high confidence levels. Hospital beds—Population-weighted temperature a. on its own and interacted with GDP per person plus inverse population-weighted precipitation are the key variables in this case. The overall coeffi- cient (elasticity) on mean temperature increases— from -3.07 for a low-income country with a GDP per person of $1,000, to -0.72 for a middle- income country with a GDP of $10,000 per person, and to +0.70 for a high-income country with a GDP of $40,000 per person. Thus, it is easy to be misled by simple assumptions about how climate "ought" to affect investment in healthcare facilities that are based on experience in a narrow range of countries. The coefficient on precipitation is positive but quite small. It is possible that this reflects an increased need for dispersed hospital facilities when communications are subject to disruption caused by high rainfall. Doctors —The results for the number of doctors b. are similar to those for hospital beds, but the influence of temperature is divided between popu- lation and inverse population-weight variables. This seems reasonable since hospitals are invari- ably located in urban areas, whereas doctors may be more dispersed, though this is not the case in the poorest countries. Again, the interactions with GDP per person mean that the overall coefficients switch from negative to positive at a GDP per person of $12,600 for inverse population-weighted temperature, and at a GDP per person of $36,200 | | | | Ln(No of teachers) | Ln(No of post offices) | |----------------------|----------|----------|----------------------|--------------------------| | Variables | (1) | (2) | (3) | (4) | | Ln(Population 0-14) | 0.360*** | 0.397*** | 0.276*** | 0.366*** | | (0.062) | (0.074) | (0.065) | (0.060) | | | Ln(Population 15-64) | 0.670*** | 0.544*** | 0.363*** | 0.048 | | (0.115) | (0.132) | (0.099) | (0.091) | | for population-weighted temperature. How this works out country-by-country depends upon the temperature distribution across heavily and thinly populated areas. In this case, the coefficient on precipitation is negative and is linked to the popu- lation-weighted variable. Infant-mortality—This is influenced by tempera- c. ture, including an interaction with urbanization plus temperature range and inverse population- weighted precipitation. The signs of the coeffi- cients on temperature can be misinterpreted. Assuming that temperature increases (or decreases) uniformly throughout a country, the net coefficient on temperature is +0.88 for a country with an urbanization rate of 20 percent, but +0.24 for a country with an urbanization rate of 80 percent. Hence, an increase in mean temperature is likely to increase infant mortality, but by more in low-income countries with low levels of urban- ization than in middle- and high-income coun- tries with higher levels of urbanization. These results conform with a priori expectations. In addition, a higher temperature range and higher precipitation in rural areas tend to increase infant mortality, both of which seem reasonable. Social infrastructure. The number of teachers is used as the indicator for investment in schools, while the number of post offices is used as one indicator for municipal infrastructure. The equations are shown in Table 8. As one would expect, one cannot reject the hypothesis that the inverse population-weighted climate variables have no effect on the number of post offices, which are concentrated in areas of greater population | | | | Ln(No of teachers) | Ln(No of post offices) | |----------------------------|------------|------------|----------------------|--------------------------| | Variables | (1) | (2) | (3) | (4) | | Ln(Population 65+) | -0.059 | 0.029 | 0.231*** | 0.445*** | | (0.042) | (0.048) | (0.032) | (0.030) | | | Ln(Population) | | | | | | Ln(GDP per person) | 0.0878*** | 0.0851*** | 1.977*** | -1.124** | | (0.022) | (0.020) | (0.155) | (0.403) | | | Ln(Country size) | -0.188*** | -0.111*** | -0.0338*** | -0.018 | | (0.011) | (0.014) | (0.010) | (0.011) | | | Ln(% urban) | -0.404*** | -3.032*** | -2.066*** | -2.178*** | | (0.064) | (0.429) | (0.097) | (0.078) | | | Ln(GDP per person) squared | -0.107*** | -0.109*** | | | | (0.009) | (0.009) | | | | | Ln(Country size) squared | 0.00308*** | 0.00191* | 0.0139*** | 0.0133*** | | (0.001) | (0.001) | (0.001) | (0.001) | | | Ln(% urban) squared | -0.222*** | -0.185*** | -0.641*** | -0.701*** | | (0.023) | (0.025) | (0.031) | (0.027) | | | Ln(GDP per person) * | 0.0170*** | 0.0114*** | | | | Ln(Country size) | (0.001) | (0.002) | | | | Ln(Country size) * | 0.0861*** | 0.0729*** | | | | Ln(% urban) | (0.011) | (0.011) | | | | Ln(% desert) | 0.0318*** | 0.013 | | | | (0.007) | (0.007) | | | | | Ln(% arid) | -0.121*** | -0.0989*** | | | | (0.006) | (0.005) | | | | | Ln(% semi-arid) | 0.0423*** | 0.0489*** | | | | (0.006) | (0.007) | | | | | Ln(% steep land) | -0.0549*** | -0.0488*** | | | | (0.012) | (0.013) | | | | | Ln(% very steep land) | 0.0167*** | 0.00934*** | 0.0827*** | 0.0667*** | | (0.003) | (0.003) | (0.006) | (0.010) | | | Ln(% no soil constraint) | 0.0532*** | 0.0314*** | | | | (0.003) | (0.007) | | | | | Ln(Temperature - pop) | -0.923*** | -0.694*** | -2.167*** | -10.35*** | | (0.071) | (0.084) | (0.119) | (0.859) | | | Ln(Precipitation - pop) | -0.130*** | -0.289*** | -0.173** | 0.650*** | | (0.027) | (0.017) | (0.059) | (0.084) | | | Ln(Temp range - pop) | -0.277*** | -0.217*** | -0.518*** | -0.537*** | | (0.017) | (0.026) | (0.066) | (0.047) | | | | | | Ln(No of teachers) | Ln(No of post offices) | |----------------------------------------|-----------|-----------|----------------------|--------------------------| | Variables | (1) | (2) | (3) | (4) | | Ln(Precip range - pop) | -0.125*** | 0.0871*** | -0.058 | | | (0.014) | (0.014) | (0.052) | | | | Ln(Temperature - ipop) | 0.222*** | 0.751*** | -0.110 | | | (0.046) | (0.056) | (0.178) | | | | Ln(Precipitation - ipop) | 0.041 | -0.0824* | | | | (0.028) | (0.038) | | | | | Ln(Precip range - ipop) | -0.022 | 0.068 | | | | (0.031) | (0.046) | | | | | Ln(% urban) * | -0.444*** | | | | | Ln(Precipitation - pop) | (0.043) | | | | | Ln(% urban) * | 0.485*** | | | | | Ln(Precip range - pop) | (0.036) | | | | | Ln(% urban) * | 0.825*** | | | | | Ln(Temperature - ipop) | (0.045) | | | | | Ln(GDP per person) * | 0.931*** | | | | | Ln(Temperature - pop) | (0.112) | | | | | Ln(GDP per person) * | -0.100*** | | | | | Ln(Precipitation - pop) | (0.007) | | | | | Model | POLS | POLS | POLS | POLS | | Observations | 950 | 950 | 3251 | 3251 | | Number of countries | 167 | 167 | 173 | 173 | | R-squared | 0.979 | 0.982 | 0.909 | 0.911 | | Log-likelihood | | | | | | DF | 25 | 26 | 29 | 27 | | No of censored obs | | | | | | P-value for all climate variables = 0 | 0.000 | 0.000 | | | | P-value for pop climate variables = 0 | 0.000 | 0.000 | | | | P-value for ipop climate variables = 0 | 0.000 | 0.065 | | | Note: Standard errors are shown in brackets underneath the relevant coefficients with *** p < 0.001, ** p < 0.01, * p < 0.05. In addition to the variables shown, all of the equations include the following explanatory variables: ln(birthrate 1950), ln(infant mortality 1950) and dummy variables for World Bank regions. Source: Authors' estimates. density. Otherwise the results show a mixture of climate interactions with urbanization for the number of teachers and with GDP per person for post offices. Focusing again on mean temperature in the equation for the number of teachers, the overall coefficients for a uniform increase in temperature are -0.55 for an urbanization rate of 20 percent and -0.02 for an urbanization rate of 80 percent, so the effect of climate on teachers is much larger in low-income and rural countries. This is consistent with the well-established difficulty of equipping and staffing rural schools. Of course, low-income countries today are likely to be much more urban in 2050, so that the cumulative impact of an increase in temperature on the number of teachers will be small even in these cases. Household size. In several cases, the amount of infrastructure is linked to the projected number of households, so it is necessary to rely upon equations that project the average household size in urban and rural areas. These are shown in Table 9. It seems that climate does affect average household sizes. The primary mechanism is that higher temperatures are associated with larger average sizes for both urban and rural households. There is also a significant but quantitatively small impact of precipitation on rural household size. ## 6. Calculating The Cost Of Adaptation The calculation of the cost of adaptation involves a number of steps. The description that follows focuses on investment or capital costs. A similar process is required to estimate changes in the costs of operation and maintenance, both for the baseline level of infrastructure and for changes in infrastructure resulting from changes in climate conditions.19 attempt is made to allow for within-period changes in variables. Some of the demographic variables (urbanization and population age structure) used in the projection equations are based on period averages. Step 1—Construct baseline projections of infrastructure investment. The projection equations discussed in the previous section are used to construct baseline projec- tions of the efficient stock of infrastructure assets for periods from 2010 to 2050 under the assumption of no climate change. The projections of physical infrastruc- ture demand are based upon standard assumptions about income and population growth, population struc- ture, and urbanization. The value of new investment required for infrastructure type i for country j in period t is obtained by multiplying ΔQijt = Qijt+1 - Qijt by Cij, the unit cost of infrastructure type i in country j at 2005 prices. The unit costs have been compiled from a large variety of World Bank and other sources. A stan- dardized construction cost index has been used to allow for broad cross-country differences in construction costs, but allowances are also made for location (urban or rural) and other special factors. In addition to new investment, we have estimated the amount of invest- ment that would be required to replace infrastructure assets that reach the end of their economic life. There is no realistic way of modeling the age structure of assets in situ at the beginning of the analysis. Implementing a full vintage model of infrastructure is not sensible given the uncertainty about other parame- ters in the model. Hence, we have adopted a continu- ous depreciation assumption—that is, in period t the required replacement investment is (5/Li)*Qijt where Li is the typical economic life of infrastructure of type i. Step 2—Add alternative climate scenarios. The data used for the baseline projections is supplemented with projections of the climate variables taken from the climate scenarios that are being used for the whole EACC study. These are constructed as deltas at differ- ent dates with respect to the no-climate-change base- line derived from calculations of monthly average, maximum, and minimum temperatures and precipita- tion. To avoid instability in the projections arising from path-dependency and other effects, the climate variables for 2010 are 20-year averages centered on 2010. These are computed for 2010, 2030, … and then interpolated to give the projections for the 5-year periods. Step 3—Project infrastructure quantities under the alterna- tive climate scenarios. This is similar to the projection of baseline infrastructure quantities in Step 1, but using the climate variables for the alternative climate scenarios. | | | | Ln(Urban household size) | Ln(Rural household size) | |----------------------------|------------|------------|----------------------------|----------------------------| | Variables | (1) | (2) | (3) | (4) | | Ln(Population 0-14) | 0.295*** | 0.353*** | 0.285*** | 0.304*** | | (0.051) | (0.044) | (0.047) | (0.031) | | | Ln(Population 15-64) | -0.247 | -0.357** | -0.208 | -0.258* | | (0.132) | (0.120) | (0.113) | (0.109) | | | Ln(Population 65+) | -0.119 | -0.073 | -0.120 | -0.089 | | (0.099) | (0.094) | (0.084) | (0.096) | | | Ln(GDP per person) | -0.038 | -0.028 | 0.521*** | 0.373** | | (0.028) | (0.027) | (0.150) | (0.112) | | | Ln(Country size) | 0.0254* | 0.0303* | 0.0897*** | 0.0798** | | (0.011) | (0.012) | (0.022) | (0.025) | | | Ln(% urban) | 0.109** | 0.119** | 0.017 | 0.044 | | (0.034) | (0.036) | (0.026) | (0.023) | | | Ln(GDP per person) squared | -0.0292** | -0.0200* | | | | (0.009) | (0.008) | | | | | Ln(GDP per person) * | -0.0112*** | -0.0107*** | | | | Ln(Country size) | (0.002) | (0.003) | | | | Ln(% desert) | -0.0196*** | -0.0212*** | | | | (0.003) | (0.003) | | | | | Ln(% arid) | 0.0152*** | 0.0195*** | | | | (0.004) | (0.004) | | | | | Ln(% semi-arid) | 0.0217*** | 0.0248*** | | | | (0.003) | (0.004) | | | | | Ln(Temperature - pop) | 0.859*** | 0.777*** | 0.844*** | 0.718*** | | (0.140) | (0.138) | (0.178) | (0.111) | | | Ln(Precipitation - pop) | -0.118* | -0.118* | -0.119*** | | | (0.047) | (0.053) | (0.025) | | | | Ln(Temp range - pop) | 0.054 | 0.156 | | | | (0.079) | (0.080) | | | | | Ln(Precip range - pop) | 0.109 | 0.039 | | | | (0.066) | (0.064) | | | | | Ln(Temperature - ipop) | -0.166** | -0.177*** | 0.057 | | | (0.063) | (0.047) | (0.043) | | | | Ln(Precipitation - ipop) | 0.0785*** | 0.0795*** | 0.0296** | | | (0.016) | (0.022) | (0.010) | | | | Ln(Precip range - ipop) | -0.0827*** | -0.0496** | | | | (0.019) | (0.018) | | | | | Model | POLS | POLS | POLS | POLS | | Observations | 322 | 322 | 254 | 254 | |----------------------------------------|---------|---------|---------|---------| | Number of countries | 126 | 126 | 112 | 112 | | R-squared | 0.991 | 0.991 | 0.996 | 0.996 | | Log-likelihood | | | | | | DF | 20 | 15 | 25 | 21 | | No of censored obs | | | | | | P-value for all climate variables = 0 | 0 | 0 | | | | P-value for pop climate variables = 0 | 0 | 0 | | | | P-value for ipop climate variables = 0 | 0 | 0.001 | | | Note: Standard errors are shown in brackets underneath the relevant coefficients with *** p < 0.001, ** p < 0.01, * p < 0.05. In addition to the variables shown, all of the equations include the following explanatory variables: ln(birthrate 1950), ln(infant mortality 1950) and dummy variables for World Bank regions. Source: Authors' estimates. Variant 2 b. assumes that the asset is designed to withstand the worst conditions that it might be exposed to over its life—that is: $$\Delta C_{ijt}=d[\max(V_{jt},...,V_{j,t+L_{j}})]C_{ij}\tag{10}$$ on the assumption that the severity of storms increases monotonically with the relevant climate variable(s) V. Step 4—Apply the dose-response relationship to estimate changes in unit costs for alternative climate scenarios. We calculate the changes in unit costs for infrastructure type i in country j for period t, ΔCijt, using the climate change deltas for the alternative climate scenarios and the dose-response relationships discussed in Appendix 1. There is a complication that has to be considered. This concerns the question of whether the design standards used for infrastructure are—or should be—forward looking. Normal engineering practice does not take account of changes in underlying climate conditions. Thus, in designing for a 100-year storm, the engineer looks at the characteristics of the 100-year storm on the basis of evidence of storms up to the current date. Clearly, this does not allow for changes in the severity of the 100-year storm that might be expected to occur over the life of the asset. There are two possible approaches that can be adopted. Variant 1 a. assumes that the dose-response adjustment to unit costs is calculated using current climate conditions—that is: $$\Delta C_{i j i}=d[V_{j i}]C_{i j}$$ The difficulty with Variant 2 is that it implies that the asset is significantly overdesigned for most of its work- ing life because it will only be exposed to the most severe weather conditions at the very end of its life. In economic terms, Variant 2 is not the optimal solution and it would be sensible to design for the 100-year storm consistent with the expected climate at some earlier date. There is no general solution, since the optimal period to look ahead depends upon both the expected increase in the severity of storms over the future and the shape of the dose-response relationship. For consistency with the analysis of coastal protection, we have modified Variant 2 to look ahead for a fixed period of 50 years. (9) where d[ ] is the dose-response relationship. Step 5—Estimate the change in total investment costs for the baseline projections. This yields the Delta-P estimates of the cost of adaptation for each climate scenario with two variants corresponding to the alternatives at Step 4 above. Step 6—Estimate the change in investment costs due to the difference between the baseline infrastructure quantities and the alternative climate scenario quantities. This yields the Delta-Q estimates of the cost of adaptation for each climate scenario. Step 7—Special adjustments. We have incorporated some special factors in the calculation of the costs of adapting to climate change that could not be represented by the general dose-response relationships. These are: For electricity generation, we have taken account a. of the decrease in the operating efficiency of existing thermal power plants as the ambient temperature increases. The effect is documented in the literature for ambient temperatures above 15°C, though it is possible to design new power plants to include absorption chillers to bring the ambient temperature of the air entering turbines down to 15°C for a relatively minor penalty on operating costs. $$\Delta Q_{ijt}+\Delta R_{ijt}\,\big]\,\big[$$ A and b are equal. Another special factor for electricity generation b. concerns the efficiency and feasibility of water cooling as temperatures increase, because of limits on the temperature rise that can be permitted in the receiving waters. Dry cooling can be adopted either in parallel with wet cooling or as an alternative in particularly hot or dry locations. The model assumes that an increasing proportion of power plants will rely upon dry cooling as average temperatures rise. The operating costs of water treatment plants may c. increase as a result of climate change. Primary attention has focused on the amount of chemicals used for flocculation if the levels of turbidity and suspended solids in raw water rise. This is likely to be associated with changes in levels of peak flow in rivers from which water is abstracted, so the model allows for cost of chemicals to increase pro rata with maximum monthly precipitation. Changes in temperature affect the rate at which d. oxygen levels recover in rivers to which the efflu- ent is discharged from waste water treatment plants. Thus, a higher level of BOD removal is required to maintain the quality of receiving waters. This implies higher consumption of elec- tricity or use of chemicals at treatment plants. The increase in O&M costs is linked to the increase in average temperatures and is incorpo- rated in our estimates of the cost of adaptation. These steps are followed in deriving the estimates of ΔCijt used in calculating the Delta-P costs of adapta- tion in the first part of equation (2): $$\Delta I_{j i}[1]=\sum_{i}\Delta C_{i j i}[Q_{i j i+1}-Q_{j i i}+R_{i j i}\,]\qquad\qquad(11)$$ with the Qijt, etc. given by the baseline projections of infrastructure investment. The Delta-Q costs of adaptation are defined by: $$\Delta I_{ji}[2]=\sum_{i}(C_{ji}+\Delta C_{ji})[\Delta Q_{ji+1}-\tag{12}$$ in which ΔQijt are obtained from the changes in the baseline investments associated with the alternative climate scenarios. Equation (12) yields engineering estimates of the Delta-Q costs, which reflect an assumption that coun- tries will respond to climate change by building more or less infrastructure. However, it should be noted that more cost-effective options may be available. In another paper, we examine one of these options in more detail for the water sector (Hughes, Chinowsky, and Strzepek 2010). We show that the welfare cost of using water abstraction fees to limit increases in demand for water may be lower than the cost of building additional capacity for water and wastewater treatment. Our results demonstrate that this economic approach can reduce the cost of adaptation in the water sector by a substantial amount relative to the engineering approach of building more infrastructure assets in response to an ## Increase In Demand For Water. 7. Estimates Of The Costs Of Adaptation There is an obvious instrument—water abstraction fees—available in the water sector. Similar policies could be followed for some other types of infrastructure—for example, energy and transport. As a consequence, the estimates of the Delta-Q costs of adaptation will tend to overstate the economic costs of adaptation in countries that face an increase in demand for infrastructure as a consequence of climate change. Since the effect is one-sided—that is, an economic approach can reduce costs when the demand for infrastructure increases, but would not be required when the demand for infrastructure decreases—it is safe to conclude that the engineering estimates of the Delta-Q costs of adaptation presented in the next section represent an upper bound on the costs of following a cost-effective strategy of adaptation. Our estimates of the costs of adaptation for electricity and water services are shown in Tables 10 to 14. To facilitate comparisons all figures in the tables are presented as average costs per year at 2005 prices over the relevant period—that is, for 2010–50 as a whole or for each decade—with no discounting. Figures are rounded to the nearest $1 billion per year to avoid any impression of spurious accuracy. As a consequence, sums of the separate numbers may differ from the rele- vant totals due to rounding. The Delta-P increases in investment, O&M, and total costs for the two climate scenarios are shown by infrastructure category and country class in Table 10. The baseline costs without any climate change are shown as a point of reference. In all cases, the costs of adaptation are substantially | NCAR scenario | Cost type | Low income | |------------------------|--------------|--------------| | Lower middle | | | | income | | | | Upper middle | | | | income | High income | Total | | 1. Power & telephones | Capital cost | 0 | | O&M cost | 0 | 0 | | Total cost | 0 | 1 | | Baseline cost | 132 | 173 | | 2. Water & sewers | Capital cost | 0 | | O&M cost | 0 | 0 | | Total cost | 0 | 0 | | Baseline cost | 119 | 154 | | 3. Roads | Capital cost | 3 | | O&M cost | 0 | 0 | | Total cost | 3 | 2 | | Baseline cost | 67 | 56 | | 4. Other transport | Capital cost | 0 | | O&M cost | 0 | 0 | | Total cost | 0 | 0 | | Baseline cost | 8 | 18 | | 5. Health & schools | Capital cost | 0 | | O&M cost | 0 | 0 | | Total cost | 0 | 1 | | Baseline cost | 36 | 121 | | ( | continued | ) | | NCAR scenario | Cost type | Low income | |--------------------------|--------------|--------------| | Lower middle | | | | income | | | | Upper middle | | | | income | High income | Total | | 6. Urban infrastructure | Capital cost | 8 | | O&M cost | 0 | 0 | | Total cost | 8 | 6 | | Baseline cost | 287 | 219 | | Total | Capital cost | 11 | | O&M cost | 0 | 0 | | Total cost | 11 | 9 | | Baseline cost | 649 | 740 | | CSIRO scenario | | | | 1. Power & telephones | Capital cost | 0 | | O&M cost | 0 | 0 | | Total cost | 0 | 0 | | Baseline cost | 132 | 173 | | 2. Water & sewers | Capital cost | 0 | | O&M cost | 0 | 0 | | Total cost | 0 | 0 | | Baseline cost | 119 | 154 | | 3. Roads | Capital cost | 1 | | O&M cost | 0 | 0 | | Total cost | 1 | 1 | | Baseline cost | 67 | 56 | | 4. Other transport | Capital cost | 0 | | O&M cost | 0 | 0 | | Total cost | 0 | 0 | | Baseline cost | 8 | 18 | | 5. Health & schools | Capital cost | 0 | | O&M cost | 0 | 0 | | Total cost | 0 | 0 | | Baseline cost | 36 | 121 | | 6. Urban infrastructure | Capital cost | 4 | | O&M cost | 0 | 0 | | Total cost | 4 | 2 | | Baseline cost | 287 | 219 | | Total | Capital cost | 5 | | O&M cost | 0 | 0 | | Total cost | 5 | 4 | | Baseline cost | 649 | 740 | Source: Authors' estimates higher for the NCAR scenario than for the CSIRO scenario, so we will focus on the NCAR figures. The total Delta-P cost of adaptation over 40 years is about 1 percent of the baseline cost for all countries. The ratio of adaptation costs to baseline costs is highest for lowincome countries at about 1.7 percent and is lowest for high-income countries. the low-income countries, the costs of adaptation are highest for East Asia (EAP) and for South Asia (SAS), reflecting their populations and aggregate income. The costs for Europe and Central Asia (ECA) are higher than might have been anticipated, but this reflects the initial level of infrastructure leading to relatively high O&M costs. Sub-Saharan Africa (SSA) has the high- est ratio of adaptation costs to baseline costs at 2.3 percent. Broken down by infrastructure category and region, the heaviest burden of adaptation is for other NCAR scenario Cost type EAP ECA LCA MNA SAS SSA Total 1. Power & telephones Capital cost 0 0 0 0 0 0 1 O&M cost 0 0 0 0 0 0 0 Total cost 0 0 0 0 0 0 1 Baseline cost 137 75 41 24 79 41 397 2. Water & sewers Capital cost 0 0 0 0 0 0 0 O&M cost 0 0 0 0 0 0 0 Total cost 0 0 0 0 0 0 1 Baseline cost 115 71 54 25 81 22 368 3. Roads Capital cost 1 0 1 0 2 1 5 O&M cost 0 0 0 0 0 0 0 Total cost 1 0 1 0 2 1 5 Baseline cost 36 37 31 13 44 23 183 4. Other transport Capital cost 0 1 0 0 0 0 1 O&M cost 0 3 0 0 0 0 4 Total cost 0 4 0 0 0 0 5 Baseline cost 16 80 6 2 4 4 111 5. Health & schools Capital cost 1 0 0 0 0 0 1 O&M cost 0 0 0 0 0 0 0 Total cost 1 0 0 0 0 0 1 Baseline cost 93 49 52 20 25 9 249 6. Urban infrastructure Capital cost 5 1 2 0 5 2 15 O&M cost 0 0 0 0 0 0 0 NCAR scenario Cost type EAP ECA LCA MNA SAS SSA Total Total cost 5 1 2 0 5 2 15 Baseline cost 163 159 78 32 252 31 714 Total Capital cost 8 2 3 1 8 3 24 O&M cost 0 3 0 0 0 0 4 Total cost 8 5 3 1 8 3 28 Baseline cost 560 470 262 116 485 130 2,023 CSIRO scenario 1. Power & telephones Capital cost 0 0 0 0 0 0 1 O&M cost 0 0 0 0 0 0 0 Total cost 0 0 0 0 0 0 1 Baseline cost 137 75 41 24 79 41 397 2. Water & sewers Capital cost 0 0 0 0 0 0 0 O&M cost 0 0 0 0 0 0 0 Total cost 0 0 0 0 0 0 0 Baseline cost 115 71 54 25 81 22 368 3. Roads Capital cost 0 0 0 0 1 0 2 O&M cost 0 0 0 0 0 0 0 Total cost 0 0 0 0 1 0 2 Baseline cost 36 37 31 13 44 23 183 4. Other transport Capital cost 0 0 0 0 0 0 0 O&M cost 0 2 0 0 0 0 2 Total cost 0 2 0 0 0 0 3 Baseline cost 16 80 6 2 4 4 111 5. Health & schools Capital cost 0 0 0 0 0 0 1 O&M cost 0 0 0 0 0 0 0 Total cost 0 0 0 0 0 0 1 Baseline cost 93 49 52 20 25 9 249 6. Urban infrastructure Capital cost 2 1 1 0 3 1 7 O&M cost 0 0 0 0 0 0 0 Total cost 2 1 1 0 3 1 7 CSIRO scenario NCAR scenario Cost type EAP ECA LCA MNA SAS SSA Total Baseline cost 163 159 78 32 252 31 714 Total Capital cost 3 1 1 0 4 1 11 O&M cost 0 2 0 0 0 0 3 Total cost 3 3 1 1 4 1 14 Baseline cost 560 470 262 116 485 130 2,023 Source: Authors' estimates. transport in the ECA region, largely because of the high level of O&M costs. This is followed by roads in South Asia, but in both cases the cost of adaptation is little more than 5 percent of baseline costs. Table 12 shows the breakdown of the Delta-P costs of adaptation for all infrastructure by decade. The relative cost of adaptation increases gradually from about 1 percent of baseline costs for 2010–19 to about 1.6 percent for 2040–49. One component of this increase is the rise in O&M costs in the ECA region, which has already been highlighted, but even for all regions other than ECA there is an increase from about 1.2 percent of baseline costs in the first decade to 1.6 percent in the final decade. Tables 13 and 14 give details of the costs of adaptation by infrastructure category and country class or region when the definition of the cost of adaptation is extended to include both the Delta-P and the Delta-Q components in the analysis. Recall that the Delta-Q costs are driven by the increase or decrease in the demand for infrastructure associated with the projected changes in climate. Table 13 shows that the Delta-Q changes are negative for the world as a whole in both scenarios. This means that total expenditure on infra- structure will fall as a consequence of climate change, though more investment may be required in some coun- tries and some sectors. However, the fall in total expen- diture is most important for high-income countries, so that the overall scale of the Delta-Q adjustments for developing countries is similar to that of the Delta-P NCAR scenario Cost type EAP ECA LCA MNA SAS SSA Total 2010-19 Capital cost 5 2 1 1 4 1 13 O&M cost 0 0 0 0 0 0 1 Total cost 5 2 1 1 4 1 14 Baseline cost 417 395 197 77 273 79 1,438 2020-29 Capital cost 7 2 2 1 6 2 21 O&M cost 0 2 0 0 0 0 3 Total cost 7 5 2 1 7 2 24 Baseline cost 505 452 238 101 396 109 1,801 NCAR scenario Cost type EAP ECA LCA MNA SAS SSA Total 2030-39 Capital cost 9 2 3 1 9 3 27 O&M cost 0 5 0 0 0 0 6 Total cost 9 7 3 1 9 3 33 Baseline cost 608 497 283 127 550 146 2,213 2040-49 Capital cost 11 2 4 1 11 5 34 O&M cost 0 6 0 0 0 0 7 Total cost 11 8 4 1 12 5 41 Baseline cost 710 538 330 156 719 187 2,641 CSIRO scenario 2010-19 Capital cost 3 1 1 0 1 0 6 O&M cost 0 0 0 0 0 0 1 Total cost 3 1 1 0 1 1 7 Baseline cost 417 395 197 77 273 79 1,438 2020-29 Capital cost 3 1 1 0 2 1 7 O&M cost 0 1 0 0 0 0 2 Total cost 3 2 1 1 2 1 9 Baseline cost 505 452 238 101 396 109 1,801 2030-39 Capital cost 3 1 1 0 4 1 12 O&M cost 0 3 0 0 0 0 4 Total cost 4 4 1 1 4 1 15 Baseline cost 608 497 283 127 550 146 2,213 2040-49 Capital cost 4 2 1 1 8 2 19 O&M cost 0 3 0 0 0 0 4 Total cost 4 6 2 1 8 2 23 Baseline cost 710 538 330 156 719 187 2,641 Source: Authors' estimates. costs. This is illustrated in the breakdown of adaptation costs by World Bank region in Table 14, which shows that the sum of Delta-P and Delta-Q costs of adaptation is close to zero for all developing countries. The net costs of adaptation per year over the full period vary from a negative cost (that is, a saving) of $7 billion per year for East Asia to a positive cost of $2 billion per year for the Middle East and North Africa (MNA). The striking feature of the results—taking account of both Delta-P and Delta-Q costs of adaptation—is how small the overall costs of adaptation are relative to the baseline costs. The impact of climate change is far from evenly distributed, but even in the worst-affected region—MNA—the net cost is little more than 2 percent of baseline expenditures. Thus, in practice the cost of adaptation for infrastructure is well within all of the margins of error inherent in this type of exercise. | NCAR scenario | Cost type | Low income | |--------------------------|-------------|--------------| | Lower middle | | | | income | | | | Upper middle | | | | income | | | | High income | Total | | | 1. Power & telephones | Delta-P | 0 | | Delta-Q | -4 | -2 | | Delta-P+Delta-Q | -4 | -2 | | Baseline cost | 132 | 173 | | 2. Water & sewers | Delta-P | 0 | | Delta-Q | -5 | 1 | | Delta-P+Delta-Q | -5 | 1 | | Baseline cost | 119 | 154 | | 3. Roads | Delta-P | 3 | | Delta-Q | 0 | -2 | | Delta-P+Delta-Q | 3 | 0 | | Baseline cost | 67 | 56 | | 4. Other transport | Delta-P | 0 | | Delta-Q | 0 | 0 | | Delta-P+Delta-Q | 0 | 0 | | Baseline cost | 8 | 18 | | 5. Health & schools | Delta-P | 0 | | Delta-Q | 0 | -1 | | Delta-P+Delta-Q | 0 | 0 | | Baseline cost | 36 | 121 | | 6. Urban infrastructure | Delta-P | 8 | | Delta-Q | -3 | -5 | | Delta-P+Delta-Q | 5 | 0 | | Baseline cost | 287 | 219 | | Total | Delta-P | 11 | | Delta-Q | -13 | -10 | | Delta-P+Delta-Q | -1 | -1 | | Baseline cost | 649 | 740 | | CSIRO scenario | | | | 1. Power & telephones | Delta-P | 0 | | Delta-Q | -4 | 1 | | Delta-P+Delta-Q | -4 | 2 | | Baseline cost | 132 | 173 | | 2. Water & sewers | Delta-P | 0 | | Delta-Q | -2 | 1 | | Delta-P+Delta-Q | -2 | 1 | | Baseline cost | 119 | 154 | | 3. Roads | Delta-P | 1 | CSIRO scenario NCAR scenario Cost type Low income Lower middle income Upper middle income High income Total Delta-Q -2 -2 -4 -23 -30 Delta-P+Delta-Q -1 -1 -4 -18 -24 Baseline cost 67 56 60 215 398 4. Other transport Delta-P 0 0 2 1 4 Delta-Q 0 0 -2 -1 -3 Delta-P+Delta-Q 0 0 0 1 0 Baseline cost 8 18 86 31 142 5. Health & schools Delta-P 0 0 0 1 2 Delta-Q -1 -2 0 1 -2 Delta-P+Delta-Q -1 -1 0 1 0 Baseline cost 36 121 92 302 551 6. Urban infrastructure Delta-P 4 2 1 4 11 Delta-Q -5 -5 -3 -10 -24 Delta-P+Delta-Q -1 -3 -3 -7 -13 Baseline cost 287 219 209 841 1,555 Total Delta-P 5 4 4 11 25 Delta-Q -14 -7 -9 -45 -75 Delta-P+Delta-Q -8 -3 -5 -34 -50 Baseline cost 649 740 634 1,887 3,910 Source: Authors' estimates. NCAR scenario Cost type EAP ECA LCA MNA SAS SSA Total 1. Power & telephones Delta-P 0 0 0 0 0 0 1 Delta-Q -5 -1 1 2 -3 -1 -9 Delta-P+Delta-Q -5 -1 1 2 -3 -1 -7 Baseline cost 137 75 41 24 79 41 397 2. Water & sewers Delta-P 0 0 0 0 0 0 1 Delta-Q -3 4 0 1 -4 -1 -3 Delta-P+Delta-Q -3 4 0 1 -4 -1 -3 Baseline cost 115 71 54 25 81 22 368 3. Roads Delta-P 1 0 1 0 2 1 5 Delta-Q -1 -1 -1 0 0 0 -4 Delta-P+Delta-Q 0 -1 0 0 2 1 1 Baseline cost 36 37 31 13 44 23 183 NCAR scenario Cost type EAP ECA LCA MNA SAS SSA Total 4. Other transport Delta-P 0 4 0 0 0 0 5 Delta-Q 0 -4 0 0 0 0 -5 Delta-P+Delta-Q 0 0 0 0 0 0 0 Baseline cost 16 80 6 2 4 4 111 5. Health & schools Delta-P 1 0 0 0 0 0 1 Delta-Q -1 1 0 0 0 0 -1 Delta-P+Delta-Q 0 1 0 0 0 0 1 Baseline cost 93 49 52 20 25 9 249 6. Urban infrastructure Delta-P 5 1 2 0 5 2 15 Delta-Q -4 -2 -1 -1 -2 0 -11 Delta-P+Delta-Q 1 -2 0 -1 3 1 4 Baseline cost 163 159 78 32 252 31 714 Total Delta-P 8 5 3 1 8 3 28 Delta-Q -15 -5 -2 1 -10 -2 -33 Delta-P+Delta-Q -7 0 1 2 -2 1 -5 Baseline cost 560 470 262 116 485 130 2,023 CSIRO scenario 1. Power & telephones Delta-P 0 0 0 0 0 0 1 Delta-Q -1 0 0 1 -3 -2 -4 Delta-P+Delta-Q -1 1 0 1 -3 -2 -3 Baseline cost 137 75 41 24 79 41 397 2. Water & sewers Delta-P 0 0 0 0 0 0 0 Delta-Q -1 2 0 1 -2 0 0 Delta-P+Delta-Q -1 2 0 1 -2 0 0 Baseline cost 115 71 54 25 81 22 368 3. Roads Delta-P 0 0 0 0 1 0 2 Delta-Q -1 -2 -2 -1 -1 -1 -8 Delta-P+Delta-Q -1 -2 -2 0 0 0 -6 Baseline cost 36 37 31 13 44 23 183 4. Other transport Delta-P 0 2 0 0 0 0 3 Delta-Q 0 -2 0 0 0 0 -3 Delta-P+Delta-Q 0 0 0 0 0 0 0 Baseline cost 16 80 6 2 4 4 111 5. Health & schools Delta-P 0 0 0 0 0 0 1 Delta-Q -1 0 0 -1 -1 0 -2 Delta-P+Delta-Q -1 0 0 0 0 0 -1 Baseline cost 93 49 52 20 25 9 249 6. Urban infrastructure Delta-P 2 1 1 0 3 1 7 CSIRO scenario NCAR scenario Cost type EAP ECA LCA MNA SAS SSA Total Delta-Q -4 -3 -1 -1 -4 -1 -13 Delta-P+Delta-Q -2 -2 -1 -1 -1 0 -6 Baseline cost 163 159 78 32 252 31 714 Total Delta-P 3 3 1 1 4 1 14 Delta-Q -8 -5 -3 0 -10 -3 -29 Delta-P+Delta-Q -5 -2 -1 1 -7 -2 -16 Baseline cost 560 470 262 116 485 130 2,023 Source: Authors' estimates. ## 8. Conclusion The work reported in this paper represents the most extensive and careful effort that has been made to estimate the costs of adapting to climate change in the infrastructure sector at a global level. Our primary conclusion is that the cost of adapting to climate change, given the baseline level of infrastructure provision, is no more than 1–2 percent of the total cost of providing that infrastructure. While there are differences across regions and sectors, the pattern is clear and unambiguous—the cost of adaptation is small in relation to other factors that may influence the future costs of infrastructure. We accept that we may have omitted or underestimated some of the costs of adaptation. On the other hand, we have consistently tried to err on the generous side—increasing our estimates of probable costs when there is reasonable doubt. Further, it can be shown that an economic rather than an engineering approach to adaptation when climate change increases the demand for infrastructure will reduce the Delta-Q costs by a substantial amount in some cases. Thus, in our view it is extremely unlikely that revised estimates will alter our conclusion about the relative magnitude of the costs of adaptation. The second conclusion of our study is that the impact of climate change on the overall demand for infrastructure may be more important than the increase in the cost of providing the baseline level of provision. These Delta-Q effects may be positive or negative—increasing or decreasing the costs of adaptation—in different countries. Summed by region, the Delta-Q totals are negative in all regions except MNA. The results of our econometric analysis do not dictate that climate change will have the effect of reducing demand for generating capacity or roads. The equations contain complex inter- actions between income and various climate variables —not merely temperature—with both population- weighted and inverse population-weighted variants. It does not seem plausible that these effects are merely capturing the influence of one or more omitted vari- ables. Hence, estimates of the costs of adaptation that ignore the potential impact of climate change on the demand side may give a rather partial view of the over- all picture. ## References Acemoglu, D., S. Johnson, and J.A. Robinson. 2001. "The Colonial Origins of Comparative Development." American Economic Review 91:1369–1401. AICD. 2009. Africa's Infrastructure: A Time for Transformation. Washington, DC: World Bank. Albouy, D.Y. 2008. "The Colonial Origins of Comparative Development: An Investigation of the Settler Mortality Data." National Bureau of Economic Research Working Paper. Cambridge, MA: NBER. Baum, C.F. 2005. An Introduction to Modern Econometrics using Stata. College Station, TX: Stata Press. Cameron, A.C., and P.K. Trivedi. 2006. Microeconometrics. Cambridge, UK: Cambridge University Press. Canadian Standards Association. 2006. The Role of Standards in Adapting Canada's Infrastructure to the Impacts of Climate Change. Toronto: Canadian Standards Association. Dell, M., B.F. 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Hammill, and R. Bradley, eds. 2008. Weathering the Storm: Options for Framing Adaptation and Development. Washington, DC: World Resources Institute. Nordhaus, W.D. 2002." Modelling induced innovation in climate-change policy." In A. Grubler, N. Nakicenovic and W.D. Nordhaus (eds), Modeling Induced Innovation in Climate Change Policy. Washington, DC; Resources for the Future Press. Tol, R.S.J. 2007. On the optimal control of carbon dioxide emissions: an application of FUND. Amsterdam: Institute for Environmental Studies, Vrije Universiteit. UNFCCC. 2007. Climate Change: Impacts, Vulnerabilities and Adaptation in Developing Countries. UNFCCC Secretariat. Bonn: UNFCCC. ## Appendix 1. Derivation Of The Climate Dose-Response Relationships Paul Chinowsky (Department of Civil, Environmental and Architectural Engineering, University of Colorado) Jason Price & Jim Neumann (Industrial Economics Inc, Cambridge, Mass) The dose-response relationship between climate change and the cost of building and maintaining infrastructure is a central component of the World Bank's assessment of infrastructure adaptation costs. The magnitude of the dose-response relationship is likely to vary both by infrastructure type and by country. Variation in this relationship by infrastructure type reflects, among other factors, differences in the materials with which different types of infrastructure are constructed and the ways in which different types of infrastructure are used; for example, buildings often provide heating and cooling. In addition, variation in the dose-response relationship by country reflects inter-country variation in labor and materials costs as well as terrain; for example, varying degrees of flat versus mountainous terrain. The data and methods supporting the World Bank's assessment of dose-response values by infrastructure type and country are outlined in the sections below. This information is presented separately for infrastructure construction costs and infrastructure maintenance costs. Exhibits 1 and 2 describe the specific doseresponse relationships analyzed. We note that the doseresponse values estimated for both construction costs and maintenance costs are based on the cost of building and maintaining infrastructure in the United States. To develop dose-response values specific to individual developing countries, we scaled the U.S.-based cost estimates using an inter-country construction cost index published by Compass International Consultants Inc. (2009). The country-specific values that make up this index represent average construction costs for each country relative to costs in the United States. ## 1. Estimation Of Dose-Response Values For Construction Costs To generate dose-response values for infrastructure construction costs, we employed two general approaches. The first estimates dose-response values based on the cost associated with the change in the typical building code update, while the second more directly estimates the incremental costs of climate stres- sors and design changes. We use the building code approach to generate dose-response values for paved roads, buildings, and transmission towers and the latter for bridges and unpaved roads. Our assessment of dose-response values for infrastruc- ture construction costs assumes perfect foresight with respect to climate change. Therefore, these dose- response values represent the relationship between infrastructure construction costs at the time of construction and the changes in climate projected during the infrastructure's lifespan. ## A. Building Code Methodology The building code methodology is based on the premise that a major update of design standards results in a 0.8 percent increase in construction costs (FEMA 1998). The readily available data suggest that such code updates would occur with every 10 centimeter (cm) increase in precipitation for paved roads and buildings; therefore, we express the precipitation dose-response relationship for these specific types of infrastructure as follows: $$\quad(1)\qquad C_{P,B P R}=0.8\%_{0}\bigl(B_{B P R}\,\bigr)$$ where CP ,BPR = change in building and paved road construc- tion costs associated with a 10 cm change in annual precipitation BBPR = base construction costs for buildings and paved roads Based on published construction cost information, we assume base construction costs of $185 per square foot for medical buildings as a base for public facilities ## Exhibit 1 - Dose-Response Descriptions For Construction Costs | Precipitation Dose-Response | Temperature Dose-Response | |----------------------------------------|--------------------------------------| | Not estimated. Impact likely to | | | be minimal. | | | Bridges | Change in construction costs per | | bridge per 1 foot increase in bridge | | | height. | | | Paved Roads | Change in costs of constructing a km | | of paved road per 10 cm change in | | | annual precipitation projected during | | | lifespan relative to baseline climate. | | | Dose-response represents change in | | | costs for every 10 cm increment. | | | Change in cost of constructing | | | a km of paved road per step- | | | wise increase in the maximum | | | of monthly maximum tempera- | | | ture values projected during | | | lifespan relative to baseline cli- | | | mate. The first increase occurs | | | after a 1 degree Celsius | | | change in maximum tempera- | | | ture. Every other step occurs 3 | | | degrees Celsius beyond that. | | | Not estimated. Impact likely to | | | be minimal. | | | Unpaved Roads | Change in construction costs per km | | per 1% change in the maximum of the | | | monthly maximum precipitation values | | | projected during lifespan relative to | | | baseline climate. | | | Transmission Poles | Not estimated. Impact likely to be | | minimal. | | | Not estimated. Impact likely to | | | be minimal. | | | Buildings | Change in costs per square foot, per | | 10 cm change in annual precipitation | | | projected during lifespan. | | | Change in costs per square | | | foot, per 0.5 degree change | | | Celsius in annual average tem- | | | perature during lifespan, rela- | | | tive to baseline climate. | | ## Exhibit 2 - Dose-Response Descriptions For Maintenance Costs | Precipitation | Temperature | |------------------------------------------------------------------------------------------------------|-------------------------------------------| | Paved Roads - Existing | Change in annual maintenance costs per | | km per 10 cm change in annual rainfall | | | projected during lifespan relative to base- | | | line climate. | | | Paved Roads - Newly | | | Constructed | | | Paved roads constructed after 2010 would have no maintenance impact if designed for changes in cli- | | | mate expected during their lifetime. | | | Unpaved Roads | Change in annual maintenance costs per | | 1% change in maximum of monthly maxi- | | | mum precipitation projected during | | | lifespan. | | | Railroads | Not estimated. Impact likely to be mini- | | mal. | | | Buildings - Existing | Change in annual maintenance costs per | | square foot per 10 cm change in annual | | | rainfall projected during lifespan. | | | Buildings - Newly | | | Constructed | | | Buildings constructed after 2010 would have no maintenance impact if designed for changes in climate | | | expected during their lifetime. | | | Not estimated. Impact likely to | | | be minimal. | | | Not estimated. Impact likely to | | | be minimal. | | | Not estimated. Impact likely to | | | be minimal. | | | Percent change in costs per 15 | | | mph (~24 kmh) increase in the | | | maximum of the monthly maxi- | | | mum wind speeds projected | | | during lifespan, relative to base- | | | line climate. | | | Not estimated. Impact likely to | | | be minimal. | | | Change in annual maintenance costs per km per 1 degree | | | change Celsius in maximum of monthly maximum temper- | | | ature projected during lifespan. | | | Not estimated. Impact likely to be minimal. | | | Change in annual maintenance costs per km per 1 degree | | | Celsius change in maximum of monthly maximum temper- | | | ature projected during lifespan. | | | Change in annual maintenance costs per square foot per | | | 1 degree change Celsius in annual average temperature | | | projected during lifespan. | | (DCD 2007) and $621,000 per kilometer (km) for paved roads, the latter of which represents the average cost per km of constructing a 2-lane collector road in rural areas (FDOT 2009a).20 The code update methodology that we employed for temperature effects is similar to the approach outlined in Equation 1 for precipitation. Unlike the code update approach for precipitation, we do not apply the full 0.8 percent cost increase of a code update to each incremental change in temperature. Instead, we scale the 0.8 percent value to reflect the portion of construc- tion costs likely to be associated with temperature effects. Based on data published by Whitestone Research (2008), we assume that 28 percent of the costs associated with a code update for buildings are related to HVAC equipment affected by temperature. Similarly, research into the effects of temperature on roads provides a guideline of 36 percent of the costs for a code update for roads is temperature-related (Miradi 2004). Based on these values, we assume a 0.22 percent increase in building construction costs for each incre- mental change in temperature and a 0.29 percent increase in paved road construction costs for such changes. Based on professional judgment and the design parameters for HVAC systems, which are typi- cally based on the number of degree days per year (NOAA 2009), we assume that the 0.22 percent value is applied to building costs for each 0.5 degree Celsius increase in average annual temperature. For paved roads, we apply the 0.29 percent increase as a step func- tion, with the first increase occurring after a 1 degree Celsius increase in temperature and later increases occurring with each 3-degree increase in temperature. This reflects the need for new pavement binders with every 3-degree increase in temperature and a change in practice for a 1-degree change as an initial safety factor (Blacklidge Emulsions, Inc. 2009). We also apply the building code methodology to trans- mission line towers, but instead of precipitation and temperature, wind is the climate stressor of concern. For every 15 mile per hour (~24 km per hour) increase in the maximum of the maximum monthly wind speeds projected, we assume a 0.8 increase in construction costs due to a design standard update. The readily available data suggests several relationships will have no impact or minimal impact in these catego- ries as follows: 1) no impact from wind on paved roads or buildings, 2) no impact from temperature on trans- mission poles, and finally 3) no impact from precipita- tion on transmission poles. ## B. Example Of Building Code Methodology Two examples are presented here to illustrate the appli- cation of the building code methodology to new construction, a building example for precipitation and a paved road example for temperature. For the former, assume that a new hospital is to be built in a location that has a base precipitation level of 100 cm per year. It is projected that due to climate change, the location will have a 15 cm increase during the 40-year anticipated lifespan of the building. Given the 10cm threshold for a building code update, the design of the structure would anticipate the precipitation increase and the asso- ciated building code update. Essentially, the building will be overbuilt for Year 0 to anticipate the need later in the lifespan to accommodate the increased precipita- tion. The cost of this overbuild will be the cost of one code update for the 10 cm increase, or 0.8 percent of the base construction costs. In the context of temperature, consider the example of paved road construction. Using the 36 percent relative impact discussed above, the standard 0.8 percent cost increase for a code update is modified by this percent- age resulting in a modified value of 0.29 percent of base construction costs. However, to apply this to new construction, the guidelines for pavement design are brought into the equation. Specifically, temperature increases require new pavement binders every 3 degrees Celsius (Blacklidge Emulsions, Inc. 2009). Therefore, for a new construction scenario where the maximum temperature will increase 2 degrees over the 20-year lifespan of the road, a cost increase of 0.29 percent of base construction costs is applied after the first 1 degree to account for an initial safety factor built into the design. Since the increase does not total an additional 3 degrees, the total increase from the temperature impact is 0.29 percent of base construction costs. ## C. Direct Response Methodology For bridges and unpaved roads, we use a more direct approach for estimating the cost impact of changes in climate stressors. Under this approach, we directly relate changes in infrastructure construction costs to specific changes in climate or infrastructure design requirements. In general terms, this approach is summarized by Equation 2. $${\mathrm{(2)}}\qquad C_{U R B T}=M\times B_{U R B T}$$ where *CURB* = change in construction costs for bridges and unpaved roads associated with a unit change in climate stress or design requirements $$\begin{array}{r l}{M={\mathrm{cost~multiplier}}}\\ {B_{U R B}~=~{\mathrm{base~construction~costs~for~}}}\\ {{\mathrm{~bridges~and~unproved~roots}}}\end{array}$$ Implementation of the approach represented by Equation 2 is somewhat different for unpaved roads than it is for bridges. For unpaved roads, we express the dose-response relationship represented by Equation 2 as the change in construction costs associated with a 1 percent change in maximum monthly precipitation. Research findings have demonstrated that 80 percent of degradation of unpaved roads can be attributed to precipitation (Ramos-Scharron and MacDonald 2007). The remaining 20 percent is attributed to factors such as tonnage of traffic and traffic rates. Given this 80 percent attribution to precipitation, we assume that the base construction costs for unpaved roads increase by 80 percent of the total percentage increase in maximum monthly precipitation; that is, a 0.8 percent increase in costs for each 1 percent increase in maximum precipitation. For example, if the maximum monthly precipitation increases by 10 percent in a given location, then 80 percent of that increase is used (8 percent) as the increase in base construction costs. In addition, we further assume a base construction cost of $13,000 per km for unpaved roads, based on published cost data (Cerlanek et al. 2006). The readily available data suggest no relationship between temperature and the cost of building unpaved roads. For bridges, we estimate the climate-related change in costs per one-foot increase in bridge clearance. The most significant design changes associated with an increase in clearance would involve changes to bridge- deck support structures, which account for approxi- mately 50 percent of bridge construction costs (Kinsella and McGuire 2005). In addition, based on the standard 16-foot clearance for bridges on highways (FHWA 2009), a one-foot increase in bridge clearance would represent a 6.25 percent increase. Assuming that the increase in costs for bridge foundations would be proportional to the change in clearance, we assume that construction costs for the bridge support structures would increase by 6.25 percent with each 1-foot increase in clearance. Because support structures repre- sent approximately 50 percent of bridge construction costs, we assume that the total construction costs for a bridge would increase by approximately 3.13 percent (50 percent x 6.25 percent) with each one-foot increase in clearance. The base cost of a bridge is likely to vary significantly due to differences in the number of lanes per bridge and bridge length. For the purposes of this analysis, we use the costs of a 2-lane bridge spanning 100 feet. Assuming an average lane width of 12 feet, this trans- lates to a bridge deck with an area of approximately 2,400 square feet. Based on a unit cost of $220 per square foot (FDOT 2009b), we estimate that the total base construction costs for a bridge are approximately $528,000. Applying the 3.13 percent value derived above to this estimate, we assume an increase of $16,500 in bridge construction costs for each one-foot increase in bridge clearance.21 The readily available data suggest no impact or minimal impact will originate from wind or temperature increases for new construction of bridges or unpaved roads. ## 2. Estimation Of Dose-Response Values For Maintenance Costs Similar to our development of dose-response values for infrastructure construction costs, we employed two basic methodologies to generate dose-response values relating changes in climate stressors to changes in infrastructure maintenance costs. The first approach is based on infrastructure lifespan decrements that could potentially result from climate change if maintenance practices remain unchanged following changes in climate stress. We use this methodology to develop dose-response values for existing paved roads and buildings.22 Newly constructed paved roads and buildings are assumed to not be affected by climate stressors because forward- looking design allows these structures to accommodate future climate changes at the time of construction. For railroads and unpaved roads (both existing and newly constructed), we use a separate methodology similar to the direct dose-response approach outlined above for bridge and unpaved road construction costs. ## A. Avoided Lifespan Decrement Methodology To assess the relationship between climate stressors and maintenance costs for existing paved roads and buildings, we use an approach based on the cost of preventing the reduction in lifespan that may result from changes in climate-related stress. As indicated by Equation 3, implementation of this approach involves two basic steps: (1) estimating the lifespan decrement that would result from a unit change in climate stress and (2) estimating the costs of avoiding this reduction in lifespan. (3) $M$ $T_{\rm{ERB}}$ = ($L_{\rm{ERB}}$)($C_{\rm{ERB}}$) where *MTERB* = Change in maintenance costs for existing paved roads and buildings associated with a unit change in climate stress LERB = Potential percent change in lifespan for existing paved roads and buildings associated with a unit change in climate stress CERB = Cost of preventing a given lifespan decrement for existing paved roads and buildings To estimate the reduction in lifespan that could result from an incremental change in climate stress (*LERB*), we assume that such a reduction is equal to the percent change in climate stress, scaled for the stressor's effect on maintenance costs, as shown in Equation 4. $${\mathrm{(4)}}\qquad L_{E R B}={\frac{\Delta S}{B a s e S}}(S M T)$$ where LERB = Potential percent change in lifespan for existing paved roads and buildings associated with a unit change in climate stress ΔS = Change in climate stress (i.e., precipitation or temperature) BaseS = Base level of climate stress with no climate change SMT = Percent of existing paved road or building maintenance costs associated with a given climate stressor (i.e., precipitation or temperature) As indicated in Equation 4, the potential change in lifespan is dependent on the change in climate stress. For precipitation effects, we assume a potential reduc- tion in lifespan for existing paved roads and buildings for every 10 cm increase in annual rainfall. For temper- ature, we assume a potential lifespan reduction with every 1 degree Celsius change in temperature (average annual temperature for existing buildings and maximum annual temperature for existing paved roads). Equation 4 also illustrates that our estimate of the potential reduction in lifespan associated with a given change in climate stress reflects the contribution of that stressor to baseline maintenance costs (i.e., variable SMT). For buildings, we assume that changes in precipitation associated with climate change will affect roofing and external enclosures and changes in temper- ature will affect HVAC systems. Because roofing and external enclosures represent 15 percent of building maintenance costs (Whitestone Research 2008), we assumed that precipitation contributes 15 percent to a building's maintenance costs. Similarly, because HVAC represents 28 percent of building maintenance costs (Whitestone Research 2008), we assume that tempera- ture effects are responsible for 28 percent of a building's maintenance costs. We also identified similar data for paved roads suggesting that precipitation-related main- tenance represents 4 percent of maintenance costs and that temperature-related maintenance represents 36 percent (Miradi 2004). After estimating the potential reduction in lifespan associated with a given climate stressor, we estimate the costs of avoiding this reduction in lifespan. To estimate these costs, we assume that the change in maintenance costs would be approximately equal to the product of (1) the potential percent reduction in lifespan (*LERB*) and (2) the base construction costs of the asset. Therefore, if we project a 10 percent potential reduction in lifespan, we estimate the change in maintenance costs as 10 percent of base construction costs. As indicated above, we estimate base construction costs of $185 per square foot for buildings and $621,000 per km for paved roads in the U.S.23 ## B. Example Of Avoided Lifespan Decrement Approach As an example of the avoided lifespan methodology, consider a country with baseline annual precipitation of 80 cm without climate change. For such a country, a 10-cm increase in annual precipitation would represent a 12.5 percent increase in precipitation. Because precipitation accounts for approximately 15 percent of building-related maintenance costs, we would assume a 1.9 percent potential reduction in building lifespan (12.5% x 15%). If baseline building construction costs in this country are approximately $175 per square foot, we would estimate an increase in maintenance costs of approximately $3.30 per square foot for every 10 cm increase in annual precipitation. If the country were to experience a 15-cm increase in annual precipitation, we would still assume a $3.30 per square foot increase because the 15-cm increase includes just one 10-cm incremental change. However, if we were to project a 21-cm increase, we would assume an increase of $6.60 per square foot. ## C. Direct Response Methodology To estimate dose-response values for railroad and unpaved road maintenance costs, we follow an approach similar to that outlined above for bridge and unpaved road construction costs. More specifically, we estimate the change in railroad and unpaved road maintenance costs associated with a unit change in climate stress as a fixed percentage of baseline construction costs (for rail- roads) or maintenance costs (for unpaved roads), as illustrated by Exhibit 5. $${\mathrm{(5)}}\qquad M T_{U R R}=M\times B_{U R R}$$ where *MTURR* = Change in maintenance costs for unpaved roads and railroads associated with a unit change in climate stress M = Cost multiplier BURR = Baseline maintenance (for unpaved roads) costs or construction costs (for railroads) Similar to the direct response methodology for construction costs, implementation of this approach for maintenance costs also varies by infrastructure type. For railroads, we express the relationship described by Equation 5 as the change in maintenance costs associ- ated with a 1 degree Celsius change in the maximum of the maximum monthly temperature projections for an area. Based on research on the effect of heat stress on rails and the associated costs, we estimate that for every 1 degree increase in maximum temperature, railroad maintenance costs increase by 0.14 percent of railroad construction costs (DRPT 2008). Therefore, assuming construction costs of approximately $404,000 per km (in the U.S) (Railroad 2009; Vickers 1992), we estimate that railroad maintenance costs would increase by $565 for every 1 degree increase in maximum temperature. For unpaved roads, we express the dose-response rela- tionship represented by Equation 5 as the change in maintenance costs associated with a 1 percent change in maximum monthly precipitation. As indicated above, research has demonstrated that 80 percent of unpaved road degradation can be attributed to precipitation, while the remaining 20 percent is due to traffic rates and other factors (Ramos-Scharron and MacDonald 2007). Given this 80 percent attribution to precipita- tion, we assume that maintenance costs increase by 0.8 percent with every 1 percent increase in the maximum of the maximum monthly precipitation values projected for any given year. Published data indicates that the Washington, DC: Federal Emergency Management Agency. baseline cost of maintaining an unpaved road is approximately $930 per km (Cerlanek et al. 2006). Therefore, for every 1 percent increase in maximum temperature, we assume a maintenance cost increase of $7.45 per km. FHWA. 2009. "Right of Passage: Controversy Over Vertical Clearance on the Interstate System." Federal Highway Administration. http://www.fhwa.dot.gov/ infrastructure/50vertical.cfm, viewed May 31, 2009. The readily available data suggest climate stressors will have no impact or minimal impact in these categories as follows: 1) no impact from temperature on unpaved roads, 2) no impact from precipitation on railroads. Kinsella, Y., and F. McGuire. 2005. "Climate Change Impacts on the State Highway Network: A Moving Target." Proceedings of the NIZHT Conference, Christchurch, New Zealand, November 2005. ## References Blacklidge Emulsions, Inc. 2009. "SHRP Performance Graded Asphalt Binders." http://www.blacklidgeemulsions.com/shrp.htm, viewed May 31, 2009. Miradi, M. 2004. "Artificial neural network (ANN) models for prediction and analysis of ravelling severity and material composition properties." In M. Mohammadian, ed. CIMCA 2004. Gold Coast, Australia: CIMCA. Cerlanek , W. D., C.M Zeigler, and S.E. Torres. 2006. Maintenance of Paved and Unpaved Roads in Alachua County. Alachua, FL: Department of Public Works. NOAA. 2009. "Heating and Cooling Degree Day Data." NOAA Satellite and Image Information Service. http://www.ncdc.noaa.gov/oa/documentlibrary/ hcs/hcs.html#51overview. Compass International Consultants, Inc. 2009. Global Construction Costs Yearbook. Morrisville, PA: Compass International. Railroad. 2009. "Railroad Construction Costs." Henry County Library. http://tacnet.missouri.org/history/rail- roads/rrcosts.html#1995, Clinton, MO, viewed May 31, 2009. DCD. 2007. "The DCD Cost Guide for Medical Buildings." *DCD Construction Magazine*, March/April Issue. Ramos-Scharron, C. E., andL.H. MacDonald. 2007. "Runoff and suspended sediment yields from an unpaved road segment, St. John, U.S. Virgin Islands."Hydrological Processes 21(1): 35–50. DRPT. 2008. *Heat Order Issues Technical Memorandum*. Richmond, VA: Virginia Department of Rail and Public Transportation. Vickers, R.A. 1992. Cost Effective Maintenance of Railway Tracks. London: Institute of Civil Engineers. FDOT. 2009a. "Generic Cost Per Mile Models." Florida Department of Transportation. htp://ftp.dot. state.fl.us/LTS/CO/Estimates/CPM/summary.pdf, viewed May 31, 2009. Whitestone Research. 2008. Building Maintenance and Repair Cost Reference 2008-2009. Santa Barbara, CA: Whitestone Research. FDOT. 2009b. "Bridge Costs." Florida Department of Transportation. http://www.fhwa.dot.gov/ infrastructure/50vertical.cfm, viewed May 31, 2009. FEMA. 1998. "Promoting the Adoption and Enforcement of Seismic Building Codes." FEMA 313. The World Bank Group 1818 H Street, NW Washington, D.C. 20433 USA Tel: 202-473-1000 Fax: 202-477-6391 Internet: www.worldbank.org/climatechange

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## Paying To Park Basic Rules In Pay To Park Areas · check the signs and lines and make sure that you are parked correctly in a payment bay or area · check the times that apply - in some areas you must pay on bank holidays, in the evenings and/or weekends · decide how long you need to stay and pay for that time when you park - in most authorities you cannot go back and pay for more time later · do not exceed the maximum stay (usually two or four hours) for the bay · if you need to stay longer, move the vehicle to another street or beyond the double white lines at the end of a parking place · always have enough change on you for meters and pay and display - there is no time allowed to go and get change. Pay and Display (and other pay to park schemes) are introduced in areas where demand for parking exceeds supply. In order for businesses, shops and local residents to receive visitors it is essential that some parking spaces are available at all times. In order to balance demand for parking against what is available, charges are introduced for parking and enforcement against meter feeding ensures that people do not stay longer than the maximum time. ## Parking Times The times of day and days of the week that you are expected to pay to park are shown on Controlled Zone Entry signs, pay and display machines, meter plates and signage relating to voucher and mobile phone parking. Typical pay and display hours are 08:30 to 18:30 Monday to Friday. However some will run much later while others may operate on Saturdays and Sundays. ## Controlled Zone It is therefore very important that you check all of the signage at the parking location to ensure that you are parked in accordance with the regulations. ## Parking Bays Always make sure that your vehicle is fully within the parking bay before you leave it. If it is beyond the end of the bay, obstructing the road, or partially on the footway you may receive a Penalty Charge Notice (PCN) even if you pay. In areas with pay and display, voucher and mobile phone parking, be careful not to park in the wrong bay (e.g. Disabled Badge Holders only bay). Some councils run resident and business permit schemes. In order to park in these bays your vehicle must have the appropriate permit. Never park on a suspended bay. Yellow signs or cones are used to indicate a suspended bay, while suspended meter bays should have a yellow bag over the top of the meter head. Because bays are suspended for a particular purpose (roadworks, house removals, funeral cortege etc.) and have been paid for, you run a high risk of being towed as well as receiving a PCN. ## Pay And Display (P&D) Before you enter money into the pay and display machine, check that you are parked in the correct pay and display bay and are using the correct machine. Check signage and instructions on the machine to ensure that payment is required and there is no suspension in place. Make sure that you are aware of the maximum stay and that the monies that have been inserted have registered correctly before obtaining your ticket. P&D machines usually take a range of currency denominations but please ensure that you have the correct change for your stay. Newer machines may also accept payment by credit and debit cards using chip and pin. Please follow the instructions on the machine if this is the case. Once you have received your ticket please ensure that it is displayed correctly in the windscreen of the vehicle in accordance with the instructions. Make sure that it is clearly visible when you leave the vehicle. If it blows off the dashboard after the close the door then you may receive a PCN. If you discover that a P&D machine is out of order please use the nearest machine that is in working order and purchase a ticket from there instead. You can only park for free if all P&D machines in the vicinity are not working. If this is the case, place a note in the windscreen stating that all the machines are out of order with the date and time that you parked. You should check the location periodically to see if the machines have been repaired. P&D machines are checked automatically - if there is no fault you will receive a PCN. Do not park in a suspended P&D bay. If the whole pay and display bay is suspended there will be a yellow bag over machine. If the bay is partly suspended the pay and display machine will be operational, and a temporary suspension sign will indicate which area is suspended. ## Meter Rules Before you pay, make sure that you are at the correct meter. Some meters are numbered with the corresponding bays, others have small arrows on the ground pointing to the base of the meter to the relevant parking bay others are marked A and B. Check the instruction legend on the meter, which should provide details of the hours of control and the hourly tariff. Check that the meter registers the time as the money goes in. The digital display should add extra minutes as each coin is inserted. Meters in London accept £1 or 20p coins and do not give change. Most meters will allow a maximum stay of two or four hours. If the meter has a yellow 'no parking' bag on it you must not park in that bay. You should not park on a meter that has a sign saying 'no parking at out of order meter' on the meter plate, or when the words 'Out of Order' appear in the meter window. If a meter that does not have an out of order sign appears to take your money and fails to register the time, do not attempt to put more coins in: place a note in the windscreen explaining that the meter is out of order with the date and time that you parked and leave the vehicle where it is (the meter will be checked - if there is no fault you will receive a PCN). ## Mobile Phone Parking Many authorities operate parking bays which allow you to make a cashless payment using your mobile phone. To do this you will need to set up an account and register your vehicle and bank details when you first park in a mobile phone parking bay. You do this by calling the telephone number provided at the bay. You only need to register with each service provider once. Some councils provide an online pre-registration service for setting up accounts. Once your details have been registered you can pay for your parking by entering the specific location code and the length of stay via your mobile phone. Signs located at mobile phone parking bays provide the relevant phone numbers and location codes, while detailed instructions can be followed once you call. ## Voucher Parking Voucher parking is similar to both P&D and meters, except you display a cardboard voucher to show that you have paid and are not overstaying. Any shop in the voucher area showing the respective voucher logo will sell you a parking voucher. You can only use the voucher in the designated area. Signs will advise which bays are set out for voucher parking and usually advise of the hours of control and maximum stay. The vouchers will have full instructions of how to use them on the back. Read the instructions carefully and display the voucher clearly. Clamping and towing If you break any of the parking regulations you are at risk of having your vehicle towed away or wheel clamped as well as receiving a PCN. You cannot be clamped unless you have overstayed the time paid for by more than 30 minutes. If your vehicle is missing when you return to it this may be because it has been towed away - telephone the TRACE service on 020 7747 4747. They can locate your vehicle and provide details of where to go to reclaim it and how much you will have to pay. It typically costs around £250 to reclaim your vehicle - more for storage costs if the vehicle is not reclaimed quickly. If you return to your vehicle and find that it has been wheel clamped, follow the instructions set out on the information card attached to the vehicle. If you cannot follow the instructions or the information card is missing, telephone TRACE on 020 7747 4747. ## If You Receive A Pcn Penalty Charge Notice Warning IT IS AN OFFENCE FOR ANY PERSON OTHER THAN THE DRIVER TO REMOVE THIS NOTICE Do not ignore PCNs, they may carry extra penalties if they are not either paid or contested promptly. Most PCNs have a 50 per cent discount if paid within 14 days. Pay as instructed on the penalty and/or accompanying payment slip. PCNs are issued by councils for pay-to-park contraventions. If you believe the PCN was wrongly issued, you can appeal. Check the PCN for details of what contravention you are alleged to have committed and write to the address on the back. They will either cancel the PCN or write to you giving the reasons why it is still valid. If they do not cancel the PCN they will also advise how to take the matter further, through to an independent adjudicator at the Parking and Traffic Appeals Service. ## Addresses And Contacts Towed away or clamped Telephone our London-wide information service: TRACE 020 7747 4747 (24 hrs) Parking and Traffic Appeals Service PO Box 280, Chertsey, Surrey KT16 6BW Telephone: 020 7520 7200 (please note that telephone calls are recorded) E-mail: patas.team@patas.gov.uk London Councils Transport and Mobility Services 59 1/2 Southwark Street, London SE1 0AL Telephone: 020 7934 9999 E-Mail: parking@londoncouncils.gov.uk Traffic Enforcement Centre Northampton County Court, St Katharine's House, St Katharine's Street Northampton NN1 2LH Telephone: 0845 704 5007 E-mail: customerservice.tec@hmcourts-service.gsi.gov.uk Leaflets available: Footway Parking Loading and Unloading Parking for Diplomats Parking your car in London Paying to Park Understanding Parking Penalties Health Emergency Badge London Councils 59 1/2 Southwark Street London SE1 0AL www.londoncouncils.gov.uk design: Copyprint publication date: January 2010 London Councils supports environmentally-friendly products and value for money. This publication is printed on NAPM accredited paper that uses 75% recycled fibre and manufactured in the UK at mills with ISO 14001 accreditation.

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Fracture Liaison Service Database Annual report December 2018 Achieving effective service delivery by Fracture Liaison Services Data from January to December 2017 In association with: Commissioned by: ## Key Messages - Report At A Glance A fracture liaison service (FLS) aims to reduce the risk of subsequent fractures by systematically identifying, assessing, treating and referring to appropriate services all eligible patients aged 50 and over who have suffered a fragility fracture. ## Demographics And Data Completeness We congratulate the achievement of the 55 FLSs* across England and Wales that submitted data which contributed towards this report. were included in 2017, an increase from 42,589 in 2016. There has been an improvement in most key performance indicators (KPIs) but further work is needed for effective and efficient service delivery. * Page 15 gives details about the number of commissioned FLSs in England and Wales. ## Key Findings Key Recommendations being contacted at 12–16 weeks post fracture compared with 41% in 2016. * National Osteoporosis Guideline Group (NOGG) Secondary fracture prevention in the NHS: Achieving effective service delivery by FLSs Falls and Fragility Fracture Audit Programme The Fracture Liaison Service Database (FLS-DB) is commissioned by the Healthcare Quality Improvement Partnership (HQIP) and managed by the Care Quality Improvement Department of the Royal College of Physicians (RCP) as part of the Falls and Fragility Fracture Audit Programme (FFFAP) alongside the National Hip Fracture Database (NHFD) and Falls Prevention Audit. FFFAP aims to improve the delivery of care for patients having falls or sustaining fractures through effective measurement against standards and feedback to providers. Healthcare Quality Improvement Partnership The Healthcare Quality Improvement Partnership (HQIP) is led by a consortium of the Academy of Medical Royal Colleges, the Royal College of Nursing and National Voices. Its aim is to promote quality improvement in patient outcomes, and in particular, to increase the impact that clinical audit, outcome review programmes and registries have on healthcare quality in England and Wales. HQIP holds the contract to commission, manage and develop the National Clinical Audit and Patient Outcomes Programme (NCAPOP), comprising around 40 projects covering care provided to people with a wide range of medical, surgical and mental health conditions. The programme is funded by NHS England, the Welsh Government and, with some individual projects, other devolved administrations and crown dependencies. www.hqip.org.uk/nationalprogrammes. The Royal College of Physicians The Royal College of Physicians (RCP) is a registered charity that aims to ensure high-quality care for patients by promoting the highest standards of medical practice. It provides and sets standards in clinical practice, education and training, conducts assessments and examinations, quality assures external audit programmes, supports doctors in their practice of medicine, and advises the government, the public and the profession on healthcare issues. Citation for this report: Royal College of Physicians. Secondary fracture prevention in the NHS: Achieving effective service delivery by FLSs. London: RCP, 2018. Copyright All rights reserved. Applications for the copyright owner's written permission to reproduce significant parts of this publication (including photocopying or storing it in any medium by electronic means and whether or not transiently or incidentally to some other use of this publication) should be addressed to the publisher. Brief extracts from this publication may be reproduced without the written permission of the copyright owner, provided that the source is fully acknowledged. Copyright © Healthcare Quality Improvement Partnership 2018 ISBN 978-1-86016-743-0 eISBN 978-1-86016-744-7 Royal College of Physicians 11 St Andrews Place, London NW1 4LE www.rcplondon.ac.uk Registered Charity No 210508 ## Acknowledgements Thank you to all the FLS teams that have contributed data to the audit; without your considerable effort, this report would not have been possible. Fracture Liaison Service Database team Kassim Javaid, clinical lead Naomi Vasilakis, project manager Rosie Dickinson, programme manager Bonnie Wiles, programme coordinator Nuffield Department of Orthopaedics, Rheumatology and Musculoskeletal Sciences (NDORMS), University of Oxford Anjali Shah, epidemiologist/biostatistician Rafael Pinedo-Villanueva, health economist Fracture Liaison Service Database advisory group Rachel Bradley, British Geriatrics Society Will Carr, National Osteoporosis Society Andrew Judge, University of Bristol Gavin Clunie, The British Society for Rheumatology Clare Cockill, Royal College of Nursing Neil Gittoes, Society for Endocrinology Celia Gregson, University of Bristol Xavier Griffin, British Orthopaedic Association Debbie Janaway, Royal College of Nursing Tim Jones, National Osteoporosis Society Iona Price, Royal College of Physicians, Patient and Carer Network David Stephens, Royal College of General Practitioners Michael Stone, Cardiff and Vale University Health Board Alison Smith, National Osteoporosis Society, patient representative Crown Informatics The FLS-DB data collection webtool is provided by Crown Informatics (**http://crowninformatics.com**) Glossary of terms  BOA - British Orthopaedic Association (BOA), the surgical specialty association for trauma and orthopaedics in the UK.  DXA - (dual-energy X-ray absorptiometry) scan - a test that assesses whether you have normal bone density, low bone density (also referred to as osteopenia), or osteoporosis.  Fragility fracture - a fracture that occurs after low trauma (equivalent to a fall from standing height or less), excluding skull, face, fingers and toes.  Fracture liaison service (FLS) - a service that systematically identifies, treats and refers to appropriate services eligible for patients aged 50 years and over within a local population who have suffered a fragility fracture, with the aim of reducing their risk of subsequent fractures.  Monitoring - includes any review performed at the patient level to ascertain anti-osteoporosis medication use, refracture and/or falls. This can be at a clinic, via a letter or telephone call.  NICE - National Institute for Health and Care Excellence (NICE) provides national guidance and advice to improve health and social care.  NOGG - the National Osteoporosis Guideline Group (NOGG).  NOS - the National Osteoporosis Society (NOS), the only UK-wide charity dedicated to improving the prevention, diagnosis and treatment of osteoporosis  Site - defined as a hospital, primary care practice, network and/or other community service managing fragility fractures. ## Foreword By The National Osteoporosis Society The National Osteoporosis Society (NOS) is the only UK-wide charity that supports people living with osteoporosis and the families, friends and professionals who care for them. As chief executive of the charity I'm delighted to welcome you to the latest FLS-DB audit report on patient data in England and Wales. This annual report presents findings from the only national secondary fracture prevention patient-level audit in the world. In its own right, this is an enviable achievement. The number of participating services continues to increase and the improvements in standards of care can start to be seen; this is further testament to the hard work of NHS staff who provide services that people with osteoporosis need. Across a range of specialties, national audit has been shown to be a vital tool in facilitating quality improvement and narrowing inequality in healthcare provision. Highlighting variation and reinforcing best practice will help all those working in secondary fracture prevention. The FLS-DB is still embryonic - this is just the third report - yet it has provided the required catalyst for service transformation. Our charity understands the impact that fractures have on the lives of people with osteoporosis and we share an ambition to see positive changes in the identification and management of fragility fractures. I am confident that the focus this year on several key performance indicators will continue to drive progress in standards of care in a targeted fashion. The report shows us that there is still more work to be done; but importantly, it shows us where improvements are required and how to achieve them. Thank you to everyone who has contributed to the audit and to the team at FFFAP for their work to compile the report. ## Patients' Perspective Across England and Wales, 300,000 fragility fractures were sustained in 1 year by patients aged over 50. This is not merely a statistic in an academic paper, these numbers represent individuals, and for many these injuries will have been traumatic with far-reaching consequences. Patients deserve an efficient, effective, caring and joined-up treatment pathway following such a fracture. The local FLS can provide this, but in order to do so needs to be properly resourced - this includes staff to carry out follow-up checks on patients after 12–16 weeks and 1 year. Identifying those at risk of osteoporosis or falling is simply the start. If the patient has problems with their medication and stops taking it, or falls and suffers a fracture during the long wait for strength and balance training, the FLS has not successfully prevented a secondary fracture. The value of a successful FLS can be easily demonstrated when it knows and can prove the long-term outcomes for its patients. We have an ageing population and can expect the number of fragility fractures to increase. Let us ensure now that caring and comprehensive pathways exist for these individuals. Pathways that bridge the systems across hospitals, primary care, local authorities and public health enable comprehensive monitoring to make sure these patients receive the best ongoing care. A patient's story can be very powerful and often has far more impact than any number of statistics. Therefore I am delighted to report we now have a FFFAP Patient Panel working with the advisory teams. This panel is made up of ten patients and carers all with experience of one or more of the three areas of the programme, either personally or through those they care for. Iona Price Chair FFFAP Patient Panel ## Information For Patients Information describing the minimum standards of care you can expect following a fragility fracture has been made easily accessible to the general public using a short online animation and patient guide. By giving information about bone health and fracture prevention, we hope that patients, carers and their families will have the confidence to approach their doctor and ask for further investigations. A still from the online animation Patients, family, carers and those with an interest in broken bones are encouraged to look up how their local NHS services are performing, using the data contained in this report and use this information to ensure they receive the standard of NHS care they need after a broken bone. Live information about how well FLSs are working can be found in public run charts. The run charts also show how an FLS's performance changes over time. An example run chart is shown on page 13. Patients, family and carers wanting to support their local FLS should contact their local National Osteoporosis Society (NOS) support group for more information or the RCP FFFAP patient panel which is hosted in collaboration with the NOS. Both can be contacted on 01761 471771 or info@nos.org.uk. ## Why Monitoring Is Important One of the key recommendations from this report is asking FLSs to improve their monitoring rates. Drug treatments help to strengthen your bones and reduce your risk of having fractures. Treatments must be taken consistently and appropriately over many years to be effective. However, many patients who are given oral treatments find them difficult to take, and stop taking them. If you are recommended treatment you should be contacted by the FLS to ensure you continue with the medication and have minimal side effects. This is referred to as monitoring. Monitoring shows if there are any issues with prescribed medications that need to be addressed. This sometimes results in a change in medicine that's better suited to you. It is very important to continue to take treatments when they are prescribed, and if you find it difficult to take them, seek advice on what to do. ## Summary Of Recommendations Local commissioners and FLSs should use this report to improve the effectiveness in post-fracture care delivery through service improvement and/or additional commissioning to reduce the number of preventable subsequent fragility fractures. FLSs should work towards improving one key performance indicator (KPI) to green and one KPI to amber in 2019 while maintaining existing green/amber status. FLSs should share good practice and work with local NHS quality improvement teams. Recommendations for fracture liaison services 1. General recommendations a) Develop, implement and assess at least two local service improvement plans in the next 6 months by working with local NHS quality improvement teams, including the Getting it Right First Time (GIRFT) programme, and the NOS Service Delivery Team. b) Attend at least one regional or national FLS workshop to share experiences and improve the efficiency of participating in the FLS-DB in 2019. 2. *KPI recommendations* a) Data quality i) Aim to develop IT solutions that enable and combine clinical service delivery with automatic uploading of patient data to the FLS-DB, releasing nurse and administrative time to provide direct clinical care. b) Identification i) Improve the identification of patients and uploading of patient data onto the FLS-DB before April 2019, by implementing a service improvement plan informed by learning and sharing of good practice from high performing FLSs and the NOS (for FLSs submitting less than 50% of their estimated fragility fracture caseload). ii) Form a network to define best practice pathways for effective and efficient spinal fracture identification and share these with other FLSs before April 2019. This could be a virtual network which meets regularly to share experiences of successful and unsuccessful service improvement plans with the aim of developing a toolkit to support other FLSs (for FLSs submitting more than 10% of their patients as spine fractures). c) Falls assessment and strength and balance training i) Co-develop, with expertise from local falls services, an agreed falls pathway within their FLS by April 2019 (for FLSs that are not routinely recommending or referring their patients for falls assessment). ii) Demonstrate evidence of working with other stakeholders (such as falls services, community physiotherapy teams, local authorities and third sector providers) towards implementing effective strength and balance training provision for this frail population in their locality by 2019. d) Treatment recommendation i) Review data entry methods for the FLS-DB before April 2019 (for FLSs with missing treatment recommendation rates of more than 10%). ii) Audit treatment recommendation data to ensure services meet NICE and NOGG guidelines for when to recommend anti-osteoporosis medication. e) Monitoring contact i) Review method of checking adherence. ii) Prioritise improving monitoring over further improving identification for 2019 (for FLSs that are achieving at least 50% in the identification KPI). Recommendations for commissioners and local health boards 3. Find out what secondary fracture prevention services are available in your area. a) If you do commission an FLS you should: i) work with the local champion(s) to align the KPIs for your FLS(s) with the 11 KPIs that are detailed on page 15 of this report, to reduce duplication and improve transparency ii) review the FLS's performance and prioritise the improvement of KPIs with less than 50% attainment and review commissioning of additional services so FLS can make the improvement required. b) If you do not commission an FLS you should: i) quantify the impact of effective secondary fracture prevention in your local population to inform priority commissioning of FLSs, with support from the NOS and NHS RightCare ii) identify and engage with your local clinical champions and the NOS (fls@nos.org.uk) to codevelop the specification for a sustainable and effective FLS to prevent further avoidable fractures and their significant consequences for your local patients. Recommendations for executive teams for NHS trusts and community service boards The FLS-DB is a mandatory National Clinical Audit and Patient Outcomes Programme (NCAPOP) audit. NHS foundation trusts are required to participate in NCAPOP audits that are relevant to the services they provide as part of their NHS contract. Those services that are not currently participating should implement an urgent action plan to address this. 4. Find out what secondary fracture prevention services are available in your area. a) If you do have an FLS covering your local fracture population, you should: i) understand the full potential impact of an effective FLS to your organisation's provision of effective healthcare ii) provide evidence at board level of support for the FLS's participation in the FLS-DB audit - this could be by sharing regular data at the meeting iii) provide evidence at board level of support for the FLS's service improvement and development plans, by reviewing these plans. b) If you do not have an FLS covering your local fracture population, you should: i) quantify the impact of effective secondary fracture prevention in your local population to inform a priority application for business case for an FLS in 2019/20, with support from the NOS and NHS RightCare ii) identify and engage with your local clinical champion(s), the NOS (fls@nos.org.uk) and NHS RightCare delivery partners to co-develop a business case for a sustainable and effective FLS to prevent further avoidable fractures and their consequences for your local patients. Recommendations for national policy makers 5. Develop an effective integrated commissioning model(s) by April 2020 that reduces the primary-secondary provision gap, focusing on secure and easy communication regarding initiation, adherence and tolerability to anti-osteoporosis medications and falls prevention interventions. Multidisciplinary staff such as primary care advanced nurse practitioners may be specifically supported in this role. 6. Develop options for delivering effective strength and balance training provision for this frail population. ## Introduction There are over 300,000 fragility fractures in the England and Wales every year in patients aged 50 years and over. This includes 66,668 hip fractures (NHFD, 2018) and 70% survive at least a year (Schnell *et al*, 2010) with one in two needing to start using walking aids (Keene *et al*, 1993) and one in five having to move to a care home setting (Griffin *et al*, 2015). This has a life-changing impact on the patient and their family, as well as presenting a burden to health and social care. Having a fragility fracture identifies a patient at risk of another fracture and each patient needs to be assessed for their risk of osteoporosis and falling. Those assessed to be at high risk must be offered effective interventions to reduce their risk of future fractures. This post-fracture care requires joint working between specialties in hospitals, GP surgeries and community services. A major challenge for the NHS is the translation of evidence-based therapies into routine care that is effective, efficient and provides a good patient experience. FLSs were recommended by the Department of Health in 2009 to provide this vital link, guiding patients through the different parts of the NHS to ensure the patient gets the right treatment at the right time. FLSs need to deliver effective care at scale to realise the potential benefits of secondary fracture prevention for their communities. The FLS-DB began collecting patient level data on a continuous basis from 1 January 2016. There has been tremendous engagement from the FLS community and to date 65 FLSs have submitted patient data from over 135,000 patients across the NHS in England and Wales. The FLS-DB is the only national secondary fracture prevention patient-level audit in the world. Following our first national benchmark report in 2016, we developed 11 KPIs critical for an FLS to be effective and highlighted variation in each of them, particularly in identification and monitoring. These were derived from NICE technology appraisals and guidance on osteoporosis and falls and the NOS clinical standards for FLSs and quality standards for osteoporosis and prevention of fragility fractures. Documents mapping the datasets to evidence-based guidance are available on the RCP website. Methods A detailed description of the methodology, including the analysis plan, is available on the RCP website. Since the last report we have changed KPI number 7 (treatment recommendation) to represent the proportion of patients being recommended anti-osteoporosis medication (it was previously the proportion where treatment was recorded as being inappropriate). This change was informed by feedback from the clinical community to previous audit data and to make it easier to interpret the findings. As the target proportion of patients who require recommendations for bone therapy is not known, we have used 50% as a standard based on the current performance of more effective FLSs. In line with the NHFD, we have restricted KPI number 8 (the proportion of patients having started strength and balance training by first follow-up) by excluding patients with a hip fracture. This report describes the assessment and treatment for osteoporosis for 52,731 patients who sustained a fragility fracture in 2017. Quality improvement To support local service improvement, the FLS-DB provides feedback in a number of formats, including annual reports, patient reports, run charts and regional workshops. Since the last report run chart lines have been added for all the KPIs described on page 14. Live run charts allow FLSs to monitor their performance over time and to measure the impact of the implementation of service improvement plans, by comparing performance measures before and after as well as assessing whether any improvement was sustained. FFFAP has also pioneered the release of real-time clinical audit data to the general public making its analyses openly available so that clinical teams, hospital management and the public can share the same access to live information about services in their area. The availability of these public reports gives KPI data access to the wider stakeholder group (www.fffap.org.uk/FLS/charts.nsf). In March 2018 we ran two workshops in Nottingham and York for 58 FLS-DB participants representing various disciplines. The learning objectives were to know how to use the FLS-DB outputs to improve and monitor the quality of service and how to develop a quality improvement project. The workshop included sessions on quality improvement theory and learning from other FLSs. National Osteoporosis Society (NOS) Service Delivery Team The NOS Service Delivery Team includes experienced health professionals with specialist knowledge in FLS, osteoporosis, health service commissioning and service improvement. The team provides a holistic offer of support to health services; health professionals; people affected by osteoporosis; and other local stakeholders across the UK. The support includes the FLS implementation toolkit, advice on clinical pathways, local awareness raising and signposting by working directly with local clinical leads, the operational FLS team and commissioners/service planners. The team facilitate FLS sites to engage with their own data alongside the narrative of a clinical pathway to highlight 'realworld' blocks or pinch points. At one site in the north-west of England, comparing expected identification rates with the number of cases submitted to the audit highlighted identification as an issue. The procedures and techniques used to case-find were robust but analysing the next step in the pathway identified that the letters offering appointments to patients were too passive; essentially requiring the patient to 'opt-in' to the service. Recommendations and examples from other best-practice FLSs were provided to improve the initial FLS appointment letter. In addition to supporting the RCP-led FLS-DB workshops, the NOS promotes excellence in FLSs through the annual FLS Champions' Summit and other national or regional events. In 2018, the focus of the All Wales Osteoporosis Advisory Group (WOAG) skills and knowledge study day was learning how to deliver best practice based on an exemplar site and how this could be replicated on a national level. Future developments Spinal fracture sprint audit Identifying spinal fractures systematically has proven challenging for all FLSs as shown in this report. A sprint audit will be developed and implemented in 2020 to examine the identification and management of fragility spinal fractures. We will work closely with clinical colleagues across radiology and other clinical specialties to develop a robust methodology to understand, and ultimately improve, the identification of spinal fractures. Quality improvement collaboratives The FFFAP team is working with the RCP Quality Improvement programme team to run a series of quality improvement collaboratives focusing on FLSs and secondary fracture prevention. The collaborative will consist of three 1-day learning sessions plus supporting action periods and coaching calls. The collaboratives are designed for small multidisciplinary teams and will take participants through the basic ideas and theory of quality improvement, as well as methodologies used to plan and implement a quality improvement project. It will utilise the FLS-DB data that they collect. Service improvement toolkits In 2019, we will co-develop a library of successful and unsuccessful service improvement plans to address each KPI with the NOS Service Delivery Team, the FLS champions, GIRFT, NHS RightCare and other key stakeholders. This resource will support local FLSs to rapidly develop effective service improvement plans for their service enabling learning from good practice as well as lessons learnt from unsuccessful attempts at improvement (which are just as valuable). ## National Performance Against Kpis: Summary All KPIs measure performance against technology assessments, guidance on osteoporosis and clinical standards for FLSs from NICE, the NOS and the NOGG. Documents mapping the datasets to evidence-based guidance are available on the RCP website. | KPI | | |---------------------------------------------------------------------------|-----------------------------------------------------------------| | 2016 | 2017 | | KPI 1 - Data completeness | | | FLSs with good level of data completeness | | | * | | | | | | 50% | 53% | | 40% | 43% | | KPI 2 - Identification (all fragility fractures) | | | Percentage of patient records submitted compared with the local | | | estimated caseload | | | KPI 3 - Identification (spinal fractures) | | | Percentage of patients with a spine fracture as their index fracture site | | | | | | 4% | 6% | | 67% | 70% | | KPI 4 - Time to FLS assessment | | | Percentage of patients who were assessed by the FLS within 90 days of | | | their fracture | | | 43% | 46% | | KPI 5 - Time to DXA | | | Percentage of patients who had a DXA ordered or recommended and | | | were scanned within 90 days of fracture | | | 40% | 46% | | KPI 6 - Falls assessment | | | Percentage of patients who received a falls assessment or were referred | | | or recommended for a falls assessment | | | 38% | 43% | | KPI 7 - Bone therapy recommended | | | Percentage of patients who were recommended anti-osteoporosis | | | medication | | | 4% | 4% | | KPI 8 - Strength and balance training | | | The percentage of non-hip fracture patients who had started strength | | | and balance training within 16 weeks of their fracture | | | † | | | | | | KPI 9 - Monitoring contact 12–16 weeks post fracture | | | | | | 41% | | | | | | 38% | The percentage of patients who were followed up following their | | fracture | | | 31% | 27% | | KPI 10 - Commenced bone therapy by first follow up | | | The percentage of patients who had commenced (or were continuing) | | | anti-osteoporosis medication. | | | -- | 19% | | ‡ | | | KPI 11 - Adherence to prescribed anti-osteoporosis medication at 12 | | | months post fracture | | | The percentage of patients who had confirmed adherence to a | | | prescribed anti-osteoporosis medication at 12 months post fracture | | ## Key Findings And Improvement Opportunities Data completeness and demographics There has been a 16% increase in the number of patient records submitted in 2017 (n=52,968) compared with 2016 (45,396). Of these, 2,356 were re-fractures. The NOS estimate that there are approximately 95 FLSs in England and Wales. This includes all commissioned services designed to identify, assess and treat patients at risk of osteoporosis. It should be noted that many FLSs cover more than one hospital (see fig 2); the number of FLSs changes as services are commissioned and decommissioned and some of these services will have recently received funding and are not yet operational. Sixty-five FLSs have submitted patient data since the audit opened. This includes 59 FLSs which submitted patient level data in 2017, compared with 52 FLSs in 2016. Four FLSs submitted fewer than 50 records and were excluded from the remainder of the report. There were 237 patients with a duplicate fracture date and NHS number and these were also excluded, giving 52,731 cases from 55 FLSs used in this report. This compares with an estimated total fragility fracture caseload of 333,340 cases, based on the 175 hospitals from England, Wales and Northern Ireland submitting 66,668 hip fracture cases to the NHFD in 2017. Of the 171 NHFD hospitals in England and Wales, 102 are not currently covered by an FLS submitting data to the FLS-DB and nine are only covered by an FLS submitting organisational audit data. Of the 55 FLSs, 53% of FLSs had good levels of data completeness (fewer than five fields with more than 20% data missing). Of the 52,731 patients, 19% sustained a hip, 6% spine and 69% other fragility fracture as their index fracture (see Appendix 1). The fracture site was missing for 7% of patients. Just over half (56%) of patients were under 75 years old. The average number of patients submitted per FLS was 959. The average population served was 390,000 with 1.23 WTE nurses and 0.4 administrators per FLS. Six FLSs were community-based services. Key - hospitals where patients are: Not covered by an FLS submitting data to the FLS-DB and so unable to benchmark effectiveness of any potential FLS. Covered by an FLS that participated in the organisational audit but has too few cases to be included in the patient level audit. Covered by an FLS submitting less than 50% of their estimated fragility fracture caseload to the FLS-DB. Covered by an FLS submitting 50–79% of their estimated fragility fracture caseload to the FLS-DB. Covered by an FLS submitting at least 80% of their estimated fragility fracture to the FLS-DB. Summary of the key results There has been an improvement in the number of FLSs achieving good (green) or requires improvement (amber) standards for each KPI: For each KPI, green denotes 80% or higher achievement and amber 50–79% achievement, except for recommendation of bone therapy where green denotes 50% or higher achievement and amber was not used. The achievement of individual KPIs for each FLS is shown in Appendix 2. ## Results Kpis 2 And 3 - Identification Of Patients With Any Fragility Fracture And Those With A Spine Fracture As Their Index Fracture Site Guidelines  Nice Qs 149: Adults Who Have Had A Fragility Fracture Have An Assessment Of Their Fracture Risk.  NOS 2015: All patients aged 50 years and over who have a new fragility fracture or a newly reported vertebral fracture will be systematically and proactively identified.  NOGG: Coordinator-based FLSs should be used to systematically identify men and women with a fragility fracture. Why is the metric important and how has the standard been set? Systematically identifying all patients aged over 50 years with a fragility fracture is a core function of an FLS. Without systematic identification the local impact of an FLS to improve secondary fracture prevention and reduce future fractures will be blunted. The standard has been set at 80% of the estimated fragility fracture caseload. The estimated caseload is derived using the 'rule of five' method developed in the feasibility study of the FLS-DB and was determined by multiplying the local count of hip fractures in 2017 from the NHFD by five. Key findings The average rate of submitted identification has increased from 40% in 2016 to 43% in 2017 with 20 FLSs now identifying at least 50% of their expected caseload compared with 16 FLSs in 2016. The number of FLSs identifying at least 10% of their caseload from spine fractures has increased from six in 2016 to 14 in 2017. However, across all FLSs identification rates remain low at 6%. Identifying spinal fractures systematically has proven challenging for all FLSs as shown in this report. 61% of FLSs said they don't cover opportunistic radiological spinal fractures and 73% said they don't cover vertebral fracture assessment (VFA) using DXA spine imaging. The most frequently reported barriers in finding patients with spinal fractures included lack of standardised practice/language for radiology reporting (37%) and the pathway still being in development (47%). Recommendations for FLSs  Improve the identification of patients and uploading of patient data onto the FLS-DB before April 2019, by implementing a service improvement plan informed by learning and sharing of good practice from high performing FLSs and the NOS (for FLSs submitting less than 50% of their estimated fragility fracture caseload).  Form a network to define best practice pathways for effective and efficient spinal fracture identification and share these with other FLSs before April 2019. This could be a virtual network which meets regularly to share experiences of successful and unsuccessful service improvement plans with the aim of developing a toolkit to support other FLSs (for FLSs submitting more than 10% of their patients as spine fractures). ## Case Study: Improving The Identification Of Spinal Fracture Patients Milton Keynes University Hospital Foundation Trust - Debbie Minney, fragility advanced nurse practitioner Background Identifying spinal fractures was a challenge as most of these patients are admitted under the medical team or only attend an outpatient clinic. Due to resourcing, the fragility team had limited availability to attend the wards to identify patients. Aim  To assess more fragility fracture patients overall.  To ensure more spinal fracture patients are referred directly to the FLS. Process I presented the 2016 FLS-DB report at the department audit meeting and discussed our results compared with the national average. I gave a brief overview of the service and encouraged colleagues to refer fragility fracture patients directly to the FLS. The orthopaedic spinal consultant agreed to refer all patients with osteoporotic spinal fractures to the FLS for a bone health assessment. Education sessions on fragility fractures were given to all junior doctors, along with guidelines on how to treat patients with osteoporotic spinal fractures. The fracture clinic nurses have been educated to identify patients who have attended the clinic and refer them to the FLS for assessment. The therapy team at Milton Keynes is in constant contact with the fragility and trauma coordinator and any spinal fractures that are identified by the therapy team are fed back to the fragility team for assessment. Outcomes  The proportion of spinal fracture patients has increased from 7% to 15%.  The referrals we are receiving from the spinal clinic have helped increase the amount of spinal fractures seen by the FLS. However, we are now also receiving an increased number of referrals from all areas within the hospital.  Patients are being assessed and commencing treatment while still an inpatient so the patient does not have to return to clinic. Next steps Due to the increase in patients referred to the FLS, the waiting time for assessment in our outpatient clinics has increased (with some patients waiting 8 weeks). If inpatients are identified earlier in their stay, treatment could be commenced before they are discharged. This would avoid them having to attend an outpatient appointment. We have produced a business case for extra staff to improve on waiting times and allow a better coverage from the fragility service within the hospital and for administration assistance, as this is all being completed by the band 7. In turn this will make space for more clinic work. This will also allow us to expand the service we provide. Summary  Make contact with the spinal consultant as they will be able to identify patients.  Liaise with the therapists as they will also be rotating and working within the medical wards, enabling them to identify and refer patients to the FLS. ## Kpi 7 - Bone Therapy Recommended Guidelines  Nos 2015, Nos 2017, Nogg, Nice Ta 464, Nice Ta 204, Nice Qs 149: Patients At Increased Risk Of Further Fracture Will Be Offered Appropriate Bone Protection Treatments. Why is the metric important and how has the standard been set? Not every patient with a fragility fracture requires anti-osteoporosis medication. However, those patients identified to be at high imminent risk of another fracture require rapidly effective antiosteoporosis medication with good adherence as this is the highest impact intervention to reduce patients' risk of another fracture. There are a number of national and local thresholds used for intervention which has led to marked variability in recommendation rates between FLSs. The standard has been set at 50% of the total number of submitted to ensure FLSs are not only identifying the patients at the extremes of fracture risk but also those at moderate fracture risk. Key findings The average rate of bone recommendation being recorded has increased from 38% in 2016 to 43% in 2017 with 17 FLSs now recommending anti-osteoporosis medication in at least 50% of patients with a fragility fracture. Anti-osteoporosis medication was recommended in 56% of patients aged over 75 years and 31% in patients aged under 75 years. The presence of missing data makes it challenging to interpret the treatment recommendation rate for an FLS. This is because those FLSs with a high proportion of missing treatment data have a consequently lower proportion of treatment recommendation compared with the number of cases submitted, as shown in fig 4. ## The Red Line Denotes 50% Of Submitted Patients Recommended Or Referred For Anti-Osteoporosis Medication. Recommendations For Flss  Review Data Entry Methods For The Fls-Db Before April 2019 (For Flss With Missing Treatment recommendation rates of more than 10%).  Audit treatment recommendation data to ensure services meet NICE and NOGG guidelines for when to recommend anti-osteoporosis medication. ## Kpis 6 And 8 - Falls Assessment And Strength And Balance Class Training Guidelines  Nos 2015, Nogg, Nice Cg 161, Nice Qs86 And The Boa: Older People Who Present For Medical Attention Because Of A Fall Or Have Reported Recurrent Falls In The Past Year Should Be Offered A Multi-Factorial Falls Risk Assessment.  NICE CG 161, NICE QS 86 and NOGG: A muscle-strengthening and balance programme should be offered. This should be individually prescribed and monitored by an appropriately trained professional. Why is the metric important and how has the standard been set? Achieving reduction in secondary fracture prevention requires a holistic approach addressing both bone health and falls risk. Addressing risk factors for falls permits interventions that have rapid effects on falls risk, eg addressing cardiovascular disease or specific medications. All patients presenting with a fragility fracture should have a falls assessment or be recommended for one. Strength and balance training is the best-evidenced intervention for falls prevention. It is effective as a single intervention, as well as part of a multifactorial approach. A Cochrane collaboration systematic review on interventions to prevent falls in community dwelling adults found that group exercise reduced the rate of falls by 29% and the risk of falling by 15%. Home-based exercise reduced the rate of falls by 32% and the risk of falls by 22% (Gillespie LD, *et al*). Following advice from the NHFD advisory group, this KPI excludes patients with hip fractures. Key findings The average rate of falls assessment or referral for falls assessment has increased from 40% to 46% between 2016 and 2017. Twenty-six FLSs now record a falls assessment or referral for one in over 50% of their patients compared with 19 FLSs in 2016. Thirty-six percent of FLSs said they could refer patients for strength and balance training, and 31% of these programmes were delivered by appropriately trained healthcare professionals. However, the average reported initiation of strength and balance classes in patients recommended antiosteoporosis medication is 4%, although two FLSs were able to report initiation of strength and balance classes in over 50% of patients. Recommendations for FLSs  Co-develop, with expertise from local falls services, an agreed falls pathway within their FLS by April 2019 (for FLSs that are not routinely recommending or referring their patients for falls assessment).  Demonstrate evidence of working with other stakeholders (such as falls services, community physiotherapy teams, local authorities and third sector providers) towards implementing effective strength and balance training provision for this frail population in their locality by 2019. Recommendation for national policy makers  Develop options for delivering effective strength and balance class provision for this frail population. ## Case Study: Increasing The Number Of Patients Receiving A Falls Assessment Musgrove Park Hospitals - Gemma Hembery, fracture liaison specialist practitioner Background The first FLS-DB annual report showed we were performing above the national average in many areas. However, we felt there were still improvement opportunities. A quarter of patients were not documented as having received or been referred for a falls assessment. After discussing this at an NOS champions meeting we realised that only patients physically seen in clinic or as an inpatient were recorded as having a falls assessment. A large group of patients, many of whom are over 75 and require a falls assessment, were referred to primary care for treatment. Aim To ensure all patients were getting an adequate falls assessment and that we were maintaining a record of this. Process Gemma Hembery, fracture liaison specialist practitioner, and Ron Perry, fracture liaison administrator, determined the best way to document when a falls assessment was carried out by another clinician such as the GP, or a referral to the independent living team and falls clinic. We included a sentence in our letter to GPs requesting a falls assessment for patients who did not require a face-to-face clinic appointment. We also changed our postal questionnaire sent to patients to include a section on falls. This gave us an initial indication of the type of support patients might need and allows us to pass on more information to the GP and engage them to carry out assessments. Regular reviews of the number of assessments or referrals were carried out to enable us to see patient groups we may be missing. Outcomes  The number of patients receiving or being referred for a falls assessment increased from 75% in 2016 to 95% in 2017.  The increase in our KPI performance is proof that our numbers are now truly reflective of all patients who received a falls assessment, whether in primary or secondary care. Summary  Discuss each database field fully within your team to ensure there is an understanding of what constitutes a positive or negative response.  Look at the processes of other FLSs in your area or those that are high achieving and try to see where you may be able to adapt your service.  Regularly reflect on your processes and identify areas you are not capturing and adjust accordingly. ## Kpi 9 - Monitoring Guidelines  NOS 2015, NOS 2017: Patients who are recommended anti-osteoporosis therapy to reduce risk of fracture will be reviewed within 4 months of initiation to ensure appropriate treatment has been started, and every 12 months to monitor adherence with the treatment plan.  NICE QS 149: Adults prescribed drug treatment to reduce fracture risk are asked about adverse effects and adherence to treatment at each medication review. Why is the metric important and how has the standard been set? Given up to 50% of the risk of re-fracture occurs in the first 2 years following an index fracture, it is essential that eligible patients are rapidly started on anti-osteoporosis medication and stay on therapy for at least this length of time. Oral bisphosphonates are the recommended first-line therapy for osteoporosis. These medications have a complex administration regimen for patients to follow, produce no beneficial effect on symptoms and are sometimes associated with troublesome side effects. This leads to rates of persistence of less than 30% at 12 months, and 10% of patients do not even initiate anti-osteoporosis medication. This level of non-compliance is not compatible with an effective FLS. FLSs should actively monitor patients' recommended therapy to support patient choices, including therapeutic switches to other anti-osteoporosis medications with better persistence rates. Active monitoring of patients should ideally take place within 16 weeks of index fracture to ensure rapid initiation and be repeated at 52 weeks to ensure ongoing persistence. Currently active monitoring of adherence is not standard within the NHS with only 38% of patients who were recommended anti-osteoporosis medication having any monitoring contact. At this early stage of the audit we are reporting whether there is any monitoring of a patient by an FLS and will focus on improving the timing of monitoring in later reports. Key findings Monitoring remains challenging for FLSs and the average rate of any monitoring information being recorded decreased from 41% to 38% between 2016 and 2017. Twenty FLSs were able to submit monitoring information in over 50% of patients in 2017 and 2016. Reported proportion of adherence at 12 months was 19% of patients who were recommended or referred for therapy, with 5/55 FLSs able to confirm this in over 50% of their patients. Nearly half (46%) of FLSs reported that they delegated some monitoring to primary care, in which case it becomes almost impossible for hospital-based FLSs to track individual patients and identify whether the patient has continued with their treatment. Recommendations for FLSs  Review method of checking adherence.  Prioritise improving monitoring over further improving identification for 2019 (for FLSs that are achieving at least 50% in the identification KPI). ## For An Fls To Be Successful It Is Essential That They Deliver The Whole Pathway To Patients Who Are At Risk Of Further Fractures. Therefore, Given The Importance Of Ensuring Adherence To Anti-Osteoporosis Medication We Recommend Flss Who Are Already Achieving Moderate Identification Rates (50% Or More) Prioritise Improving Monitoring Over Improving Identification In 2019. Case Study: Identification And Assessment Of Patients Guy'S And St Thomas' Nhs Foundation Trust Background A Band 7 Clinical Nurse Specialist (1 Wte) Was Funded To Run The Fls. However, This Was Not Sufficient And Fragility Fracture Patients Were Not Being Identified On A Daily Basis With The Majority Being Referred Back To Their Gps For Dxa Scans And Bone Health Management. In Addition, The Fls Was Not Capturing Incidental Spinal Fractures Or Patients Who Would Not Be Followed Up In The Fracture Clinic. Aim To Identify All Fragility Fracture Patients Coming Through A&E, Wards, Fracture Clinics And Radiology. To Capture Incidental Spinal Fractures Via Electronic Screening In Liaison With Radiology. Process  An Application Was Submitted To The Clinical Commissioning Group (Ccg) Which Resulted In An Increase To Two Wte Band 7 Clinical Nurse Specialists And One Wte Administrator.  Radiology agreed to send the FLS monthly lists of all patients with the word 'fracture' in report.  Radiology, A&E, ageing and health staff and orthopaedic staff were encouraged to refer patients who might require a fragility fracture assessment directly to the FLS.  The FLS started daily ward rounds and having a daily presence in the fracture clinic to identify new fracture patients. Outcomes  The percentage of eligible patients seen by the FLS has risen from 66% to 144%.  The proportion of patients with spine fracture has risen from 2% to 8%.  The percentage of patients assessed within 90 days of fracture has risen from 19% to 93%.  An increasing number of patients discharged on oral bisphosphonates or arrangement to return for parenteral treatment.  The FLS is able to visit wards to advise on bone health treatment and plan prior to discharge rather than delegating this to primary care. References and bibliography The references cited in this report and bibliography are available online on the RCP website. ## Appendices Notes On The Appendices Appendix 1. Index fracture site proportion and total number of fragility fracture records submitted by FLSs in 2017 This figure shows the site of the first fracture site (bars) and the total number of cases submitted (blue diamonds) by FLSs. The left vertical axis shows what proportion of patients presented with a hip, spine or other fractures. The right vertical axis shows the total number of cases submitted by each FLS. The figure shows that there was a wide variation in the proportion of patients with hip fracture submitted and a low rate of vertebral fractures were identified. Appendix 2. KPI achievement in 2016 vs. 2017 by FLS Actual percentage achievement shown for each FLS with additional colour coding of green as 80% or more achievement, amber as 50–79% achievement and red as <50% achievement; except for KPI 1 where green shows 0–5 fields, amber shows 6–10 fields and red shows >11 fields; KPI 3 where green shows >20%, amber as 11–19% achievement and red <10% achievement and KPI 7 where green shows >50% and red < 50% achievement. The 2016 national averages are based on the results published in the 2017 annual report. This includes data from FLSs who no longer submit data to the FLS-DB. KPI 7 was not published in the 2017 annual report but was calculated using the 2016 data. KPI 11 relates to patients seen in 2016 and followed up in 2017. 100Ashford & St Peter's Hospitals NHS Foundation TrustBarking Havering and Redbridge University Hospitals NHS TrustBarnet HospitalBradford Teaching Hospitals NHS Foundation TrustBromley HealthcareBroomfield HospitalBuckinghamshire Healthcare NHS TrustCambridge University Hospitals NHS Foundation TrustChesterfield Hospital NHS Foundation TrustCroydon University HospitalDiana Princess of Wales HospitalDorset County HospitalEast Kent Hospitals University NHS Foundation TrustEast Lancashire Hospitals NHS TrustEast Surrey HospitalEast Sussex HealthcareEpsom St Helier University Hospitals NHS TrustGuy's and St Thomas' NHS Foundation TrustMedway NHS Foundation TrustMilton Keynes University Hospital Foundation TrustMorriston HospitalMusgrove Park HospitalNorth Bristol NHS TrustNorth Tees and Hartlepool NHS Foundation TrustNorth West Anglia NHS Foundation TrustNottingham University HospitalsOxfordshire Fracture Prevention ServicePoole Hospital NHS Foundation TrustPortsmouth and Southeast HampshireQueen Elizabeth Hospital LewishamRoyal Derby HospitalRoyal Surrey County HospitalRoyal United HospitalRoyal Wolverhampton HospitalSalford Royal NHS Foundation TrustSalisbury NHS Foundation TrustSandwell and West Birmingham Hospitals NHS TrustSt George's HospitalSunderland Royal HospitalThe Haywood HospitalThe Hillingdon Hospitals NHS Foundation TrustThe Ipswich Hospital NHS TrustThe Rotherham NHS Foundation TrustUnited Lincolnshire Hospitals NHS TrustUniversity Hospital LewishamUniversity Hospital LlandoughUniversity Hospital of North Durham and DarlingtonUniversity Hospitals Birmingham NHS Foundation TrustUniversity Hospitals Bristol NHS Foundation TrustUniversity Hospitals Southampton NHS Foundation TrustWest BerkshireWest Suffolk NHS Foundation TrustWeston General HospitalWye Valley NHS TrustYeovil District Hospital ## Appendix 2. Kpi Achievement In 2016 Vs. 2017 By Fls *Indicates: Where any n<3, the numbers and percentages were suppressed. This process was conducted for data protection reasons, to ensure anonymity of the patient data included in reporting. Ashford & St Peter's Hospitals NHS Foundation Trust* #N/A 3 11 * 98 82 99 49 0 54 54 Barking Havering and Redbridge University Hospitals NHS Trust 11 8 13 12 7 5 19 31 18 31 4 46 38 46 0 53 60 61 48 53 10 Barnet Hospital 1 1 18 23 5 7 88 92 68 71 95 96 45 60 * 4 84 87 69 66 72 Bradford Teaching Hospitals NHS Foundation Trust 0 0 4 41 25 48 82 84 77 77 * * 46 66 0 0 0 49 0 34 44 Bromley Healthcare 1 0 32 29 2 1 99 99 91 85 100 100 40 45 8 0 82 81 56 59 0 Broomfield Hospital 0 10 36 41 1 1 96 98 22 8 1 * 71 50 0 0 0 0 0 0 0 Buckinghamshire Healthcare NHS Trust 2 2 14 27 5 4 100 99 2 26 93 94 91 92 4 0 0 1 0 1 * Cambridge University Hospitals NHS Foundation Trust* #N/A 0 30 0 90 74 28 90 23 29 21 | 2016 | 2017 | 2016 | 2017 | 2016 | 2017 | 2016 | |----------------------------------|---------|---------|---------|---------|---------|---------| | Chesterfield Hospital NHS | | | | | | | | Foundation Trust* | | | | | | | | #N/A | 17 | | 70 | | 0 | | | Croydon University Hospital | 6 | 16 | 15 | 20 | 11 | 12 | | Diana Princess of Wales Hospital | 5 | 10 | 12 | 58 | 0 | 3 | | Dorset County Hospital | 11 | 11 | 70 | 87 | 3 | 10 | | East Kent Hospitals University | | | | | | | | NHS Foundation Trust* | | | | | | | | #N/A | 7 | | 10 | | 31 | | | East Lancashire Hospitals NHS | | | | | | | | Trust | | | | | | | | 2 | 2 | 24 | 21 | * | 1 | 90 | | East Surrey Hospital | 2 | 11 | 29 | 54 | 3 | 3 | | East Sussex Healthcare* | | | | | | | | #N/A | 0 | | 9 | | 1 | | | Epsom St Helier University | | | | | | | | Hospitals NHS Trust* | | | | | | | | #N/A | 1 | | 30 | | 4 | | | Guy's and St Thomas' NHS | | | | | | | | Foundation Trust | | | | | | | | 12 | 12 | 66 | 144 | 2 | 8 | 19 | | Medway NHS Foundation Trust | 11 | 9 | 56 | 60 | 2 | 3 | | Milton Keynes University | 2 | 3 | 21 | 13 | 7 | 15 | 2017 2016 2017 2016 2017 2016 2017 2016 2017 2016 2017 2016 2017 2016 2017 | 2016 | 2017 | 2016 | 2017 | 2016 | 2017 | 2016 | |---------------------------------|---------|---------|---------|---------|---------|---------| | Hospital Foundation Trust | | | | | | | | Morriston Hospital | 2 | 2 | 27 | 45 | 5 | 4 | | Musgrove Park Hospital | 0 | 0 | 80 | 77 | 4 | 5 | | North Bristol NHS Trust | 7 | 7 | 84 | 77 | 4 | 4 | | North Tees and Hartlepool NHS | | | | | | | | Foundation Trust | | | | | | | | 5 | 5 | 63 | 77 | 3 | 3 | 100 100 | | North West Anglia NHS | | | | | | | | Foundation Trust | | | | | | | | 2 | 2 | 30 | 29 | 1 | 2 | 91 | | Nottingham University Hospitals | 9 | 4 | 64 | 58 | 0 | 0 | | Oxfordshire Fracture Prevention | | | | | | | | Service | | | | | | | | 2 | 2 | 88 | 81 | 3 | 4 | 73 | | Poole Hospital NHS Foundation | | | | | | | | Trust | | | | | | | | 9 | 0 | 2 | 31 | 6 | 3 | 10 | | Portsmouth and Southeast | | | | | | | | Hampshire FLS | | | | | | | | 13 | 10 | 48 | 49 | 1 | 1 | 92 | | Queen Elizabeth Hospital | | | | | | | | Lewisham | | | | | | | | 6 | 13 | 33 | 75 | 2 | 3 | 1 | 2017 2016 2017 2016 2017 2016 2017 2016 2017 2016 2017 2016 2017 2016 2017 fractures fractures >20% missing data KPI 2 Identification - all KPI 3 Identification - spine KPI 1 Number of fields with KPI 4 Time to FLS assessment | | | | | | | | | | | | | | | | | 2016 | 2017 | 2016 | 2017 | 2016 | 2017 | 2016 | |--------------------------------|-----|-----|------|----|----|----|-----|------|----|------|----|-----|-----|----|----|---------|---------|---------|---------|---------|---------|---------| | Royal Derby Hospital | 6 | 7 | 10 | 38 | 7 | 3 | 81 | 83 | 91 | 96 | * | 0 | 53 | 64 | 0 | 0 | 5 | * | 3 | * | 0 | | | Royal Surrey County Hospital | 0 | 3 | 33 | 35 | 9 | 10 | 93 | 97 | 75 | 73 | 90 | 89 | 37 | 47 | 0 | 2 | 55 | 61 | 38 | 46 | * | | | Royal United Hospital | 16 | 16 | 8 | 65 | | 0 | 0 | 93 | 40 | 45 | 42 | 18 | 0 | 29 | | * | | 14 | | 0 | 0 | | | Royal Wolverhampton NHS Trust | 10 | 10 | 21 | 15 | 5 | * | 98 | 99 | 0 | 0 | 1 | 0 | 1 | * | 0 | 0 | 0 | 0 | 0 | 0 | 0 | | | Salford Royal NHS Foundation | | | | | | | | | | | | | | | | | | | | | | | | Trust | | | | | | | | | | | | | | | | | | | | | | | | 7 | 12 | 40 | 42 | 2 | 2 | 3 | 0 | 5 | * | 24 | 11 | 5 | 1 | 0 | 0 | 75 | 0 | 25 | 0 | 0 | | | | Salisbury NHS Foundation Trust | 5 | 3 | 48 | 44 | 2 | 17 | 68 | 96 | 64 | 71 | 26 | 77 | 50 | 50 | 0 | 0 | 57 | 33 | 53 | 32 | 26 | | | Sandwell and West Birmingham | | | | | | | | | | | | | | | | | | | | | | | | Hospitals NHS Trust | | | | | | | | | | | | | | | | | | | | | | | | 11 | 0 | 10 | 19 | 16 | 14 | 54 | 28 | 10 | 9 | 69 | 97 | 10 | 48 | 0 | 24 | 0 | 13 | 0 | 12 | 0 | | | | St George's Hospital | 14 | 15 | 120 | 77 | 11 | 14 | 39 | 25 | 71 | 100 | 59 | 43 | 41 | 29 | 22 | 19 | 58 | 23 | 55 | 23 | 0 | | | Sunderland Royal Hospital | 0 | 0 | 65 | 74 | 5 | 5 | 99 | 100 | 69 | 71 | 68 | 70 | 41 | 43 | 9 | 3 | 55 | 72 | 41 | 56 | * | | | The Haywood Hospital | 0 | 0 | 41 | 57 | 15 | 16 | 77 | 68 | 78 | 75 | 40 | 68 | 39 | 37 | * | 0 | 66 | 80 | 47 | 40 | 52 | | | The Hillingdon Hospitals NHS | | | | | | | | | | | | | | | | | | | | | | | | Foundation Trust | | | | | | | | | | | | | | | | | | | | | | | | 0 | 0 | 20 | 23 | * | 2 | 94 | 96 | 69 | 75 | 3 | 52 | 21 | 44 | 35 | 33 | 45 | 52 | 36 | 36 | 49 | | | | The Ipswich Hospital NHS Trust | 11 | 11 | 75 | 76 | 2 | 2 | 42 | 43 | 39 | 44 | 51 | 53 | 47 | 44 | 1 | 2 | 24 | 18 | 21 | 15 | 18 | | | The Rotherham NHS Foundation | | | | | | | | | | | | | | | | | | | | | | | | Trust | | | | | | | | | | | | | | | | | | | | | | | | 0 | 0 | 32 | 36 | 7 | 10 | 43 | 22 | 43 | 18 | 14 | 19 | 35 | 38 | 33 | 29 | 0 | 0 | 0 | 0 | 0 | | | days referred within 90 days KPI 7 Bone therapy KPI 11 Patient confirmed bone therapy at 16 weeks commenced (patients >75) KPI 8 Strength and balance KPI 10 Patient commenced KPI 5 Time to DXA within 90 16 weeks post index fracture KPI 9 Recorded follow-up 12– recommended as appropriate adherence to bone therapy at KPI 6 Falls assessment done or 2017 2016 2017 2016 2017 2016 2017 2016 2017 2016 2017 2016 2017 2016 2017 | 2017 | 2016 | 2017 | 2016 | 2017 | 2016 | |----------------------------------|---------|---------|---------|---------|---------| | United Lincolnshire Hospitals | | | | | | | NHS Trust | | | | | | | 11 | 6 | 52 | 2 | 4 | * | | University Hospital Lewisham | 7 | 7 | 48 | 48 | 2 | | University Hospital Llandough | 7 | 6 | 36 | 34 | 3 | | 0 | 3 | 47 | 42 | 2 | 2 | | University Hospital of North | | | | | | | Durham and Darlington | | | | | | | Memorial Hospital | | | | | | | University Hospitals Birmingham | | | | | | | NHS Foundation Trust | | | | | | | 0 | 0 | 67 | 42 | 1 | 1 | | University Hospitals Bristol NHS | | | | | | | Foundation Trust | | | | | | | 9 | 7 | 91 | 96 | 7 | 8 | | #N/A | 8 | | 13 | | 4 | | University Hospitals | | | | | | | Southampton NHS Foundation | | | | | | | Trust* | | | | | | | West Berkshire FLS | 2 | 2 | 36 | 34 | 4 | | West Suffolk NHS Foundation | | | | | | | Trust | | | | | | | 2 | 5 | 35 | 44 | 6 | 5 | | Weston General Hospital* | | | | | | | #N/A | 0 | | 5 | | 10 | 2017 2016 2017 2016 2017 2016 2017 2016 2017 2016 2017 2016 2017 2016 2017 fractures fractures >20% missing data KPI 2 Identification - all KPI 3 Identification - spine KPI 1 Number of fields with KPI 4 Time to FLS assessment 2016 2017 2016 2017 2016 2017 2016 Wye Valley NHS Trust 10 4 56 67 1 1 99 98 0 0 66 84 66 87 0 0 * 0 0 0 0 Yeovil District Hospital 2 2 95 95 13 12 59 46 19 27 50 85 55 63 1 4 72 70 52 54 16 Overall (average) 251 295 40 43 4 6 67 70 43 46 40 46 38 43 4 4 41 38 31 27 19 #N/A Total no. green values 25 31 6 5 1 2 24 30 5 7 8 14 13 18 0 0 3 6 0 0 0 0 days referred 12 months within 90 days KPI 7 Bone therapy KPI 11 Patient confirmed bone therapy at 16 weeks commenced (patients >75) KPI 8 Strength and balance KPI 10 Patient commenced KPI 5 Time to DXA within 90 16 weeks post index fracture KPI 9 Recorded follow-up 12– recommended as appropriate adherence to bone therapy at KPI 6 Falls assessment done or 2017 2016 2017 2016 2017 2016 2017 2016 2017 2016 2017 2016 2017 2016 2017 This report provides the second national benchmark for the performance of FLSs at the patient level and demonstrates the step change in engagement and quality improvement in England and Wales. ## Falls And Fragility Fracture Audit Programme (Fffap) A suite of linked national clinical audits, driving improvements in care; managed by the Royal College of Physicians > Falls Pathway Workstream > Fracture Liaison Service Database (FLS-DB) > National Hip Fracture Database (NHFD)

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## Internal Audit Report Accounts Receivable (Invoice Processing) Audit 2019/20 To: Director of Finance Deputy Director of Finance Head of Finance (Exchequer) Copied to: Assistant Finance Manager (AR) Council Management Team (CMT) Operations Director, Re Operations Director, CSG Education & Skills Director, Cambridge Education Head of Property Services & Valuation, CSG Street Scene Commercial Manager Group Manager, Licensing, Re Head of Performance and Risk, CSG and Re Finance Manager, Cambridge Education Education Welfare Manager, Cambridge Education Document Centre and Mailroom Manager, CSG Finance Manager- Family Services Head of Service, Hospitals and Health Partnerships - Adults & Communities Manager Community Financial Assessment Team From: Internal Audit Executive, LBB Head of Internal Audit LBB We would like to thank management and staff of the Accounts Receivable team and other teams in the Council / its partners for their time and co-operation during the course of the internal audit. ## Executive Summary | | | | Assurance level | Number of recommendations by risk category | |-------------------|------|--------|---------------------|------------------------------------------------| | Critical | High | Medium | Low | Advisory | | Limited Assurance | | | | | | - | 1 | 6 | 1 | - | ## Scope The Council issues invoices to its customers and clients to collect income for services provided for them. Invoice processing reviews will allow the income of the council to flow in without hindrances as the invoices are produced accurately and on a timely basis. The invoices should be issued at whatever intervals are agreed in the service agreement. The audit covered arrangements within the Council's central finance team as well as reviewing a sample of invoicing teams across the Council and three of its contracted partners (CSG, Re and Cambridge Education). ## Summary Of Findings This audit has identified 1 high, 6 medium and 1 low risk finding. We identified the following issues as part of the audit: - Income Collection manual invoicing (Spreadsheet) Process (high): We found within our sample that controls on manually produced invoices (through spreadsheet) are not adequate. The invoices are not checked or authorised by senior officers. - Income Collection and Debt Management Guidance (ICDMG) (medium): During fieldwork, we noted that most invoicing teams (6/8 (75%) that we tested) are not aware of the ICDMG. We identified that the ICDMG was not version controlled, the date of production, the producer and next review date were not included on the document. - Commercial Rents - CSG Estates (medium): During fieldwork, we identified 8 expired leases/rent contracts (40%) which had not been renewed. The contract renewal process is slow, we identified that 8 cases (40%) the renewal took between 5 months to 5 years. - Commercial Waste - Street Scene (medium): Waste contract management controls are not operating effectively; we identified 12 cases (48%) where Business Recycling & Waste Agreement Forms were not counter-signed by LBB. - Premises Licensing and Gambling (PLG) - Re (medium) In the process of the audit we established that 8/15 credits notes issued (53%) were issued to previous holders of licenses who were no longer in control of the premises and had not informed PLG of their change of circumstances, 5/15 (33.3%) were issued to suspended customers; while 2/15 (13%) credit notes were issued to correct duplicated invoices. Additionally, we found that 12 invoices that were supposed to be cancelled in 2017 were still outstanding in Integra as at October 2019. It is also noted that all the AR requests for approval to take recovery action had not been granted. Lastly, we found that the council's debt write-off process was not followed by the team. - Education Accounts - Cambridge Education (medium): We found three cases (30%) which had no source document for invoices issued. We noted 10 cases (100%) where the old location of the team was on the invoices instead of the new location. We identified that in 100% of the debt write-off process tested, the LBB process was not followed. - Document Centre and Mailroom - CSG (medium): There is no evidence of adequate separation of duties in the printing process, we identified that whereas there is a good, separate first level security control of ID and password for members of staff printing the invoices, the second level of security is not adequate as the two members of staff use the same code to print. - Overpayments - Family Services (low): We noted that the overpayments bad debts were due to delay in accessing the necessary information required to enable the team to confirm outstanding invoices and chase them before they become doubtful or bad. We followed up to confirm that the actions agreed as part of the 2018/19 Debt Management audit had been completed. The AR2 concerning "Age debt monitoring" has been implemented while AR3 regarding "Third party debt collections" is not yet fully implemented, although reasonable progress has been made (See appendix 4). ## 2. Findings, Recommendations And Action Plan | | | | |---------------|---------|-------| | Ref | Finding | Risks | | Risk | | | | category | | | | Agreed action | | | ## 1 Invoices Procedure - Invoices Produced On Spreadsheet High a) All manually loaded A sample of eight invoicing teams were selected for testing across the Council and three of its contracted partners: CSG, Re and Cambridge Education. If invoices and credit notes are not independently reviewed and approved then there is a risk of error or fraud. The review established that Council's invoices are produced in two main ways: manual and electronic. The electronic method is produced, checked and authorised on the Integra system, while the manual method involves production of invoices using spreadsheets. The spreadsheets are then sent to the Integra team for upload into the system. The testing confirmed that adequate controls authorisation is in place for the electronic invoice production method through Integra; invoices are checked and authorised by appropriate officers. spreadsheets must include documented approval by an appropriate authorised person to evidence that the spreadsheet has been independently checked for accuracy, in line with the Financial Regulations requirement that separation of duties must be in place for all financial transactions. If invoicing teams are not aware of the procedures in place **then**, there a risk that Responsible officers: inconsistent practices may occur and go a) All invoicing teams across the undetected. However, manually loaded spreadsheets (invoices) in the service areas reviewed established that those service areas do not comply with section 3.1.2 of the Financial Regulations which state: "There must be adequate separation of duties to ensure that no one officer is able to handle any financial transaction from start to finish without there being some mechanism for independent checking. By finish is meant the completion of the accounting for the transaction". Council and its partners. Target date: The testing established that: 31 January 2020 - There is not adequate segregation of duties in the manual invoicing process in the two service areas we reviewed that had used this method. One member of staff starts the process from beginning to the end. - The spreadsheets are produced and forwarded to the Integra team for upload by the same officer without any authorisation or approval by a senior officer. - There is no evidence that the spreadsheets were checked and signed by a senior officer or a manager. | Ref | Finding | |---------------------------------------------------------------------|-----------------------------------------------------------------------| | Risk | | | - | Unlike for teams invoicing via Integra, for manual spreadsheets there | | is no control on the Integra system to ensure that a senior officer | | | approves the content of the spreadsheet on the system (see table | | | below showing the invoicing teams sampled). | | Invoicing Teams Tested Team Using Integra Team Using Spreadsheet Team Using Integra and Spreadsheet Public Protection (Re): Licensing and Gambling Adult Social Care: Social Care and Ad-hoc Property Services & Valuation (CSG): Commercial Rents Note: this team had not invoiced via spreadsheet during the period under review Street Scene Commercial Services: Commercial Waste Education Partnership & Commercial Services (Cambridge Education): Education Account. Adult & Health: Actual Billing (Community) Early Intervention & Prevention (Family Services): Overpayments Adult & Health: Residential Care Homes 5 2 1 category Agreed action | | | | |------|---------|-------| | Ref | Finding | Risks | | Risk | | | ## 2. Invoicing Procedure - Income Collection And Debt Management Guidance (Icdmg) There is an Income Collection and Debt Management Guidance (ICDMG) document in place. A sample of eight invoicing teams were selected for testing and our discussion with each team established that six teams (75%) are unaware of the guidance note. Our testing found examples of the guidance not being followed, e.g. with regards to Write Offs (see findings 4 and 5 below). The guidance is not version controlled as the date of production and next review dates were not indicated on the document. Although, the Assistant Finance Manager (AR) informed us that the guidance was reviewed last year, there is no evidence to confirm this as the document was not version controlled. category Agreed action Medium (a) Finance will ensure that all invoicing teams are aware of and understand procedures as set out in the Income Collection and Debt Management If invoicing teams are not aware of the procedures in place **then**, there a risk that Guidance (ICDMG). This may require a training session or a notification each time the inconsistent practices may guidance is updated. occur and go (b) Finance will ensure that a undetected. procedure note is produced and publish on the intranet. (c) Finance will ensure that the Income Collection and Debt Management Guidance If process and procedure documents used by the Council are not version controlled then (ICDMG) is version controlled to ensure teams can identify and are using the correct version. inconsistent practices may occur and go undetected as Responsible officer: various versions of the documents may be in Assistant Income Manager circulation. Target date: 31 January 2020 | | | | |------|---------|-------| | Ref | Finding | Risks | | Risk | | | ## 2. Commercial Rents - Csg Estates The Commercial rents invoicing process was tested to ensure that the process and procedure comply with the Council's Income Collection and Debt Management Guidance. 20 invoices were randomly selected from year 2019/20 commercial rent list (portfolio) for our testing. The testing established that: - Contracts for eight out of 20 (40%) invoices selected are expired and are yet to be renewed. Effectively, the fees/charges have not been agreed and signed up to by the lessor. - The leases and rents renewal process is very slow. Our testing confirmed that for eight out of 20 (40%) rents/leases reviewed, it took an average of between 5months to 5years for renewal. During the process of renewal, tenants were not invoiced leading to loss of income to the Council. The table below shows the analysis of delays detected in the tenancy and rents/leases renewal process. Number of Customer Number Expiry Date Years 10043960 12/02/2014 5 years 10004859 30/06/2014 4 years + 10019650 15/03/2015 4 years 10004620 25/10/2016 3 years + 10060430 1/10/ 2017 2 years + 10026742 24/12/2017 1.5 years 10026754 25/12/2018 1 year 10029515 30/06/2019 4 months category Agreed action Medium a) The Commercial Rents team will If lease/rents contracts renewal process is ensure that expired leases and rents are renewed promptly to improve the income and cash flow of the Council. b) The lease and rent renewal process will be reviewed for efficiency and effectiveness and changes implemented where necessary. unnecessarily delayed **then** the council could lose income, potentially leading to budget pressures and cash flow Responsible officer: problems. Head of Property Services & Valuation Property Services Officer Target date: 31st March 2020 | | | | |-----------------------------------|---------|-------| | Ref | Finding | Risks | | Risk | | | | category | | | | Agreed action | | | | a) The Commercial Waste team will | | | ## 3. Commercial Waste - Street Scene | | | |--------|-----------| | If | | | | contracts | | Medium | | Our testing of the commercial waste invoicing process revealed that records of transactions are maintained. However, the records are not complete and show evidence of lack of administrative/internal controls. agreements between the A sample of 25 invoices were obtained for testing and we established that: council and its clients are not ensure there are controls in place to certify that all waste contracts are reviewed for accuracy and correctness by making sure that all BRWA Form are countersigned by LBB staff and that signed copies of the form are retained appropriately. In 12/25 (48%) of the invoices tested, the "Business Recycling & Waste Agreement Form" (BRWA Form) were signed by the clients but not signed by LBB staff to show evidence of administrative and internal control; adequately documented and signed **then** there is a risk that Responsible officer: Street Scene Commercial Manager - In one case (4%), the BRWA Form was not signed by either of the two parties (i.e. representative of the Council and the client), which invalidates the contract; and charges for the Council's services to such clients might Finance& Performance Manager (Commercial Development Team) - S unenforceable, leading to the Target date: 31st March 2020 council losing income, or lead to disputes should there be a misunderstanding or reason for litigation. a) The Premises Licensing and ## 4 Premises Licensing And Gambling (Plg) - Re | | |--------| | | | Medium | A sample of 15 credit notes were obtained for testing and we established that 15/15 (100%) were issued to clients who were no longer in control of the premises and did not inform PLG of their change of circumstances. We noted that: If necessary and timely information is not available to the right team at the right time - 8/15 were issued to previous holder of licenses who were no longer in control of the premises and did not inform PLG of their change of circumstances then, there is a risk of delay in acting against Gambling team will review its processes in relation to termination and transfer of licences to ensure terminated clients are removed from the database for invoicing immediately. Team to also review last 12 months to ensure these have been actioned. | Ref | |---------------| | Risk | | category | | Agreed action | b) The PLG team will cancel all - 5/15 were issued to suspended customers debtors leading to loss of income or cash flow problems. - 2/15 were issued to correct duplicated invoices (and this is an avoidable error) outstanding items coded 49 in the system to ensure that the balances available in the account are accurate and correct. c) The PLG team will raise a call with If credit notes are delayed then, Furthermore, our review found that all the12 invoices coded 49 by Team Leader (Licensing & Anti-Social Behaviour) on Integra on 8th August and 12th September 2017 are still outstanding as at end of November 2019. Items coded 49 are supposed to be cancelled immediately but in this case the items were delayed without any reason. there is a risk that the account CST for any further bespoke reports that are required from Integra. balances might ## Debt Recovery | be | misleading | |-----------------------------|---------------| | | | | d) Henceforth, the Premises | | | resulting | in | | overstated | | | income | which | The Premises Licensing and Gambling team stated they have no access to run the report that will enable them to obtain the necessary information required to act promptly against a licensing payments defaulter. The AR team provided evidence of the reports that they provide the PGR team with ('PRL DEBT' report and 'PRL debts MH'). Licensing and Gambling team will be routinely providing authorisation for the AR team to take recovery action against unpaid invoices when the premises ceased trading. would be reported by the council's external auditor. e) The Premises Licensing and Our discussion with the Team Leader (Licensing & Anti-Social Behaviour) confirmed their view that the reports received are not sufficient and the team is not configured to produce reports on Integra to enable it to effectively monitor its clients. Gambling team will explore the possibility of setting up direct debits for all its clients/customers to improve the council's income. f) The AR team will provide a direct Additionally, we noted that permission to take recovery action made by the AR for unpaid invoices where premises has ceased trading were not authorised by the Premises Licensing and Gambling Team (as the PLG team claimed they were unaware that authorisation is required) making it impossible for AR to pass the bad debt over for debt recovery and collection action. debit form with the correct address. ## Direct Debits g) The Premises Licensing and It is noted that updating customers' payment method to Direct Debit (DD)might reduce the debts and make it easier for the team to monitor payments effectively. The PLG team stated that their last attempt to update the customers' payment system to the direct debit method was not possible as the form provided by the AR team for the update carried the wrong Gambling team bad debts will be processed for approval in accordance with the Council's Financial Regulations. The team | Ref | |---------------------------------------------------------------------------| | Risk | | category | | Agreed action | | | | will verify the required approval | | limits and comply with these. | | address (it carries the North London Business Park address instead of the | | team's Colindale address). | ## Write-Off Responsible officer: Our review established that Premises Licensing and Gambling team wrote off bad debts annually with approval from the Commercial Premises Manager only. They were unaware of any other need for approval, as required by the Council's Financial Regulations. The team stated that the Commercial Premises Manager meets periodically with the AR team who had not provided any other process for the team to follow. However, the Financial Regulations form part of the Council's constitution which partners are required to comply with. The review confirmed that credit notes were raised to cancel outstanding invoices (effectively write-off bad debts). This method by-passes the process and controls put in place by management. ## Note: Please Also Refer To Finding 1, Invoices Procedure - Invoices Produced On Spreadsheet And Its Associated Action Which Should Be Taken Forward By The Plg Team: All manually loaded spreadsheets must include documented approval by an appropriate authorised person to evidence that the spreadsheet has been independently checked for accuracy, in line with the Financial Regulations requirement that separation of duties must be in place for all financial transactions. If there are no source documents for invoices issued 5 Education Welfare Accounts - Cambridge Education Ten invoices were randomly selected for our testing from the education penalty charges issued in the current financial year by the Education team. The invoices were issued to parents/guardians for unauthorised absenteeism from school. The testing established that: that the address on the invoices is changed to its current location from NLBP in accordance with the London Borough of Barnet Income Collection and Debt Management Guidance. then there is a risk that invoice disputes will be | | | | |----------------------|---------|-------| | Ref | Finding | Risks | | Risk | | | | category | | | | Agreed action | | | | | | | | | | | | | | | | | | | | difficult to resolve | | | | and inconsistent | | | | practices | might | | - Three out of ten had no source document. Discussion with the officer indicated that the documents might have been shredded by the Education Welfare Manager. b) The Education team will ask be going - All the ten invoices tested had the team's old address of North London | schools | |-------------------------------------------------------------------------| | | | undetected in the | | system. | | | | | | | | | | | | | | documents/forms to the team and | | the scanned copies will be kept | | electronically until the end of the | | financial year when bad debts will | | be written off and forms erased. | | | | Business Park, Oakleigh Road South, N11 1NP whereas the team is | | currently located in Colindale. This is contrary to the information on | | page 5 of the London Borough of Barnet Income Collection and Debt | | Management Guidance which states "All invoices will be raised within | | 2 days of service delivery……, and will include clear, relevant and full | | information as to: how to contact the Council if there is a query in | | relation to the invoice or in relation to making payment". | | | | | | | | | | | | c) Going forward, Education Account | | | | | | | | | | | Team's credits, bad debts and doubtful debts will be processed for approval in accordance with the Council's Financial Regulations Write-Off Our testing established that the Education Accounts team wrote off debts annually with the authorisation of the Education Welfare Team Manager only. The review confirmed that credit notes for a total sum of £41,400 were raised to cancel outstanding invoices and debts at the end of the last financial year without the list of write-offs subsequently being signed off formally by the head of service. A proportion of this debt related to credits raised for prompt payment by parents within 21 days as stated under the terms of the invoice. Both these prompt payment credits and other bad debt write offs require management approval. (Fin Reg). The Team will verify the approval limits and comply with the provision of the Fin Reg. If an exception to the Fin Reg is required, this will be documented and approved by senior management and the Director of Finance. If credits, bad debts and Responsible officer: Note: Please also refer to Finding 1, Invoices Procedure - Invoices produced on Spreadsheet and its associated action which should be taken forward by the Education team: doubtful debts are processed without approval in accordance with the financial regulation provisions then All manually loaded spreadsheets must include documented approval by an appropriate authorised person to evidence that the spreadsheet has been independently checked for accuracy, in line with the Financial Regulations requirement that separation of duties must be in place for all financial transactions. there is a risk of | | | | |------|---------|-------| | Ref | Finding | Risks | | Risk | | | ## 6 Document Centre And Mailroom - Csg Our review/observation of the invoice production, compilation and postage process by the Document Centre & Mail team established that there are two levels of security to enable the two members of staff involved to print the invoices. The first level consists of ID and password and the second level is an access code. These two levels of security are supposed to be independent and distinct to ensure effective control and an efficient audit trail so that it is clear who printed the invoices. Our testing established that: - The first level of security for the two members of staff is satisfactory, each of them have distinct IDs and passwords; however: - the second level of security/control is unsatisfactory as the two staff members share one code instead of having distinct access. It is therefore not currently possible to confirm who has printed which invoices. The Document Centre and Mailroom Manager informed us that the CST- Helpdesk and Assistant Finance Manager (AR) have been informed of the problem but are yet to update the process. ## 7 Family Services Finance Team (Overpayments) The testing of the invoicing process by the Family Services (FS) Finance Team (Overpayments) is satisfactory. However, we observed that most of the bad debts that occurred in this area were due to a delay in accessing necessary information on the Integra finance system. The FS Finance Team is unable to produce aged debt reports from Integra to confirm outstanding invoices and chase these before they become doubtful or bad debts. category Agreed action misappropriation and fraud. a) The Document centre and Medium mailroom team will liaise with the CST-Helpdesk to ensure that the second level of printing security is separated between the two If adequate first level and second level of printing security is not put in place then, Document Centre & Mail team staff members responsible for printing. Responsible officer: Document Centre and Mailroom Manager there is a risk that the audit trail may not be clear and distinct in case of investigation. Target date: 31st March 2020 a) The Family Services Finance Team (Overpayments) will liaise with the AR team and CST to ensure they are given Integra access that will enable it to run aged debt reports. This will allow greater visibility of status of the debts and will enable the FS Finance Team to share information with the AR team where possible ## Ref Finding Risks Risk Category Agreed Action The FS Finance Team (overpayment) currently receives information on nonpaying clients after the debt has become doubtful or bad. to reduce the risk of debts becoming bad. ## Responsible Officer: Finance Manager (Family Services) and ineffectiveness leading to loss of income to the council. Target date: 31st March 2020 Whilst it is not the responsibility of the FS Finance Team to chase debts, having access to an aged debt Integra report would give them visibility of the status of outstanding debts and would allow them to share information with the Accounts Receivable (AR) team where possible to reduce the risk of debts becoming bad. ## Appendix 1: Definition Of Risk Categories And Assurance Levels In The Executive Summary Note: the criteria should be treated as examples, not an exhaustive list. There may be other considerations based on context and auditor judgement. ## Risk Rating Critical Immediate and significant action required. A finding that could cause: - Life threatening or multiple serious injuries or prolonged work place stress. Severe impact on morale & service performance (e.g. mass strike actions); or  - Critical impact on the reputation or brand of the organisation which could threaten its future viability. Intense political and media scrutiny (i.e. front-page headlines, TV). Possible criminal or high profile civil action against the Council, members or officers; or - Cessation of core activities, strategies not consistent with government's agenda, trends show service is degraded. Failure of major projects, elected Members & Senior Directors are required to intervene; or - Major financial loss, significant, material increase on project budget/cost. Statutory intervention triggered. Impact the whole Council. Critical breach in laws and regulations that could result in material fines or consequences. High Action required promptly and to commence as soon as practicable where significant changes are necessary. A finding that could cause: - Serious injuries or stressful experience requiring medical many workdays lost. Major impact on morale & performance of staff; or  - Significant impact on the reputation or brand of the organisation. Scrutiny required by external agencies, inspectorates, regulators etc. Unfavourable external media coverage. Noticeable impact on public opinion; or - Significant disruption of core activities. Key targets missed, some services compromised. Management action required to overcome medium-term difficulties; or - High financial loss, significant increase on project budget/cost. Service budgets exceeded. Significant breach in laws and regulations resulting in significant fines and consequences. Medium A finding that could cause: - Injuries or stress level requiring some medical treatment, potentially some workdays lost. Some impact on morale & performance of staff; or  - Moderate impact on the reputation or brand of the organisation. Scrutiny required by internal committees or internal audit to prevent escalation. Probable limited unfavourable media coverage; or - Significant short-term disruption of non-core activities. Standing orders occasionally not complied with, or services do not fully meet needs. Service action will be required; or - Medium financial loss, small increase on project budget/cost. Handled within the team. Moderate breach in laws and regulations resulting in fines and consequences. A finding that could cause: Low - Minor injuries or stress with no workdays lost or minimal medical treatment, no impact on staff morale; or  - Minor impact on the reputation of the organisation; or - Minor errors in systems/operations or processes requiring action or minor delay without impact on overall schedule; or - Handled within normal day to day routines; or - Minimal financial loss, minimal effect on project budget/cost. ## Level Of Assurance Substantial There is a sound control environment with risks to key service objectives being reasonably managed. Any deficiencies identified are not cause for major concern. Recommendations will normally only be Advice and Best Practice.  Reasonable  An adequate control framework is in place but there are weaknesses which may put some service objectives at risk. There are Medium priority recommendations indicating weaknesses but these do not undermine the system's overall integrity. Any Critical recommendation will prevent this assessment, and any High recommendations would need to be mitigated by significant strengths elsewhere. Limited There are a number of significant control weaknesses which could put the achievement of key service objectives at risk and result in error, fraud, loss or reputational damage. There are High recommendations indicating significant failings. Any Critical recommendations would need to be mitigated by significant strengths elsewhere.  No  There are fundamental weaknesses in the control environment which jeopardise the achievement of key service objectives and could lead to significant risk of error, fraud, loss or reputational damage being suffered. ## Appendix 2 - Analysis Of Findings | Critical | High | Medium | Low | Total | |-------------------------|---------|-----------|--------|----------| | Area | | | | | | D | OE | D | OE | D | | Process and procedure | | | | | | | | | | | | - | - | 1 | - | 1 | | 2 | | | | | | Invoicing process | | | | | | - | - | - | - | - | | 5 | | | | | | Reconciliation process | | | | | | - | - | - | - | - | | - | | | | | | Access data restriction | | | | | | - | - | - | - | - | | 1 | | | | | | Follow up | | | | | | - | - | - | - | - | | - | | | | | | Total | - | - | 1 | - | | | | | | | | Key: | | | | | - Control Design Issue (D) - There is no control in place or the design of the control in place is not sufficient to mitigate the potential risks in this area. - Operating Effectiveness Issue (OE) - Control design is adequate; however, the control is not operating as intended resulting in potential risks arising in this area. Timetable Terms of reference agreed: Fieldwork commenced: Fieldwork completed: Draft report issued: Management comments received: Final report issued: Date Date Date Date Date Date 23rd September 2019 30th Sept 2019 2-14th January 2020 14th November 2019 30th December 2019 17th January 2020 ## Appendix 3 - Identified Controls | Area | Objective | Risks | Identified Controls | |---------------------------------------------------------------------|---------------|------------|------------------------| | Documented invoice process procedure in place. | | | | | Process and | | | | | Procedure | | | | | Procedure available in electronic and hard copies. | | | | | | | | | | There are adequate invoicing | | | | | processes and procedures in | | | | | place and they operate | | | | | effectively. | | | | | | | | | | | | | | | Staff are aware of their role in | | | | | the invoice production process, | | | | | and perform their tasks | | | | | appropriately. | | | | | | | | | | Procedure accessible to all members of staff involved in invoice | | | | | processing. | | | | | | | | | | Procedure is reviewed and revised periodically. | | | | | | | | | | Roles responsibilities and separation of duties information is well | | | | | documented. | | | | | | | | | | Next review date is documented on the procedure. | | | | | | | | | | If | | | | | the current process is not | | | | | documented and approved, | | | | | there is a risk that inconsistent | | | | | practices may go undetected | | | | | and customers might not be | | | | | invoiced. | | | | | | | | | | If | | | | | the procedures and the | | | | | process are not revised and | | | | | updated regularly, there is a | | | | | risk that the system may not | | | | | include adequate separation | | | | | of duties to reduce risk of | | | | | fraud or collusion. | | | | | | | | | | If | | | | | the process and procedures | | | | | are not updated regularly, they | | | | | may | not | enable | staff | | understand their tasks or to | | | | | avoid overlapping tasks or | | | | | confusion. | | | | | | | | | | Invoicing | | | | | Process | | | | | There are adequate controls in | | | | | place to ensure that the invoices | | | | | are | produced | correctly, | | | | | | | | accurately and on time. | | | | | If | | | | | there is no documented | | | | | invoicing process in place, | | | | | there is a risk that income will | | | | | not be collected on a timely | | | | | basis leading to cash flow | | | | | problems. | | | | | Staff assigned to check | | | | | arithmetical and other | | | | | accuracies of invoices are | | | | | aware of their responsibilities. | | | | | If | | | | | the invoice production | | | | | process is not monitored and | | | | | checked regularly, the | | | | | invoices might not be raised in | | | | | Documented and approved invoicing procedure is in place. | | | | | | | | | | Annual updates are carried out on electronic invoicing system. | | | | | | | | | | Test runs are carried out on the update to ensure that its accurate | | | | | and such update should be signed off. | | | | | | | | | | There is segregation of duties in place and an individual officer | | | | | cannot start and complete invoicing process. | | | | | | | | | | Senior member of staff is delegated to check the accuracy of the | | | | | invoicing system and ensure that the content is correct. | | | | time or may be forgotten leading to loss of income. Checks are in place to ensure that mistakes are detected before its goes out of the council. If staff are not assigned to check the invoicing production process for accuracy, there is a risk that the inputting officer may not raise the invoices correctly or accurately or there may be errors or omissions in amounts invoiced. Reconciliation Process The suspense and unidentified accounts are monitored regularly and income moved appropriately or in to the correct accounts. If suspense and unidentified accounts are not reconciled regularly, there is risk of loss of income, fraud or misappropriated funds. If suspense accounts are not regularly reconciled and monitored, the council might be unable to trace or identify payees of income; There is segregation of duties between staff reviewing the suspense and unidentified accounts and staff given approval for movement of income to the appropriate accounts/codes. Reconciliations are performed on a regular basis between Accounts Receivable (AR) and the General Ledger (GL) to ensure mistakes and errors are detected on a timely basis. If income/payments are left in the suspense/unidentified accounts longer than necessary, there is a risk of having complaints from customers leading to bad publicity/image for the Council. Suspense accounts containing unidentified income or payments are monitored and reconciled weekly. Payments in the suspense account should be investigated and funds transferred to its appropriate code. There is a limit to numbers of days funds/payments could stay in the suspense account. Age analysis of suspense accounts items are produced on a monthly basis to determine if none of the items are over required limit. There is process in place for movement of funds in and out of the suspense account. Approvals are required for funds to be moved out of the suspense account. Monthly or weekly reconciliation in place and are checked and authorised by senior officers. If movements in and out of suspense/unidentified accounts are not monitored and approved, there is a risk of wrong accounts being debited in error or intentionally for fraudulent purposes; If reconciliation between AR and the GL is not carried out regularly, there is a risk that mistakes and errors will not be detected. Access Data Restriction There are controls in place to restrict access to data to prevent fraud and misappropriation of funds. Access to the invoicing system is restricted by ID and password. There is process in place to report leavers promptly to ensure deactivation of ID and password Audit trail of activities conducted by individual on the system should be retrievable in case of fraud investigation. There is sufficient audit trail in place to maintain and If access to the invoicing system is not restricted and leavers are not deleted on a timely basis, there is a risk that the undeleted access could be used to perpetrate fraud. demonstrate review and approval of invoices prior to production. If access to the invoicing system is not restricted and is being access by leavers, there is risk that the invoice history/audit trails might be untraceable, removed or eliminated to cover frauds and misappropriation. If there is an insufficient audit trail to maintain and demonstrate review and approval of invoices prior to production, there is a risk of lack of accountability which could lead to reputational damage. ## Follow-Up Of Previous Audit Recommendations 2018-19 Accounts Receivable - Debt Management And Collection | Ref | Finding | Risks | |-----------------------------------------------------------|-------------|----------| | Agreed action | | | | Debt | collection | | | agencies are not | | | | engaged | in | a | | timely | manner, | | | AR3 | | | | Third Party Debt Collections | | | | A sample of 25 instances of debts collected by third | | | | parties for the period 01/04/2018 - 31/10/2018 (per the | | | | Council's accounts receivable listing) was reviewed. Our | | | | audit noted: | | | | - | | | | 1 / 25 instances where the Council has not performed | | | | leading to debts | | | | which might have | | | | been recoverable | | | | becoming | | | | unrecoverable. | | | | | | | | follow up procedures (or consulted with the Council's | | | | legal team) to seek recovery of a debt since December | | | | 2017, when initial recovery attempts were made by the | | | | Councils bailiff service at the time and the Council. | | | | The value of the debt was £1,641. | | | | During the course of our testing we also noted that there | | | | was not a valid current contract in place between this | | | | bailiff and CSG Finance. | | | | | | | | Internal | |-------------------------| | Medium | | Agreed Actions: | | 1. | | Ensure that the | | Assessment | | December 2019 | | In Progress | | Reasonable progress | | has been made. | | lack of valid current | | contract with this | | bailiff is addressed | | and that the | | Council's Contract | | Procedure Rules are | | adhered to. | | 2. | | Communicate | | The responsible officer | | reported progress as | | follows: | | | | Contract in place but | | not signed. High level | | consultation is | | expected to take place | | between Finance and | | Legal services to | | resolve some issues | | before final | | implementation. | | | | and reinforce the | | requirements for third | | party debt collection, | | including where initial | | recovery attempts | | made by the bailiff | | and the Council are | | not successful, to | | ensure that follow up | | procedures are | | performed, or the | | debt is written off if | | required. | | Responsible Officer: | | | | Head of Finance | | ( | | Exchequer) | | Ref | Finding | Risks | |-----------------------------------------------|-------------|----------| | Agreed action | | | | Where | budget | | | AR2 | | | | Aged debt monitoring | | | | Our audit noted: | | | | managers do not | | | | have | sufficient | | | - | | | | A sample of service managers advised that the | | | | details of aged debt | | | | and | formal | | | requirements | for | | | follow | up | and | monthly aged debt report is high level only, and is insufficiently detailed for effective review of aged debt. As such, it is used for summary purposes only rather than detailed debt monitoring; - Whilst departmental budget managers are expected to monitor and recover aged debt, there is no formal requirement for any actions to be taken by departmental budget managers upon receipt of the monthly aged debt report (i.e. to evidence that debt monitoring and appropriate follow up procedures have been completed); and recovery procedures are not in place, there is an increased risk that staff may not have enough oversight of aged debt in their service area. Further, debt - The 'Aged Debt Report' at February 2019 showed the sum of aged debt older than one month was £18.3m, of which £3.6m was older than two years. monitoring may not be carried out in a way that allows targeted collection of debt and early identification of issues with particular debtors, leading to financial loss for the Council. | Internal | Audit | |-------------------------|-----------| | Medium | | | Agreed Actions: | | | Management will: | | | Assessment | | | December 2019 | | | 1. | | | Review the monthly | | | Implemented | | | The response from the | | | responsible officer and | | | our review confirmed | | | that: | | | In addition to a high | | | level summary report | | | being | produced | | aged debt reporting | | | process. In | | | conjunction with | | | departmental budget | | | managers, update | | | and amend the | | | format of the aged | | | debt report to ensure | | | that it is sufficiently | | | detailed to allow | | | service areas to | | | conduct effective | | | review and follow up | | | of aged debt | | | balances. | | | 2. | | | Develop and | | | details of all invoices | | | are attached to the | | | report. One can drill | | | down to a specific | | | invoice by clicking on | | | each | service | | debt. | | | | | | The main service areas | | | such | as | | property | services, | | commercial | waste, | | licencing, print room | | | etc. | receive | implement a process to ensure that departmental budget managers have completed debt monitoring and follow up procedures. This may include responding to the monthly aged debt report with details of follow up procedures undertaken and (where required), weekly/monthly report which details only their specific service area | Ref | Finding | Risks | |-------------------------|-------------|-----------| | Agreed action | | | | actions to be taken to | | | | recover aged debt. | | | | and status of invoices | | | | and debts. | | | | 3. | | | | Review existing | | | | | | | | The | Integra | | | development | team | | | report | has | been | | improved and detail of | | | | the debt by cost centre | | | | is now available to | | | | assist | each | service | | aged debt balances | | | | to establish whether | | | | further debt recovery | | | | processes can be | | | | carried out, or | | | | whether write off of | | | | debt is required | | | | (particularly for debt | | | | which is older than | | | | two years). | | | | area / budget manager | | | | to | ensure | effective | | monitoring | of | their | | Responsible Officer: | | | | | | | | Head of Finance | | | | ( | | | | Exchequer) | | | | debts. | | | | | | | | | | | ## Appendix 5– Internal Audit Roles And Responsibilities Limitations inherent to the internal auditor's work We have undertaken the review of *Account Receivable Audit*, subject to the limitations outlined below. ## Internal Control Internal control systems, no matter how well designed and operated, are affected by inherent limitations. These include the possibility of poor judgment in decision-making, human error, control processes being deliberately circumvented by employees and others, management overriding controls and the occurrence of unforeseeable circumstances. Specifically, we will not: - be focusing on controls in place for debt management which has been carried out in 2018/19 audit ## Future Periods Our assessment of controls is for the period specified only. Historic evaluation of effectiveness is not relevant to future periods due to the risk that: - the design of controls may become inadequate because of changes in operating environment, law, regulation or other; or - the degree of compliance with policies and procedures may deteriorate. Responsibilities of management and internal auditors It is management's responsibility to develop and maintain sound systems of risk management, internal control and governance and for the prevention and detection of irregularities and fraud. Internal audit work should not be seen as a substitute for management's responsibilities for the design and operation of these systems. We endeavour to plan our work so that we have a reasonable expectation of detecting significant control weaknesses and, if detected, we shall carry out additional work directed towards identification of consequent fraud or other irregularities. However, internal audit procedures alone, even when carried out with due professional care, do not guarantee that fraud will be detected. Accordingly, our examinations as internal auditors should not be relied upon solely to disclose fraud, defalcations or other irregularities which may exist.

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# Office Of Rail Regulation # Publication Scheme Guide # May 2011 ## Contents 1) Introduction..................................................................................................1 2) Who we are and what we do........................................................................1 Structure of ORR..........................................................................................1 Legislation ....................................................................................................2 Interface with other Government Departments and the industry ..................2 How to contact ORR.....................................................................................3 3) Accounts and Finance .................................................................................3 4) Aims and Objectives ....................................................................................3 Aim - our vision of success for Britain's railways .........................................3 Objectives.....................................................................................................4 5) Decision Making ..........................................................................................5 Board Meeting Minutes ................................................................................5 Accountability ...............................................................................................6 Consultations................................................................................................6 Inspection and Investigation.........................................................................6 6) Our polices and procedures.........................................................................6 Working at ORR ...........................................................................................6 Memoranda of Understanding......................................................................7 Customer Service.........................................................................................7 Complaints Procedures ................................................................................8 Data Protection.............................................................................................8 Charging.......................................................................................................9 7) Public Register...........................................................................................10 Register of Interests ...................................................................................10 8) Information and Guidance..........................................................................10 Selection of guidance and information available: .......................................10 ## 1) Introduction The Freedom of Information Act requires the Office of Rail Regulation (ORR) to adopt and maintain a Publication Scheme that sets out the information we intend to pro-actively publish as a matter of routine. The purpose of a publication scheme is to ensure that a significant amount of information is available, without the need to make specific general information requests. ## 2) Who We Are And What We Do 2.1 ORR is the independent safety and economic regulator for the railway industry. Details of our key roles and corporate strategy can be found at: http://www.rail-reg.gov.uk/server/show/nav.84 ## Structure Of Orr 2.2 ORR is an independent statutory body led by a Board. The Secretary of State for Transport makes appointments to the Board for a fixed term of up to five years and may dismiss a member on the grounds set out in paragraph 2 of Schedule 1 to the Railways and Transport Safety Act 2003. The Board is responsible for setting ORR's strategy and oversight of its efficient, effective and economic delivery. The Chair of the Board is Anna Walker. The Board meets monthly and consists of a mix of non-executive and executive directors. The Board has five Committees covering Approvals, Audit, Remuneration, Periodic Review and Safety Regulation and their terms of reference are included in the Board Rules of Procedure. For biographical details for Board members and the independent member of its Audit Committee please see: http://www.rail-reg.gov.uk/server/show/nav.1197 This link also provides access to the Board's rules of procedure, remuneration & register of interests and Board minutes. 2.3 The chief executive is an executive member of the Board. He is responsible for the delivery by the Office of the strategy set by the Board, for carrying out effectively the duties assigned to ORR under statute. He is in charge of ensuring the Office operates efficiently, with integrity and probity. He works closely with the chair to engage with external stakeholders at all levels. 2.4 There are six Directorates each headed by an Executive Director, overseen by the Chief Executive. These Directorates are: - Corporate services; - External affairs; - Legal services; - Rail markets and economics; - Rail planning and performance; - Railway safety. For further details of the Executive Directors and Directorates see: http://www.rail-reg.gov.uk/server/show/nav.76 ## Legislation 2.5 The national rail network infrastructure (track, signalling, bridges, tunnels and stations) is owned and operated by Network Rail. ORR's principal function is to regulate Network Rail's stewardship of the national rail network and to enforce health and safety legislation on Britain's railways. ORR has a range of statutory powers under the Railways Act 1993. Using these powers, it sets the contractual and financial framework within which Network Rail operates the network, ensuring that the company carries out its activities efficiently and well, and that it is appropriately funded. The framework for the regulation of Network Rail is designed to provide effective incentives so that the company is rewarded for doing a good job. If necessary however, ORR may enforce compliance with the network licence if the network operator fails to fulfill its obligations, and it may also impose monetary penalties. Details of railway related legislation which ORR is involved in can be found at: http://www.rail-reg.gov.uk/server/show/var.1836 ## Interface With Other Government Departments And The Industry 2.6 Through its statutory functions, ORR works closely with various stakeholders, including: - Department for Transport; - Rail Accident Investigation Branch; - British Transport Police; - Health and Safety Executive; - Network Rail; - Train and freight operating companies; - Association of Train Operators (ATOC); - Passengerfocus; - London TravelWatch; - Heritage Railways Association; - Transport for London; - Tram operators; - Light rapid transit operators. - Channel Tunnel Safety Authority (CTSA); and - Rail trade unions. ## How To Contact Orr 2.7 Our contact details can be found at: http://www.rail-reg.gov.uk/server/show/nav.27 ## 3) Accounts And Finance 3.1 Details of our budgets, expenditure, financing and staff costs can be found in our annual report and resource accounts. The latest report incorporated in our annual report 2009-10, covering 1 April 2009 - 31 March 2010 can be found at: http://www.rail-reg.gov.uk/upload/pdf/371.pdf ## 4) Aims And Objectives 4.1 ORR's current aims and objectives have been developed in full consultation with external stakeholders. The aims form our vision for success for Britain's railways and the objectives are based on seven strategic themes. They are summarised below and further details can be found in our corporate strategy 2009-14 and latest business plan: http://www.rail-reg.gov.uk/server/show/nav.77 ## Aim - Our Vision Of Success For Britain'S Railways - Satisfaction levels of passenger and freight companies equivalent to the best in railways and other forms of transport. - Zero workforce and industry-caused passenger fatalities, with an ever decreasing overall safety risk. - Efficiency equivalent to that achieved by the best comparable railways across the world. ## Objectives Theme 1 Focus On Passenger And Freight Customers Now And In The Future Passenger and freight customers benefit from improved safety, performance, efficiency and capacity. ## Theme 2 Excellence In Health And Safety Culture And Risk Control All parts of the railway have excellent health and safety culture and risk control processes. ## Theme 3 Excellence In Asset Management That by 2014 whole life asset management in the railway industry matches that of best practice comparators. ## Theme 4 Improved Industry Planning And Timely And Efficient Delivery Of Major Projects That committed improvements to the railways are delivered in a timely and efficient way, and credible plans are in place to meet the longer term challenges the industry faces. ## Theme 5 Efficient Use Of Capacity On The Mainline Network That the mainline industry has in place arrangements to achieve the best use of capacity on the network. ## Theme 6 Development By The Industry Of The Capabilities Of Its People All parts of the industry put in place arrangements so that they have and can sustain the skills and competence needed to meet the challenges of 2009 -14 and beyond. ## Theme 7 High Quality Data And Information For Key Decisions That data produced by the industry is better turned into information so that all parties can make effective and consistent use of it, and the industry's management systems are more robust and meet international standards. 4.2 We publish an annual report including resource accounts and also a yearly overview of health and safety in the railway industry. These can be viewed at: http://www.rail-reg.gov.uk/server/show/nav.1240 http://www.rail-reg.gov.uk/server/show/nav.2457 ## 5) Decision Making 5.1 Orr Makes Decisions In A Number Of Ways: - The ORR Board has overall responsibility. It has a number of committees which serve the Board in an advisory role. The Board reserves some decisions to itself but has otherwise delegated authority to: - Our chief executive, who in turn, has delegated some of his authority to: - Individual directors, who make individual decisions and use their authority within the scope of their roles. In some instances, the Board has also delegated some authority directly to directors. - The chief inspector makes decisions, using authority delegated by the Board, on health and safety enforcement matters, but must do so in accordance with any health and safety enforcement policy it has approved. - Directors' group (DG) is the forum that the chief executive uses to discuss, monitor and make decisions with the directors collectively and ensure a consistent approach on significant management and policy matters. In addition, DG ensures oversight of delivery of the corporate strategy/business plan, corporate governance, and value for money. It approves draft Board reports, makes key cross-directorate policy decisions, provides policy steer and monitors and reviews corporate information such as the accounts. - Some staff members have statutory functions delegated to them by the Board, for example the approval of routine access agreements. Every staff member makes decisions in the course of their job within their directorate and the wider ORR. ## Board Meeting Minutes 5.2 Minutes of meetings of the Board can be found at: http://www.rail-reg.gov.uk/server/show/nav.83 ## Accountability 5.3 For details of our accountability see: http://www.rail-reg.gov.uk/server/show/nav.93 Consultations 5.4 ORR issue various consultation documents, including consultations on: - Land disposal. - Licence applications. - Track Access applications. - Station Access applications - Depot Access applications. Further information and responses are available at: http://www.rail-reg.gov.uk/server/show/nav.1089 Inspection and Investigation 5.5 Details of our processes for inspection and investigation incidents in relation to health and safety can be found at: http://www.rail-reg.gov.uk/server/show/nav.1077 6) Our polices and procedures ## Working At Orr 6.1 ORR employ around 300 people, responsible for regulating the stewardship of the national railway network, the relationships between train operators and the network operator, enforcing health and safety legislation on the railways and many other key aspects of rail service provision. These include the issue and enforcement of licences, approval of key industry contracts (in particular the setting of track access charges) and competition law powers. ORR is largely based in at their headquarters near Covent Garden, London. We also have five regional offices at Birmingham, Bristol, Glasgow, Manchester, and York. 6.2 ORR is committed to equal opportunities and details of our policies in relation to equality, race and disability can be found at: http://www.rail-reg.gov.uk/server/show/nav.110 6.3 Details of current vacancies are available at: http://www.rail-reg.gov.uk/server/show/nav.112 ## Memoranda Of Understanding 6.4 ORR has Memoranda of Understanding with a number of different government departments. Their purpose is to promote effective co-ordination of the regulatory roles of each body, and effective co-operation between them. It is not intended to be legally binding or to create expectations whose nonfulfillment would give rise to rights at law. Memoranda of understanding are sometimes accompanied by Agency Agreements which relate the functions which the ORR has agreed to perform of others. For details please see: http://www.rail-reg.gov.uk/server/show/nav.1242 ## Customer Service 6.5 ORR has a Customer Correspondence Team to ensure that anyone who contacts the office receives a prompt and full response to their comment, query or request for information under the Freedom of Information Act 2000. CCT members are available between 09.00 and 17.00 Monday to Friday (except public holidays). If you write, we will: - send you a full reply within twenty working days; and - respond to your complaint or enquiry as fully as possible, or where necessary refer your complaint to the appropriate rail industry or regulatory body. If you telephone, we will: - respond to any messages received on the telephone answering machine as soon as possible. If you send an e-mail, we will: - provide you with a full response within twenty working days; and - refer your e-mail to the most appropriate organisation or regulatory body if necessary. The team can be contacted as follows: Customer Correspondence Team Office of Rail Regulation One Kemble Street London WC2B 4AN Telephone: 020 7282 2018 / 3857 / 3925 / 3941 /3951 Email: contact.cct@orr.gsi.gov.uk If we fail to meet any of our target response times, we would expect you to contact us immediately. 6.6 We publish details of Freedom of Information requests received which have a wider public interest. These can be viewed at: http://www.rail-reg.gov.uk/server/show/nav.73 6.7 Requests for information made under the Environmental Information Regulations 2004 should be made to the Customer Correspondence Team ## Complaints Procedures 6.8 We have procedures for dealing with the following type of complaints: - Health and safety complaints. - Complaints about the railway infrastructure. - Complaints made under the Competition Act 1998. - Complaints against ORR. Guidance on these procedures can be found at: http://www.rail-reg.gov.uk/server/show/nav.2730 ## Data Protection 6.9 ORR is bound by the principles of the Data Protection Act 1998 (DPA 1998). The DPA 1998 regulates the processing of personal data relating to individuals (referred to as data subjects). The DPA 1998 includes a number of exemptions to protect certain sensitive personal data held by public bodies. 6.10 Any personal data held will be processed in compliance with DPA 1998 and any codes of practice issued by the Information Commissioner and will be stored in a secure, confidential and appropriate manner 6.11 ORR is committed to upholding the following principles (a) personal data will be processed fairly and lawfully; (b) the amount of personal data held will be adequate, relevant and not excessive in relation to the purposes for which it is held; (c) personal data will be accurate and, where necessary, kept up to date; (d) personal data will be obtained only for the specified and lawful purposes and will not be further processed in any manner incompatible with the purpose(s); (e) personal data will only be held for so long as it is necessary to enable those specified and lawful purposes to be achieved; (f) any individual about whom personal data is retained or is being processed will be informed by the ORR of: (i) the purpose for which this is being done; (ii) to whom such data may be disclosed; (iii) the source of such data and who will have access to it, in an intelligible form upon request; and (iv) how to have such data corrected or erased, where appropriate. (g) personal data will be secured against unauthorised or unlawful processing, accidental loss, destruction or damage; (h) personal data will only be transferred to a country outside the European economic area if that country's laws provide similar protection to the individual concerned or if such transfer is necessary for the performance of any obligations under the contract of employment or for any other lawful reason. 6.12 Details of our information charter can be found at: http://www.rail-reg.gov.uk/server/show/nav.289 Charging 6.13 ORR is funded through a combination of licence fees and a railway safety levy. Economic regulation activities are funded through the licence fee and health and safety activities through the safety levy. Further details can be found at: http://www.rail-reg.gov.uk/server/show/nav.1238 ## 7) Public Register 7.1 The Office of Rail Regulation (ORR) is required under section 72 of the Railways Act 1993 to maintain a public register. The provisions to be entered in the public register are detailed in section 72. Details, together with information on health and safety enforcement action (notices and prosecutions) electronically via our website at: http://www.rail-reg.gov.uk/server/show/nav.274 ## Register Of Interests 7.2 Paragraph 18(1), Schedule 1 of the Railways and Transport Safety Act 2003 requires ORR Board Members, Committee Members or employees who have a financial or other personal interest that is likely to influence their performance of a particular function to declare that interest. The Register is available for scrutiny by the public. The entries for ORR Board Members are available at: http://www.rail-reg.gov.uk/server/show/nav.82 ## 8) Information And Guidance 8.1 ORR regulates Network Rail, the owners of the national rail infrastructure and we publish a wide range of information and guidance for the railway industry and members of the public. 8.2 Details of our most requested and popular items can be accessed via the links shown below: ## Selection Of Guidance And Information Available: - Minutes of ORR Board meetings http://www.rail-reg.gov.uk/server/show/nav.83 - Press notices http://www.rail-reg.gov.uk/server/show/nav.40 - Public register http://www.rail-reg.gov.uk/server/show/nav.274 - Annual reports http://www.rail-reg.gov.uk/server/show/nav.1240 - Corporate strategy http://www.rail-reg.gov.uk/server/show/nav.78 - Business plan http://www.rail-reg.gov.uk/server/show/nav.79 - National rail trends http://www.rail-reg.gov.uk/server/show/nav.2026 - Periodic review 2008 http://www.rail-reg.gov.uk/server/show/nav.180 - Station usage data http://www.rail-reg.gov.uk/server/show/nav.1529 - Information catalogue http://www.rail-reg.gov.uk/server/show/nav.1530 - Network Rail licence http://www.rail-reg.gov.uk/server/show/nav.141 - Agreements and contracts http://www.rail-reg.gov.uk/server/show/nav.1823 - Operator licensing http://www.rail-reg.gov.uk/server/show/nav.192 - Complaints about rail fares and car park charges http://www.rail-reg.gov.uk/server/show/nav.2033 - Policy consultation documents http://www.rail-reg.gov.uk/server/show/nav.67 - Reporting of serious railway incidents to ORR http://www.rail-reg.gov.uk/server/show/nav.1845 - Safety guidance and research http://www.rail-reg.gov.uk/server/show/nav.1096 - Key safety topics http://www.rail-reg.gov.uk/server/show/nav.1340 - Enforcement of health and safety legislation http://www.rail-reg.gov.uk/server/show/nav.1120 - The Railways and Other Guided Transport Systems (Safety) Regulations 2006 (ROGS) http://www.rail-reg.gov.uk/server/show/nav.1511 - Railway safety statistics http://www.rail-reg.gov.uk/server/show/nav.1932

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## Blaby District Council Pay Policy Statement 2016/17 1. Introduction 1.1 Section 38 of the Localism Act 2011 requires local authorities to produce an Annual Pay Policy Statement 1.2 This Pay Policy Statement includes: (a) the level and elements of remuneration for Chief Officers; (b) the remuneration of the lowest paid employees; (c) the pay differential, known as the 'pay multiple' between the remuneration of Chief Officers and other officers and (d) other aspects of Chief Officer remuneration, fees and charges and other discretionary payments ## 2. Principles 2.1 Blaby District Council recognises that, in the context of managing scarce resources, remuneration at all levels needs to be adequate to secure high quality employees who provide excellent services to the public, yet at the same time needs to avoid being unnecessarily generous or otherwise excessive. This pay policy sets out how the Council determines pay decisions across all aspects of pay and provides a framework to assist council Members in determining a pay strategy in a fair and equitable way within the council's Medium Term Financial Strategy. 2.2 The Public Sector Equality Duty also requires the Council to develop and publish a policy on how it is meeting its duty, having due regard to the need to eliminate unlawful discrimination particularly in relation to employment and pay. The council supports the principle of equal opportunities in employment and acknowledges that men and women should receive equal pay for the same or broadly similar work, for work rated as equivalent and for work of equal value. This Pay Policy sets out the Council's approach in ensuring equality of pay in line with those legal requirements. 2.3 It is important that local authorities are able to determine their own pay structures in order to address local priorities and to compete in the local labour market. ## 3. Scope 3.1 The policy covers all staff employed by the Council irrespective of grade and conditions of service. It will have reference to national agreements which affect pay and grading including:  National Agreement on Pay and Conditions of Service (the Green book, for all staff below Head of Service)  Joint Negotiating Committee for Chief Officers  Joint Negotiating Committee for Chief Executives A copy of the Council's salary scales is at Appendix A. ## 4. Remuneration Of Senior Officers 4.1 In this policy the senior pay group refers to posts within the top three tiers of the organisation. These include the Chief Executive Officer, (1) Directors (2) and Chief Officers (7). ## 4.2 Chief Executive 4.2.1 The Chief Executive is the head of the council's paid service. The salary paid to the Chief Executive (this excludes Returning Officer fees which are paid separately) is approved by full Council at the time of appointment. 4.2.2 The current salary range for the Chief Executive is £87,892 - £100,000 per annum; the range contains 5 increments and is subject to cost of living increases agreed by the Joint National Council (JNC). This is a local grade which was established in 2011, following an analysis of the degree of responsibility in the role, benchmarking with other comparators and the ability to recruit and retain an exceptional candidate. 4.2.3 The Chief Executive Remuneration Panel, which comprises of the elected leader and the leaders of the opposition groups, determines incremental pay progression on an annual basis with the potential to increase one point every year subject to agreed priorities being met. The current Chief Executive is currently on point 1 of a 5 point scale 4.2.4 Other conditions of service are as prescribed by the JNC for Local Authority Chief Executives national conditions. ## 4.3 Directors And Group Managers 4.3.1 The pay and grading for the Directors and Group Managers are evaluated using a local evaluation scheme. Its methodology reviews current job information including: job descriptions, staff structure including lines of accountability and capital and revenue budget responsibility. This information is used to determine the value of the job size and comparison with other Councils. 4.3.2 The grades are as follows: Directors Salary Range £66,329 - £77,809 Group Managers Salary Range £45,367 - £62,030 4.3.3 These salaries are subject to cost of living increases agreed by Joint Negotiating Committee for Chief Officers. Other conditions of service are as prescribed by the JNC for Local Authority Chief Officers ## 4.4 Other Allowances 4.4.1 The Council operates an essential car user scheme in accordance with JNC handbook. 4.4.2 Fees are payable for Returning Officer duties which are not part of the post holder's substantive role. Whilst appointed by the council, the role of the Returning Officer is one which involves and incurs personal responsibility and accountability and is statutorily separate from his/her duties as an employee of the council. Returning Officer fees are variable and paid based upon the number of electors per election. The Returning Officer for the council is the Chief Executive. 4.4.3 For any Chief Officer who undertakes duties that have been procured by another local authority, a discretionary payment (honorarium) will be made following an assessment of the additional time that the Chief Officer will spend in carrying out these additional duties. 4.4.4 There are two additional proper officer appointments within the Council; that of S151 Officer and the Monitoring Officer. The S151 Officer role is currently undertaken by the Director of People & Finance and recompense for this responsibility is subsumed within the current salary for this role. The Monitoring Officer appointment is currently carried out by a Chief Officer who receives an additional responsibility allowance. 4.4.5 There are no other additional elements of remuneration in respect of: overtime, bank holiday working, standby payments etc. paid to senior staff as they are expected to undertake duties outside their contractual hours and working patterns without additional payment. ## 5. Pay Structure 5.1 The current pay structure (Grades 1-9) applies to all employees excluding the senior pay group. Salaries within the pay spine are subject to pay awards as agreed by the National Agreement on Pay and Conditions of Service (NJC). From 1 April 2016 the lowest paid employee will be paid at spinal point 6 within Scale 1 at a full time equivalent basic pay rate of £14,514 per annum and is above that of the National Living Wage. 5.2 All posts are evaluated using the NJC Job Evaluation Scheme, which is recognized by public sector employers and unions nationally. This scheme allows for robust measurement against set criteria resulting in fair and objective evaluations and ensures equal pay. 5.3 Progression within the grade for all staff takes place annually on 1 April, with the exception of newly appointed employees with start dates between November and March, who will receive their first increment six months after their start date. Any subsequent increments will then occur on 1 April in line with all other employees. 5.4 The grading structure aims to meet the current and/or market position for most jobs. At certain times some types of jobs are very scarce either because of national shortages or high demand for certain skills. ## 6. Other Allowances 6.1 NJC employees may claim allowances which may be locally and nationally agreed in the course of their work duties. A list of typical allowances that employees can claim is set out at Appendix B. ## 7. Pension Arrangements 7.1 All employees of the council, irrespective of pay group, are entitled to join the Local Government Pension Scheme. The table below sets out the varied rates that employees are required to contribute based upon their whole time salary. The employee contribution rates for 2016/17 are below: | Actual Pensionable Pay | Gross contribution rate | |---------------------------|-----------------------------| | Up to £13,600 | 5.5% | | £13,601 to £21,200 | 5.8% | | £21,201 to £34,400 | 6.5% | | £34,401 to £43,500 | 6.8% | | £43,501 to £60,700 | 8.5% | | £60,701 to £86,000 | 9.9% | | £86,001 to £101,200 | 10.5% | | £101,201 to £151,800 | 11.4% | | More than £151,801 | 12.5% | The council, as an employer, currently contributes 17.17% of the employee's basic salary plus an overall flat rate cash contribution of £300,000 to the fund. This equates to approximately 22.8% of pensionable pay. ## 8. Multipliers 8.1 Publishing the pay ratio of the organisation's top earner to that of its lowest paid earner and median earner has been recommended to support the principles of Fair Pay (Will Hutton, 2011) and transparency. 8.2 In the context of the council's payroll the Chief Executive, who is the top earner in the Council, currently earns £88,771 per annum. This is 3.57 times the average earnings in the Council, 3.96 times the median earnings and 5.39 times the lowest earner. 8.3 The multipliers will be monitored each year as part of the review of the Pay Policy Statement. ## 9.0 Severance Payments 9.1 The council operates a voluntary severance scheme which is applicable to all employees of the Council. The scheme applies to:  Redundancy  Voluntary early retirement 9.2 Redundancy Redundancy payments are payable to Employees, who are dismissed on the grounds of redundancy and who have at least two years' continuous employment at the date of termination of employment. Redundancy payments use an actual week's pay (annual salary divided by 52 pro rata'd as appropriate) or the statutory capped figure, whichever is the higher. 9.3 Early Retirement - efficiency grounds Employees who will be 55 or more and have at least 2 years' pensionable service in the Local Government Pension Scheme (LGPS) may retire early upon entering into a formal agreement with the Council which will include a mutually agreed retirement date, where it is considered to be in the interests of the efficient exercise of the Council's functions. The employee will not receive a severance payment or additional year's service but will have access to the pension scheme. The capital cost of early payment of pension benefits is subject to approval by Council ## 9.4 Flexible Retirement An employee who is a member of the LGPS and 55 years or over may request, with the Councils consent, to reduce their hours and/or grade and make an election to the administering authority for payment of their accrued benefits without having retired from employment. However the council will only agree to release pension where there is no capital cost to the authority. ## 10. Re-Employment/Engagement Of Senior Managers 10.1 Where a senior manager, as defined under paragraph 4.1, has left the authority on redundancy or early retirement grounds, the authority will not normally re-employ at a later stage or re-engage the former employee as a consultant. ## 11. Decision Making 11.1 Decisions on remuneration are made as follows: (a) Chief Executive local pay structure approved by full Council (b) Performance progression of Chief Executive approved by Chief Executives Remuneration Panel (c) Pay structure for Directors and Chief Officers posts approved by full Council ## Blaby District Council Salary Scales 1 April 2016 | Scale 1 | | | Scale 2 | | | Scale 3 | |------------|--------|-----------|-------------------|---------|-----------|-------------------| | (0-279) | | | (280-379) | | | (380-428) | | S.P. | £ | | S.P. | £ | S.P. | £ | | | | | | | | | | 6 | | 14,514 | | 12 | | 15,823 | | 7 | | 14,615 | | 13 | | 16,191 | | 8 | | 14,771 | | 14 | | 16,481 | | 9 | | 14,975 | | 15 | | 16,772 | | 10 | | 15,238 | | 16 | | 17,169 | | 11 | | 15,507 | | 17 | | 17,547 | | | | | | | | | | | | | | | | | | | | | | | | | | Scale 4 | | | Scale 5 | | | Scale 6 | | (429-468) | | | (469-554) | | | (555-609) | | S.P. | £ | | S.P. | £ | S.P. | £ | | | | | | | | | | 23 | | 21,057 | | 28 | | 24,717 | | 24 | | 21,745 | | 29 | | 25,694 | | 25 | | 22,434 | | 30 | | 26,556 | | 26 | | 23,166 | | 31 | | 27,394 | | 27 | | 23,935 | | 32 | | 28,203 | | | | | | | 33 | | | | | | | | 34 | | | | | | | | | | | | | | | | | | | Scale 7 | | | | Scale 8 | | | | (610-639) | | (640-654) | | | (655-669) | | | S.P. | £ | | S.P. | £ | | | | | | | | | | | | 39 | 34,196 | | 43 | | 37,858 | | | | | | | | | | | 42,474 | | | | | | | | 40 | 35,093 | | 44 | | 38,789 | | | 41 | 36,019 | | 45 | | 39,660 | | | 42 | 36,937 | | 46 | | 40,619 | | | 43 | 37,858 | | 47 | | 41,551 | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | ## Chief Officers Scale 10 Scale 11 Scale 12 (670-689) (690-710) (711 - ) S.P. £ S.P. £ S.P. £ A 45,367 A 49,388 A 54,897 B 48,720 B 52,953 B 58,463 C 62,030 Directors Scale 13 Scale 14 S.P £ S.P £ A £66,329 A £74,139 B £68,380 B £77,809 C £71,980 Chief Executive S.P £ A £88,771 B £92,644 C £96,103 D £99,561 E £101,000 ## Local Allowances - Njc Staff Saturday And Sunday Working: If weekend working is not part of a normal working week (that is regular rostered weekend working) then the following payments apply. Saturday - Time and half Sunday - Time and half if basic pay above SCP 11 Double time if basic pay at or below SCP 11 If weekend working is part of a normal working week then plain time rates apply unless part of an approved overtime arrangements in which circumstance overtime rates will apply. ## Additional Hours And Overtime Payments Employees, on or below SCP 34, and required to work additional hours beyond a full 37 hour week (or average 37 hour week) are entitled to receive time and half for additional hours worked Monday to Saturday and double time for additional hours worked on a Sunday. Part time workers are entitled to these enhancements only after a 37-hour week (or average 37 hour week) is exceeded, although **rostered** work on a Saturday and Sunday will attract the overtime allowance. For employees on or above SCP 35 enhanced rates will not be paid. In exceptional circumstances the Head of Service may agree that overtime at plain time rates may be paid in order to clear backlogs or catch up on projects. In normal circumstance employees are expected to accrue and bank approved additional hours as time off in lieu. Managers have a responsibility under health and safety legislation to ensure that excessive hours are not worked and that accumulated TOIL is taken on a regular basis. Overtime payments are full settlement and are not enhanced by any other allowance e.g. a shift allowance that is paid on normal working hours. ## Public And Extra Statutory Days Employees required to work on a public or extra statutory day shall be paid at plain time for all hours worked within their normal working hours for that day. In addition, time off with pay shall be allowed as follows: Less than half normal hours worked - half day More than half normal hour's worked - full day

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Annual report and accounts 2016–17 Annual report and accounts 2016–17 ## Correction Slip 1 Title: BEIS Annual Report and Accounts 2016-17 Session: 2017/18 HC 202 Print ISBN: 9781474143059 Web ISBN: 9781474143066 Ordered by the House of Commons to be printed 19 July 2017 ## Correction: There are two rows missing from the bottom of the table on page 158. The two rows should read: Low carbon price assumption: Favourable changes: nil, Unfavourable changes: 6,480 High carbon price assumption: Favourable changes: 6,340, Unfavourable changes: nil ## Correction Slip 2 Title: BEIS Annual Report and Accounts 2016-17 Session: 2017/18 HC 202 Print ISBN: 9781474143059 Web ISBN: 9781474143066 Ordered by the House of Commons to be printed 19 July 2017 Correction: Page 81 shows ethnicity data for BEIS as follows: 16% BAME 16% Prefer not to say 35% White 33% Unknown The corrections data should state: 9% BAME 3% Prefer not to say 51% white 37% unknown ## Annual Report And Accounts # 2016–17 ## For The Year Ended 31 March 2017 Accounts presented to the House of Commons pursuant to Section 6(4) of the Government Resources and Accounts Act 2000 Annual Report presented to the House of Commons by Command of Her Majesty Ordered by the House of Commons to be printed on 19 July 2017 HC 202 This is part of a series of departmental publications which, along with the Main Estimates 2017-18 and the document Public Expenditure: Statistical Analyses 2017, present the Government's outturn for 2016-17 and planned expenditure for 2017-18. ## © Crown Copyright 2017 This publication is licensed under the terms of the Open Government Licence v3.0 except where otherwise stated. To view this licence, visit nationalarchives.gov.uk/doc/open-government-licence/version/3 or write to the Information Policy Team, The National Archives, Kew, London TW9 4DU, or email: psi@nationalarchives.gsi.gov.uk. Cover Image: UK from the International Space Station at night © ESA/NASA p246 Image: Visit England, p32 Image: © VisitBritain/Michael Turtle This publication is available at www.gov.uk/government/publications Any enquiries regarding this publication should be sent to us at: 1 Victoria Street, London. SW1H 0ET Tel: 020 7215 5000 Email: enquiries@beis.gov.uk Print ISBN 9781474143059 Web ISBN 9781474143066 ID 07041701 07/17 Printed on paper containing 75% recycled fibre content minimum Printed in the UK by the Williams Lea Group on behalf of the Controller of Her Majesty's Stationery Office ## Contents | Foreword by the Secretary of State | 6 | |----------------------------------------------------|-----| | Report of the Permanent Secretary | 7 | | Performance report | 8 | | Overview | 9 | | Our purpose | 9 | | What we are aiming to achieve | 9 | | How we were formed | 10 | | How we are organised | 11 | | Our highlights this year | 12 | | Where we spent our money in 2016-17 | 14 | | Our performance | 16 | | Our aims and achievements | 16 | | Principal risks and uncertainties | 26 | | Looking ahead | 30 | | Accountability report | 32 | | Directors' report | 33 | | Financial review | 33 | | Departmental board and leadership team | 44 | | Statement of Accounting Officer's responsibilities | 49 | | Governance statement | 50 | | Sustainability report | 74 | | Staff report | 78 | | Remuneration report | 86 | | Parliamentary accountability and audit report | 98 | | Financial statements | 118 | | Trust statement | 218 | | Annexes | 240 | | A | | | nnex A: Our major projects and programmes | 241 | | Annex B: Other Information | 243 | | Annex C: Expenditure Tables | 244 | | Annex D: Glossary | 253 | ## Foreword By The Secretary Of State It's a great pleasure to introduce the first annual report of the Department for Business, Energy and Industrial Strategy. As the first Secretary of State for this new department, I'm immensely grateful for the hard work and dedication of Getting the best value from these resources is even more important. This is the purpose of the Higher Education and Research Act, which became law in April. It brings together the 7 Research Councils and other funding bodies into a single, strategic agency called UK Research and Innovation. UKRI will encourage collaborative research across the sciences, and closer cooperation between researchers, innovators and entrepreneurs. its staff. Over the last 12 months they've joined together as one team to deliver a truly ambitious programme. The core purpose of BEIS is to put industrial strategy at the heart of economic policy. It's a mission that encompasses the whole department. Indeed, the scope of the strategy extends across Whitehall and beyond, with BEIS as the focal point. Science and technology is the basis for economic progress - and also for the action we need to take on climate change. Over the past year, the UK has ratified the Paris Agreement and passed the fifth carbon budget. BEIS itself was created to align economic and environmental objectives. By working with industry partners, on projects from Hinkley Point C in Somerset to the Siemens wind turbine factory in Hull we are showing that investment in clean energy is also investment in jobs, skills and local growth. This department's second year will be just as important as its first. In particular, we will work to secure a business-friendly Brexit, endeavouring to represent British enterprise and British workers on this and every other issue. The industrial strategy green paper was published by the Department in January. I've been hugely encouraged by the scale and breadth of the response to the consultation. From the beginning, we promised to engage with every part of the country and every sector of the economy - and we have. We are therefore well placed to build the industrial strategy with, and not just for, British industry. Energy and Industrial Strategy One of our early breakthroughs was securing more money for British science and innovation. At the last Autumn Statement, the Chancellor announced the biggest increase in public R&D investment since 1979. As a country we cannot afford to lag behind in the race for the future. That is why, looking further ahead, our target is now to match - and then exceed - the current level of R&D investment among advanced industrial nations. ## Report Of The Permanent Secretary Following the creation of the Department in July 2016, we have made good progress against our four headline objectives: to deliver an ambitious industrial strategy; to maximise investment opportunities and bolster UK interests; to promote competitive markets and responsible business practices; and to ensure the UK has a reliable, low-cost and clean energy system. We have also built a strong new department, well equipped to deliver on our ambitious agenda. This report highlights the key achievements during 2016-17 towards these four objectives. In January, we launched an industrial strategy green paper to consult on proposals for a modern industrial strategy. As well as receiving nearly 1,900 responses, Ministers and officials engaged extensively with stakeholders through workshops, roundtables and other events, gathering insights which will shape our industrial strategy going forward. We also announced additional investment in sectors including advanced materials and life sciences, and we increased our support for science, research and innovation, with an additional £4.7 billion to be invested over the next 4 years. We have continued our support for businesses and employees, making £250 million of Start Up loans available since 2012 and announcing £400 million for the British Business Bank to invest in innovative firms planning to scale up. We have seen a further increase to the National Living Wage, rising to £7.50 in April 2017, and a doubling of female representation in boardrooms, up 26% compared to 2011. To boost our economy and increase the security of our energy supply, we gave the go–ahead to build the first new nuclear power station in a generation at Hinkley Point C. We are continuing to take action to reduce energy bills for consumers, and, as of March 2017, there were nearly 7 million meters operating under our Smart Meter Programme. We have shown our continued commitment to tackling climate change, passing the UK's fifth carbon budget into law, and ratifying the Paris Agreement, which committed signatories to limit global warming to well below 2°C, and to a long-term goal of net zero emissions by the end of the century. This year also saw the first coal-free day in Britain since the 1880s. Following the result of the EU referendum, we know that there will be new opportunities and challenges ahead. We are continuing to engage with businesses and consumers to ensure that we represent their views and maintain business confidence throughout the negotiations. Alongside this, we are preparing for the significant domestic and legislative changes required to ensure a smooth exit from the EU. Internally, following the Machinery of Government change, we worked quickly to create a single, fully functioning department of state with a unified identity, budget and systems, whilst continuing to make efficiency savings. We have achieved a lot in a short time and we are ensuring that we have strong leadership and the right people and skills to deliver our vision and objectives. As our identity, culture and ways of working take root, we are continuing to transform our Department, to ensure that we remain highperforming and impactful, delivering successful outcomes for business and consumers. and Permanent Secretary ## Performance Report Overview This section gives a summary of our Department, its purpose, the key risks to the achievement of its objectives, and how it has performed during the past year. ## Our Purpose We exist to drive forward the changes which will build an economy that works for everyone, so that there are great places in every part of the United Kingdom for people to work and for businesses to invest, innovate and grow. ## What We Are Aiming To Achieve BEIS ministers set out 4 overarching objectives for our Department to provide a framework for delivering the Government's priorities: We will deliver these objectives by: ## How We Were Formed between industry, energy and climate change and enabling a united focus on markets, investors and consumers. On 14 July 2016, the Prime Minister, Theresa May, created the Department for Business, Energy and Industrial Strategy (BEIS) and appointed Rt Hon Greg Clark MP as Secretary of State. The elements of the BIS portfolio that were not transferred to BEIS comprised: • post-18 education and skills policies, which The announcement was part of a reorganisation of central government in response to changing priorities following the referendum vote in favour of leaving the European Union and the subsequent change in political leadership. • offender learning, which was transferred • international trade policies from BIS and the BEIS brings together the business and science policy portfolios of the Department for Business, Innovation and Skills (BIS) and the full policy portfolio of the Department of Energy and Climate Change (DECC), building the links ## Transfer Of Policy Responsibilities were transferred to the Department for Education, giving that department complete oversight of education policies. to the Ministry of Justice; and Foreign and Commonwealth Office, which were brought together to form the Department for International Trade. ## How Are We Organised Our Department is led by the Secretary of State for Business, Energy and Industrial Strategy who is responsible to Parliament for the Department as a whole. Ministers look to the core Department's Accounting Officer, the Permanent Secretary, to delegate within the Department to deliver their decisions and to support them in policy-making and managing public funds. Public sector bodies are classified based on the level of control the core Department has over them. Executive agencies act as an arm of the ## Core Department And Agencies The Copyright Tribunal Council for Science and Technology Industrial Development Advisory Board Insolvency Practitioners Tribunal Low Pay Commission ## Consolidated Departmental Group Advisory, Conciliation and Arbitration Service BIS (Postal Services Act 2011) Company British Business Bank Civil Nuclear Police Authority Coal Authority Committee on Fuel Poverty Committee on Radioactive Waste Management Competition Appeal Tribunal Competition Service Electricity Settlements Company Enrichment Holdings Fleetbank Funding The Financial Reporting Council Low Carbon Contracts Company Midlands Engine Investments The NESTA Trust Northern Powerhouse Investments Nuclear Decommissioning Authority Nuclear Liabilities Financing Assurance Board Oil and Gas Authority Postal Services Holding Company South Tees Site Company ## Wider Departmental Group Ordnance Survey National Physical Laboratory Companies House UK Intellectual Property Office Our area of responsibility extends beyond the bodies listed in the wider Departmental group. A more comprehensive picture can be found in our Accounting Officer System Statement, published separately. core Department, undertaking executive functions, rather than giving policy advice. The other bodies in the Departmental group are separate legal entities, but the core Department usually sets its strategic framework and normally appoints the chair and all non-executive members of the board and is consulted on the appointment of the CEO. The wider Departmental group includes other public sector bodies which work with us to achieve our objectives, but have more authority over their own policies and are not consolidated into the group financial statements. Office of Manpower Economics Regulatory Policy Committee UK Space Agency Government Office for Science The Insolvency Service UK Green Investment Bank UK Shared Business Services United Kingdom Atomic Energy Authority UK Atomic Energy Authority Harwell Science and Innovation Campus Public Sector UK Climate Investments Research Councils The Arts and Humanities Research Council The Biotechnology and Biological Sciences Research Council The Economic and Social Research Council The Engineering and Physical Sciences Research Council The Medical Research Council The Natural Environment Research Council The Science and Technology Facilities Council Nuclear site licence companies ## Our Highlights This Year 14Th July 2016 The announcement to create BEIS was made on 14 July 2016. We immediately set about creating a fully functioning department of state which has a real impact for consumers and business. On 1 April 2017, around 1.7 million workers aged 25 and over benefited from a 4.2% pay rise: a 30p increase on their hourly wage to £7.50. For full-time workers (38 hours), this would amount to just under £600 per year. We set out our approach and the early actions we have committed to take to secure the UK's long-term competitiveness, improve our national productivity and deliver growth across the whole country. The first wave of scientists moved into the new Francis Crick Institute in London. They will investigate the biological processes that could lead to the creation of pioneering drugs and treatments for illnesses such as cancer, stroke and motor neurone disease. Low carbon energy for We gave the go-ahead to build the first nuclear power station in a generation. When it becomes operational it will provide 7% of the UK's electricity, providing reliable, low carbon energy to 6 million homes for 60 years. We published Lord Davies' final report on gender balance in Britain's boardrooms. It found that, since his first report in 2011, female representation has doubled to 26%. We have continued this work, publishing the Hampton-Alexander review this year. 26% female representation in Britain's boardrooms for research and development We're carrying out the largest reform of the research and innovation landscape in over 30 years and investing at record levels. This year we announced an additional £4.7 billion of funding between now and 2020-21. ## 186 Days In Space Tim Peake returned to Earth after spending 186 days on the International Space Station, carrying out research and essential maintenance on this unique spacecraft. Tim was the first British European Space Agency astronaut. We continue to tackle financial wrongdoing. The Insolvency Service disqualified 1,214 directors and made 430 referrals to prosecuting authorities this year. We also fast-tracked the investigation into the circumstances surrounding BHS going into administration. When the world came together in Paris last year to reach this ambitious deal, the UK played a major role. This year, we ratified this landmark agreement, continuing our commitment to tackling climate change. The British Business Bank launched the £400 million Northern Powerhouse Investment Fund, aimed at boosting the North of England's economy and helping the region's businesses realise their growth potential. Research funded by the National Environment Research Council (NERC) found evidence that the ozone layer above Antarctica is healing. In the 1980s, NERC-funded scientists were the first to notice that ozone levels over the continent were dropping, leading to the international agreement to phase out production of the substances responsible. ## Where We Spent Our Money In 2016-17 The diagram opposite represents the funding costs of each core Department business. The significant items (more than £250 million) of expenditure recorded in the core Department were: The core Department's gross expenditure for the year was £13.8 billion, as seen in the primary statements that start on page 119. Of this, £3.4 billion related to the Research Councils and £3.2 billion to the Nuclear Decommissioning Authority (NDA). The remaining expenditure was split across: • grant-in-aid to other Partner Organisations; £1,992 million - funding for the Higher Education Funding Council for England for Science and Research; • programme costs to deliver the Department's priorities; and • internal and other costs. £545 million - delivering the Renewable Heat Incentive, a scheme to encourage homes and businesses to install heating systems using renewable heat sources; £373 million - grants to the UK Space Agency £333 million - International Climate Finance Official Development Assistance, as part of the Government's commitment to spend 0.7% of Gross National Income on overseas aid; £265 million - support for energy intensive industries; The NDA recognised income of £1 billion from its commercial activities, reducing the net cost of funding by the Department. The income mainly arose from management of spent fuel and waste (including reprocessing). The Department also received £55 million relating to the Regional Venture Capital Fund and a payment of £51 million from surpluses in the Mineworkers' Pension Scheme. More details on expenditure can be found in the financial statements from page 119. ## Notes: 1. A number of the Department's partner organisations were funded through cash grant-in-aid from the core Department - see Note 4.4 in the accounts. 2. Other programme costs include expenditure on a number of smaller schemes and staff costs that fall within programme. 3. Non-cash programme costs includes an increase in the value of provisions of £72 million, together with depreciation and amortisation costs and other non-cash charges - see Note 4.3 in the accounts. Programme delivery Grants and the purchase of goods and services Internal & other costs Administration and non-cash costs, for example provisions and depreciation ## Our Performance Our Aims And Achievements Following the creation of BEIS in July 2016, the Secretary of State set out his vision for the Department. This section sets out the key achievements made in 2016-17 towards the Department's four strategic objectives and towards building a new, high-performing department of state. gap between our best performing companies, industries, places and people and those that are less productive, and make the UK one of the most competitive places in the world to start and grow a business. ## Our Objectives In 2016-17: We are designing and delivering the Government's industrial strategy to secure the UK's long-term competitiveness, improve our productivity and deliver growth around the whole country. In January, we launched a green paper on industrial strategy that set out an approach, and series of actions, for addressing longterm challenges to the UK economy. Between then and April, we consulted individuals and organisations from all over the country and received nearly 1,900 responses. Informed by these insights, we will be setting out the next steps on our industrial strategy later this year. We will deliver our objectives by: We are investing in science, research and innovation by carrying out the largest reform of the research and innovation landscape in over 30 years, bringing the 9 existing UK research and innovation funding bodies together into a single entity called UK Research and Innovation (UKRI). This is an ambitious undertaking; it requires effective programme management to deliver. We have established the programme in compliance with Government major project guidelines to help ensure successful delivery and manage risks. UKRI will be responsible for spending over £6 billion annually and will have a lead role in advising ministers on the additional £4.7 billion increase in R&D funding for the period 2017-18 to 2020-21 as announced in the 2016 Autumn Statement. Deliver an ambitious industrial strategy We are delivering a modern industrial strategy to build on our strengths now and for the future, to close the UKRI will provide a single voice and coherent strategic approach for public investment in research and innovation. It is intended to remove structural barriers, supporting multi-disciplinary research; improve collaboration between research and business; and catalyse a more effective approach to addressing future societal challenges. We have further increased our support for science, research and innovation by: • providing £100 million for new testing infrastructure for connected and autonomous vehicles (CAVs); and • opening the £650 million Francis Crick Institute in London, supported by £350 million of government investment. Increased public investment in research and development has been mirrored in the private sector, with expenditure by UK businesses on research and development also continuing to increase. We are cultivating world-leading sectors by supporting successful UK industries such as automotive, life sciences, and aerospace, and emerging sectors such as robotics and autonomous systems. We also work closely with our business partners to transform their sectors, including exploring targeted 'Sector Deals' for established industries, new entrants and challenger businesses. As part of our industrial strategy, we announced £229 million of investment in the development of cutting-edge advanced materials and a new centre of excellence for life and physical sciences. This funding comprises: • £126 million in grants for the Henry Royce Institute, the leading UK body for advanced materials research and innovation; and • £103 million investment in a new centre of excellence at the Rosalind Franklin Institute. We are supporting businesses to start and grow by working closely with partners such as the British Business Bank to improve awareness of and access to financial support, and using the Challenger Business Programme to identify and address barriers to expansion for highly innovative businesses with high growth potential. Since 2012, we have made £250 million of Start Up Loans available to get entrepreneurs up and running. This year we also announced the provision of £400 million for the British Business Bank's venture capital funds to support innovative firms planning to scale up. 45% (2014: 51%) of small business employers expected their turnover to increase over the next 12 months.2 build a global, outward-looking Britain that is confident on the world stage. We are working to deliver the best results for the UK through ever stronger global relationships and by building business and investor confidence. In our work to seek out and close investment deals we will ensure our economy is resilient to unforeseen economic shocks. 26% (2014: 32%) of small business employers expected to employ more people in 12 months' time.3 We are encouraging inward investment through: fostering a competitive investment environment for business and industry; working to establish new partnerships globally to accelerate growth and investment in existing and emerging technologies; and building our business intelligence capability to identify opportunities or external investment in the UK. We are driving growth across the country by creating a framework to build on the particular strengths of regions and localities, and to address factors that hold them back. ## We Are Working To Ensure Our Economy Is Resilient And Best Placed To Seize Opportunities **Through:** • capturing opportunities presented by • earlier identification and increased prevention This includes building a Northern Powerhouse, backing regional strengths, supporting Local Enterprise Partnerships, delivering more bespoke Growth Deals4 with local councils, supporting Business Improvement Districts, and establishing the Productivity Council to encourage and support UK businesses. • providing a more effective response to shocks Alongside the Department for Communities and Local Government, this year we announced additional funding through Growth Deals for: the Northern Powerhouse; London, the South East and East of England; the South West; and the Midlands. As above 4 https://www.gov.uk/government/collections/local-growth-deals ## Maximising Investment Opportunities And Bolstering Uk Interests As outlined in the Government's Plan for Britain, as we leave the EU we will internationally mobile investment; of risk through investigation of future trends and enhanced business intelligence; and through targeted contingency planning. We are promoting the interests of UK businesses and our other stakeholders in the EU exit negotiations. The department is responsible for a wide range of sectors as well as individual and cross-cutting policy areas that will be impacted by the decision to leave the EU. By analysing the impacts and opportunities of an EU exit, and working collaboratively, our Department is ensuring that the views of businesses, consumers, workers and other economic actors are reflected in the Government's negotiating priorities and approach. In addition, we continue to engage fully with ongoing EU business in order to ensure that the negotiating outcomes meet the needs of the UK economy as a whole and the specific concerns of our stakeholders. We are preparing for the domestic policy changes required as a result of the EU exit. We are working with the Department for Exiting the European Union (DExEU) and the Parliamentary Business and Legislation Committee (PBL) to ensure that the Repeal Bill and the wider legislative programme reflects our needs. ## We Are Maintaining A Strong Nuclear Safeguards Regime Outside Of The European Atomic Energy Community (Euratom). When We Triggered Article 50 We Committed To Leaving Euratom As Well As The Eu - These Are Separate Treaties But They Are Legally Entwined And Share a common EU budget and EU institutions. Our objective in the negotiations will be to continue a constructive relationship of full co-operation with Euratom after we have left. We are confident that the EU wants the same outcome. The UK will continue to meet all its international obligations in respect of nuclear safeguards and non-proliferation, and it was announced in the Queen's Speech that the Government will bring forward legislation to establish a UK nuclear safeguards regime. This change should not have any adverse impact on our existing nuclear fleet or our nuclear new build programme. We are building the profile of the UK on the international stage through fostering new international relationships to make it easier for our businesses, researchers and innovators to collaborate with international partners and to establish our own trading arrangements with the EU and the rest of the world. The UK's independent trade policy is being developed to maximise the opportunities from new trading arrangements with the rest of the world, and to deliver the best outcomes for business and consumers. We are also continuing to play a leading role in global efforts to tackle climate change by effectively using UK climate finance to accelerate a low carbon shift within developing countries. For example, our Department's climate finance in 2016 directly supported: • re-forestation efforts in the Colombian Amazon; • large scale solar and geothermal projects rolled out in multiple countries; and • loan schemes for energy efficiency improvements and renewables for small businesses in Africa and Asia. In total, UK climate finance supported 21 million people to cope with the effects of climate change, improved access to clean energy for 6.6 million people, and reduced or avoided 4.9 million tonnes of CO2. It continues to build on these results year on year. ## Promoting Competitive Markets And Responsible Business Practices We are promoting fairness in the labour market and improving working conditions by reforming enforcement of the National Minimum Wage and other employment rights. We are securing better outcomes for consumers by creating a more competitive business environment. We are strengthening the corporate governance framework to support strong businesses that focus on long-term value creation so they can thrive in a global economy, and demonstrate their commitment to their employees and to the communities in which they operate. We are setting clearer expectations for good business citizenship, and cracking down on individuals and businesses that abuse the system so that everyone - however big or small - plays by the same rules. We are protecting and enhancing workers' rights, ensuring that in a modern, flexible economy people are properly protected at work. ## We Are Reforming Corporate Governance By Consulting On Reforms Aimed At: • strengthening shareholder control on executive pay and increasing transparency on pay; In 2011, we published Lord Davies' review, Women on Boards, which recommended that FTSE100-listed companies target 25% female representation. Since then, female representation on boards has more than doubled to 26%. This year, we published the initial reports of: • strengthening employee and other stakeholder • The Hampton-Alexander review into FTSE voices in company boardrooms; and • ensuring high standards of corporate governance in the UK's largest private businesses. • The Parker review into the ethnic diversity We are also continuing to enhance transparency over ownership of corporate entities, both improving good governance and trust in business and helping to tackle illicit finance. In November, we published a green paper on corporate governance reform, which was followed by an extensive consultation exercise on the potential options for reform. The way people work in the UK is changing. We recognise the importance of being open to new and innovative ways of working, but it is also crucial that workers receive a decent wage and benefit from the right balance of flexibility, rights and protections. In November, we launched the Matthew Taylor review of employment practices in the modern economy to consider the implications of new forms of work and our existing regulatory framework on employment. This year, we launched the register of people with significant control, listing the beneficial owners of all companies and limited liability partnerships registered in the UK. It is the first public register of this scale and ambition in the world. We raised the National Living Wage to £7.50 This is 57% of median earnings. We aim to increase the National Living Wage to reach 60% of median earnings by 2020, subject to sustained economic growth. women leaders, which sets a target for women to hold one third of FTSE leadership positions by 2020; and of UK boards, which sets out practical issues, objectives and timescales for progressive business leaders. ## We Are Ensuring The Uk Has The Right Regulatory Frameworks To Help Meet Business And Consumer Needs Through: • tackling markets that are not working fairly for consumers; • empowering consumers to make changes; • continuing the Government's commitment to regulate more efficiently by bringing into scope, through legislation, the activities of a range of regulators; and As well as leading on better regulation for Government as a whole, we are committed to improving our own regulation and policies by ensuring any new regulation we introduce is effective, targeted and proportionate, and overall costs to business are kept to a minimum. 6 In the 2015-2017 Parliament, we reduced burdens to business by £3.9 billion In March 2016, the Government set a cross-government business impact target of £10 billion of savings to business during the course of the expected Parliament (2015- 2020) - our Department's share of this was £4 billion. For the 2015-2017 Parliament, the prorated business impact target would be £4.2 billion, of which our share was £1.6 billion. ## In 20177 (2016: 6Th) World Bank 'Ease Of Doing Business' Ranking: 7Th The UK improved overall ease of doing business, remaining firmly in the top 10 globally.8 In July, the Pubs Code came into force, giving tenants more rights and greater protection when dealing with large pub companies that own tied pubs, including increased transparency about the tied deals available, a fair rent assessment and the right to move to a free-of-tie tenancy in certain circumstances. We are bringing forward proposals to ensure that critical national infrastructure is protected to safeguard national security. 6 Current estimated figure. Final, validated figures will be published this summer. Interim report available: https:// www.gov.uk/government/uploads/system/uploads/at tachment_data/file/610874/business-impact-target-in terim-report-16-17.pdf 7 http://www.doingbusiness.org/rankings 8 Economies are ranked by their 'Distance to Frontier' score. The score helps assess the absolute level of regulatory performance over time. It measures the distance of each economy to the "frontier," which rep resents the best performance observed on each of the indicators across all economies in the Doing Business sample since 2005. The UK's score improved from 82.73 in 2016 to 82.74 in 2017. The lower the LOLE, the more secure the electricity system, and the Government has a legal target to not exceed 3 hours. ## Ensuring The Uk Has A Reliable, Low–Cost And Clean Energy System We are ensuring that the UK has a competitive and wellfunctioning energy system that will meet our needs for the future, by upgrading and diversifying our energy supplies to make them smarter, cleaner and more secure. We are working to help people with everyday costs and bills by ensuring retail energy markets work in the way they should. ## We Are Delivering Affordable Energy And Clean Growth By: • Working To Minimise Energy Costs For Uk businesses and consumers; • managing the changes to energy networks required by the transition to a low carbon economy; • continuing our efforts to pursue ambitious global action on climate change to help level the playing field for UK companies; and • making sure that the UK capitalises on its We also have a very high level of gas security. Gas system capacity is measured on how the system would cope - indicating what percentage of demand could be met - if it lost its largest single piece of infrastructure (the 'N-1' indicator). strengths in energy industries and innovation to win a substantial share of global markets. ## We Are Ensuring That Our Energy System Is Reliable And Secure By: • Working Across The Electricity, Oil And Gas sectors to support, upgrade and diversify our energy supplies; • creating a smarter and more flexible system; and • obtaining further investment in new nuclear capability. We have successfully improved our security of supply through 2016-17. Loss of Load Expectation (LOLE) is used to measure security of the electricity supply. It is the expected amount of time per year that the electricity supply cannot meet demand, when National Grid may need to use back-up balancing tools. ## 2016-17 Lole: 0.5 Hours (2015-16: 1.1 Hours) This is the time that the National Grid forecast they may need to use balancing tools in the electricity supply in 2016-17,9 demonstrating significant resilience in our electrical security. If the largest piece of gas infrastructure failed, 127% of demand could be met even in a severely cold winter. 10 This is a 15 point increase from 112% last year, and shows that we could maintain gas supply even in the most difficult circumstances. We have taken further steps to increase security of supply by: • agreeing to proceed with the first nuclear power station in a generation at Hinkley Point C, and taking steps to secure further investment in new nuclear capability; • providing policy and regulatory support and development to facilitate progress in the shale industry. Four sites have been granted for exploration; and • launching a call for evidence on smart, flexible energy systems that give consumers choice and control over how they use or generate electricity. We are delivering affordable energy for households and businesses by encouraging competition and considering how to extend protection currently in place for pre-payment meter customers to a wider group of domestic consumers. We also support households, the public sector and businesses to reduce costs through our energy efficiency policies and schemes. Smart meters aim to bring bills down by helping consumers understand and save on the cost of the energy they use, enabling new innovative tariffs; and supporting faster and easier switching. There were over 6.78 million smart and advanced meters operating in homes and businesses across Great Britain as of 31 March 2017 11 (2016: 3.6 million). The Smart Meter Programme aims to roll-out over 50 million by the end of 2020. The national communications infrastructure for smart meters went live across the country in November. This will enable the roll-out of the second generation of smart meters across Great Britain - and for consumers to switch energy suppliers without losing their smart service. We have also continued to tackle fuel poverty by reforming the Energy Company Obligation (ECO), helping people to keep bills down by living in more energy–efficient homes. The Government has set a target of insulating a million more homes over the next five years, supporting energy efficiency and our commitment to tackle fuel poverty. From the start of May 2015 to the end of January 2017, around 346,000 homes have had at least one insulation measure installed under the ECO or the Green Deal. We launched a new £320 million capital fund to support investment in low carbon heat networks, expected to leverage up to £2 billion of wider investment by 2020–21. ## We Are Taking Action On Climate Change And Low–Cost Decarbonisation By Passing The Uk'S Fifth Carbon Budget Into Law, Equivalent To A 57% Reduction On 1990 Levels By 2032, And Ratifying The Paris Agreement. We continue to use our strong domestic record on decarbonisation to press for international action on climate change - at country, region and city level - that keeps the goal set out in the Paris Agreement of limiting global warming to well below 2°C firmly in reach and helps level the playing field for UK companies in global markets. UK emissions in 2015 were 38% lower than in 1990 and 4% lower than 2014.12 At the same time, GDP has increased. In 2015, GDP was 64% higher than in 1990 and 2% higher than in 2014. We have consulted on proposals to close unabated coal power stations by 2025, and are currently considering our response. We are managing our energy legacy safely and responsibly by working closely with the Nuclear Decommissioning Authority (NDA) to discharge our legal liabilities effectively and manage the security risks from the legacies of our nuclear and coal industries, and other energy interests. We are also helping to fund promising low carbon technologies where they clearly represent value for money and we are supporting the deployment of renewables by running Contracts for Difference (CfDs) auctions. We launched the second CfD auction which we expect will result in enough renewable electricity to power around one million homes, reducing carbon emissions by around 2.5 million tonnes per year from 2021- 22 onwards. We announced new projects worth £28 million in our Energy Innovation Programme, including: • a new Offshore Wind Innovation Hub to build on the UK's expertise in offshore wind; • a competition to develop cost reduction options for large-scale energy storage (including electricity, thermal and power-togas); • a competition to develop smarter energy 'demand side response' technology for businesses or public sector organisations to reduce peak-time energy use and provide flexibility to the energy system; • an accelerator to develop innovations to reduce energy costs for UK industry through energy efficiency, while leveraging private sector investment; • a nuclear innovation programme to support innovation in the civil nuclear sector; and • phase five of the Energy Entrepreneurs Fund, particularly aimed at small and medium-sized enterprises, which supports the demonstration of state of the art energy technologies The NDA has faced a legal challenge this year regarding Magnox sites. A high court judgement in July 2016 found that the NDA had acted unlawfully in the course of the competition to appoint a new parent body organisation for the Magnox sites. With the support of our Department and Government, the NDA Board judged that claims were best settled out of court, to avoid the risk of prolonged and potentially more damaging litigation. A full and final settlement of these claims came at the cost of £97 million to the public purse. The NDA's business plan covers 120 targets, encompassing site restoration, spent fuels, integrated waste management, business optimisation and critical enablers. Progress against these objectives is summarised below. 13 Separately from the litigation, it became apparent that the Magnox contract awarded to the Cavendish Fluor Partnership (CFP) was at risk of legal challenge. This is because its scope and value had become materially different from that anticipated at the time of award. To avert the risk of further financial exposure to the taxpayer, the NDA Board also decided to terminate the contract, with the support of Government and CFP. In response to this defective procurement, the Secretary of State requested Steve Holliday, the former Chief Executive of National Grid, to lead an independent inquiry into the procurement, litigation, settlement and termination of the Magnox contract. The inquiry is anticipated to deliver initial findings by Autumn 2017. Our Department is determined that the reasons for this failure should be exposed and understood, that those responsible should properly be held to account, and that it should never happen again. Our Department also sponsors the Coal Authority to manage the £2.8 billion long-term mining legacy and to regulate the coal industry. ## In 2016-17, The Coal Authority Achieved 97% (2015-16: 97%) Of Its 2016-17 Corporate Objectives.14 Building A New, High-Performing Department Of State The announcement to create BEIS was made on 14 July 2016, and our key priority is to make sure that our Department has the corporate capability to deliver its objectives now, and in the future. ## We Have Delivered A Fully Functioning Department Of State Through A Successful Transition Programme Which: • moved all London staff into 1 Victoria Street, which required moving around 4,000 people across four locations; • installed a unified IT system with all staff able to access the same services in 1 Victoria Street • agreed the organisational structure for the new Department; and • allocated budgets across the department The programme cost around £3 million. All key milestones have been achieved, enabling colleagues to continue delivering their ministerial objectives. Rigorous programme management tools and techniques have been applied throughout, supporting effective delivery and ensuring a focus on value for money. A key strength of the programme has been its engagement with colleagues - drawing on their skills and expertise to shape plans and help deliver activity. This has been facilitated at all levels - with senior leaders playing a particular role in communicating and engaging with staff. We will continue to build the Department's capability - making sure that we are able to adapt to the challenges and opportunities that may arise in the coming years. ## Principal Risks And Uncertainties The formation of a new department presents opportunities and challenges associated with Machinery of Government changes. We have continued, however, to manage a range of risks and issues, including uncertainties often outside our direct influence or control. Our wide-ranging and multifaceted objectives, which can have a direct impact on the majority of UK citizens, present us with an equally wide array of risks. Many of these situations, such as Tata Steel, the Nissan manufacturing plant in Sunderland and Hinkley Point C, receive detailed media coverage. But the Department also manages risks that do not get the same level of media scrutiny with the same rigour and control as any other risk. In an unpredictable and everchanging environment, our risk management processes are designed to adapt to provide us with the best chance of successfully delivering our 4 objectives and improving our corporate performance. The principal risks that we have faced over the fiscal year are described in the following table. f f Increasing dedicated resources to oversee and monitor EU negotiations. f f Engaging intensively at all levels with the Department for exiting the European Union and the Prime Minister's Office, including ministerially. For example, through membership of central steering groups which maximises the Department's influence. f f Putting clear, well-organised and wellcommunicated programme management structures in place. EU exit negotiations The EU exit negotiations end in suboptimal outcomes for our policy areas and sectors, leading to an adverse impact for the UK economy. f f Working to identify our EU exit priorities and defining the interdependencies between policy teams. f f Putting a tanker fleet on standby with Army drivers provided by the Ministry of Defence. f f Introducing a contingency plan to help manage potential strike actions. f f Making investment decisions to maintain the financial viability of Grangemouth and reduce the threat of industrial action. f f Putting the National Emergency Plan Interruptions to supply owing to industrial action, cyber attack, terrorism, accident or financial failure. for Fuel into action. The uncertainty around EU exit will continue to rise until negotiations are further advanced. We were involved in successful efforts to avoid industrial action at Grangemouth. However, this risk has an array of threats, among them cyber crime which we are managing as the threat increases. ## Risk Mitigating Activities f f Monitoring negotiations between Tata Steel, trade unions and pension trustees. f f Exploring the contribution Government UK steel sector Tata Steel's assets in the UK fail to secure a future and the wider UK steel sector fails to respond to the findings of the capability and capacity study. may be able to provide to secure the future of Port Talbot. The Department successfully worked with the steel industry to avoid thousands of job losses. The uncertainty has improved, but the department remains fully engaged. f f Undertaking continued statistical updates of UK progress against our target. f f Maintaining a credible strategy for meeting the target, including contingencies and policy options. f f Monitoring the outcome of the Renewable Heat Initiative consultation and the Department for Transport's proposals for increasing deployment of renewable fuels in transport. f f Continuing to assess the target in the context of exiting the EU. f f Staying on track to deliver the UK's next carbon budget. Climate change The Department cannot demonstrate a credible plan to meet the 2020 renewables target without making significant trade-offs with other objectives - damaging investor confidence, bringing undue costs to the UK consumer, and leading to legal action against the UK. The possibility of weakened commitment to the Paris agreement could threaten success. | Risk | |-----------------------------------------------| | Risks internal to the department | | f | | f | | Engaging closely across Whitehall to ensure | | the development of wide-ranging and | | ambitious proposals. | | f | | f | | Working with Government to define | | ambitions and to ensure resources | | are available for their implementation. | | Industrial strategy | | The industrial strategy fails to | | deliver its objective to improve | | productivity and growth across | | the UK. | | f | | f | | Finalising the investment contract. | | f | | f | | Setting up cross-governance arrangements | | to provide sufficient oversight of HPC. | | f | | f | | Putting Government initiatives with industry | | in place to address to potential skills gaps | | and supply chain issues. | | f | | f | | Providing safeguards against unapproved | | stake ownership by foreign investors. | | Hinkley Point C (HPC) | | EDF fails to deliver HPC on time | | and to budget, resulting in 3.2GW | | of electricity generation not | | coming online in 2025. | | f | | f | | NDA has negotiated settlements of £97 | | million with Energy Solutions and Bechtel | | to conclude all the ongoing litigation | | proceedings against it. | | f | | f | | The NDA also terminated the contract with | | Cavendish Fluor Partnership (CFP) because | | it became clear that the work required on the | | Magnox sites was significantly different from | | that which was tendered. | ## Nuclear Decommissioning Authority - Magnox Contract Litigation As A Result Of Failed Procurement Process. f f Aiming to reach an initial view on the new contract delivery model in September. f f Conducting an extensive pre-marketing exercise. f f Designing the sale process to attract diverse and relevant potential investors. f f Developing a clear and independently assured value for money framework. f f Following an active engagement and handling strategy with bidders and with GIB. ## Moving The Green Investment Bank (Gib) Into Private Ownership Failure To Complete The Successful Sale Of Gib Or Being Subject To Judicial Review. The industrial strategy is a Departmental priority. The current status of the risk is improving but will be closely monitored. An independent inquiry into the conduct of the 2012 procurement process has been launched. Initial findings are expected Autumn 2017. The Department continues to engage fully with the asset sale process. ## Looking Ahead Delivering An Ambitious Industrial Strategy We aim to ensure that we deliver the best results for the UK and promote UK interests through the process of EU exit and through our wider international engagement. We aim to improve living standards and economic growth by increasing productivity and making sure that growth is spread across the whole country. To do this, we will: To do this, we will: • secure the best possible access for • continue our development of a modern industrial strategy, including by responding to our green paper; • engage with businesses and consumers • put investment in our science and research • establish new partnerships with leading nonbase at the heart of our industrial strategy, including the creation of UK Research and Innovation in 2018 and investment of £4.7 billion in R&D funding, for the period 2017-18 to 2020-21; and • provide support to businesses across a range • promote UK research and innovation of sectors to ensure the UK economy can grow and is best placed to benefit from the challenges of globalisation • provide £2 billion of funding through the ## Maximising Investment Opportunities And Bolstering Uk Interests businesses to trade with and operate in the European market; to ensure that their views are represented in EU exit negotiations; EU scientific nations to maximise opportunities in global innovation; internationally to drive investment and export opportunities; and International Climate Fund between 2016 and 2021, to help developing countries tackle climate change and to promote clean growth. ## Promoting Competitive Markets And Responsible Business Practices We aim to secure better outcomes for consumers and strengthen our corporate governance framework. To do this, we will: • respond to the Matthew Taylor review, which is considering how best to protect and enhance worker rights, preserve the flexibility of the UK labour market, and foster innovative business models; • implement the new National Minimum and National Living Wage rates; • bring forward proposals to ensure critical national infrastructure is protected to safeguard national security • engage with businesses and academics across Government to encourage businesses to raise standards of corporate governance. ## Ensuring The Uk Has A Reliable, Low–Cost And Clean Energy System We will continue to ensure that the UK has a competitive and well-functioning energy system that can deliver affordable energy and clean growth. To do this we will: • ensure that we maintain adequate capacity to secure fuel, gas and electricity supplies through management of the capacity market and operational risks to energy supply; • advance our long-term plan for investment in new nuclear; • set out proposals to ensure that the retail energy market works for all; • draw up a roadmap for bringing down business energy costs; • support the UK Climate Change Act, including through the publication of a Clean Growth Plan; and • deliver safe, cost-effective and environmentally sensitive decommissioning of offshore oil and gas infrastructure in the North Sea, while making sure that the UK benefits from the job opportunities this will create. We will continue to transform the department to ensure we are high-performing and impactful and therefore able to deliver these ambitions and an economy that works for everyone. 13 July 2017 ## Accountability Report Directors' Report Financial Review The table shown overleaf summarises the position for the 2016-17 budget against outturn. The figures here correspond to the Statement of Parliamentary Supply, on page 98. ## Total Departmental Managed Expenditure In delivering our vision of an economy that works for everyone, the Total Managed Expenditure (see Box 1,) for 2016-17 was £31.3 billion, against which the Department incurred costs of £16.3 billion. The difference of £15.0 billion resulted mainly from an underspend against Annually Managed Expenditure (AME) budget versus outturn. ## Comparison Of Budget To Outturn Annually Managed Expenditure Box 1, adjacent, explains expenditure classified as Annually Managed Expenditure (AME) as demand led and therefore volatile. The process for setting AME budgets takes into consideration prudent forecasts so as manage the budget position against a volatile outturn. Overleaf, the table 'Comparison between 2016-17 Budget and Outturn' shows the budget versus outturn for AME resource and AME Capital. Resource AME Over half the Departments' expected resource AME costs relate to Contracts for Difference (CfD), more information on CfDs see Box 5 page 39. CfDs are signed by the Department to encourage low carbon electricity generation. Of the £13.8 billion underspend on resource AME, £11.3 billion was due to higher than expected wholesale electricity price projections, which translates into lower CfD costs for the Department. The remaining £2.5 billion was due to lower expenditure by the Nuclear Decommissioning Authority as a result of discount rates to decommissioning costs that span 50 to 100 years. ## Capital Ame The underspend on capital AME is due to lower than expected demand for Post Office Limited working capital funding as part of government shareholding. ## Box 1: Hm Treasury Budgeting Framework The total amount that the department spends is referred to as its Total Managed Expenditure (TME). HM Treasury classifies budgets as either Annually Managed Expenditure (AME) or Departmental Expenditure Limit (DEL) spend. AME budgets are volatile or demand-led in a way that the Department cannot control. HM Treasury do not set firm budgets but the Department monitors AME forecasts closely. Cost behaviours of DEL budgets are understood and controllable. At Spending Reviews, which occur every 3 to 5 years, HM Treasury sets firm DEL budget limits for each type of DEL budget. DEL budgets are split into Capital (CDEL) and Resource (RDEL). The CDEL budget is further split into: • 'Financial Transactions' for loans given or shares purchased • 'General Capital' for spending on all other assets or investments The RDEL budget is split into: • 'Programme' budgets for direct frontline service provision • 'Administration' budgets for the running costs of the department such as backoffice staff, rent and IT. ## Departmental Expenditure Limit The total Departmental Expenditure Limit budget estimate was £2.0 billion. As shown in the table below, the department spent less than budget by £365 million. This was due to underspends on innovation, enterprise and business, and market frameworks. ## Capital Del The 'voted' Capital estimate was £11.3 billion was £13.6 billion against which our outturn was £12.8 billion, contributing savings of £0.8 billion to the Total Managed Expenditure. Like AME, Departmental Expenditure Limit is split across Resource and Capital estimates and outturn categories of spend. ## Resource Del and outturn was £10.8 billion. The Capital DEL outturn was £440 million lower than budget due to underspend on government shareholdings. The Department's final expenditure (Outturn) For Resource the estimated 'voted' spend was £3.4 billion, adjusted by a 'non-voted' reduction to £2.3 billion. Outturn against the adjusted compared to its Supplementary Estimate (Budget) is set out in the table below. ## Comparison Between 2016-17 Budget And Outturn | | | Budget | Outturn | Variance | |---------------|--------|----------|-----------|------------| | Control total | £m | £m | £m | % | | Resource DEL | 2,337 | 1,972 | 365 | 15.6 | | Capital DEL | 11,274 | 10,835 | 440 | 3.9 | | Resource AME | 17,412 | 3,523 | 13,889 | 79.8 | | Capital AME | 311 | (15) | 325 | 104.5 | | Total | 31,334 | 16,315 | 15,019 | 47.9 | ## Comparison Of Spend To Last Year Resource DEL As shown in the table below, the decrease in Resource DEL expenditure between 2015-16 and 2016-17 was £6.3 billion. This was largely driven by a £5.9 billion reclassification of science and research spend from resource to capital. Resource AME During 2015-16 there was a significant change in discount rates (from positive to negative, described in Box 3). This resulted in a significant movement in the non-cash liability for the Nuclear Decommissioning Authority. The comparable movement in 2016-17 was £2.7 billion against £89.8 billion in 2015-16. The remaining amount mainly consists of changes in the movement in the fair value of Low Carbon Contract Company Contracts for Difference for the supply of electricity. Capital AME In 2015-16 the Capital AME consisted of £1.4 billion in 'non-voted' income relating to the disposal of Royal Mail, which was not repeated during 2016-17. The £15 million income related to government shareholdings. Capital DEL The Department's capital expenditure is made up of a number of ring-fenced areas. As highlighted below, the significant movement within capital DEL was a significant level of spend shifting between resource and capital. The capital increase was £6.0 billion, of which £5.4 billion related to science and research reclassified research and development spend. Other spend increases related to £0.6 billion of financial transactions in the Green Investment Bank and £87 million in the British Business Bank; an increase of £143 million for the Nuclear Decommissioning Authority; and £700 million additional spending on innovation. ## Comparison Between Outturn In 2016-17 And 2015-16 | | | 2016-17 | 2015-16 | Change | |---------------|--------|-----------|-----------|-----------------------------| | Control Total | £m | £m | £m | % | | Resource DEL | 1,972 | 8,318 | (6,346) | (76) | | Capital DEL | 10,835 | 4,882 | 5,953 | 122 | | Resource AME | 3,523 | 101,945 | (98,422) | (97) | | Capital AME | (15) | (1,613) | 1,598 | (99) | | Total | 16,315 | 113,532 | (97,217) | (86) | ## Key Areas Of Net Expenditure For Last 3 Financial Years | Key net costs incurred | £m | £m | £m | |-------------------------------|--------|---------|--------| | NDA | 5,082 | 92,066 | 7,910 | | Science and Research | 6,374 | 6,248 | 6,246 | | Contracts for Difference | (273) | 10,122 | 2,485 | | Innovate UK | 801 | 735 | 604 | | Coal Authority | 34 | 1,936 | 5 | | Government Electricity Rebate | 1 | 309 | 308 | | Green Investment Bank | 845 | 308 | 178 | | Renewable Heat Incentive | 545 | 372 | 161 | | International Climate Finance | 333 | 319 | 195 | | Post Office | 220 | 280 | 330 | | Other | 2,353 | 837 | 445 | | Total | 16,315 | 113,532 | 18,867 | ## Financial Position Overall, total assets less total liabilities was £(172.0)bn, compared to £(170.1)bn in 2015-16 and £(66.5)bn in 2014-15. The significant increase from 2014-15 to 2015- 16 was driven by the changes to the valuation of the provisions, particularly the nuclear decommissioning provision. This was due to the change in the long-term discount rate in 2015-16; more detail is provided in Box 3. The value of the provisions has remained relatively stable on an undiscounted basis. | 2016-17 | 2015-16 | 2014-15 | |-----------|-----------|-----------| ## Box 2: Machinery Of Government Transfers To complete the MoG changes that created the Department, we agreed the transfer of assets, liabilities and budgets with the Department for Education, the Ministry of Justice and the newly–created Department for International Trade. Cabinet Office guidance states that after a Machinery of Government (MoG) announcement to transfer policy responsibility from one department to another, sufficient resources should be allocated to support the transfer of functions, based on existing policies and any collectively–agreed changes to these policies. Budgets totalling £21.95 billion were transferred via Supply and Appropriation Acts in 2017 to reflect the final MoG agreements. ## Box 3: Impact Of Changes On Discount Rate The worth of the Department's future receivable cash inflows are calculated at present value (PV) in accordance with accounting standards. This PV reflects the time value of money. The accounts use a number of different rates depending on the nature of the transaction and the regulation applicable. Some of our priorities carry obligations that are very long term and will involve expenditure over decades to come. The eventual costs of these long-term projects are uncertain but we are required to present a single number in the annual accounts. This single number is based on our best estimate of costs, technology and other relevant factors, adjusted to reflect the changing value of money over time. ## Discount Rates Used | Category | Rationale | 2016-17 | 2015-16 | |----------------------------------------------|-------------|-----------|-----------| | Nuclear decommissioning provisions | | | | | Medium 6-10 years | -1.95% | -1.00% | | | Short term < 5 years | | | | | Set by HM Treasury Public | | | | | Expenditure System (PES) | | | | | Secretariat 2 Dec 2016 | | | | | Long term > 10 years | -0.80% | -0.80% | | | CfD financial instruments | | | | | Real rate (as contracts are in real terms) | As above | +0.70% | +0.70% | | Coal Pensions | | | | | Real rate + 3% RPI (as contractual figures | | | | | are in nominal values) | | | | | As above: financial instruments | | | | | discount rate (non-indexed) | +3.70% | +3.70% | | | Repayable Launch Investments | | | | | Higher of the implicit rate of return or the | | | | | financial instrument's rate | | | | | Risk-free rate for Govt investment | | | | | appraisal set by the Green Book | | | | | adjusted for inflation | | | | Typically, in the past, the time value of money has usually been positive which means money could be invested in the present for a return in the future that would exceed the rate of inflation - this is known as a positive 'real' return. Government bonds are seen as a low risk form of investments. Usually, therefore, government bonds bring a lower rate of return than other investments. As bonds pay a fixed cash amount when they mature, the higher the price paid for the bonds now, the lower the rate of return is considered to be. When negative discount rates are applied to the Department's long-term obligations, this has the effect of significantly increasing the reported value of the liabilities, even when the cash the Department expects to pay has not changed. But not all rates are negative. For investment appraisal Government continues to use positive rates, to ensure that projects are correctly appraised and generate future benefits. Our accounts use positive discount rates to determine the PV of future income generated from assets and investments. When positive rates have been used to discount future cash receipts, then the present value of them is lower than the cash the department will receive. The following tables sets out the specific material balances in our accounts that have been discounted. The impact of the discounting can be assessed by comparing the discounted value with the undiscounted value. Following the global financial crisis, demand for lower–risk investments increased, particularly government bonds. As a result, the price of government bonds rose. This has resulted in government bonds providing a negative 'real' return. The long-term discount rate has been negative since 2015. | | -2.70% | -1.55% | |-------------|-------------|----------| | +3.50% | +3.50% | | | + RPI 2.55% | + RPI 2.20% | | ## Impact On Provisions Both the NDA and the Coal Authority have long-term provisions relating to the expected | 2016-17 | 2016-17 | |----------------|--------------| | Discounted | Undiscounted | | Category | liability | | £m | £m | | NDA nuclear | | | provision | 163,505 | | Coal Authority | | | provision | 2,817 | Impact on financial instruments The fair value of the Contracts for Difference (CfDs) obligation disclosed in the accounts is adjusted using the 0.7% real term discount rate. | | 2016-17 | 2016-17 | |---------------|--------------|-----------| | Discounted | Undiscounted | | | Category | liability | liability | | £m | | | | £m | £m | £m | | Contracts for | | | | Difference | | | | liability | 31,413 | 33,388 | Impact on assets Assets have been discounted at positive rates. For financial instruments we are required to use the prescribed HM Treasury discount rate of 0.7% real and 3.7% nominal, or the rate of | | 2016-17 | 2016-17 | |---------------|--------------|--------| | Discounted | Undiscounted | | | Category | assets | assets | | £m | | | | £m | £m | £m | | Repayable | | | | launch | | | | investments | 1,205 | 1,836 | | Coal pensions | 331 | 377 | future cost of managing the energy legacy. The negative discount rates have increased the present value of future cash flows significantly. | | 2016-17 | 2015-16 | 2015-16 | 2015-16 | |-----------|------------|--------------|---|-----------| | Impact of | Discounted | Undiscounted | | Impact of | | liability | liability | discounting | | | Each year, the fair value of the CfDs is reassessed to reflect changes in the expected cash payments that will be made over the life of the contracts, and then the updated expected cash payments are discounted. | | 2016-17 | 2015-16 | 2015-16 | 2015-16 | |-----------|------------|--------------|---|-----------| | Impact of | Discounted | Undiscounted | | Impact of | | liability | liability | discounting | | | return implicit in the contract if higher. For the repayable launch investments we assessed the implicit rate to be 3.5% plus RPI, 2016-17: RPI was 2.55% (2015-16: RPI was 2.2%) giving an implicit rate of 6.05% (2015–16: 5.7%). | | 2016-17 | 2015-16 | 2015-16 | 2015-16 | |-----------|------------|--------------|---|-----------| | Impact of | Discounted | Undiscounted | | Impact of | | assets | assets | discounting | | | ## Box 4: Nuclear Decommissioning Authority Provision The NDA is responsible for 17 nuclear licensed sites across the country, with a range of facilities including former nuclear power stations, research facilities and nuclear fuel fabrication and reprocessing facilities. Some of these sites date from the earliest days of nuclear power. Unlike modern nuclear facilities, decommissioning of these sites was not built into plans or designs. This figure is based on dealing with an assumed inventory of materials with varied radiological characteristics, and using the extant strategy for retrieval and disposal of the resulting materials over several decades. Each of these elements is uncertain in its own right - the cost of developing the necessary technology and plants to deal with these activities is also uncertain. The quality of the forecast becomes less certain the longer the projection. Decommissioning of sites will take many decades. In part, this is because plans often include periods of 'care and maintenance', where sites are made safe and put into an interim state, allowing residual amounts of radioactive material to decay over time. By doing this, the final stages of decommissioning will be easier and safer to complete. The NDA's best estimate of the future costs of the estate over the next 100+ years on an undiscounted basis is £119.0 billion. NDA has reviewed the methodologies used in the calculation, taking into account HM Treasury Green Book guidance and the need to remove optimism bias. Projects like these could typically have a range of estimates from -50% to +300%. In light of uncertainties in the estimate, NDA considers it prudent to present a credible range of outcomes. The range presented for the current year is for undiscounted costs of £97 billion to £222 billion. ## Box 5: Contracts For Difference (Cfds) CfDs are designed to incentivise investment in a mix of low carbon electricity generation technologies which will help the UK meet its renewable and decarbonisation targets. CfDs do this by agreeing with a generator a strike price for electricity supplied, thereby providing certainty needed for private investment, while protecting consumers from having to continue to pay higher support costs when electricity prices are high. The support payments paid (or repaid) in future will be calculated from the difference between the strike price and the market reference price prevailing at the time. Low Carbon Contracts Company (LCCC) Difference payments under the CfDs are funded through a levy paid by licensed energy suppliers. The LCCC is the company established by Government to collect this levy, manage the CfDs and pay or receive the contracted difference payments. Currently the LCCC is managing all 40 recognised CfD contracts and the Hinkley Point C CfD, which has not been recognised, following the novation of the last biomass contract from the core Department in December 2016. Accounting for fair value (FV) In order to comply with the relevant accounting standards, the Department is required to estimate the 'fair value' of future CfD payments. Although difference payments under CfDs can be positive (an asset) or negative (a liability), accounting standards only allow for the liability element to be recognised. This figure is calculated using a model that forecasts the rate of generation, expected demand for electricity and electricity prices over the term of the contract. The figures in the financial statements represent management's best current estimate within a range of scenarios and will be subject to change over time. Movements in fair value of CfDs recognised in the Accounts 2016-17 2015-16 £ bn £ bn 1 April 30.6 21.6 Changes in FV on existing contracts -0.8 10.7 Terminations where CfDs are cancelled – -1.7 CfD reinstated 1.7 – Payments made for generation -0.1 – 31 March 31.4 30.6 In accordance with accounting standards the initial fair value of any contract is deferred. On 1 April 2016 the total deferred fair value of CfDs disclosed in the accounts was £18 billion. The CFD contract for Hinkley Point was signed in September 2016, but it has not been recognised in the accounts. The fair value at 31 March 2017 was £28.8 billion. The Department recognises all subsequent movements of fair value on CfD contract recognised in the accounts through the Statement of Comprehensive Net Expenditure (SoCNE) and recognises a liability on the Statement of Financial Position (SoFP). Effect on the SoFP 2016-17 2015-16 £ bn £ bn 1 April 12.6 2.5 Changes in FV on existing recognised contracts -0.8 10.7 Terminations where CfDs are cancelled – -0.6 Reinstatement of CfDs 0.6 – Payments made for generation -0.1 – 31 March 12.3 12.6 Further details on the CfDs can be found in note 9 on page 150. ## Box 6: Hinkley Point C • Given the expected generating capacity, • The 35–year duration has presented Hinkley Point C (HPC) will provide low carbon electricity to 6 million homes, twice as many as the whole of London, for around 60 years. It will provide a vital boost for the national and local economy, creating 25,000 jobs, with at least 5,000 people from Somerset expected to work directly on the project, providing a £40 million boost to the local economy every year. The Funded Decommissioning Programme will make sure that the taxpayer does not pick up the cost of decommissioning the plant in the future. The Department's CfD means that no costs are passed onto the consumer during the build period of the power station. CfD contracts are explained in box 5 on page 39. The CfD for HPC has been signed with NNB Generation Company, a subsidiary of EDF. It is much longer than contracts for other types of power generation, such as offshore wind, which are typically for 15 years. Some features of the contract are as follows: • It will expire at the earlier of 35 years after the start date of the second reactor or when the total CfD payments made have reached the Generation Cap (910 TWh). • The strike price, the amount guaranteed Future forecast wholesale electricity prices Forecast wholesale electricity prices are derived from the Dynamic Dispatch Model (DDM) which has been developed by the Department to facilitate and inform policy decisions by modelling investor behaviour in response to fuel and carbon prices and policy environment. The DDM forecasted wholesale electricity prices do not go beyond 2050. The Department has therefore assumed flat wholesale prices for the 10 years between 2050 and 2060. to the generator through the CfD, has been negotiated at £92.5/MWh15 but this shall be reduced by £3/MWh if there is agreement to commission Sizewell C on or before the HPC start date. The strike price may also be adjusted upwards if the operating expenditure costs are more than assumed and downwards if they are less. This provides a way of mitigating long-term cost risks for both parties. • There is a construction gain share for HPC, Forecasts of future wholesale electricity prices over such a long time period are inherently uncertain as they will be affected by a variety of factors including electricity demand, fossil fuel prices, generation mix, carbon prices and technology. The Department considers that the inherent uncertainties of forecasting future wholesale electricity prices beyond 2040, and up to 2060 mean that the HPC CFD does not meet condition (b) of paragraph 4.38 of the Conceptual Framework, and therefore, this contract has not been recognised in the primary statements. such that if the construction costs of HPC come in under budget, the strike price will be adjusted downwards so that the gain (or saving) is shared with the Department. and the 35–year contract duration the HPC CfD is extremely large, the fair value in Sept 2016 was £26.8 billion (in 2016 prices), which increased by £2 billion to 31 March 2017, as a result of subsequent movements in forecasts of future wholesale electricity prices. significant challenges to value, and there are a lot of uncertainties, particularly longterm future forecast wholesale electricity prices. Given the uncertainties, the CfD has not been recognised in the accounts, more detail is provided in the Derivative Financial Instrument Note. Sensitivity analysis The following table shows the impact on the fair value (in 2016 prices) of the HPC CfD, classified under level 3 in accordance with IFRS13, by using reasonably possible alternative assumptions: Change in fair value of HPC if: Electricity prices decrease by 10% – 4,477,796 Electricity prices increase by 10% 4,477,796 – At generation cap – 259,850 10% less load factor 2,882,384 – Estimated commissioning date moves backwards by one year 481,230 – Sizewell C strike price adjustment for HPC 2,387,085 – The fair value is highly dependent upon the actual capacity generated once the plant is built and the electricity prices which will prevail at the time of generation. The favourable and unfavourable changes show how the | Favourable changes | Unfavourable changes | |------|------| | £000 | £000 | impact of changes in capacity and prevailing electricity prices will affect the fair value of CfDs due to the change in the level of cash flows. ## Levy Control Framework (Lcf) Budget Many of our energy policies, including: Contracts for Difference, the Renewables Obligation (RO) and the small-scale Feed-in Tariff scheme, are funded by electricity suppliers who recover their costs via consumer bills. The LCF was introduced by HM Treasury and the then Department of Energy and Climate Change in 2011 to set caps on consumer-funded expenditure on energy policies and control the costs to consumers. It covers several policies classed as levies. The RO is being replaced by the competitive 'Contracts for Difference' support scheme. The CfD controls the rate of deployment and uses competition to set prices, improving value for money for bill payers. The Government closed the RO early to solar photovoltaic (PV) and onshore wind. For all other technologies, the scheme closed on 31 March 2017. There are a number of extensions which allow accreditation in certain circumstances up to January 2019 in Great Britain and March 2019 in Northern Ireland. We have also removed guaranteed rates of support for certain solar PV, biomass co-firing and biomass conversions stations. Actual figures (from 2011-12 to 2015-16) show that LCF spend has not hit the budget cap in any of the years. However, projections to 2020- 21 forecast that the LCF cap will be exceeded in each of the remaining years, although the figures are within the 20% 'headroom' agreed by HM Treasury to allow for cost fluctuations (such as wholesale price changes) which are outside the Department's control. We have taken action on the Feed-in Tariff scheme to set lower tariffs. Our measures seek to maintain a viable solar industry which, in the medium term, can continue to reduce its costs and move towards subsidy–free deployment, and to provide other technology sectors with tapered support over coming years. Keeping the scheme open and introducing deployment caps, based on a £100 million budget, is still expected to facilitate 1,600MW of new capacity and 240,000 new installations by 2020-21. In the Spring Budget 2017, the Government announced that the LCF (as a budgetary framework) will not be renewed post 2020. ## Official Development Assistance (Oda) Under agreed statistical reporting methodology, ODA expenditure is reported on a calendar year and cash basis. The Department provided £687 million of ODA in 2016. In 2016 we have delivered £311 million of climate and energy related ODA. We have also invested £303 million in international climate finance including: • £152 million through large-scale multilateral funds such as the Green Climate Fund; • £60 million in the Transformative Carbon Asset Facility that is using results–based finance to support developing countries to implement carbon pricing measures; • £42 million in the Renewable Energy Performance Platform, a private–sector focussed programme targeting renewables in Africa; and • £17 million through technical assistance programmes aimed at building the capacity of developing countries. In 2016 we delivered £377 million in research and innovation related ODA expenditure, including £92 million from the Newton Fund and £71.8 million from the Global Challenges Research Fund (GCRF). The latter became operational as of April 2016. Our ODA-funded research and innovation covered a wide range of social, economic and environmental challenges facing developing countries, with an aim of reducing poverty by generating and putting into use knowledge and technology to address development challenges - from: supporting work to sequence the genetic make-up of the Zika virus and its rapid diagnostics to supporting the engineering profession in sub-Saharan Africa. This expenditure also contributes towards the continued strengths of the UK's research and innovation system, and supports our wider scientific, trade and diplomatic objectives as a globally engaged nation. Further information on the Department's ODA expenditure in 2016 may be found in the publication 'Provisional UK Official Development Assistance as a Proportion of Gross National Income'. 16 ## Charging Policy The core Department provides only a limited number of services for which it charges fees. Any such fees are set to comply with the cost allocation and charging requirements set out in HM Treasury and Office of Public Sector Information guidance. The Insolvency Service sets its fees to recover costs. It has a range of fees covering three areas: case administration, where fees reflect the average costs of administering bankruptcy cases and compulsory company liquidation cases and also the average cost of completing debt relief orders; insolvency practitioner regulation, where fees include the cost of authorising and monitoring insolvency practitioners and registering individual voluntary arrangements; and estate accounting, where fees reflect the cost of financial transactions on insolvency cases using the Insolvency Services Account. Details of charging policies relating to Partner Organisations may be found in their published accounts. ## 4. Lord Prior Of Brampton Parliamentary Under Secretary Of State Departmental Board And Leadership Team 1. Greg Clark Secretary Of State For Business, Energy And Industrial Strategy And Chair Of The Departmental Board Lord Prior of Brampton was appointed Parliamentary Under Secretary of State at the Department for Business, Energy and Industrial Strategy on 21 December 2016. Previously he served at the Department of Health as Minister for NHS Productivity from May 2015. He is a Conservative member of the House of Lords. Lord Prior has a wealth of experience including roles in health, finance, manufacturing and engineering. 5. Baroness Neville-Rolfe Minister of State for Energy and Intellectual Property The Rt Hon Greg Clark was appointed Secretary of State for Business, Energy and Industrial Strategy on 14 July 2016. Prior to this Greg served as Secretary of State for Communities and Local Government from May 2015. He was elected Conservative MP for Royal Tunbridge Wells in 2005. Before entering politics, Greg worked for the Boston Consulting Group, one of the world's top business strategy firms. He was posted to the USA, Mexico, South America and Iceland, as well as working for clients in the UK. He was also Head of Commercial Policy at the BBC. ## 2. Nick Hurd Minister Of State For Climate Change And Industry Baroness Neville-Rolfe was appointed Minister of State at the Department for Business, Energy and Industrial Strategy on 17 July 2016. She joined the House of Lords as a Conservative peer in October 2013 and served as Parliamentary Under Secretary of State at the Department for Business, Innovation and Skills, and Minister for Intellectual Property from July 2014 until July 2016. She has been an executive director on the Board of Tesco PLC from 2006-13 and has served on several other high-profile boards. She moved from BEIS to become Commercial Secretary to the Treasury in December 2016. 6. Archie Norman Lead Non-Executive Director and Deputy Chair of the Departmental Board Nick Hurd was appointed Minister of State at the Department for Business, Energy and Industrial Strategy on 16 July 2016. Prior to this Nick served as a Minister in the Department for International Development from November 2015, where his portfolio included climate and environment, and leadership of the Energy Africa campaign. He was elected Conservative MP for Ruislip, Northwood and Pinner in May 2010. He has spent 18 years in business, including 5 years representing a British bank in Brazil. 3. Margot James Parliamentary Under Secretary of State, Minister for Small Business, Consumers and Corporate Responsibility Archie Norman is one of Britain's leading businessmen with a long track record of business change and value creation. He has led transformations of major British businesses in the UK and abroad, served on the boards of several others, and built strong management teams who are now in leading positions in several major British companies. Archie is the first and only FTSE100 Chairman to be elected a Member of Parliament. ## 7. Professor Dame Ann Dowling Dbe Non-Executive Director And Chair Of The Nominations And Governance Committee Ann Dowling DBE is a Professor of Mechanical Engineering at the University of Cambridge and chair of the University Gas Turbine Partnership Margot James was appointed as Parliamentary Under Secretary of State at the Department for Business, Energy and Industrial Strategy on 17 July 2016. Prior to this Margot served as Assistant Government Whip from May 2015. She was elected Conservative MP for Stourbridge in May 2010. Margot worked in sales and marketing for her father's business, MJI, based in Birmingham. In 1986 she co-founded Shire Health Group, a public relations and medical education business. with Rolls-Royce. Ann is President of the Royal Academy of Engineering and a Fellow of the Royal Society. She has held visiting posts at MIT (Jerome C Hunsaker Visiting Professor, 1999) and at Caltech (Moore Distinguished Scholar 2001). Her research is in fluid mechanics, noise, vibration and combustion and is aimed primarily at aeronautical applications. Ann was also a Non-Executive Director for BIS from February 2014. 8. Charles Randell CBE Non-Executive Director and Chair of the Audit and Risk Assurance Committee Charles Randell has been an independent director of the Bank of England's Prudential Regulation Authority since it assumed responsibility for supervising UK banks, insurance companies and large investment firms in April 2013. Prior to that he was a senior partner in the law firm Slaughter and May, where he specialised in corporate finance law, with much of his work involving the energy and public sectors. Charles was also a Non-Executive Director for DECC from October 2014. ## 9. Stephen Carter Non-Executive Director Stephen Carter has a unique combination of skills and insights gained through a career equally divided between the public and private sector. Now the CEO of Informa, a FTSE100 company, he brings previous business experience at Alcatel Lucent, NTL (now Virgin Media) and JWT UK & Ireland. His public sector experience includes being the founding CEO of Ofcom, and time as the Minister for Communications, Technology and Broadcasting, when he produced the Digital Britain Blueprint. ## 10. Carolyn Mccall Non-Executive Director Carolyn is CEO of EasyJet and has extensive experience in business with a wealth of understanding of the transportation and media industries. Prior to EasyJet she was Chief Executive of the Guardian Media Group. She has been a great champion of diversity, most recently demonstrated through EasyJet's commitment to increase the number of female pilots it trains and employs. ## 11. Kathryn Parsons Non-Executive Director Kathryn Parsons is the co-founder and CEO of DeCoded. She brings with her valuable expertise from the digital enterprise community sitting on the London Mayor's Business Advisory Board and the Government's Cyber Security Board. She also chairs the Digital Skills and Innovation Fund. She has helped over 500 organisations - from FTSE100 companies to Government departments and start-ups - to think and act differently in the digital world. ## 12. Stuart Quickenden Non-Executive Director Stuart Quickenden has had a 20–year career at Boston Consulting Group, a leading global management consultancy, culminating in becoming Managing Partner. He is a leading expert on organisational change, advising large organisations to help drive better performance at lower cost. ## 13. Rachel Campbell Non-Executive Member - Nominations And Governance Committee Rachel Campbell is the Global Head of People, Performance and Culture for KPMG International. She is responsible for the firm's global people strategy and communications. Previously she was Head of People and a board member for both KPMG and Europe LLP firms. Rachel is a chartered accountant and has operated as an audit partner for the firm, working predominantly with global fast-moving consumer goods clients. She is a Fellow of the Chartered Institute of Personnel and Development. Rachel previously served as Non-Executive Director for DECC from September 2014. ## 14. Claire Davies Non-Executive Member - Audit And Risk Assurance Committee Claire Davies is an experienced solicitor, company secretary and compliance professional with more than 30 years' experience in the retail banking and financial services sectors acquired from senior roles with Legal and General Group, Ernst & Young, Lloyds Banking Group, the Co-Operative Group, and Barclays. With a strong interest in governance, she is a regular speaker and contributor of articles to industry conferences and publications. ## 18. Lucy Shannon Non-Executive Member - Audit And Risk Assurance Committee 15. Nigel Johnson Non-Executive Member - Audit and Risk Assurance Committee Lucy Shannon is a creative IT professional with experience in cyber security, IT outsourcing, pursuit management, service delivery leadership, and business process automation. As a senior account director with MWR InfoSecurity she has helped many organisations to address cyber security and protect their networks and services. She has also co-founded the Women's Network at Xerox with the aims of inspiring and developing women, connecting externally with clients and internally to support diversity. Nigel Johnson is a chartered accountant with an extensive range of audit and advisory experience gained over 30 years working for a large professional services firm, supporting diverse clients across the corporate, not-for-profit and public sectors. Corporate clients included major UK- and US-listed groups such as Tate & Lyle, Trafalgar House Kimberly-Clark, and Hitachi. He has also worked with charities including Scope and Great Ormond St. Hospital. ## 19. Alex Chisholm Permanent Secretary 16. Bryan Ingleby Non-Executive Member - Audit and Risk Assurance Committee Alex Chisholm became Permanent Secretary for the Department for Business, Energy and Industrial Strategy in September 2016. He acted as Joint Permanent Secretary for the Department initially, alongside Sir Martin Donnelly, having recently been appointed as the Permanent Secretary for DECC. Prior to this Alex was the Chief Executive for the Competition and Markets Authority. Bryan Ingleby is a highly experienced chartered accountant. Following a career as an external auditor in the public sector, Bryan now has a portfolio of non-executive and independent roles in several sectors including the NHS, Education, Housing, and local government. Bryan brings experience in sound financial management, risk management, and strong corporate governance. ## 20. Sam Beckett Director General, Economics And Markets 17. Myriam Madden Non-Executive Member - Audit and Risk Assurance Committee Sam has been Director General, Economics and Markets since December 2016. Prior to this she was Director General for Economics and Markets in BIS. She has over 25 years' experience in BIS, the Cabinet Office and HM Treasury, in roles spanning micro- and macro-economics, strategy, policy and corporate services delivery. ## 21. Gareth Davies Director General, Business And Science Myriam Madden is a leader in the field of accountancy, having served as President of the Chartered Institute of Management Accountants and as Chair of the Joint Venture Board of the Association of International Certified Professional Accountants, both global accounting bodies. She is an experienced Executive Director specialising in business transformation, operational re-structuring and finance, in the UK, US and Europe. Myriam also served as a Non- Executive Director on the Board of the American Institute of Certified Public Accountants. Gareth Davies has been Director General, Business and Science since December 2016. Prior to this he was a Director General in BIS. Over the last decade Gareth has worked in Downing Street as the Prime Minister's lead adviser on welfare reform, been Head of the Prime Minister's Strategy Unit and was an Executive Board member of both the Cabinet Office and the Department for Innovation Universities and Skills. ## 22. Clive Maxwell Director General, Energy Transformation Clive Maxwell has been Director General, Energy Transformation since December 2016. Prior to this he was Director General, Energy Efficiency and Heat at DECC. Clive was Chief Executive of the Office of Fair Trading from July 2012, after being on its board as an Executive Director and previously working as Senior Director, Services Sector. Prior to joining the OFT, Clive worked in a wide range of roles for HM Treasury from 1992 to 2009. ## 23. Jeremy Pocklington Director General, Energy And Security Jeremy Pocklington has been Director General, Energy and Security since December 2016. Prior to this he was Director General of Markets and Infrastructure at DECC. Jeremy spent many years at HM Treasury, culminating in his role as Director of the Enterprise and Growth Unit. From 2009 to 2012 he also served as Director of the Economic and Domestic Secretariat at the Cabinet Office. ## 24. Angie Ridgwell Director General, Corporate Services Angie Ridgwell has been Director General, Corporate Services since December 2016. Prior to this she was Director General for Finance and Corporate Services at DECC. Before joining DECC she was Strategic Director for Corporate Services and Strategic Director of Organisational Design for Bristol City Council. She has extensive experience working with a range of local authorities, government agencies and in the private sector. 25. Jaee Samant Director General, Strategy, Growth, People and Legal Jaee Samant has been Director General, Strategy, Growth, People and Legal since December 2016. Prior to this she was Director General for Skills, Deregulation and Local Growth at BIS. Jaee has been a civil servant for almost 25 years and has worked at the Department of Employment, the Department for Education and Employment and the Cabinet Office before joining the Home Office in 2004. She has also worked on secondment to the Big Lottery Fund and the BBC. ## 26. Katrina Williams Director General, International And Growth Katrina Williams has been Director General, International and Growth since December 2016. Prior to this she was Director General for International, Science and Resilience at DECC. Before joining DECC, Katrina was Director General for Strategy, Evidence and Customers in Defra, advising ministers on the department's strategic focus, overseeing all of its international and EU work and how it gets the evidence it needs to support its work. From 2008 to 2012 she was Director General for Food and Farming in Defra. ## 27. Professor Tim Dafforn Chief Entrepreneurial Adviser Professor Tim Dafforn is Chief Entrepreneurial Adviser. Prior to this appointment he was Chief Scientific Adviser at BIS. Tim has great expertise across biotechnology and life sciences, accumulated over a career that includes authoring more than 100 publications and a lifetime research grant capture of £10 million. ## 28. Professor John Loughhead Obe Freng Ftse Chief Scientific Adviser Professor Loughhead is Chief Scientific Adviser. Prior to this he was Chief Scientific Adviser at DECC. Before joining DECC, John was Executive Director at the UK Energy Research Centre (UKERC). John's professional career has been predominantly in industrial research and development for the electronics and electrical power industries. He has extensive international experience in both industry and academia. ## Performance Finance And Risk Committee Key To Committee Membership Projects and Investment Committee Departmental Board People and Operations Committee Nominations and Governance Committee Strategic Policy Review Committee Audit and Risk Assurance Committee Transition Programme Board Executive Committee ## Statement Of Accounting Officer'S Responsibilities Under the Government Resources and Accounts Act 2000 (the GRAA), HM Treasury has directed the Department for Business, Energy and Industrial Strategy to prepare, for each financial year, consolidated resource accounts detailing the resources acquired, held or disposed of, and the use of resources during the year by the Department (inclusive of its executive agencies) and its sponsored non-departmental and other arm's-length public bodies. These other bodies are designated by order made under the GRAA by Statutory Instrument 2016 no 1243 (together known as the 'Departmental group', as consisting of the department and sponsored bodies listed at note 28 to the accounts). The accounts are prepared on an accruals basis and must give a true and fair view of the state of affairs of the Department and the Departmental group and of the net resource outturn, application of resources, changes in taxpayers' equity and cash flows of the Departmental group for the financial year. In preparing the accounts, the Accounting Officer of the Department is required to comply with the Government Financial Reporting Manual and in particular to: • observe the Accounts Direction issued by HM Treasury, including the relevant accounting and disclosure requirements, and apply suitable accounting policies on a consistent basis; • ensure that the Department has in place appropriate and reliable systems and procedures to carry out the consolidation process; • make judgements and estimates on a reasonable basis, including those judgements involved in consolidating the accounting information provided by non-departmental and other arm's-length public bodies; • state whether applicable accounting standards as set out in the Government Financial Reporting Manual have been followed, and disclose and explain any material departures in the accounts; and • prepare the accounts on a going–concern basis. HM Treasury has appointed the Permanent Head of the Department as Accounting Officer of the Department. The Accounting Officer of the Department has also appointed the Chief Executives or equivalents of its sponsored non-departmental and other arm's– length public bodies as Accounting Officers of those bodies. The Accounting Officer of the Department is responsible for ensuring that appropriate systems and controls are in place to ensure that any grants that the Department makes to its sponsored bodies are applied for the purposes intended and that expenditure and the other income and expenditure of the sponsored bodies are properly accounted and in order, for the purposes of consolidation within the resource accounts. Under their terms of appointment, the Accounting Officers of the sponsored bodies are accountable for the use, including the regularity and propriety, of the grants received and the other income and expenditure of the sponsored bodies. The responsibilities of an Accounting Officer are set out in Managing Public Money published by HM Treasury. These include responsibility for the propriety and regularity of the certain public finances for which the Accounting Officer is answerable, for keeping proper records, and for safeguarding the assets of the department or non-Departmental or other arm's–length public body for which the Accounting Officer is responsible. ## Accounting Officer'S Confirmation I have taken all the steps that I ought to have taken to make myself aware of any relevant audit information and to establish that the Department's auditors are aware of that information. I have received appropriate assurances from the former accounting officers who served this department and its predecessors, Sir Martin Donnelly and Stephen Lovegrove. As far as I am aware, there is no relevant audit information of which the Department's auditors are unaware. The annual report and accounts as a whole is fair, balanced and understandable. I take personal responsibility for the annual report and accounts and the judgements required for determining that it is fair, balanced and understandable. Alex Chisholm Principal Accounting Officer and Permanent Secretary ## Governance Statement Introduction Establishing the right governance for the newly formed Department has been a crucial part of creating the best environment to deliver an economy that works for everyone. strategy and ensuring the UK gets the best deal from Brexit. The Non-Executive Board members have provided a valuable link between the Department and the business community. As part of this they have participated in a range of sector–specific stakeholder engagement events, themed around the 10 pillars of the industrial strategy. This Governance Statement sets out the governance, risk management and internal control arrangements for the Department, in accordance with HM Treasury guidance. It applies to the financial year 1 April 2016 to 31 March 2017 and up to the date of approval of the Annual Report and Accounts. It integrates information about the Department's nondepartmental public bodies (NDPBs) included in the consolidated group accounts. The Department has also undergone an intense period of change over the past year that should not be underestimated. The Departmental Board has overseen the delivery of the Transition Programme to bring the new Department together. It has also played a key role in shaping transformation plans - providing steers on the scope, approach and ambition for the programme prior to Executive Committee sign off. The Board will continue to review progress on transformation, and to deploy the knowledge and expertise of the non-executive team to support delivery. Evidence is provided throughout the statement on how governance has been aligned with Departmental vision and objectives. The statement seeks to show what has been achieved in the Department and to set out the activity that was previously undertaken in BIS and DECC that has since become the responsibility of BEIS. The Board meetings are chaired and led by the Secretary of State and benefit from full representation from Ministerial and official members. I am pleased with the start our nonexecutive team has made and I am confident that we will have a great deal to contribute to the work of the Department in the year ahead. ## Report Of The Lead Non-Executive Director When I joined the Department in October we set out, with the support of the Secretary of State and Permanent Secretary, to recruit a new strong Board with highly credible representatives reflecting the new Department's mission and aspirations. As a result, we now have a very strong team, including top executives from the UK's leading companies and professions, science and the entrepreneurial sector. My thanks go to those outgoing Non-Executive Board members from the legacy Departments who helped to ensure a smooth transition. Critically, we were able to retain the services of Ann Dowling and Charles Randell to be part of our new non-executive team. The Departmental Board was quick to begin work, providing challenge and support for two of our biggest priorities: introducing an industrial ## Governance Structures The formation of BEIS in July 2016 provided an opportunity to create a governance structure that both drew on the best practice of the legacy departments and introduced innovations to enable the Department to deliver its vision of an economy that works for all. At a structural level, the top tier of governance has been established within the Department. During the course of the transition programme, there was an approach of dual-running from July to October, between legacy arrangements with blended participation to support the move to our new structure. ## Our Top-Tier Governance Structure This has ensured that key decisions have received the appropriate scrutiny and approval, while initial feedback has highlighted that there is more to do in 2017-18 to communicate these arrangements and to support different parts of the Department to engage with this tier of governance effectively. The Department is focused on corporate responsibility and governance, and aims to be at the forefront for raising standards, diversity and inclusion in the way that we designed and implemented our governance structures. We will evaluate their success over the course of 2017-18 and will report on how we have improved and refined our approach in the next Annual Report. ## Departmental Board The Departmental Board is now fully established, following the appointment of 7 non-executive Board members by February 2017. The Board is chaired by the Secretary of State, supported by our lead non-executive Board member Archie Norman, and includes ministers, non-executive Board members and the executive team. It provides collective strategic leadership and challenge, with responsibilities for performance, risk, and delivery, including appropriate oversight of non-departmental public bodies (NDPBs). The Board is focused on the Departmental vision as reflected in the areas it has addressed since its first meeting in December 2016. The Board held three meetings in 2016-17, and there were meetings of the legacy departments' boards prior to the Machinery of Government changes. The Board has agreed to hold 6 meetings a year in future. At each meeting, the Board receives a report from the Permanent Secretary and divides its time between: reviewing progress and risks to our strategic objectives; assuring governance; and supporting the Department to get the right capability and systems in place to deliver high performance. In its first three meetings this has included consideration of the headline issues facing the Department such as the industrial strategy, the UK's exit from the EU, the Department's transition programme and the development of the Single Departmental Plan. ## Board Activities | Discussion | |--------------------------------------------------| | Departmental vision | | and structure | | The Board endorsed the vision for the Department | | and emphasised the importance of an effective | | industrial strategy to deliver this vision. | | EU exit opportunities | | and challenges | | The Board challenged the Department on its | | readiness and assumptions. They specifically | | sought further views on the impact of currency | | depreciation on the UK. | | EU exit approach | | and priorities | | The Board stressed the need for the Department | | to have a lead role in both listening and | | communicating clearly to business to assure | | and maintain confidence. | | Industrial Strategy | | Green Paper | ## Strategy The Board challenged the language of the strategy and recommended stakeholder engagement to improve its potential and impact Critical infrastructure review and mergers Green Paper The Board provided views on how to strengthen the Green Paper and to ensure it had the right scope and legal scrutiny. Entrepreneurship The Board considered proposals for a review of entrepreneurship and offered a set of challenges to strengthen the approach, ensuring this becomes a core part of the Department's offer to business. Security of gas supply The Board agreed with the assessment of gas storage capacity in the UK and challenged the Department on whether enough was being done to maximise shale gas opportunities. The vision has been communicated to all Department staff and is core to strategic planning and Departmental transition. The Board sought a further discussion on the approach and priorities for EU exit work. The approach to EU exit is now a standing item for the Board to challenge and support. The Green Paper was launched and the non-executive Board members took an active role in the engagement sessions. The Green Paper is undergoing further development. Further work will be done on this for 2017-18. No additional progress was discussed at the March Board meeting. | Discussion | |--------------------------------------------------------| | Setting Board terms | | of reference | | The Board approved the terms of reference and | | agreed to work to ensure that the impact of their | | decisions was assessed over time. | | Single Departmental | | Plan (SDP) | | The Board was informed of the approach required | | to develop an SDP and agreed that Archie Norman | | would have a lead role for the Board. | | Governance and risk | | Departmental | | risk appetite and | | management | | The Board agreed to take an iterative approach to | | setting risk appetite and challenged the Department | | to consider the cumulative impact of risk and how | | to mitigate it. | | Future shape, size | | and operating model | | for the Department | | The Board made a commitment to ensure the | | Department becomes one of the best places | | in Government to work, as part of a need to | | strengthen performance and talent management. | | Performance | | enhancement | | Operations | | The Board agreed with the need to strengthen | | the offer to staff to attract and retain talent, while | | being clear on the need to further improve overall | | leadership and management capability. | | Transformation | | Programme | | The Board recognised that a bold and ambitious | | approach is needed to make the Department an | | attractive place to work, providing a challenging mix | | of work and the opportunity to make a difference. | All Board members are required to declare any personal or business interests which may influence their judgement in discharging their obligations, or which may be perceived to do so by a reasonable member of the public. These interests include, without limitation, personal direct and indirect pecuniary interests and any such interests of close family members or of people living in the same household as the Board member. The Department collects this information twice a year from executive and non-executive Board members and on the appointment of new members. Where a Board member has a specific conflict of interest, additional mitigations are put in place. Typically this means not taking part in related discussions at the Board or other meetings. Three conflicts of interest were raised this year and were managed in line with the relevant procedures. Due to the relative new state of the Board and its members, there has not been a formal evaluation of Board performance in 2016-17. The Board is committed to assessing and improving performance and will implement a full internal review for 2017-18, with a view to having an independent review in 2020. The Board is working to its terms of reference and is preparing for a full evaluation of performance in 2017-18. The SDP was developed with support from Archie Norman, but publication has been delayed by purdah rules. The Departmental risk framework is in development with the support of the Audit and Risk Assurance Committee. This was taken forward in the subsequent Board discussion on staff performance enhancement. Discussions are being taken forward to support this ambition. The programme is now being established to transform the Department over the next three years. The Board is supported by three main committees: • the Audit and Risk Assurance Committee; • the Nominations and Governance Committee; and • the Executive Committee. "An effective Board is a crucial aspect of good corporate governance. That is why I made it a priority for my Department to both recruit a highly talented and respected set of non-executives and to ensure that the Board meets frequently throughout the year to provide the best possible strategic leadership and challenge. Having set a clear vision for the Department and considered some of the most pressing priorities, including the industrial strategy and the UK's exit from the EU, I am confident we have the right team and governance in place to deliver." Greg Clark Secretary of State BIS and DECC. A summary of the number of meetings held in each of the legacy departments are set out in the subsequent table. ## Board And Committee Attendance The table below sets out attendance for the key Where members were unable to attend meetings in person, they have been able to share their views in advance to the chairperson. governance forums within the Department. Prior to this, similar arrangements were in place for ## Board And Committee Attendance For The Period 14 July 2016 To 31 March 2017 Board or committee member Dates served Total meetings during period 3 2 17 Greg Clark 3/3 Nick Hurd 2/3 Margot James Appointed January 2/2 Baroness Neville-Rolfe Left December 1/1 Lord Prior Appointed December 2/2 Archie Norman 3/3 Professor Dame Ann Dowling 2/3 Charles Randell 3/3 2/2 Stephen Carter Appointed March 1/1 Carolyn McCall Appointed March 1/1 Kathryn Parsons Appointed March 1/1 Stuart Quickenden Appointed March 1/1 Rachel Campbell Claire Davies 0/2 Nigel Johnson 2/2 Bryan Ingleby Appointed March 1/1 Myriam Madden Appointed March 1/1 Lucy Shannon 2/2 Alex Chisholm 3/3 15/17 Sam Beckett 17/17 Gareth Davies 14/17 Clive Maxwell 15/17 Jeremy Pocklington 14/17 Angie Ridgwell 3/3 15/17 Jaee Samant Appointed January 2/2 15/17 Katrina Williams 15/17 Professor Tim Dafforn 8/17 Professor John Loughhead 14/17 The Nominations and Governance Committee did not meet in 2016-17. The first meeting of the committee was in May 2017. Audit and Risk Departmental Assurance Executive Board Committee Committee ## Board And Committee Activity For The Period 1 April 2016 To 14 July 2016 This table shows the number of meetings held in the legacy departments prior to the Machinery of Government change. | Governance Forum | Number held in BIS | Number held in DECC | |--------------------------------------|----------------------|-----------------------| | Departmental Board | 1 | 1 | | Audit and Risk Assurance Committee | 3 | 3 | | Nominations and Governance Committee | 1 | 1 | | Executive Committee | 10 | 9 | ## Non-Executives Who Left During 2016-17 During the first half of 2016-17 several nonexecutives ended their work with the Department as they reached the end of their term or as a result of the Machinery of Government change. | Name and role | Role ended | |----------------------------------------------------------------------------------|----------------| | Martin Stewart Lead Non-Executive Board Member for DECC | May 2016 | | Caroline Mawhood Non-Executive Member of ARAC for DECC | June 2016 | | Wendy Purcell Non-Executive Board Member for BIS | July 2016 | | Jayne Scott Non-Executive Member of ARAC for DECC | September 2016 | | Allan Cook Lead Non-Executive Board Member for BIS | November 2016 | | Grenville Hodge Non-Executive Member of ARAC for BIS | September 2016 | | Jonathan Vickers Non-Executive Member of Investment Committee for DECC | November 2016 | | Dale Murray Non-Executive Board Member for BIS | December 2016 | | Stephen Bligh Non-Executive Board Member for BIS and Chair of the Audit and Risk | | | Assurance Committee for BIS | December 2016 | | Tom Kelly Non-Executive Board Member for DECC | December 2016 | | Juergen Maier Non-Executive Board Member for BIS | December 2016 | | Rachel Campbell Non-Executive Board Member for DECC | December 2016 | • the adequacy of management response to ## Audit And Risk Assurance Committee "Since July 2016, I have been impressed by • proposals, where appropriate, for tendering • anti-fraud policies, whistleblowing processes, Charles Randell was confirmed as the BEIS Audit and Risk Assurance Committee chair the constructive efforts made by colleagues from BIS and DECC to draw together their respective Audit and Risk Assurance Committee (ARAC) arrangements. As Chair, I am grateful to Stephen Bligh, the former BIS ARAC Chair, for his support and I am pleased that we have been able to build a team of non-executive members that draws in both former colleagues and new people who can provide the challenge needed to ensure BEIS has a clear grip on its management of risk and finance." in November 2016 and chaired the new Department's first formal Audit and Risk Assurance Committee on 21 November 2016. Charles Randell CBE Committee Chair ## Role Of The Committee The purpose of the Audit and Risk Assurance Lucy Shannon, Claire Davies and Nigel Johnson were confirmed as Non-Executive Members in March 2017, continuing their role from the previous BIS Audit and Risk Assurance Committee. Bryan Ingleby and Myriam Madden were recruited as Non-Executive Members in March 2017 to ensure the right balance of skills. Committee is to support the Departmental Board and Accounting Officer in their responsibility to ensure that the Department is a financially sound and efficient organisation which makes effective use of its resources in pursuit of its strategic objectives. Specifically, the Audit and Risk Focus since July 2016 Since the MoG changes in July, the focus for the Audit and Risk Assurance Committee has been on: Assurance Committee reviews the effectiveness • shaping the approach for the Annual Report of the risk–management framework established by management to identify, assess and manage risk, thereby playing an important role in supporting our reputation for excellent financial and risk management. • continuous review and improvement of The Audit and Risk Assurance Committee advises the Board and Accounting Officer on: • the effective operation of the overall control, • assuring the Transition Programme, bringing • examining and challenging the new risk and governance arrangements, including ensuring adequate assurance is available to the Accounting Officer for the annual Governance Statement; • the accounting policies, the accounts, and the • ensuring the committee is fit for purpose, with annual report of the organisation, including the process for review of the accounts prior to submission for audit, levels of error identified, and management's letter of representation to the external auditors; • the formation of comprehensive risk • the planned activity and results of both internal and external audit (including the National Audit Office's (NAO) audit of the Resource Accounts) and their implications for the Department; issues identified by audit activity, including calling Directors to account as necessary, and advising on how to make effective improvements as a result; for either internal or external audit services or for purchase of non-audit services from contractors who provide audit services; and and arrangements for special investigations. and Accounts to ensure the effects of the Machinery of Government change are appropriately reflected; the internal control framework and financial management; together DECC and BIS to form BEIS; governance arrangements and control environment in the Department, and assessing the levels of control and assurance during the period prior to embedding these new governance arrangements and controls; the right balance of skills and capabilities; and management processes, and a single risk register. ## Nominations And Governance Committee "I firmly believe that the success of any organisation is based on valuing its people and having an effective strategy for their personal and career development. As Chair, I am making it a priority for the committee to scrutinise the Department's plans for senior talent management and succession planning. I and the committee will support and challenge the Department as it seeks to become one of the best employers in Whitehall." ## Professor Dame Ann Dowling Committee Chair Role Of The Committee The purpose of the Nominations and Governance Committee is to support the Departmental Board by challenging and assuring our strategies and plans for senior talent management, and to implement corporate governance policy. The role of the committee covers the following five central elements: • scrutinising systems for identifying and developing leadership and high potential; • providing assurance that Board-level appointments are based on merit, taking into account the benefits of diversity; • reviewing plans for the orderly succession of appointments to the Board and Director General roles, in order to maintain an appropriate balance of skills and experience; • assessing incentives and rewards for executive Board members and Directors General, and advising on the extent to which these arrangements are effective at improving performance; and • assuring plans and implementation of corporate governance policy to ensure the Department is a leader in this field. In most Government departments this committee is likely to meet once a year in May to align with performance management systems. Meetings did take place in May within the legacy departments and no meetings have taken place within this accounting year, since the creation of BEIS. The new Department's Nominations and Governance Committee has been fully appointed and met in May 2017 for the first time. Rachel Campbell has been made a Non-Executive Member of the Committee following her involvement as Chair of the DECC Nominations and Governance Committee. ## Executive Committee Focus Since July 2016 • Key areas of focus for the BEIS Executive "The new BEIS Executive Committee met for the first time on 6 September 2016, rapidly bringing together the senior leadership team from the two legacy Departments. It has met on 16 occasions since. The committee has operated with real pace and purpose, ensuring that delegated governance arrangements were put in place and that there has been clear senior direction for the delivery of our strategic objectives, management of risks and the transformation of our Department." • The Executive Committee has also delegated Alex Chisholm Committee Chair ## Role Of Committee The Executive Committee (ExCo) brings together the senior leadership team to support the Permanent Secretary in leading the Department, and as Accounting Officer. ExCo sets out the Department's vision, oversees the delivery of strategy with particular emphasis on corporate delivery and cross-cutting issues, as well as overseeing the monthly performance report review (with advice from Performance, Finance and Risk Committee), regular risk review, and discussion of ad hoc issues. The committee is responsible for: • ensuring Ministers are advised on how the portfolio of policies and programmes contribute to the Department's strategic objectives, prioritisation of this portfolio given scarce resources, and resource allocation including thorough annual business planning; • ensuring individual policies and programmes are implemented effectively, through oversight of delivery, management of risks and issues, and use of resources; and • operational management of the Department including implementation of internal change and Civil Service reform, people management, and provision of corporate services. Committee following the Machinery of Government changes have been the Department's Transition and Transformation programme, Business Planning, the Efficiency Review, Single Departmental Plan, Diversity and Inclusion Strategy, the People Survey, and Business Continuity Planning. There has been attendance from senior officials in other Government departments for discussions on performance and risk, UK Devolution, and diversity and inclusion. Areas of focus on policy have included industrial strategy and EU Exit. key responsibilities to 4 standing committees and a fixed-term Transition Programme Board. These arrangements were established in 2016- 17 and have all made a significant positive impact to the delivery of the Department's vision and objectives. ## People And Operations Committee "The People and Operations Committee was established as a delegated committee of ExCo in October 2016 and is crucial to building the right culture, capability, systems and processes for the Department to succeed. The Committee has worked closely with the Transformation Programme and has been proud to pioneer our shadow committee approach to getting wider views into our governance activity from a range of people across the Department." Angie Ridgwell and Jaee Samant, Committee Co-Chairs ## Role Of The Committee The committee builds on the approach of DECC's Operations and People Committee and BIS's Operations Committee, People Committee and Digital and Data Committee. It has responsibilities for people: • ensuring Departmental staff capability is aligned with the Department's business needs and priorities; • ensuring diversity and inclusion is central to the Department's people agenda, including recruitment, reward, management, and our workforce strategy and culture; • overseeing pay remit and performance management; • overseeing shared service needs; and • overseeing health and safety management. And it has responsibilities for operations: • ensuring the smooth running of operations and that the Department complies with operations and people strategies set by the Cabinet Office; • overseeing the management of the Department's buildings and estates and other physical assets; • ensuring the provision of effective IT services for the Department; • overseeing digital and physical security management, including ensuring that provisions are in place to manage major planned or unexpected events, such as protest marches, severe flooding or terrorist attacks; • overseeing the development and implementation of knowledge management, transparency and digital strategies; and • escalating areas of concern to the Executive Committee where appropriate. Focus areas since July 2016 Since the Machinery of Government changes, the focus for the People and Operations Committee has been on: • agreeing on policy and pay harmonisation, contractual terms and conditions for employment and other people and pay issues; • considering a shared service single operating platform for the Department; • reviewing the workforce strategy for the Department; • reviewing the health and safety policy; and • overseeing and approving both the leadership and management, and learning and talent offer in the Department. • monitoring risks to the delivery of the ## Performance, Finance And Risk Committee Sam Beckett and Angie Ridgwell - Committee Co-Chairs • monitoring performance against the "Since forming in October, the Performance, • ensuring that effective financial management Finance and Risk Committee has played a critical role in understanding the challenges faced by the Department and ensuring that bringing together two major portfolios of activity did not lead to a lack of transparency or decision-making when they were needed most." • overseeing development of the Department's Sam Beckett and Angie Ridgwell Committee Co-Chairs ## Role Of The Committee • escalating areas of concern to the Executive The Performance, Finance and Risk Committee has responsibility for providing high-level oversight of business planning, budgets and financial management, performance reporting and risk monitoring. Specific responsibilities are: Focus areas since July 2016 Since the Machinery of Government changes, the focus for the Performance Finance and Risk Committee has been on: • overseeing and approving the strategic • Ensuring the provision of clear and aligned planning, preparation, presentation and negotiation of key fiscal events; • overseeing and approving the development of the Departmental business plan; • reviewing and agreeing the Performance • ensuring that the Department deploys a • overseeing the financial management of consistent process for aligning objectives and resources, and identifies instances where new priorities may conflict with resources; • approving the allocation of funding to ensure • reviewing and agreeing the Departmental the Department remains within its agreed budget; • reviewing and considering any business cases • approving frameworks for the monitoring of performance, finance and risk and setting recommendations on the extent to which variations can be tolerated or need to be escalated to the Executive Committee; Department's objectives, plans and budgets, and ensuring that appropriate mitigating strategies are in place to address these; Departmental business plan and ensuring that action is taken to address performance issues, where variations are outside agreed tolerances; processes and controls are in place; annual report and accounts and other published data on finances, performance or risk, in line with input from the Audit and Risk Assurance Committee; and Committee as appropriate. data from the two legacy departments to drive management decisions and effective challenge of data, assumptions and conclusions; and Risk Report; the Department and allocating resources as appropriate; Risk Framework and Risk Register; and that fall outside the Projects and Investment Committee remit. ## Projects And Investment Committee Gareth Davies and Jeremy Pocklington - Committee Co-Chairs "Since creating the Projects and Investment Committee in October 2016 we have built upon the approach of the DECC Investment Committee, and the BIS Investment Gateway, which reviewed business cases ahead of fiscal events. The new Committee makes robust investment decisions on projects and programmes above £20 million, ensuring that planned investments align with the Department's strategic objectives, are deliverable and supported by a good quality business case." ## Gareth Davies And Jeremy Pocklington Committee Co-Chairs Role Of The Committee The Projects and Investment Committee was set up following the Machinery of Government changes, and builds on the work of the former DECC Investment Committee. The £20 million threshold was agreed by the Committee in November 2016, following guidance from HM Treasury and an extensive review of projects and their value across the Department. The Committee has responsibility for: • deciding whether planned investments with a whole-life cost of £20 million or above, or that are risky or contentious: • align with the Department's strategic priorities; • are supported by a sound, good–quality business case that clearly articulates purpose, approach, outputs and outcomes, costs, benefits and risks; • are deliverable, with clear goals and credible delivery plans and assessments, and a performance monitoring provision; • are affordable and offer value for money; • ensuring that lessons learned are being identified by each project and used effectively to drive improvements across the Department and where appropriate, across Government; • ensuring that the Departmental Board and Executive Committee are informed of decisions made to approve, reject or seek Board views on proposed investments; • providing advice to the Accounting Officer on whether all relevant issues in business cases have been identified, assessed and managed in accordance with the HM Treasury guidance on managing public money; • ensuring that the Accounting Officer informs the Secretary of State, and, where necessary, obtains ministerial direction whenever a business case does not provide sufficient justification; and • ensuring that the Departmental assurance framework, assurance plans and outcomes of assurance reviews are robust and effective. Focus areas since July 2016 Since the Machinery of Government changes, the focus for the Projects and Investment Committee has been: • agreeing an appropriate threshold for the Committee; • considering the pipeline of projects coming to the Committee, and the handling of business cases resulting from fiscal events; and • reviewing stand-alone digital transformation, and science and research business cases, to make investment decisions. ## Strategic Policy Review Committee Role Of The Committee The Strategic Policy Review Committee has responsibility for: Clive Maxwell and Katrina Williams - Committee Co-Chairs • considering strategic policy issues that could "Strategic Policy Review Committee was • considering cross-cutting policy issues in • considering how the work of the Department • reviewing the Department's strategy and set up following the formation of the Department last summer. The Committee did not have a predecessor in either of the former departments. The Strategic Policy Review Committee considers the strategic approach that the Department takes to broad, cross-cutting issues, which have significance for a range of policy teams at the Department. This approach is intended to allow for gaps, tensions and opportunities to be identified. The Committee is still relatively new and is establishing itself and its ways of working to identify how it can add value for policy makers at the Department." The committee sits outside of standard Clive Maxwell Committee Co-Chair governance arrangements for Government departments. ## Focus Areas Since July 2016 The focus of the Strategic Policy Review Committee has been: • agreeing its terms of reference as a newly • agreeing a plan of work for the committee • considering the Department's approach benefit from wider perspectives across the Department, with a consistent focus on adding value to policy making; which multiple parts of the Department have an interest, with a particular focus on drawing together linked or shared policy areas that were previously split between DECC and BIS, to ensure strategic coherence; fits into the wider aims of Government and identifying any gaps and tensions; and assessing potential gaps and tensions, as well as strategic risk and prioritisation issues. formed committee; to deliver; and to a range of cross-cutting areas, such as devolution, social justice, ownership of infrastructure and horizon scanning. ## Transition Programme Board Angie Ridgwell and Jaee Samant - Board Co-Chairs "The Transition Programme Board has been a really important element of the programme's success. It brought together a range of stakeholders from within and outside of the Department, including the programme director and SROs, policy directors and partner organisation CEOs, to successfully deliver a complex programme to tight deadlines. The Board also provided oversight of communications and engagement with staff during a difficult period of change, which led to significant increases in positive staff feedback on Transition and the new Department." Angie Ridgwell and Jaee Samant Board Co-Chairs ## Role Of The Committee The Transition Programme Board is responsible for: • making sure the core commitments, objectives and benefits of the Transition Programme are met; • ensuring that the Transition Programme aligns with the long-term vision for how the Department operates; • approving work–stream plans and signing off any changes to significant delivery milestones • oversight of transition costs including approving any work–stream business cases for additional spend outside delegated budgets; • resolving risks and issues escalated by the work–stream leads; and • ensuring that dependencies are effectively managed. ## Focus Areas Since July 2016 The Board was set up in October, following a mobilisation phase of activity that ran from July focusing on delivering a smooth transition across a range of areas, including vision and strategy, people and organisational structure, finance, technology and estates, communications and engagement, including: • Departmental vision and objectives; • a unified IT system for all colleagues; • an agreed Departmental budget; • siting all London-based staff in one building; • integrated communication to increase staff understanding and engagement; • planning and scoping the Transformation Programme to create a high-performing department. The Board's functions rolled into the Transformation Programme Board from June 2017, to oversee the next stage in our journey. • leadership of major projects from initiation, • an understanding of the key challenges faced ## Compliance With The Corporate Governance Code • the ability to contribute and inspire confidence The Department has complied with the Cabinet • sound judgement with a high level of integrity. Office's Corporate Governance in Central Government Departments: Code of good practice 2015 with the following exception. The Nominations and Governance Committee The Board in its current form exceeds the 33% has not been established and able to meet during this reporting period. The respective Nominations and Governance Committees for BIS and DECC each met once in May 2016. target for women on boards, set by Lord Davies, with 6 out of the 14 standing members being women (43%). The Board also has one member from a Black, Asian and minority ethnic (BAME) background, in line with the target set for the private sector in the Sir John Parker review. All new Board members have received an ## Board Appointments And Diversity The creation of BEIS led to a complete review induction to the Department, including briefing on the Board itself, the role of Board members, propriety matters, the work of the Department, and more specific information to support their understanding of issues brought before them. ## Project Management of the legacy non-executive Board members (NEBMs) from BIS and DECC, to support the creation of a new and effective Departmental Board. Archie Norman was appointed to the position of Lead Non-Executive Board Member and two of the legacy NEBMs were invited to continue in their roles at BEIS and take a lead on the Audit and Risk Assurance Committee and the Nominations and Governance Committee. This provided a strong degree of continuity and Prior to the MoG change in July 2016, legacy departments had undergone audits or reviews of their programme and project management practices in 2015 and had taken action to address the areas raised. leadership to ensure that the Board was able to begin its work formally from December 2016. The appointment of four additional NEBMs was completed by February 2017 following an open recruitment process, and added significant strength and expertise to the Department. In the absence of having an operational Nominations and Governance Committee at the time of this recruitment, the process was undertaken with support from the Cabinet Office Public Appointments team. The Department sought a diverse mix of NEBMs, who could offer the following skills and experience: • proven leadership in large and complex In establishing the new Department's project management framework we have sought to ensure that the best of both legacy departments is maintained in our transition and proposed endstate processes. To help validate this intention, a joint review of our portfolio management proposals was carried out in February 2017 by the Infrastructure and Projects Authority (IPA) and the Government Internal Audit Agency. The review identified that improvements should be introduced to enhance the effectiveness of the framework of governance, risk management and control while recognising the strengths of the legacy Department's processes and engagement with IPA. organisations in the private (FTSE 250), public or voluntary sectors; • risk, performance and financial management expertise; through development and to delivery; by the public sector; with a wide range of internal and external partners; and We have strengthened our oversight of and support for our projects by: • refreshing our portfolio management function; • combining the best elements of the legacy departments; • establishing a new Projects and Investment Committee with delegated authority from the Executive Committee; and • revising criteria on project suitability for the Departmental portfolio. All projects with a lifetime cost in excess of £20 million or those carrying substantial risk are assessed at the three key business case stages, and lessons learned are assessed, shared and utilised to strengthen future delivery. ## Approach To Risk Management The legacy departments that existed before 14 July had established risk management policies and frameworks supporting their respective Departmental Risk Registers (DRR), which comprised their top risks and were aligned to their Single Departmental Plans (SDP). BEIS faced immediate challenges to ensure that significant gaps in controls did not arise during the transition to create a new Department. This required adaptive and responsive risk management and an authoritative approach to direct the Department strategically through a period of significant change. Bringing together the former departmental risk management processes called for a detailed analysis of approach, governance, control and assurance, as opposed to simply seeking to merge known risks. We needed to understand the criteria by which the legacy departments had rated risks and which types of impact had been given management priority. We also needed to analyse the processes in place to facilitate the management and escalation of risks to ensure the right level of management oversight was applied, especially important during transition to ensure there was never a gap in our risk management. The process that has now been adopted makes best use of the existing approaches from the legacy departments and is illustrated on the next page. This approach is subject to an annual review to ensure continuing improvement and will evolve with the Department to ensure it is effective. The new DRR includes risks identified and escalated by the business or included directly by the Executive Team or one of its committees. Mitigation measures are identified and all risks in the DRR have mitigation measures in place to reduce them to a target level by an agreed date. The Department has created a new integrated performance and risk report and has drafted a new risk management framework, drawing on the best parts of the process from each legacy department. Key changes to the risks, including any new or escalated threats, are reviewed each month by the Performance, Finance and Risk (PFR) Committee. The risk management framework will be implemented as a priority in 2017-18. The PFR Committee updates the Executive Committee each month on any significant changes to the Departmental risks as part of a broader report also covering Departmental performance, financial management and human resources. The Department's approach is to make a distinction between strategic risks and operational or delivery risks. The PFR and the Departmental Board drive the identification of high-level strategic risks that are directly aligned to Departmental objectives as formulated through the SDP. Underneath the strategic risks sit operational and delivery risks relating to the Department's objectives, which take the top risks from group or directorate risk registers. These risks are escalated to the PFR Committee when it appears that they are outside tolerance and threaten the delivery of the objectives in the SDP. This structure allows for movement of risks between levels so that the level of decision-making reflects the impact on the our objectives. The Departmental Board has overseen the development of this framework, supported by the Audit and Risk Assurance Committee. The Board will agree the levels of Departmental risk appetite in 2017-18 to strengthen our risk management further. The DRR is supported by underlying risk registers maintained at programme, project and business levels. Key risks are reported each month using a standard highlight report template. The Department requires each major programme to define its overall risk appetite and all individual risks are required to have target reduction levels to reflect the level of exposure that can be tolerated. The effectiveness of the Department's risk approaches to risk management. A report on BIS from September 2016 rated risk management as moderate, highlighting progress made since previous reviews while recognising the need for greater consistency of practice and strategic alignment; And a report on DECC from March 2017 rated DECC's risk management as moderate, and recommended greater emphasis on the importance of day-to-day risk management for BEIS officers, improved guidance on managing risks associated with other Government departments, and a more formalised approach to risk–management training. These recommendations will be embedded into our new approach to enhance the adequacy and effectiveness of the new Department's risk management framework. Our principal risks are described in the Performance Report. management arrangements continues to be reviewed by the Audit and Risk Assurance Committee. This year, a number of reviews were carried out on our predecessor department's ## Partner Organisation Governance The Machinery of Government (MoG) changes in July 2016 that brought DECC and BIS together substantially changed the partner organisation (PO) landscape, creating a diverse network of organisations for the new Department. The way in which DECC and BIS managed the oversight of their organisations differed, presenting both opportunities and challenges for the new Department. Given the range and scope of BEIS' POs, good, effective relationships with them is a top priority for the Department. To reflect this, we worked closely with the Cabinet Office developing their partnerships between departments and arm'slength bodies code of good practice, published in February 2017. A 2016 National Audit Office review of departments' oversight of arm's-length bodies was broadly positive about the former BIS sponsorship approach. Elements of good practice identified in this report, and the Code of Practice, have been retained in the Department. For example: • governance sponsors, who are either within the Department or within UK Government Investments (UKGI), oversee partner organisations' performance and approach to risk management; • organisational remits are set out in a Framework Document or similar agreements; • the recruitment of Chairs, CEOs and key ministerial appointments is led through a central appointments team; and • risks and assurance relating to the performance of organisations change to are reviewed regularly as part of the Departmental risk management process. The Department also established networks to bring together experts across our policy areas, UKGI and POs to identify ways to develop and embed best practice into our governance and sponsorship activities. Our sponsorship approach was reviewed by internal audit in the latter half of the year. An overall rating of 'moderate' was achieved and the report highlighted that improvements would be gained from: • developing the relationship model to reinforce the lines of accountability so that there is clear authority to take action when required; and • ensuring framework documents, memoranda of understanding and similar documents are up-to-date, accurate and reviewed regularly. In parallel, networking events with PO chairs and CEOs identified how we can best support POs to deliver their objectives. These events informed targeted work–streams aligned to the Code of Practice to identify gaps, inconsistencies, and where improvements can be made. In 2017- 18 a programme of work will implement the recommendations from these work streams and the Internal Audit review. Working closely with the Cabinet Office, a programme of tailored reviews for those POs classified as arm's-length bodies has been developed for 2017-18 onwards. The reviews will assess the status, form and function of these organisations, with an emphasis on exploring potential efficiencies and the effectiveness of corporate governance. ## 2016-2017 Reform Programme Counter Fraud And Error The Department and our POs are sharing best Before the MoG changes, BIS was undergoing PO landscape reform as part of a wider transformation programme, BIS2020. Although this programme paused following the MoG change, completed actions included: • closure of the UK Commission for Employment and Skills (UKCES), with some functions continuing via alternative routes; • divestment of Wave Hub Ltd to Cornwall County Council; • reclassification of the Industrial Development Advisory Board and Council for Science and Technology as Expert Committees; and • preparations for the sale of UK Green Investment Bank (GIB) for completion early in the next financial year. practice on counter fraud. Our counter fraud strategy relies on ever-closer working across teams and organisations and the BEIS Group Counter Fraud Network leverages our collective capacity, expertise and data to manage the risks specific to internal and external fraud and error. The network meets regularly to share knowledge, discuss current and emerging trends and develop best practice. We worked closely with the Cabinet Office to develop counter– fraud standards being implemented from April 2017 and assessed the extent to which the Department and our POs comply with these emerging standards. This assessment identified our fraud policy and response plans as existing strengths. In the coming year we will develop ways to monitor our performance in relation to these standards. ## Partner Organisation Assurance The Department's senior management and We successfully prevented a number of fraud losses during the year, most of which were cyber-enabled. We are helping the police with enquiries for a number of on-going fraud investigations and supporting the wider fight against economic crime. We also work to protect genuine users of our services from fraudsters impersonating our BEIS organisations. governance structures have an up-to-date view on POs' risks and performance through close working between the Portfolio Office and the Partnerships Team. All POs provide regular assurance assessments that are reviewed internally, with relevant issues escalated through the Performance and Risk Challenge Panel, the Performance, Finance and Risk Committee and the Audit and Risk Assurance Committee. These include assessment of the capabilities of the organisation and associated risks and opportunities. Common risks raised by partners during the year included: • the outcome of the EU referendum; • potential changes to EU funding streams; and • recruitment and retention of skilled staff. The Public Appointments process continued to feature as an area of risk in the earlier part of the financial year. An internal review identified improvements to existing systems and processes, resulting in a lowering of risk across the department. ## Review Of The Effectiveness Of Governance, Risk Management And Internal Control An annual review of the effectiveness of the system of governance, risk management and internal control has been informed by officials, Internal Audit and comments made by the NAO. The Audit and Risk Assurance Committee also provided further assurance. The governance controls in place within the legacy departments of BIS and DECC were moderate overall and actions were being taken in line with prior audit reports and recommendations set out by the NAO and Public Accounts Committee (PAC). The Internal Audit process has identified several gaps in policies and internal controls as well as instances of non-compliance that will require leadership action to rectify. This has led to BEIS having a limited level of control over the reporting period. The Machinery of Government (MoG) change has also had an impact on the overall quality of governance over the reporting period, leading to some short-term challenges linked to risks and governance. Bringing together two former departments inevitably resulted in some initial duplication of administrative policies that underpin the core internal control environment for BEIS. In practical terms this has meant that some policies and associated controls of the legacy departments have been continued in parallel, but separately, depending upon the relevant circumstances. This was necessary to ensure the new Department could continue to operate through transition. During the course of the Transition Programme some of these policies were reviewed to create new, unified administrative policies for BEIS. However, as at the end of 2016-17 there remained more work to do. The leadership of the Department has been alert to the risks created by the MoG change and has taken ownership of the situation. This has mitigated the potential impact of the change, reduced the Department's degree of exposure and set in motion actions that have led to immediate improvements, such as those brought about by the Transformation Programme and also in response to its findings. The leadership of the Department is clear on the longer-term challenge of ensuring the right polices are in place across the Department and that they are effectively communicated and acted upon to build a culture of compliance that strengthens the Department. In addition, over the course of the year, the NAO have conducted a number of value for money reports and there have been several subsequent PAC hearings. The Department has implemented appropriate actions against all recommendations that it could reasonably be expected to during 2016-17. ## Transitional Governance Arrangements Group Statements On Governance, Risk Management And Internal Control On 14 July 2016, policy responsibilities immediately transferred to the ministers appointed by the Prime Minister. Vocational and higher education (VE and HE) transferred to the Secretary of State for Education; trade policies transferred to the Secretary of State for International Trade; and the remaining policy responsibilities of BIS and the policy responsibilities of DECC were transferred to the Secretary of State for Business, Energy and Industrial Strategy. Directors General provide a statement on the effectiveness of the system in-year and at the year-end for their group, and an action plan for improvements. The Head of Internal Audit and the Chair of the Audit and Risk Assurance Committee review each statement with the relevant Director General and discuss the key findings with the Permanent Secretary. These discussions have highlighted: • consistently clear and strong levels of staff In a MoG change, Accounting Officer responsibilities formally transfer once Parliament grants spending authority via a Supply and Appropriation Act. communication and engagement to ensure that leadership messages are getting through; • positive action in response to people survey results and clear efforts to improve upon those for 2017-18; • varying levels of governance control and From 14 July, our Department was led by the previous Permanent Secretaries for BIS and DECC, Sir Martin Donnelly and Alex Chisholm. Initially, the organisation continued to operate under two separate systems as plans to create a single structure were developed. effective stakeholder management; • the impact of the Machinery of Government Sir Martin Donnelly also remained formally accountable for the parts of BIS which transferred to other government departments, with BIS systems and staff providing assurance for the Secretaries of State for Education and for International Trade. (MoG) and group structure change, resulting in challenges around governance and controls, particularly for the management of finance, risk and HR, where legacy systems and the time taken to bring services together had an impact. Accounting Officer responsibilities were Looking to the future there is recognition of: shared along former departmental lines until • the challenge to ensure that the skills and Alex Chisholm was confirmed as Permanent Secretary on 5 September. The high-level governance structure for BEIS capability required to deliver can be met within existing headcount controls and can be properly supported by recruitment systems; • the need to improve risk management in was confirmed on 20 October. The organisational structure was rolled out from November with all teams in the core Department merged by year end. line with the new framework and to ensure a greater focus on risk aggregation and identification of shared dependencies; and • the importance of engaging staff on values, Accounting Officer responsibilities were aligned with policy responsibilities at the Supplementary Estimate on 9 February. vision and group objectives, while consistently and effectively applying performance management systems. Work has started in 2016-17 to address these concerns and will continue into 2017-18. ## Accounting Officer Responsibilities Over The Transitional Period Other Governance Activity Local Government The Department has provided grants to local authorities totalling £49.4 million during the year under Section 31 of the Local Government Act 2003. ## Shared Service Assurance We utilised two shared service centres during 2016-17: • UK Shared Business Services (UK SBS), one of our partner organisations, provides services to the legacy-BIS parts of the department. The core Department receives quarterly assurance reports from UK SBS on the design and effectiveness of their internal control framework. Overall, while noting a need to invest further in ICT systems, UK SBS has reported that the HR, Payroll and Finance are operating effectively. Further narrative is available in the Governance Statement for UK SBS, which is published separately as part of its Annual Report & Accounts. • Shared Services Connect Ltd (SSCL), a joint venture between Sopra Steria (a private sector company) and the Cabinet Office, provides services to former-DECC parts of the department. The core Department has received assurance from the Cabinet Office over the processes and controls operated by SSCL, including the results of the annual ISAE3402 report. This report confirmed that the vast majority of key controls are operating as designed, but was qualified because of exceptions found in the operation of a number ## Cyber Security of controls. Having reviewed these exceptions, we are satisfied that none are likely to be fundamental to our financial statements or governance statement. ## Single Departmental Plan During the year, the core Department maintained the Cyber Essentials accreditation for the ITECC platform, which is a confirmation that the basic measures to protect against a cyber-security incident are in place. Internally, the Department will monitor its progress against its objectives through the newly established Single Departmental Plan. This is a document establishing an internal accounting framework, based on policy milestones and indicators, to enable on-going monitoring of policy delivery. ## Ministerial Directions The technical defences against cyber attacks, whether delivered by email or by web traffic, have stood up well, and there have been no serious breaches recorded. The new Common Technology Platform (Cirrus), which is in development, aspires to achieve the same basic standards and adheres to National Security Council best practice. Denial of service attacks and attacks via malicious software are risks to the Department, mitigated by our security team and our commercial partners' continuous review of risks and mitigations. A business continuity exercise involving Board members also looked at the impact of a cyber-security incident to ensure that we are prepared to respond and recover should such an incident occur. No significant cyber security breaches were reported in 2016-17. A ministerial direction is where the Accounting Officer has formally notified a minister of objections to the minister's proposed course of action on regularity, propriety, value for money or feasibility grounds, and the minister overrules that advice. If a direction is given, the Accounting Officer will no longer be challenged by the Public Accounts Committee on why they took forward the policy. However, they might still need to explain the course of action and the minister's reasoning. No ministerial directions were issued in 2016-17. ## Information Security Quality Assurance Modelling There was one data protection incident at BIS between 1 April and 14 July 2016 that needed to be reported to the Information Commissioner's Office (ICO). It involved sensitive personal data, as defined in the Data Protection Act, in its HR department. The breach was contained internally. The ICO decided that regulatory action was not appropriate in this case but recommended specific action for BIS. There were no incidents at DECC during the same period. BEIS has not had any data protection incidents. The two former Departments had quality assurance guidance and processes for the development, use and governance of analytical models. Quality assurance of models in each department was appropriate and consistent with the Departments' quality assurance guidance, and also with the Aqua Book (a good practice guide for quality assurance across government). Following the inception of BEIS, a single modelling assurance policy was developed, harmonising the approach for the BEIS. The policy will be implemented during 2017–18. The Department has developed a new portal for information security to help staff protect official information. Each business area has a security champion who works with the security unit to build awareness among staff and provide support specifically focused on their particular information security needs. ## Internal Audit Review In his Annual Report and Opinion, the Group Chief Internal Auditor (GCIA) has provided a 'Limited' opinion on the framework of governance, risk management and control within the Department for 2016-17. This represents a lower level of assurance than the 'Moderate' rating received by both predecessor departments for 2015-16. The GCIA identified a number of areas of weakness across the Department, reflecting a limited number of areas of poor control design and operation, and weak operational frameworks. Specific areas of concern centred around contract management, health and safety, management of IT equipment and mobile phones, contingent labour, data handling and cyber security. The GCIA did note, however, that the Department has not seen a wholesale failure of internal control, and he was encouraged by the strong responses of senior management to implement corrective action, such that we are expected to make incremental improvements in consistency, formality and control in 2017-18. ## Accounting Officer'S Conclusion I have considered the evidence provided regarding the production of the annual Governance Statement and the independent advice and assurance provided by the Audit and Risk Assurance Committee. I conclude that while the evidence in respect of the governance controls in place within the legacy Departments of BIS and DECC during 2015-16 were moderate overall, the evidence gathered during 2016-17 shows that BEIS has had a limited level of control. The formation of BEIS naturally created some short-term challenges to risk management, governance and internal controls. However evidence from internal audit shows that BEIS inherited some historical gaps in policies and internal controls, alongside instances of noncompliance. It is clear that the Department has both recognised the scale of the challenges faced and already made significant progress in addressing them and setting plans for future action in terms of both systems and culture change. During the course of 2017-18, our Department will: • develop the risk–management framework that identifies our key risks, including consideration of risk tolerance, to ensure it is driving effective mitigation and escalation; • improve the control environment to provide a suite of unified and defined priority internal policies, with a timetable for aligning all polices; and • implement a new methodology to effectively engage and work with our Partner Organisations. Delivering against these in 2017-18 will improve our level of control and further enhance our ability to achieve our business objectives. In late June, we received the NAO value for money report on our deal for Hinkley Point C. We believe the deal represents value for money and will deliver a number of benefits including 25,000 new jobs and apprenticeships, and the advancement of skills for the UK Nuclear supply chain. We will reflect carefully on the NAO's advice on funding models for future projects. We are already delivering a number of the NAO's recommendations including ensuring stringent governance arrangements for the life of the project, and ensuring the Low Carbon Contracts Company (LCCC) has the information and skills it needs to manage the contract. Alex Chisholm Principal Accounting Officer and Permanent Secretary 13 July 2017 ## Sustainability Report Sustainable Development Goals The government is committed to mainstreaming sustainable development, in the way we make policy, run our buildings and purchase goods and services, to maximise the positive impacts on the economy, society and the environment. The 17 Global Goals for Sustainable Development17 will shape the world's approach to growth and sustainable development until 2030. The Goals were agreed by 193 member states of the United Nations (UN) in September 2015 and apply to every country. The underlying aims of the Goals are embedded in our vision and objectives: | Our Objective | |----------------------------------------------| | Promote sustained, inclusive and sustainable | | economic growth, full and productive | | employment and decent work for all | Build resilient infrastructure, promote inclusive and sustainable industrialization and foster innovation Make cities and human settlements inclusive, safe, resilient and sustainable End poverty in all its forms f f promoting fairness in the labour Promote peaceful and inclusive societies for sustainable development, provide access to justice for all and build effective, accountable and inclusive institutions at all levels Ensure access to affordable, reliable, sustainable and modern energy for all Ensure sustainable consumption and production patterns Take urgent action to combat climate change and its impacts Progress against our objectives is set out in the performance report on pages 16-25. f f driving growth across the country f f investing in science, research and innovation f f cultivating world-leading sectors f f supporting businesses to start and grow f f investing in science, research and innovation f f supporting businesses to start and grow market and improving working conditions f f reforming corporate governance f f delivering affordable energy for households and businesses f f taking action on climate change and decarbonisation f f ensuring that our energy system is reliable and secure f f taking action on climate change and decarbonisation ## Policy Development Climate Change Adaptation We have robust business continuity plans in place to manage occurrences of extreme weather events. Sustainable operational policies include considering Climate Change Adaptation in decision making. Contributions are made to the cross-government National Adaption Plan published every five years. The plan sets out how the risks of future extreme weather events will be managed in relation to communities, the built environment, businesses and local government. ## Rural Proofing We ensure that the social, environmental and financial impacts our policies have on communities and businesses are fully considered before they are implemented. Rural proofing is built into our impact assessments. Our flagship policy, the industrial strategy, has a consideration of the importance of place at its heart. It will deal with the particular challenges and barriers faced by rural residents, including a shortage of work premises, slow internet connections and a lack of knowledge transfer between business communities spread thinly over wide areas. ## Performance Against Our Greening Government Commitments Scope The reporting boundary includes the former Department for Business, Innovation and Skills (BIS), the former Department of Energy and Climate Change (DECC), and those of their armslength bodies they report on under the Greening Government Commitments (GGCs). For 2016-17 we have continued to report separately under the Greening Government Commitments. From 2017-18 we will be reporting as one combined department with a revised carbon target to reflect our new estates. The GGC report contains a narrower subset of arms'–length bodies from the rest of the report which corresponds more closely to the financial reporting boundary. ## Progress The former Department of Energy and Climate Change has improved on its 2015-16 performance in three GGC target areas: GHG emissions, domestic flights, and waste; and is on track to meet its 2020 target in all areas except improving recycling rates and water consumption. Target (by 2019/20 compared to 2009/10 baseline) Former DECC Reduce greenhouse gas (GHG) emissions by 32% 41% Reduce domestic flights by 30% 46% Reduce the amount of waste generated by 25% 28% Reduce landfill to less than 10% 11% Recycling >72% 56% Reduce paper use by 50% 62% Reduce total estate water consumption 32% The former Department for Business, Innovation and Skills is significantly ahead of target in all areas, both those with specified reduction targets and those requiring an unspecified reduction. Target (by 2019/20 compared to 2009/10 baseline) Former BIS Reduce greenhouse gas (GHG) emissions by 40% 51% Reduce domestic flights by 30% 33% Continue to reduce the amount of waste generated 72% Reduce landfill to less than 10% 9% Continue to increase proportion of waste recycled 79% Reduce paper use by 50% 78% Reduce total estate water consumption 55% ## Greenhouse Gas Emissions | Gross emissions scope 1 (direct) | 53,574 | 16,809 | 14,141 | |-----------------------------------------|----------|----------|----------| | Non-financial | | | | | indicators | | | | | (tonnes CO2e) | | | | | Gross emissions scope 2 & 3 | | | | | (indirect) | 138,506 | 139,723 | 117,764 | | Total emissions - scope 1, 2 & 3 | 192,070 | 156,532 | 131,904 | | Electricity: non-renewable | 240,220 | 260,010 | 253,281 | | Electricity: renewable | 8,773 | 8,215 | 4,954 | | Related Energy | | | | | Consumption | | | | | (MWh) | | | | | Gas | 94,099 | 86,715 | 71,430 | | District heating | 220 | 235 | 255 | | Other heat | 900 | 500 | 949 | | Total energy consumption | 344,212 | 355,630 | 330,868 | | Expenditure on energy | 25,093 | 25,830 | 26,457 | | Financial Indicators | | | | | (£000s) | | | | | CRC licence expenditure | 2,516 | 2,379 | 3,340 | | Expenditure on official business travel | 12,175 | 11,974 | 8,940 | | Total expenditure on energy | | | | | and business travel | 39,784 | 40,183 | 36,557 | consumption - the main contributor to the emissions - shows a real reduction of 7%. A project is underway within 1 Victoria Street to convert office lighting to LED that will deliver a 50% lighting consumption reduction. The Department continues to demonstrate a year-on-year reduction in greenhouse gas emissions. Whilst the conversion factors applicable to Scope 2 emissions have a significant contribution to its performance, both positively and negatively, the underlying energy ## Travel Number of domestic flights 7,208 5,644 5,445 The Department has reduced the number of domestic flights by 3.5% since last year and by 24% over the last two years. ## Water Non-financial indicators (m3) Water consumption 364,570 456,234 377,005 Financial indicators (£'000) Water supply & sewage costs 1,149 1,001 998 Measures have been taken to cut water use through: fitting timers to, and improving the maintenance of, its hot and cold water dispensers; fixing leaky taps; and installing flow restrictors where appropriate. | 2014-15 | 2015-16 | 2016-17 | |-----------|-----------|-----------| | 2014-15 | 2015-16 | 2016-17 | | 2014-15 | 2015-16 | 2016-17 | Waste Total waste 3,833 3,445 3,148 Landfill 669 487 418 Non-financial indicators (tonnes) Non-hazardous waste Reused/recycled 2,312 2,297 2,035 Composted/ biodigestion 131 144 157 Total ICT waste Reused 2 0 0 Recycled 2 7 68 Incinerated/energy from waste 424 479 470 Reams of paper procured 189,426 134,844 34,540 Financial indicators (£'000) Total disposal cost 1,334 1,214 1,083 The Department is working closely with its facilities management provider to actively manage all aspects of the Department's waste, including provision of recycling facilities, data analysis and improving staff awareness, in order to achieve the GGC waste reduction, recycling and landfill diversion targets by 2020. ## Sustainable Procurement We are mandated to use Crown Commercial Service frameworks where a suitable framework exists for the procurement of goods and services. The procurement service keeps its policies under regular review and also works with its partners on a case-by-case basis to ensure sustainability goals are achieved. ## Small And Medium Enterprise Engagement We have introduced measures and removed barriers to improve SME engagement. The overall proportion of spend with SMEs for 2016-17 was 26%, an increase from both predecessor Departments (16% - 20% in 2015-16.) We are committed to meeting the cross-Government target of 33% by 2020. | 2014-15 | 2015-16 | 2016-17 | |-----------|-----------|-----------| ## Prompt Payment Our policy is to comply with the Institute of Credit Management's Prompt Payment Code, of which the Department we are an approved signatory. Whilst our standard terms and conditions for the supply of goods or services specify payment within 30 days of receipt of a valid invoice, we aim to pay all valid invoices within five working days of receipt. In 2016-17, 99.4% (2015-16: 99.6%) of undisputed invoices were paid within the 30 day target and 96.3% (2015-16: 97.8%) of undisputed invoices were paid within 5 working days. The proportion of the aggregate amount owed to trade creditors at the year-end compared with the aggregate amount invoiced by suppliers during the financial year in terms of days equalled less than 1 day. ## Staff Report Staff Numbers The average number of full-time equivalent persons employed during the year is shown in the table below. Average staff numbers are subject to audit. 2016-17 Permanent employed staff Others Ministers Core 2,998 150 9 5 3,162 3,635 Agency 1,510 79 - - 1,589 1,816 Non Departmental Public Bodies (NDPBs') 13,197 1,279 - - 14,476 14,713 Total 17,705 1,508 9 5 19,227 20,164 Of which: Core Department and Agencies 4,508 229 9 5 4,751 5,451 NDPBs and other designated bodies 13,197 1,279 - - 14,476 14,713 Total 17,705 1,508 9 5 19,227 20,164 ## Staff Attitudes In response, our Executive Committee agreed to focus on three main areas for improvement: • organisational objectives and purpose; • leading and managing change; and • pay and benefits. The new Department's first People Survey was undertaken in October 2016, just 3 months after the announcement of the Machinery of Government (MoG) changes. The response rate was 86%, well above the Civil Service average of 65%. It showed our staff's initial reaction to the sudden, unexpected changes which created the department. The survey returned an engagement index of 54%, a drop on the previous year's results for BIS and DECC, which were 56% and 59% respectively. The drop in engagement was driven by lower scores on the themes 'organisational objectives and purpose' and 'leadership and managing change'. The survey also showed that dissatisfaction with pay and benefits had persisted from both predecessor departments. Since the People Survey was taken, the Transition Programme has delivered changes which directly address these issues. Staff engagement was a key focus of the Transition Programme, in recognition of the importance of ensuring involving colleagues and making them feel invested in the creation of the Department. There were over 40 workshops across London and regional offices, providing staff with the opportunity to share their views and shape the development of plans. In November, our Departmental vision and top-level objectives were announced by the Secretary of State. The indicator for 'inclusion and fair treatment' was at 79%, the high–performance benchmark for the Civil Service, and for 'learning and development', 56%, above the benchmark. Monthly 'pulse surveys' were used to track levels of engagement through the Transition Programme. There was an increase across all measures between the baseline survey in October 2016 and the end of March 2017 - for example, staff feeling positive about the 2015-16 restated Special Advisers Total Total future of the Department increased by 75%, and understanding how their work contributed to Department objectives increased by 56%. Surveys of the staff that moved to 1 Victoria Street indicated that over 90% of felt their relocation was well organised and effected. ## Pulse Survey Results In addition to organisational level activity, individual team leaders have been working closely with their teams to identify local actions to support improvement in staff attitudes. ## Building Capability We are committed to building a skilled, talented, diverse workforce so that we have the right people, with the right skills, available at the right time in the right place. Fundamental to this has been building leadership and management capability. For leadership and managing change, our People Survey score was 41%, 2% below the Civil Service and 11% lower than high performers. As a new Department with some new challenges, we are building leadership and management programmes aligned to our vision and diversity and inclusion strategy, and the Civil Service vision and leadership statement. We are developing managers at all levels with an ambition to nurture a coaching culture in the Department. We are giving managers the tools and knowledge to get the best from their people through personal development planning, support for professional development, and career and talent discussions. In-house workshops covering capable and resilient leadership, and setting expectations, run alongside programmes for new managers and aspiring managers. Our workforce strategy sets out future skills and capabilities to match our ambitions and deliverables such as the industrial strategy and EU exit work, along with developing overarching skills for policy, delivery and corporate teams, and senior leaders. Throughout our transition, we have been assessing our capability and talent priorities to support the development of professional skills, including career pathways, structured development programmes, secondments and qualifications. Eleven senior policy leads have been undertaking the Executive Master of Public Policy and we are regular participants in the flagship Institute and Projects Authority programmes (MPLA, PLP and OMP). We have also developed our own programme (Policy to Delivery) to address the needs of people whose role brings them into contact with projects; over 250 people attended the bespoke commercial skills programme in 2016-17, and delivery through the in-house Finance Academy, EU Skills Academy and the revised BEIS Seminar programme continued throughout the year. ## Diversity And Inclusion (D&I) Our assessment of the skills and resourcing needed to meet the demands of leaving the EU includes negotiation, analysis, policy expertise in a European context, and sector expertise. Work has begun on an internal programme to build policy capability. Using the framework of standards agreed across the Civil Service's Policy Profession, its priorities include working internationally, with the EU and around EU exit. Inclusion is a priority for the Department and creating a diverse workforce is an important part of making this a reality. We have launched our first D&I strategy, encompassing both internally and externally focused work. Our aim is to become a role model for business and the rest of the Civil Service. We are in a positive position, but there is still work to do. Our areas of focus moving into 2017-18 are: • representation of: • performance management outcomes for • 'inclusive by design' equality analysis in The Department participates in the Civil Service High Potential Talent Schemes, including the High Potential Development Scheme (HPDS), Senior Leaders and Future Leaders Schemes (SLS and FLS). There was a significant increase in the number of staff from the Department who were selected for the 2016 Senior and Future Leaders Schemes (11 and 49 staff respectively). The overall diversity outcomes were also positive for the Department in terms of gender (FLS and SLS), BME and Disability (FLS). Three of our Senior Civil Service (SCS) were also selected for the HPDS. In the period since the creation of the Department we have also been working to develop a comprehensive talent offer for staff at all grades. This will include expanding the existing internal talent programmes that were in place in the legacy departments. ## Recruitment Practices We have set targets for representation, unconscious bias training, and diversity data return rates. This is supported by our action plan which sets 10 key measureable activities over the coming three years. The Department has 12 diversity networks, and nearly 60 network chairs and champions supporting our D&I work. The D&I strategy is monitored quarterly by the Executive Committee, and is sponsored by 2 Director Generals and the Permanent Secretary. The priority of the strategy is to ensure that D&I is embedded within the core of Departmental objectives, and delivered in a way which benefits staff as well as the public. Recruitment into the Civil Service, including our Department at all levels, is regulated by the Civil Service Commission. We continue to abide by the principles of the external recruitment freeze announced in May 2010. Within that context, the Department's Executive Committee agrees limits for each Group, and their respective Directors General are responsible for headcount control. All directorates in the Department have been asked to take ownership of the D&I agenda and have consequently pledged actions to improve D&I outcomes. We recognise that, as well as making progress in some areas, movement remains slow in others, so there is still more to do. To meet the significant challenges of the Department's delivery, including EU exit and industrial strategy, we review the deployment of our people and our recruitment and resourcing strategies to ensure priority activities are properly resourced. To support this and in line with the Civil Service more widely, on 1 April 2017 we adopted the new Civil Service Recruitment Framework to enable effective business delivery and build capability in key areas. • women in the SCS at SCS2 and above; • Black, Asian and minority ethnic staff at Grade 7 and above; and • people with disabilities across all grades; people declaring a disability and older workers; and all our key decision-making processes. In recent months we have: • launched our D&I strategy, which was developed in consultation with our staff; • achieved a high success rate across diversity groups for SLS and FLS; • launched our diversity networks; • developed a Partnership Agreement with our diversity networks; • continued to encourage our people to complete their diversity data; • established a Mental Health and Wellbeing Group for the whole Department; and • recruited more mental health first–aiders to our Mental Health First Aid Service, which provides support to staff seeking help due to a mental health concern. The Department is committed to ensuring equality of opportunity for all disabled employees. As we make clear in our job application process, candidates with a disability who apply for a post in the Department (under the Guaranteed Interview Scheme) automatically go forward to the interview stage, provided they satisfy the minimum criteria. The Department is Disability Confident level 2, and is aiming to be level 3 by late 2017. All staff are encouraged to take additional training on disability awareness. The Department undertakes the Summer Diversity Internship Programme every year to encourage a greater diversity of staff. We also promote external vacancies in a range of diversity media. Our staff are expected to undertake unconscious bias training to increase overall awareness and support within the Department. We will monitor and publish our workforce diversity and equality data annually, which will be available on our external website. The Department is a proud member of the following schemes: A detailed breakdown of our people is as follows: ## Health, Safety And Wellbeing Communicating With Our Employees We have a strong record in providing a safe and supportive work environment, and had no accidents to report in accordance with the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 2013. There were no enforcement actions against the Department. Health, safety and wellbeing is monitored quarterly by the Health and Safety Committee. We have taken great steps to make sure communication is two–way and staff have the opportunity to help shape the projects that affect them and the future of the Department. We adopt a range of communication channels to engage staff and to share information, from face-to-face interaction to town–hall style meetings, stand–ups, huddles, and floor walks. Our digital channels include internet, intranet and webchats. We also have regular formal and informal meetings with a newly formed Departmental Trade Union Side, creating a positive employee relations environment. A key area of communication and consultation during 2016-17 was about the Transition Programme, including: • the launch of the Secretary of State's vision for the new Department; • the launch of our D&I strategy; An audit report carried out for former BIS by Government Internal Audit Agency was finalised in February 2017. The audit received an overall 'unsatisfactory' assurance, predominantly as former BIS was assessed as having insufficient policies and practices. A programme of building risk assessments, revised policies and supporting processes was agreed with the Health and Safety Committee and prioritised for completion, as well as a change in management accountabilities. Remedial actions were completed within two months. This culminated in a report which held up the BEIS's response as an example of excellent practice. • the relocation of teams from 2 buildings into one; • moving all staff onto a common IT platform, The Department considers the wellbeing of staff to be paramount and works within the framework of the Civil Service Health and Wellbeing Strategy. The focus is mental health, musculoskeletal health and a healthy lifestyle. resulting in a single email address and new phone system; • development of an interim intranet; ## Managing Attendance • a new organisational structure, supported by the Department workforce strategy; and • new terms and conditions for new entrants. The focus for 2017-18 will include: • the launch of a single set of HR policies; • a new pay and reward strategy; • developing a set of Departmental values; The Department is committed to supporting the physical and mental health of its people and fostering employee wellbeing is a key element of our focus. Occupational health and an employee assistance provider are in place to offer additional support to our people. The Department has a low sickness absence rate with the average number of working days lost due to sickness reported as 2 days per year. • consulting on a new performance The focus for 2017-18 will include: management approach for implementation on 1 April 2018; and • aligning the attendance management policies • a new development programme for our managers. • investing more into our wellbeing strategy • ensuring our leaders and managers are of the former departments; to provide greater longer-term resilience, innovation and productivity for our people; and equipped to support the focus on wellbeing. ## Whistleblowing The Department has a well-publicised whistleblowing policy and procedure in place which provides clear guidance for employees on the importance of raising concerns and how to do so. Launched by our Permanent Secretary and fully supported by our Executive Committee, the whistleblowing policy was the first internal policy we implemented for our people. The Department monitors all concerns raised and the action taken to address and resolve issues. In 2017-18, as well as continuing to report on whistleblowing activity every six months to the Cabinet Office, we will provide an Annual Report to the Department's Audit and Risk Assurance Committee for review. ## 18 Staff Costs Permanently employed staff £m Wages and salaries 713 68 781 795 Social security costs 70 – 70 64 Other pension costs 145 – 145 153 Sub total 928 68 996 1,012 Less recoveries in respect of outward secondments (4) – (4) (3) Total net costs 924 68 992 1,009 Of which: Core Department and Agencies 255 27 282 315 NDPBs and other designated bodies 669 41 710 694 Total net costs 924 68 992 1,009 During the year, £13,459,098 of staff costs were capitalised (2015-16: £9,686,662) and 233 employees (2015-16: 209 employees) in the Departmental Group were engaged on capital projects during the reporting period. Staff severance costs for current and prior year are included in wages and salaries. Further detail on exit packages is included on page 85. Included within the total net costs of other staff shown above are Ministers' total net costs of £340,369 (2015-16: £406,079) and Special Advisors' total net cost of £354,978 (2015-16: £465,816). ## Health Service The Department uses independent, confidential occupational health services. Individuals are asked for their consent to a referral to the Department's medical advisers for an assessment of their fitness for work or to help the Department consider reasonable adjustments to support them in the workplace in accordance with our duty under the Equality Act 2010. To help ensure that staff have the best opportunity to continue their employment, the Department also provides dedicated information and a counselling support service through our employee assistance programmes. | | 2016-17 | 2015-16 restated | |--------|-----------|--------------------| | Others | Total | Total | | £m | £m | £m | ## Principal Civil Service Pension Scheme (Pcsps) The Principal Civil Service Pension Scheme (PCSPS) and the Civil Servant and Other Pension Scheme (CSOPS) - known as "Alpha" - are unfunded multi-employer defined benefit schemes in which the Department is unable to identify its share of the underlying assets and liabilities. The scheme actuary valued the PCSPS as at 31 March 2012. You can find details in the resource accounts of the Cabinet Office. Civil Superannuation (www.civilservicepensionscheme.org.uk/). 2015) were payable to the PCSPS to cover the cost of the future provision of lump sum benefits on death in service and ill–health retirement of these employees. For 2016-17, employer contributions of £48,603,369 were payable to the PCSPS (2015- 16: restated: £55,013,173) at one of four rates in the range 20.0% to 24.5% (2015-16: 20.0% to 24.5%) of pensionable pay, based on salary bands. Contributions due to the partnership pension providers at 31 March 2017 were £11,440 (2015-16: restated: £13,248). Contributions prepaid at that date were Nil (2015-16: £93,254) The Scheme's Actuary reviews employer contributions usually every four years following a full Scheme valuation. The contribution rates are set to meet the cost of the benefits accruing during 2016-17 to be paid when the member retires and not the benefits paid during this period to existing pensioners. In 2016-17, 16 persons (2015-16: restated: 9 persons) across the Departmental Group retired early on ill-health grounds; the total additional accrued pension liabilities in the year amounted to £229,994 (2015-16: £83,098). ## Other Pension Schemes Employees can opt to open a partnership pension account - a stakeholder pension with an employer contribution. Employers' contributions of £896,929 (2015-16: restated: £1,059,144) were paid to one or more of the panel of three appointed stakeholder pension providers. Employer contributions are age-related and range from 8% to 14.75%. Employers also match employee contributions up to 3% of pensionable earnings. In addition, employer contributions of £6,638 (2015-16: £8,853), 0.5% (2015-16: 0.8% up to 30 September and 0.5% from 1 October Employer contributions to other pension schemes in the year amounted to £94,723,424 (2015-16: restated: £86,833,840). Employer contributions include employers' contributions, current service costs and where appropriate past–service costs of funded pension schemes. Further details can be found in the accounts of the Department's NDPBs and other designated bodies. A list of these bodies is provided in note 28. ## Nuclear Site Licence Companies Nuclear site licence staff costs are disclosed separately as they are included in the amounts shown for utilisation in the nuclear decommissioning provision in note 19 rather than being reported as staff costs in the Statement of comprehensive net expenditure. Permanently employed staff Others Total Total Number of staff (full-time equivalent) 14,963 1,559 16,522 16,993 Wages and salaries (£m) 782 101 883 908 Social Security Costs (£m) 90 – 90 78 Other Pension costs (£m) 130 – 130 135 Less recoveries in respect of outward secondments (£m) – – – – Total (£m) 1,002 101 1,103 1,121 2016-17 2015-16 ## Reporting Of Civil Service And Other Compensation Schemes - Exit Packages Number of compulsory redundancies 2015-16 Exit package cost band 2016-17 restated 2016-17 Less than £10,000 23 12 102 58 125 70 £10,000 - £25,000 23 15 105 211 128 226 £25,000 - £50,000 8 10 83 265 91 275 £50,000 - £100,000 3 5 112 301 115 306 £100,000 - £150,000 - - 6 8 6 8 £150,000 - £200,000 - - 5 - 5 - More than £200,000 - - 10 - 10 - Total number of exit packages 57 42 423 843 480 885 Of which: Core Department and Agencies - 9 91 541 91 550 NDPBs and other designated bodies 57 33 332 302 389 335 Total number of exit packages 57 42 423 843 480 885 Total cost (£) 1,040,737 1,055,788 17,273,787 37,190,539 18,314,524 38,246,327 Of which: Core Department and Agencies - 271,458 5,152,252 27,731,701 5,152,252 28,003,159 NDPBs and other designated bodies 1,040,737 784,330 12,121,535 9,458,838 13,162,272 10,243,168 Total 1,040,737 1,055,788 17,273,787 37,190,539 18,314,524 38,246,327 Exit packages disclosure is subject to audit. Redundancy and other departure costs have been paid in accordance with the provisions of the Civil Service Compensation Scheme, a statutory scheme made under the Superannuation Act 1972. Exit costs are accounted for in full in the year that the departure is agreed and are based on the expected cost in relation to that financial year. Where the department has agreed early retirements, the additional costs are met by the department and not by the Civil Service pension scheme. Ill-health retirement costs are met by the pension scheme and are not included in the table. | Number of other | Total number of exit | |--------------------|-------------------------| | departures agreed | packages by cost band | | 2015-16 | 2015-16 | | restated | 2016-17 | ## Remuneration Report Remuneration Policy Performance And Reward The remuneration arrangements for Senior Civil Servants are set by the Prime Minister following independent advice from the Senior Salaries Review Body. The Review Body also advises the Prime Minister on the pay and pensions of Members of Parliament and their allowances; on Peers' allowances; and on the pay, pensions and allowances of Ministers and others whose pay is determined by the Ministerial and Other Salaries Act 1975. The Senior Civil Service (SCS) pay system consists of relative performance assessments. The highest performing individuals were awarded a non-consolidated performance reward for their performance against objectives in 2015-16 which was paid in 2016-17. These awards varied in amount within an overall cost envelope set by the Senior Salaries Review Body and approved by the Government. Consolidated base pay awards are limited to a 1% increase to the Department's SCS pay bill. No base pay increases were paid to those assessed to be the lowest 10% of performers. In reaching its recommendations, the Review Body is to have regard for the following considerations: • the need to recruit, retain and motivate suitably able and qualified people to exercise their different responsibilities; Further information about the performance and reward arrangement for Senior Civil Servants can be found at www.gov.uk/government/collections/ senior-civil-service-performance-managementand-reward. • regional/local variations in labour markets and their effects on the recruitment and retention of staff; • Government policies for improving the The following table shows the number of SCS staff in the Core Department by pay range as at 31 March 2017. Bonuses are not included and salary ranges represent full-time equivalent rates. These pay ranges cover those staff employed on open-ended and fixed–term contracts. public services, including the requirement on departments to meet the output targets for the delivery of departmental services; • the funds available to departments as set out in the Government's departmental expenditure limits; and • the Government's inflation target. The Review Body takes account of the evidence it receives about wider economic considerations and the affordability of its recommendations. Further information about the work of the Review Body can be found at www.ome.uk.com. No of SCS staff within range as at Pay Range £55,000 - £59,999 – 1 £60,000 - £64,999 3 18 £65,000 - £69,999 73 60 £70,000 - £74,999 36 39 £75,000 - £79,999 22 21 £80,000 - £84,999 5 3 £85,000 - £89,999 22 26 £90,000 - £94,999 6 8 £95,000 - £99,999 4 7 £100,000 - £104,999 7 6 £105,000 - £109,999 1 1 £110,000 - £114,999 5 2 £115,000 - £119,999 2 3 £120,000 - £124,999 4 3 £125,000 - £129,999 3 2 £130,000 - £134,999 2 4 £135,000 - £139,999 - 2 £140,000 - £144,999 5 5 £145,000 - £149,999 2 - £160,000 - £164,999 - 1 £175,000 - £179,999 - 1 £180,000 - £184,999 2 – Total 204 213 The remuneration of the senior civil servants who are not members of the Departmental or Executive Boards is based on a combination of the performance ratings determined by | Alex Chisholm | BEIS Permanent Secretary | |----------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------| | Sir Martin Donnelly | Former BIS Permanent Secretary (to 5 September 2016) | | Steven Lovegrove | Former Acting DECC Permanent Secretary (to 24 April 2016) | | Sam Beckett | Director General, Economics and Markets | | Gareth Davies | Director General, Business and Science | | Clive Maxwell | Director General, Energy Transformation | | Jeremy Pocklington | | | Director General, Energy and Security and Former Acting DECC Permanent Secretary | | | (25 April 2016 - 03 July 2016) | | | Angie Ridgwell | Director General, Corporate Services | | Prof John Loughhead | Chief Scientific Advisor | | Katrina Williams | Director General, International and Growth (to 31 March 2017) | | Susannah Storey | Former Director Strategy (to 13 November 2016) | | Jo Shanmugalingam | Former Director Strategy (to 13 November 2016) | | Stephen Speed | Former Acting Director General, Markets and Infrastructure (to 3 July 2016) | | Howard Orme | Former Director General, Finance, Commercial and Digital Transformation (to 9 October 2016) | | Philippa Lloyd | Former Director General, People, Strategy and Higher Education (to 28 July 2016) | | Rachel Sandby - Thomas | Former BIS Solicitor and Director General, Skills, Deregulation and Local Growth | | (to 4 April 2016) | | No of SCS staff within range as at 31 March 2017 31 March 2016 restated Permanent Secretary and Directors General and the award amounts determined by the Executive Committee. The Members of Executive Committee for 2016-17 were: ## Service Contracts Further information about the work of the Civil Service Commissioners can be found at civilservicecommission.independent.gov.uk The Constitutional Reform and Governance Act 2010 requires Civil Service appointments to be made on merit on the basis of fair and open competition. The Recruitment Principles published by the Civil Service Commission specify the circumstances when appointments may be made otherwise. Salary and Pension entitlements for Ministers of the Core Department The remuneration of Ministers is determined in accordance with the provisions of the Ministerial and Other Salaries Act 1975 (as amended by the Ministerial and Other Salaries Order 1996) and the Ministerial and Other Pensions and Salaries Act 1991. The salary and pension entitlements of the Ministers of the Department for Business, Energy and Industrial Strategy for the year ending 31 March 2017 were as follows: Unless otherwise stated below, the officials covered by this report hold appointments which are open-ended. Early termination, other than for misconduct, would result in the individual receiving compensation as set out in the Civil Service Compensation Scheme. ## Single Total Figure Of Remuneration1 Salary (£) Ministers 2016-17 2015-16 2016-17 2015-16 2016-17 2015-16 Secretary of State Rt Hon Greg Clark MP (from 14 July 2016) 45,0033 – 13,000 – 58,000 – Rt Hon Sajid Javid MP (until 13 July 2016)4 22,502 59,884 4,000 26,000 27,000 86,000 Rt Hon Amber Rudd (until 16 July 2016)5 22,502 62,410 4,000 18,000 27,000 80,000 Ministers of State Jo Johnson MP6 31,680 28,136 8,000 12,000 40,000 40,000 Baroness Neville-Rolfe DBE CMG (until 08 January 2017)7 65,975 72,470 – – 66,000 72,000 Nick Hurd (from 15 July 2016) 22,3128 – 6,000 – 28,000 – Rt Hon Anna Soubry (until 14 July 2016) 17,0329 28,136 2,000 12,000 19,000 40,000 Nick Boles MP (until 14 July 2015) 17,28810 31,680 2,000 7,000 19,000 39,000 Lord Mark Price (until 15 July 2016)11 – – – – – – Andrea Leadsom (until 16 July 2016)12 10,560 26,900 2,000 8,000 13,000 35,000 Ed Vaizey MP (until 15 July 2016)13 – – – – – – Parliamentary Under-Secretaries of State Margot James (from 16 July 2016) 14,91714 – 4,000 – 19,000 – Jesse Norman (from 16 July 2016) 14,91715 – 4,000 – 19,000 – Lord Prior of Brampton (from 09 January 2017) 11,45216 – 4,000 – 15,000 – George Freeman MP (until 15 July 2016) 12,21017 22,375 1,000 7,000 13,000 29,000 Lord Bourne of Aberystwyth (until 14 July 2016)18 – – – – – – Note: None of the ministers of the Department received any benefits-in-kind during the year. Ministers who transfer from another department continue being paid at the appropriate rate of pay with effect from the first day of the month following the date of appointment. Former ministers who transfer to other departments are paid at their current rate of pay up to the end of the month. Any increase in ministers' salary on transfer from the date of appointment is paid by their new department. Continued overleaf… | Pension benefits | Total | |-------------|-------------| | (to nearest | (to nearest | | £1,000) | | | 2 | | | £1,000) | | 1 This is audited information 2 The value of pension benefits accrued during the year is calculated as (the real increase in pension multiplied by 20) less (the contributions made by the individual). The real increase excludes increases due to inflation or any increase or decrease due to a transfer of pension rights 3 The full year equivalent is £67,505. 1 April - 31 July salary was paid by Department of Communities and Local Government 4 The full year equivalent is £67,505. 1 August - 31 March salary was paid by Department of Communities and Local Government 5 The full year equivalent is £67,505. Formerly was Secretary of State at the Department of Energy and Climate Change. 1 August - 31 March salary was paid by the Home Office 6 Joint Minister with the Department for Education from 14 July 2016 7 Salary Includes Lord's Office-Holders Allowance. From 14 July 2016, was promoted to Minister of State from Parliamentary Under Secretary of State. 1 Feb - 31 March salary was paid by HM Treasury 8 The full year equivalent £31,680. Formerly was Parliamentary Under Secretary of State for the Department for International Development 9 The full year equivalent is £31,680. £7,920 was paid as contractual severance pay 10 The full year equivalent is £31,680. £7,920 was paid as contractual severance pay 11 Formerly was a joint minister with the Department for Business, Innovation and Skills (BIS) and the Foregin and Commonwealth Office (FCO) between 4 April - 15 July 2016. He was renumerated £32,501 by the FCO. 12 The full year equivalent is £31,680. Formerly was Minister of State at Department of Energy and Climate Change 1 August - 31 March 2017 Salary was paid by Department for Environment, Food and Rural Affairs 13 Salary and pension benefits details can be found in the 2016-17 Department of Culture, Media and Sport's Annual Report and Accounts 14 The full year equivalent £22,375. Formerly was Assistant Government Whip 15 The full year equivalent £22,375. 16 The full year equivalent £68,710. 1 April - 31 January 2017 Salary was paid by the Department for Health 17 The full year equivalent £22,375. £5,594 was paid as contractual severance pay 18 Ministerial Salary is reported under a Lord in waiting as his former Parliamentary Under Secretary of State role was unpaid Minister11 Secretary of State Rt Hon Greg Clark MP (from 14 July 2016) 5-10 0-2.5 93 80 5 Rt Hon Sajid Javid MP (until 13 July 2016) 0-5 0-2.5 55 51 1 Rt Hon Amber Rudd (until 16 July 2016) 0-5 0-2.5 30 26 2 Ministers of State Jo Johnson MP 0-5 0-2.5 33 26 3 Baroness Neville-Rolfe DBE CMG (until 08 January 2017)2 – – – – – Nick Hurd (from 15 July 2016) 0-5 0-2.5 55 49 3 Rt Hon Anna Soubry (until 14 July 2016) 0-5 0-2.5 43 41 1 Nick Boles MP (until 14 July 2015) 0-5 0-2.5 8 6 1 Lord Mark Price (until 15 July 2016)3 – – – – – Andrea Leadsom (until 16 July 2016) 0-5 0-2.5 16 14 1 Ed Vaizey MP (until 15 July 2016)4 – – – – – Parliamentary Under-Secretaries of State Margot James (from 16 July 2016) 0-5 0-2.5 5 – 3 Jesse Norman (from 16 July 2016) 0-5 0-2.5 8 4 2 Lord Prior of Brampton (from 09 January 2017) 0-5 0-2.5 40 34 3 George Freeman MP (until 15 July 2016) 0-5 0-2.5 12 11 – Lord Bourne of Aberystwyth (until 14 July 2016) – – – – – Note: None of the Ministers of the Department received any benefits-in-kind during the year. 1 This is audited information 2 Not a Member of the Parliamentary Contribution Pension Fund 3 Formerly a joint minister with the Department for Business, Innovation and Skills (BIS) and the Foreign and Commonwealth Office (FCO) between 4 April- 15 July 2016 4 Salary and pension benefits details can be found in the Department of Culture, Media and Sport's 2016-17 Annual Report and Accounts Salary and Pension entitlements for the senior managers of the Department The salary and pension entitlements of the most senior managers of the Department for Business, Energy and Industrial Strategy are set out in the following table. As well as the current members of the BEIS Departmental or Executive Boards, this table also includes the former members who either left the Department during the year or ceased to be a member. None of the officials of the Department received any benefits-in-kind during the year. | Accrued | Real | |------------|----------| | pension | Increase | | at age | in | | 65 at 31 | pension | | March | at age | | 2017 | 65 | | £000 | £000 | ## Single Total Figure Of Remuneration1 Salary (£'000) Officials 2016-17 2015-16 2016-17 2015-16 2016-17 120-125 Alex Chisholm from 04 July 2016) (180-185 full year equivalent) – – – 51,000 – 170-175 – 70-75 (165- Sir Martin Donnelly (until 05 September 2016)3 170 full year equivalent) 160-165 – – 15,000 51,000 85-90 215-220 10-15 (165-170 full Stephen Lovegrove (until 24 April 2016)4 year equivalent) 165-170 – – 9,000 77,000 20-25 245-250 Sam Beckett 125-130 115-120 0-5 – 90,000 81,000 220-225 200-205 Gareth Davies 125-130 125-130 10-15 0-5 80,000 122,000 215-220 245-250 Clive Maxwell 145-150 140-145 – – 56,000 65,000 200-205 205-210 Jeremy Pocklington 115-120 110-115 – 10-15 79,000 154,000 195-200 275-280 Angie Ridgwell 140-145 140-145 10-15 – – 56,000 155-160 195-200 95-100 (105-110 Jaee Samant (from 04 April 2016) full year equivalent) – 10-15 – 98,000 - 205-210 – John Loughhead 130-135 125-130 – – 52,000 50,000 180-185 175-180 Katrina Williams (until 31 March 2017) 120-125 120-125 – 10-15 28,000 39,0005 150-155 160-165 45-50 (115- Susannah Storey (until 13 November 2016)6 120 full year equivalent) 70-75 5-10 5-10 17,000 27,000 70-75 100-105 35-40 (85-90 full Jo Shanmugalingam (until 13 November 2016)7 year equivalent) 55-60 5-10 5-10 15,000 27,000 60-65 90-95 Stephen Speed (until 3 July 2016)8 – – – – – – – – 90-95 (160- Howard Orme (until 09 October 2016)9 165 full year equivalent) 160-165 10-15 15-20 20,000 48,000 120-125 220-225 115-120 Philippa Lloyd (until 28 July 2016)10 35-40 (125- (120-125 130 full year full year equivalent) equivalent) 10-15 15-20 23,000 77,000 70-75 205-210 0-5 (130-135 full Rachel Sandby-Thomas (until 04 April 2016) year equivalent) 130-135 – 10-15 – 31,000 0-5 175-180 85-90 Catherine Raines (until 14 Jul 2016)11 40-45 (150- (150-155 155 full year full year equivalent) equivalent) – – 21,000 40,000 60-65 125-130 1 This is audited information 2 The value of pension benefits accrued during the year is calculated as (the real increase in pension multiplied by 20) plus (the real increase in any lump sum) less (the contributions made by the individual). The real increases exclude increases due to inflation or any increase or decreases due to a transfer of pension rights. 3 6 September - 31 March salary and pension benefits details can be found in the Department for International Trade 2016-17 Annual Report and Accounts | Bonus | Pension | Total | |----------|-----------------|-------------| | payments | benefits (to | (to nearest | | (£'000) | nearest £1,000) | | | 2 | | | | £'000) | | | | 2015-16 | 2015-16 | | | restated | 2016-17 | restated | ## Footnotes Continued 4 25 April - 31 March salary and pension benefits details can be found in the Ministry of Defence 2016-17 Annual Report and Accounts 5 Revised due to retrospective change to salary history 6 14 November - 31 March salary and pension benefits can be found in the Department for Exiting the European Union. The role was part time 7 14 November - 31 March salary and pension benefits can be found in the Department for Exiting the European Union. The role was part time 8 Acting Director General for Markets & Infrastructure from 25 April - 3 July 2016 and role was unpaid 9 10 October - 31 March salary and pension benefits details can be found in the Department for Education 2016-17 Annual Report and Accounts 10 29 July - 31 March salary and pension benefits details can be found in the Department for Education 2016-17 Annual Report and Accounts. The role was part time 11 15 July - 31 March Salary and pension benefits details can be found in the Department for International Trade 2016-17 Annual Report and Accounts ## Pension Benefits1 Accrued pension at age 60 as at 31 in pension and March 2017 and related lump sum at pension Officials sum £'000 £'000 £'000 £'000 £'000 Alex Chisholm (from 04 July 2016) 15-20 2.5-5 193 155 23 – 70-75 plus lump 0-2.5 plus lump Sir Martin Donnelly until 05 September 2016)2 sum of 220-225 Stephen Lovegrove (until 24 April 2016)3 25-30 0-2.5 424 418 5 – Sam Beckett 40-45 plus lump 2.5-5 plus lump sum of 110-115 Gareth Davies 35-40 2.5-5 472 410 37 – Clive Maxwell 45-50 plus lump 2.5-5 plus lump sum of 120-125 Jeremy Pocklington 35-40 plus lump sum of 20-25 Angie Ridgwell4 – – – 95 – – 30-35 plus lump 2.5-5.0 plus lump Jaee Samant (from 04 April 2016) sum of 85-90 John Loughhead 5-10 2.5-5 119 71 40 – 50-55 plus lump Katrina Williams (until 31 March 2017) sum of 150-155 lump sum 2.5-5 1,031 9635 23 – Susannah Storey (until 13 November 2016)6 15-20 0-2.5 183 174 6 – 15-20 plus lump Jo Shanmugalingam (until 13 November 2016)7 sum of 40-45 lump sum 0-2.5 199 186 4 – Stephen Speed (until 3 July 2016) – – – – – – Howard Orme (until 09 September 2016)8 25-30 0-2.5 492 464 18 – 40-45 plus lump 0-2.5 plus lump Philippa Lloyd (until 28 July 2016)9 sum of 45-50 45-50 plus lump Rachel Sandby-Thomas (until 04 April 2016) sum of 45-50 Catherine Raines (until 14 Jul 2016)10 15-20 0-2.5 213 199 11 – Note: Where senior managers left during the course of the year, their CETV closing balance will be as at their leaving date. 1 This is audited information 2 Pension details can be found in the Department for International Trade's 2016-17 Annual Report and Accounts 3 Pension details can be found in the Ministry of Defence 2016-17 Annual Report and Accounts 4 Chose not to be covered by the Civil Service Pension arrangements for the reporting year 5 Revised due to retrospective change to salary history 6 Pension details can be found in the Department for Exiting the European Union 7 Pension details can be found in the Department for Exiting the European Union 8 Pension details can be found in the Department for Education 2016-17 Annual Report and Accounts 9 Pension details can be found in the Department for Education 2016-17 Annual Report and Accounts 10 Pension details can be found in the Department for International Trade 2016-17 Annual Report and Accounts | | Real increase | Employer | |---------------|------------------|--------------| | CETV | CETV | contribution | | related lump | at 31 | at 31 | | March | March | increase | | age | 2017 | 2016 | | Nearest | | | | £'000 | | | | sum of 2.5-5 | 1,682 | 1,610 | | sum of 5-7.5 | 756 | 669 | | sum of 0 | 721 | 665 | | 2.5-5 plus | | | | lump sum of | | | | 0-2.5 | 486 | 424 | | sum of 7.5-10 | 564 | 475 | | 0-2.5 plus | | | | 0-2.5 plus | | | | sum of 0-2.5 | 782 | 757 | | 0-2.5 plus | | | | lump sum of 0 | 816 | 816 | ## Ministerial Pensions Notes:1 • The information relates only to the core Pension benefits for Ministers are provided by the Parliamentary Contributory Pension Fund (PCPF). The scheme is made under statute and the rules are set out in the Ministers' etc. Pension Scheme 2015.2 Department. Similar information relating to the Chief Executives and most senior managers of the executive agencies and other bodies of the BEIS family is given in the separate accounts of those bodies. • 'Salary' includes gross salary; overtime; Those Ministers who are Members of Parliament may also accrue an MP's pension under the PCPF (details of which are not included in this report). A new MP's pension scheme was introduced from May 2015, although members who were aged 55 or older on 1 April 2013 have transitional protection to remain in the previous final salary pension scheme. Benefits for Ministers are payable from State Pension age under the 2015 scheme. Pensions are re-valued annually in line with Pensions Increase legislation both before and after retirement. The contribution rate from May 2015 is 11.1% and the accrual rate is 1.775% of pensionable earnings. The figure shown for pension value includes the total pension payable to the member under both the pre- and post-2015 Ministerial pension schemes. reserved rights to London weighting or London allowances; recruitment and retention allowances; private office allowances and any other allowance to the extent that it is subject to UK taxation. This report is based on accrued payments made by the Department and thus recorded in these accounts. In respect of Ministers in the House of Commons, departments bear only the cost of the additional Ministerial remuneration; the salary for their services as an MP (£67,060 from 1 April 2014, £74,000 from 8 May 2015) and various allowances to which they are entitled are borne centrally. However, the arrangement for Ministers in the House of Lords is different in that they do not receive a salary but rather an additional remuneration, which cannot be quantified separately from their Ministerial salaries. This total remuneration, as well as the allowances to which they are entitled, is paid by the Department and is therefore shown in full in the figures above. • Bonuses are based on performance levels attained and are made as part of the appraisal process. Bonuses relate to the performance in the year in which they become payable to the individual. The bonuses reported in 2016- 17 relate to performance in 2015-16 and the comparative bonuses reported for 2015-16 relate to the performance in 2014-15. • None of the most senior managers of the core Department received any benefits-in-kind during the year. The Cash Equivalent Transfer Value (CETV) for Ministerial pensions This is the actuarially assessed capitalised value of the pension scheme benefits accrued by a member at a particular point in time. The benefits valued are the member's accrued benefits and any contingent spouse's pension payable from the scheme. A CETV is a payment made by a pension scheme or arrangement to secure pension benefits in another pension scheme or arrangement when the member leaves a scheme and chooses to transfer the pension benefits they have accrued in their former scheme. The pension figures shown relate to the benefits that the individual has accrued as a consequence of their total Ministerial service, not just their current appointment as a Minister. CETVs are calculated in accordance with The Occupational Pension Schemes (Transfer Values) (Amendment) Regulations 2008 and do not take account of any actual or potential reduction to benefits resulting from Lifetime Allowance Tax which may be due when pension benefits are taken. The real increase in the value of the CETV This is the element of the increase in accrued pension funded by the Exchequer. It excludes increases due to inflation and contributions paid by the Minister. It is worked out using common market valuation factors for the start and end of the period. ## Civil Service Pensions Pension benefits are provided through the Civil Service pension arrangements. From 1 April 2015 a new pension scheme for civil servants was introduced - the Civil Servants and Others Pension Scheme or **alpha**, which provides benefits on a career average basis with a normal pension age equal to the member's State Pension Age (or 65 if higher). From that date all newly appointed civil servants and the majority of those already in service joined **alpha**. Prior to that date, civil servants participated in the Principal Civil Service Pension Scheme (PCSPS). The PCSPS has 4 sections: 3 providing benefits on a final salary basis (**classic, premium** or classic plus) with a normal pension age of 60; and one providing benefits on a whole career basis (**nuvos**) with a normal pension age of 65. These statutory arrangements are unfunded with the cost of benefits met by monies voted by Parliament each year. Pensions payable under classic, premium, classic plus, nuvos and **alpha** are increased annually in line with Pensions Increase legislation. Existing members of the PCSPS who were within 10 years of their normal pension age on 1 April 2012 remained in the PCSPS after 1 April 2015. Those who were between 10 years and 13 years and 5 months from their normal pension age on 1 April 2012 will switch into alpha sometime between 1 June 2015 and 1 February 2022. All members who switch to **alpha** have their PCSPS benefits 'banked', with those with earlier benefits in one of the final salary sections of the PCSPS having those benefits based on their final salary when they leave **alpha**. (The pension figures quoted for officials show pension earned in PCSPS or alpha - as appropriate. Where the official has benefits in both the PCSPS and **alpha** the figure quoted is the combined value of their benefits in the two schemes.) Members joining from October 2002 may opt for either the appropriate defined benefit arrangement or a 'money purchase' stakeholder pension with an employer contribution (**partnership** pension account). Employee contributions are salary-related and range between 3% and 8.05% of pensionable earnings for members of **classic** (and members of **alpha** who were members of **classic** immediately before joining **alpha**) and between 4.6% and 8.05% for members of **premium**, classic plus, **nuvos** and all other members of alpha. Benefits in **classic** accrue at the rate of 1/80th of final pensionable earnings for each year of service. In addition, a lump sum equivalent to three years initial pension is payable on retirement. For **premium**, benefits accrue at the rate of 1/60th of final pensionable earnings for each year of service. Unlike classic, there is no automatic lump sum. **Classic plus** is essentially a hybrid with benefits for service before 1 October 2002 calculated broadly as per **classic** and benefits for service from October 2002 worked out as in **premium**. In **nuvos** a member builds up a pension based on his pensionable earnings during their period of scheme membership. At the end of the scheme year (31 March) the member's earned pension account is credited with 2.3% of their pensionable earnings in that scheme year and the accrued pension is uprated in line with Pensions Increase legislation. Benefits in **alpha** build up in a similar way to nuvos, except that the accrual rate is 2.32%. In all cases members may opt to give up (commute) pension for a lump sum up to the limits set by the Finance Act 2004. The **partnership** pension account is a stakeholder pension arrangement. The employer makes a basic contribution of between 3% and 12.5% up to 30 September 2015 and 8% and 14.75% from 1 October 2015 (depending on the age of the member) into a stakeholder pension product chosen by the employee from a panel of providers. The employee does not have to contribute, but where they do make contributions, the employer will match these up to a limit of 3% of pensionable salary (in addition to the employer's basic contribution). Employers also contribute a further 0.8% of pensionable salary up to 30 September 2015 and 0.5% of pensionable salary from 1 October 2015 to cover the cost of centrally-provided risk benefit cover (death in service and ill–health retirement). Pension Schemes (Transfer Values) (Amendment) Regulations 2008 and do not take account of any actual or potential reduction to benefits resulting from Lifetime Allowance Tax which may be due when pension benefits are taken. Real increase in CETV This reflects the increase in CETV that is funded by the employer. It does not include the increase in accrued pension due to inflation, contributions paid by the employee (including the value of any benefits transferred from another pension scheme or arrangement) and uses common market valuation factors for the start and end of the period. The accrued pension quoted is the pension the member is entitled to receive when they reach pension age, or immediately on ceasing to be an active member of the scheme if they are already at or over pension age. Pension age is 60 for members of **classic**, premium and classic plus, 65 for members of nuvos, and the higher of 65 or State Pension Age for members of alpha. (The pension figures quoted for officials show pension earned in PCSPS or alpha - as appropriate. Where the official has benefits in both the PCSPS and **alpha** the figure quoted is the combined value of their benefits in the two schemes, but note that part of that pension may be payable from different ages.) Compensation for loss of office No senior managers have received compensation for loss of office. ## Fair Pay Disclosure Further details about the Civil Service pension arrangements can be found at the website www.civilservicepensionscheme.org.uk The pay multiples disclosure is subject to audit. Reporting bodies are required to disclose the relationship between the remuneration of the highest-paid director in their organisation and the median remuneration of the organisation's workforce. The banded remuneration of the highest paid director, including any bonuses, in the Department for Business, Energy and Industrial Strategy in the financial year 2016-17 was £180,000 to £185,000 (2015-16: restated: £175,000 to £180,000). This was 4.92 times (2015-16: restated 4.73) the median remuneration of the workforce, which was £37,092 (2015-16 restated: £37,502). Cash Equivalent Transfer Values for Civil Service pensions A Cash Equivalent Transfer Value (CETV) is the actuarially assessed capitalised value of the pension scheme benefits accrued by a member at a particular point in time. The benefits valued are the member's accrued benefits and any contingent spouse's pension payable from the scheme. A CETV is a payment made by a pension scheme or arrangement to secure pension benefits in another pension scheme or arrangement when the member leaves a scheme and chooses to transfer the benefits accrued in their former scheme. The pension figures shown relate to the benefits that the individual has accrued as a consequence of their total membership of the pension scheme, not just their service in a senior capacity to which disclosure applies. In 2016-17: 2 (2015-16: restated: 3) received remuneration in excess of the highest paid director. Remuneration ranged from £11,670 to £185,111 (2015-16 restated: £13,091 to £280,000). Total remuneration includes salary, nonconsolidated performance-related pay and benefits-in-kind. It does not include severance payments, employer pension contributions and the cash equivalent transfer value of pensions. The figures include the value of any pension benefit in another scheme or arrangement which the member has transferred to the Civil Service pension arrangements. They also include any additional pension benefit accrued to the member as a result of their buying additional pension benefits at their own cost. CETVs are worked out in accordance with The Occupational ## Fees Entitlements For Non-Executive Board Members1 Below are the fees entitlements to the Non-Executive Board members for their role on the BEIS Departmental Board. The entitlements for the year to each person were in the following ranges: | Non-executive member | Fees for 2016-17 | Fees for 2015-16 restated | |----------------------------------------------|---------------------------------|---------------------------------| | 2 | | | | Archie Norman (from 03 October 2016) | 10-15 (20 full year equivalent) | - | | Professor Dame Ann Dowling | 20-25 (20 full year equivalent) | 15-20 (15 full year equivalent) | | Carolyn McCall (from 01 February 2017) | 0-5 (15 full year equivalent) | - | | Charles Randell | 15-20 (20 full year equivalent) | | | 3 | | | | 20-25 (20 full year equivalent) | | | | Kathryn Parsons (from 01 February 2017) | 0-5 (15 full year equivalent) | - | | Stephen Carter (from 01 February 2017) | 0-5 (15 full year equivalent) | - | | Stuart Quickenden (from 01 February 2017) | - (15 full year equivalent) | | | 4 | | | | - | | | | Martin Stewart (until 31 July 2016) | 5-10 (20 full year equivalent) | 20-25 (20 full year equivalent) | | Allan Cook (until 14 November 2016) | 15-20 (20 full year equivalent) | 20-25 (20 full year equivalent) | | Professor Wendy Purcell (until 23 July 2016) | 0-5 (15 full year equivalent) | 15-20 (15 full year equivalent) | | Stephen Bligh (until 12 December 2016) | 15-20 (20 full year equivalent) | 15-20 (20 full year equivalent) | | Dale Murray CBE (until 12 December 2016) | 10-15 (15 full year equivalent) | 15-20 (15 full year equivalent) | | Juergen Maier (until 12 December 2016) | 10-15 (15 full year equivalent) | 15-20 (15 full year equivalent) | | Tom Kelly (until 12 December 2016) | 10-15 (15 full year equivalent) | 15-20 (15 full year equivalent) | | Rachel Campbell (until 12 December 2016) | 10-15 (24 full year equivalent) | | | 5 | | | | 20-25 (24 full year equivalent) | | | 1 This is audited information 2 2015-16 fees restated to recognise remuneration on an accrual basis 3 Waived fee entitlement with effect from 1 March 2017 4 Waived off February and March 2017 fees entitlement 5 Waived off October - December 2016 fees entitlement Off-payroll Tax Assurance The Government's review of the tax arrangements of public sector appointees highlighted the possibility for artificial arrangements to enable tax avoidance. BEIS continues to take a robust approach and its tax assurance policy has been promulgated and implemented across the BEIS family. Tax assurance evidence is sought and scrutinised to ensure it is sufficient from all off-payroll appointees. Assurance of compliance with this tax policy has also been sought from our Partner Organisations. Monitoring has shown we are broadly compliant across BEIS and action has been taken to address any slight deviations from this policy. £000 £000 A summary of the BEIS tax assurance data can be found at https://www.gov.uk/government/publication s?departments[]=department-for-businessenergy-and-industrial-strategy&publication_ type=transparency-data ## Parliamentary Accountability And Audit Report Statement Of Parliamentary Supply (Sops) In addition to the primary statements prepared under International Financial Reporting Standards (IFRS), the Government Financial Reporting Manual (FReM) requires the Department to prepare a Statement of Parliamentary Supply (SoPS) and supporting notes to show resource against outturn against the Supply Estimate presented to Parliament in respect of each budgetary control limit. The SoPS and related notes are subject to audit. ## Summary Of Resource And Capital Outturn In 2016-17 | Estimate | Outturn | Voted | |--------------------------------|------------|-------------| | SoPS | Non- | | | Note | Voted | Voted | | £'000 | £'000 | £'000 | | Departmental Expenditure Limit | | | | - Resource | | | | 1.1 | 3,385,099 | (1,048,000) | | - Capital | 1.2 | 11,274,147 | | Annually Managed Expenditure | | | | - Resource | 1.1 | 17,137,296 | | - Capital | 1.2 | 310,790 | | Total | | | | Budget | 32,107,332 | (773,000) | | Non-Budget | | | | - Resource | 1.1 | - | | Total | 32,107,332 | (773,000) | | Total | | | | Resource | 1.1 | 20,522,395 | | Total | | | | Capital | 1.2 | 11,584,937 | | Total | 32,107,332 | (773,000) | | 2016-17 | 2015-16 | | | Outturn | | | | outturn | restated | | | compared | | | | with | | | | Estimate: | | | | Non- | saving/ | | | Voted | Total | Total | ## Net Cash Requirement 2016-17 | | Note | Estimate | Outturn | |----------------------|--------|------------|------------| | £'000 | £'000 | £'000 | £'000 | | Net cash requirement | 3 | 16,154,642 | 13,504,477 | ## Administration Costs 2016-17 | Total Administration costs | 425,553 | 392,033 | 521,450 | |------------------------------|-------------|-----------|-----------| Figures in the areas highlighted green are voted totals subject to Parliamentary control. In addition, although not a separate voted limit, any breach of the administration budget will also result in an excess vote. Prior year outturn is restated to reflect the changes as result of the Machinery of Government changes in 2016-17. Further information on these restatements is in note 27 to the financial accounts. Explanations of the significant variances between Estimate and outturn are given in the DG's Financial Review on pages 33. The Notes on pages 100-107 form part of these accounts. | 2016-17 | 2015-16 restated | |-------------------|--------------------| | Net total outturn | | | compared | | | with Estimate: | | | saving/(excess) | Outturn | | 2016-17 | 2015-16 restated | | Estimate | Outturn | | £'000 | £'000 | 2015-16 restated for with 2016-17 Net total adjusted Estimate, virements Total compared with Net total Estimate compared Outturn Estimate Outturn Administration Programme £'000 £'000 £'000 £'000 £'000 £'000 £'000 £'000 £'000 £'000 £'000 Gross Income Net Gross Income Net Total Net Total Spending in Departmental Expenditure Limit by section ## Notes To The Statement Of Parliamentary Supply Sops 1. Net Outturn SoPS 1.1. Analysis of net resource outturn by section A Science and Research - – – 18,609 (1,239) 17,370 17,370 31,467 14,097 1,239 2,196,528 B Innovation, Enterprise and Business - – – 461,152 (20,703) 440,449 440,449 529,524 89,075 89,075 498,589 C Market Frameworks 5,126 – 5,126 151,224 (87,329) 63,895 69,021 122,542 53,521 53,521 91,389 D Capability 331,276 (42,730) 288,546 24,797 (7,454) 17,343 305,889 455,073 149,184 109,183 351,467 E Government as Shareholder - – – 145,409 – 145,409 145,409 137,710 (7,699) – 176,092 F Science and Research (ALB) net 935 – 935 256,422 – 256,422 257,357 242,356 (15,001) – 3,037,774 G Innovation, Enterprise and Business (ALB) net 51 – 51 5,438 – 5,438 5,489 5,500 11 11 637,000 H Market Frameworks (ALB) net 7,362 – 7,362 38,061 – 38,061 45,423 53,994 8,571 8,571 47,667 I Capability (ALB) Net 39,818 – 39,818 - – – 39,818 9,800 (30,018) – 40,248 J Government as Shareholder (ALB) net 162 – 162 (44,348) – (44,348) (44,186) 260 44,446 36,747 (26,245) K Security and Resilience: ensure the UK has a secure and resilient energy system - – – 11,707 (5,884) 5,823 5,823 10,474 4,651 4,651 11,560 L Keeping bills low: keep energy bills as low as possible for households and businesses – - – 37,519 (1,154) 36,365 36,365 41,519 5,154 5,154 342,329 Voted 2015-16 restated for with 2016-17 Net total adjusted Estimate, virements Total compared with Net total Estimate compared Outturn Estimate Outturn Administration Programme £'000 £'000 £'000 £'000 £'000 £'000 £'000 £'000 £'000 £'000 £'000 Gross Income Net Gross Income Net Total Net Total M Decarbonisation: secure ambitious international action on climate change and reduce carbon emissions cost- effectively at home - - – 57,668 (4,781) 52,887 52,887 72,830 19,943 18,534 114,579 N Energy legacy: manage the UK's energy legacy safely and responsibly - – – 282,376 (2,396) 279,980 279,980 287,540 7,560 1,071 306,343 Q NDA and SLC expenditure 38,195 – 38,195 1,249,250 – 1,249,250 1,287,445 1,336,000 48,555 48,555 1,414,542 V Electricity Settlements Company (net) - – – 1,707 – 1,707 1,707 298 (1,409) – 674 Total Voted 446,612 (54,579) 392,033 2,738,097 (131,028) 2,607,069 2,999,102 3,385,099 385,997 385,997 9,292,407 Non-Voted W Nuclear Decommissioning Authority Income (CFER) - – - – (1,026,768) (1,026,768) (1,026,768) (1,048,000) (21,232) (21,232) (974,558) Total Non-Voted - – – - (1,026,768) (1,026,768) (1,026,768) (1,048,000) (21,232) (21,232) (974,558) Total spending in Departmental Expenditure Limit 446,612 (54,579) 392,033 2,738,097 (1,157,796) 1,580,301 1,972,334 2,337,099 364,765 364,765 8,317,849 Annually Managed Expenditure by section Voted X Science and Research - – – 41,888 – 41,888 41,888 (14,194) (56,082) – 49,872 O Oil and Gas Authority 8,048 (11,849) (3,801) 15,112 (88) 15,024 11,223 11,169 (54) 44 23,388 P Oil and Gas Authority (net) 6,603 – 6,603 4,653 – 4,653 11,256 11,313 57 6,423 – R Coal Authority (net) 4,096 – 4,096 22,221 – 22,221 26,317 21,400 (4,917) – 22,096 S Civil Nuclear Police Authority (net) 1,405 – 1,405 256 - 256 1,661 187 (1,474) 1,474 1,493 T Committee on Climate Change (net) 3,535 – 3,535 - – – 3,535 3,561 26 26 3,752 U Low Carbon Contracts Company (net) - – – (1,136) – (1,136) (1,136) 582 1,718 1,718 1,142 Z Market Frameworks - – – 134,029 – 134,029 134,029 198,000 63,971 63,632 101,517 AA Capability - – – (6,024) 11 (6,013) (6,013) 25,687 31,700 24,631 (21,807) AB Government as Shareholder - – - – (4,652) (4,652) (4,652) (8,756) (4,104) – (2,338) AC Science and Research (ALB) net - – – 90,936 – 90,936 90,936 59,680 (31,256) – 90,315 AD Innovation, Enterprise and Business (ALB) net - – – (10,378) – (10,378) (10,378) 18,897 29,275 – 7,722 AE Market Frameworks (ALB) net - – – (58) – (58) (58) (397) (339) – (168) AF Capability (ALB) net - – – (400) – (400) (400) 1 401 401 2 AG Government as Shareholder (ALB) net - – – (26,653) – (26,653) (26,653) (12,696) 13,957 9,853 (47,351) AH Keeping bills low: keep energy bills as low as possible for households and businesses - – - – (3,204) (3,204) (3,204) (2,079) 1,125 2,530 (309,667) AI Decarbonisation: secure ambitious international action on climate change and reduce carbon emissions cost-effectively at home - – – (1,335,361) – (1,335,361) (1,335,361) 119,467 1,454,828 1,135,406 840,940 AJ Energy legacy: manage the UK's energy legacy safely and responsibly - – – (245,888) (12,727) (258,615) (258,615) (200,887) 57,728 56,995 (308,924) Y Innovation, Enterprise and Business - – – 249,667 (42,944) 206,723 206,723 (60,300) (267,023) – (68,032) AR Low Carbon Contracts Company (net) - – – 1,065,558 – 1,065,558 1,065,558 10,948,000 9,882,442 9,882,442 9,281,975 Total Voted - – – 3,355,220 (63,516) 3,291,704 3,291,704 17,137,296 13,845,592 13,845,592 101,691,038 Non-Voted AS Market Frameworks - – – 231,511 – 231,511 231,511 275,000 43,489 43,489 254,256 Total Non Voted - – – 231,511 – 231,511 231,511 275,000 43,489 43,489 254,256 Total spending in Annually Managed Expenditure - – – 3,586,731 (63,516) 3,523,215 3,523,215 17,412,296 13,889,081 13,889,081 101,945,294 Total DEL and AME Resource 446,612 (54,579) 392,033 6,324,828 (1,221,312) 5,103,516 5,495,549 19,749,395 14,253,846 14,253,846 110,263,143 AN Nuclear Decommissioning Authority - – – 2,850,516 – 2,850,516 2,850,516 5,340,000 2,489,484 2,489,484 89,797,932 AO Coal Authority (net) - – – 2,061 – 2,061 2,061 94,684 92,623 92,623 1,907,290 AP Civil Nuclear Police Authority (net) - – – (142) – (142) (142) (122) 20 20 (826) AQ Committee on Climate Change (net) - – – (63) – (63) (63) (62) 1 1 – AK Renewable Heat Incentive - – – 545,426 – 545,426 545,426 633,000 87,574 87,574 372,420 AL Oil and Gas Authority - – - – - – – (313) (313) – 166 AM Oil and Gas Authority (net) - – – 106 – 106 106 (314) (420) - – Explanations of the significant variances between the Outturn and Estimate are included in the Directors' financial review on page 33. ## Sops 1.2 Analysis Of Net Capital Outturn By Section | | | | Gross | Income | Net | Net | |-------------------------------|----------------------------|-----------|-----------|-----------|----------|---------| | £'000 | £'000 | £'000 | £'000 | £'000 | £'000 | £'000 | | Spending in Departmental | | | | | | | | Expenditure Limit by | | | | | | | | section | | | | | | | | Voted | | | | | | | | A Science and Research | 2,757,049 | (10,053) | 2,746,996 | 2,838,927 | 91,931 | 9,126 | | B | Innovation, Enterprise and | | | | | | | Business | 451,123 | (254,500) | 196,623 | 350,635 | 154,012 | 154,012 | | C Market Frameworks | 986 | - | 986 | 5,000 | 4,014 | 3,599 | | D Capability | 10,191 | (10) | 10,181 | 68,708 | 58,527 | 54,602 | | E Government as | | | | | | | | Shareholder | | | | | | | | 79,551 | (5,136) | 74,415 | 82,874 | 8,459 | 8,459 | 108,914 | | F | Science and Research | | | | | | | (ALB) net | 3,453,704 | - | 3,453,704 | 3,370,899 | (82,805) | - | | G | Innovation, Enterprise and | | | | | | | Business (ALB) net | 803,985 | - | 803,985 | 834,859 | 30,874 | 30,874 | | H | Market Frameworks (ALB) | | | | | | | net | 1,246 | - | 1,246 | 831 | (415) | - | | I Capability (ALB) Net | 480 | - | 480 | 307 | (173) | - | | J | Government as | | | | | | | Shareholder (ALB) net | 1,172,445 | - | 1,172,445 | 1,331,896 | 159,451 | 159,451 | | K | Security and Resilience: | | | | | | | ensure the UK has a | | | | | | | | secure and resilient energy | | | | | | | | system | (548) | - | (548) | 1,437 | 1,985 | 1,985 | | L | Keeping bills low: keep | | | | | | | energy bills as low as | | | | | | | | possible for households | | | | | | | | and businesses | 43,440 | (1,239) | 42,201 | 43,609 | 1,408 | 1,408 | | M | Decarbonisation: secure | | | | | | | ambitious international | | | | | | | | action on climate change | | | | | | | | and reduce carbon | | | | | | | | emissions cost-effectively | | | | | | | | at home | 343,233 | (137) | 343,096 | 357,941 | 14,845 | 12,540 | | N | Energy legacy: manage the | | | | | | | UK's energy legacy safely | | | | | | | | and responsibly | 6,295 | - | 6,295 | 6,300 | 5 | 5 | | O Oil and Gas Authority | 1,052 | 400 | 1,452 | 186 | (1,266) | - | | P Oil and Gas Authority (net) | 1,163 | - | 1,163 | 332 | (831) | - | | | 2016-17 | 2015-16 | |-----------|-----------|-----------| | Outturn | Estimate | Outturn | | Net total | | | | compared | | | | with | | | | Net total | Estimate, | | | compared | adjusted | | | with | for | | | Estimate | virements | Net | | | Outturn | Estimate | Outturn | |---------------------------|----------------------------|----------------------|------------| | Gross | Income | Net | Net | | £'000 | £'000 | £'000 | £'000 | | Q NDA and SLC expenditure | 1,970,695 | - | 1,970,695 | | R Coal Authority (net) | 5,960 | - | 5,960 | | S | Civil Nuclear Police | | | | Authority (net) | 1,655 | - | 1,655 | | T | Committee on Climate | | | | Change (net) | 9 | - | 9 | | U | Low Carbon Contracts | | | | Company (net) | 592 | - | 592 | | V | Electricity Settlements | | | | Company (net) | 1,005 | - | 1,005 | | Total Voted | 11,105,311 | (270,675) 10,834,636 | 11,274,147 | | Non–Voted | | | | | W | Nuclear Decommissioning | | | | Authority Income (CFER) | - | - | - | | Total Non–Voted | - | - | - | | Total spending in | | | | | Departmental | | | | | Expenditure Limit | 11,105,311 | (270,675) 10,834,636 | 11,274,147 | | Annually Managed | | | | | Expenditure by section | | | | | Voted | | | | | X Science and Research | 834 | - | 834 | | Y | Innovation, Enterprise and | | | | Business | - | (4,819) | (4,819) | | Z Market Frameworks | - | - | - | | AA Capability | - | - | - | | AB | Government as | | | | Shareholder | 7,661,000 | (7,527,000) | 134,000 | | AC | Science and Research | | | | (ALB) net | (61,276) | - | (61,276) | | AD | Innovation, Enterprise | | | | and Business (ALB) net | 84,961 | - | 84,961 | | AE | Market Frameworks (ALB) | | | | net | - | - | - | | AF | Capability (ALB) net | - | - | | 2016-17 | 2015-16 | | | | Net total | | | | | compared | | | | | with | | | | | Net total | Estimate, | | | | compared | adjusted | | | | with | for | | | | Estimate | virements | Net | | | | | | Gross | Income | Net | Net | |-----------------------------|----------------------------------------------|----------|-----------|-----------|---------------------|---------------| | £'000 | £'000 | £'000 | £'000 | £'000 | £'000 | £'000 | | AG | Government as | | | | | | | Shareholder (ALB) net | (129,934) | - | (129,934) | (242,318) | (112,384) | - | | AH | Keeping bills low: keep | | | | | | | energy bills as low as | | | | | | | | possible for households | | | | | | | | and businesses | | | | | | | | - | - | - | - | - | - | - | | AI | Decarbonisation: secure | | | | | | | ambitious international | | | | | | | | action on climate change | | | | | | | | and reduce carbon | | | | | | | | emissions cost–effectively | | | | | | | | at home | - | - | - | - | - | - | | AJ | Energy legacy: manage | | | | | | | the UK's energy legacy | | | | | | | | safely and responsibly | 12,727 | (51,000) | (38,273) | (38,273) | - | - | | AK Renewable Heat Incentive | - | - | - | - | - | - | | AL | Oil and Gas Authority | - | - | - | - | - | | AM | Oil and Gas Authority (net) | - | - | - | - | - | | AN | Nuclear | | | | | | | Decommissioning | | | | | | | | Authority | - | - | - | - | - | - | | AO | Coal Authority (net) | - | - | - | - | - | | AP | Civil Nuclear Police | | | | | | | Authority (net) | - | - | - | - | - | - | | AQ | Committee on Climate | | | | | | | Change (net) | - | - | - | - | - | - | | AR | Low Carbon Contracts | | | | | | | Company (net) | - | - | - | - | - | - | | Total Voted | 7,568,312 (7,582,819) | (14,507) | 310,790 | 325,297 | 325,297 | (177,979) | | Non–Voted | | | | | | | | AS Market Frameworks | - | - | - | - | - | - | | Government as Shareholder | | | | | | | | (ALB) net | | | | | | | | (1,434,995) | | | | | | | | Total Non–Voted | - | - | - | - | - | - (1,434,995) | | Total spending in Annually | | | | | | | | Managed Expenditure | 7,568,312 (7,582,819) | (14,507) | 310,790 | 325,297 | 325,297 (1,612,974) | | | Total DEL and | | | | | | | | AME Capital | 18,673,623 (7,853,494) 10,820,129 11,584,937 | 764,808 | 764,808 | 3,269,405 | | | Explanations of the significant variances between the Outturn and Estimate are included in the Directors' financial review on page 33. | | 2016-17 | 2015-16 | |-----------|-----------|-----------| | Outturn | Estimate | Outturn | | Net total | | | | compared | | | | with | | | | Net total | Estimate, | | | compared | adjusted | | | with | for | | | Estimate | virements | Net | ## Sops 2: Reconciliation Of Net Resource Outturn To Net Operating Expenditure Total resource outturn in Statement of Parliamentary Supply Add: NDA remedial decommissioning costs which are capital in budgets but taken through the SoCNE 1,970,695 1,780,384 Capital Grants 1,737,259 1,925,742 Share of profit/loss of joint ventures and associates 242 30,774 Other non-budget 28,090 1,812 Share of minority interest 4,604 3,991 Research and Development costs 6,190,998 0 Less: Postal Services Holding net profit on disposal of Royal Mail 0 (1,434,995) Investments realised 0 (29,384) Non-budgetary income (28,468) 0 Ordnance Survey dividend in specie 0 (135,752) Non-budget, non-voted items in respect of BIS (Postal Services Act 2011) Company Limited and B Company Limited (88,164) (103,093) Expected return on pension scheme assets (42,266) (38,060) Gains/(losses) on defined benefit scheme (14,260) 7,648 NDA income scored in SOPS only 61,348 69,593 Capital Income in SOCNE (73,115) (208,459) Amortisation of financial guarantees (7,768) (14,496) Research and Development income (342,822) 0 Other: Impact of intra–group transactions (65,773) (1,077) Other differences 16,424 (10,539) Net Expenditure for the period in Consolidated Statement of Comprehensive Net Expenditure The prior year comparatives present the Net Operating Expenditure as reported at 31 March 2017. This is restated following a Machinery of Government change. 2015-16 2016-17 restated Note Outturn Outturn £'000 £'000 SoPS 1.1 5,495,549 110,263,143 14,842,573 112,107,232 ## Sops 3: Reconciliation Of Net Resource Outturn To Net Cash Requirement | Resource Outturn | 19,749,395 | 5,495,549 | 14,253,846 | |-------------------------------------------------------|------------------|--------------|--------------| | Capital Outturn | 11,584,937 | 10,820,129 | 764,808 | | Accruals to cash adjustments: | | | | | Adjustments to remove non-cash items: | | | | | Depreciation/Amortisation | (30,424) | (27,392) | (3,032) | | New provisions and adjustments to previous provisions | (31,332) | (77,542) | 46,210 | | Movement in fair value - Contracts for Difference | (119,000) | 1,337,205 | (1,456,205) | | Other non-cash items | 50,174 | (279,927) | 330,101 | | Adjustments for NDPBs: | | | | | Remove voted resource and capital | (25,474,241) | (12,912,859) | (12,561,382) | | Add cash grant-in-aid | 8,345,364 | 7,441,033 | 904,331 | | Add share purchase | - | 716,483 | (716,483) | | Adjustments to reflect movements in working balances: | | | | | Increase/(decrease) in receivables | 1,000,000 | (156,468) | 1,156,468 | | (Increase)/decrease in payables | - | 40,356 | (40,356) | | Use of provisions | 306,769 | 301,685 | 5,084 | | Financial guarantees called in | - | 10,967 | (10,967) | | | 15,381,642 | 12,709,219 | 2,672,423 | | Removal of non-voted budget items: | | | | | | Other adjustment | 773,000 | 795,257 | | Net cash requirement | 16,154,642 | 13,504,476 | 2,650,166 | ## Sops 4: Income Payable To The Consolidated Fund In addition to income retained, the following income was payable to the Consolidated Fund. Cash receipts are shown in italics. | Operating income of the NDA within the Ambit | 756,394 | |----------------------------------------------------|-----------| | 762,000 | | | 935,267 | | | 934,000 | | | Operating income outside the Ambit of the Estimate | 242,526 | | 242,851 | | | 1,979,730 | | | 1,979,527 | | | Total income payable to the Consolidated Fund | | | 998,920 | | | 1,004,851 | | | 2,914,997 | | | 2,913,527 | | 2016-17 Net total outturn compared with Estimate: Estimate Outturn saving/(excess) £'000 £'000 £'000 31,334,332 16,315,678 15,018,654 2016-17 2015-16 restated Outturn Outturn Income Receipts Income Receipts £'000 £'000 £'000 £'000 ## 1 Regularity Of Expenditure Losses And Special Payments The disclosures in this note are in accordance with *Managing Public Money*, the official guidance on handling public funds. ## Losses Statement Core and Agencies Total number of losses 7,460 7,827 8,138 8,299 RPS receivable impairment 249 249 261 261 Other losses 39 40 283 284 Total value of losses (£m) 288 289 544 545 ## Details Of Cases Over £300,000 Constructive Losses Core Department Cash Losses Core Department The core Department holds onerous leases for properties on the Department's estate, for which we have provided £113 million. The payments made during the course of 2016-17 in respect of these leases amounted to £18.8 million (2015-16: £16.1 million). £18.9 million was written off in 2016-17 in respect of Hatfield Colliery Partnership Limited. A loan was provided by BEIS in order to preserve the viability of a managed closure plan, but was unable to be fully repaid as the company went into liquidation. ## Store Losses Departmental Group Claims Abandoned Core Department A loss of £900,000 was incurred by the Nuclear Decommissioning Authority from the write off of stores items on nuclear licensed sites. Redundancy Payment Service (RPS) receivable impairment: most of the redundancy payments made from the National Insurance Fund (NIF) are in respect of employees of insolvent companies. Repayment of debt is recovered from the sale of the assets of the insolvent company. A small part of the debt is preferential but most ranks with ordinary creditors. Therefore most of the debt is irrecoverable. HMRC record the impairment of the RPS receivable in NIF accounts. The RPS receivable impairment for 2016-17 is £249 million (2015-16: £261 million). | 2016-17 | 2015-16 restated | |--------------|--------------------| | Departmental | Departmental | | Group | | | Core and | | | Agencies | Group | ## Special Payments Special Payments Include Extra–Contractual, | Total number of special payments | 29 | 53 | 32 | 38 | |--------------------------------------|------|------|------|------| | Total value of special payments (£m) | 1 | 99 | - | 1 | ## Details Of Cases Over £300,000 Extra–Contractual Payments Core Department The Department funded a settlement for one of its Partner Organisations with SSCL of £500,000 in 2016-17. This settlement ended the preexisting contract with SSCL. ## Compensation Payments Departmental Group The Nuclear Decommissioning Authority made special payments in 2016-17 of a) £583,540 in settlement of a tribunal case and b) £85,000,000 to Energy Solutions and £12,345,885 to Bechtel in settlement of legal action relating to procurement of a new parent body organisation for the Magnox nuclear licensed sites. Increase/ 1 April (Decrease) 2016 in year £m £m £m £m £m £m GIB has provided indemnities relating to costs of decommissioning and restoring sites once they are no longer in use. 103 (70) - - 33 - Other 1 - - (1) - - BEIS has indemnified Cornwall Council for European Regional Development Fund (ERDF)–related liability, arising from the transfer of Wave Hub. - 18 - - 18 18 Total 104 (52) - (1) 51 18 ex–gratia, compensation and special severance payments. | | 2016-17 | 2015-16 restated | |--------------|--------------|--------------------| | Departmental | Departmental | Core and | | Agencies | Group | | | Core and | | | | Agencies | Group | | ## 1 Remote Contingent Liabilities Quantifiable The Departmental Group has entered into the following quantifiable contingent liabilities by offering guarantees, indemnities or letters of comfort. None of these is a contingent liability within the meaning of IAS 37 since the likelihood of a transfer of economic benefit in settlement is too remote. They therefore fall to be disclosed under the requirements of the 'Government Financial Reporting Manual' and 'Managing Public Money'. Measurement is carried out following the requirements of IAS 39, given that the reporting requirements of 'Managing Public Money', and these liabilities, fall outside the scope of IAS 37. 'Managing Public Money' requires that the full potential costs of such contracts be reported to Parliament. Amount reported to Liabilities Obligations crystallised expired in 31 March Parliament by Departmental in year year 2017 Minute ## Unquantifiable Other Core Department • On 29 March 2017, the UK Government BEIS has also incurred the following unquantifiable contingent liabilities. None of these are a contingent liability within the meaning of IAS 37 since the possibility of a transfer of economic benefit in settlement is too remote. ## Statutory Guarantees Core Department • In the event of BAE Systems plc (BAES) being wound up, other than for the purpose of reconstruction or amalgamation, the Government is contingently liable to discharge any outstanding liability of BAES which vested in them on 01 January 1981 under section 9, British Aerospace Act 1980. ## Statutory Indemnities Core Department • Indemnities given to UK Atomic Energy • Incidents/accidents Insurance claims for Authority by the Secretary of State to cover indemnities given to carriers against certain claims for damage caused by nuclear matter in the course of carriage. • Indemnities given to bankers of the Insolvency • A contingent liability in respect of risk Service against certain liabilities arising in respect of non-transferable "account payee" cheques due to insolvent estates and paid into the Insolvency Service's account. • The Police Information Technology • European Patent Office (EPO): the UK, as Organisation (Home Office) provides the Criminal Enforcement Team (formerly part of BEIS) with access to data from the Police National Computer (PNC). The Insolvency Service (and BEIS) has indemnified the police against any liabilities which they may incur as a result of providing that access. • World Intellectual Property Organisation: • Indemnity given to National Grid's liabilities with regards to the interconnector linking the UK and France. • Indemnities have been given to the Directors submitted its notification to leave the EU and Euratom in accordance with Article 50 of the Treaty on the European Union and the corresponding provision of the Euratom Treaty. This started a two-year negotiation process. Any subsequent changes in legislation, regulation and funding arrangements are subject to the outcome of the negotiations. As a result, an unquantifiable remote contingent liability is disclosed. In accordance with accounting standards, no contingent assets can be recognised. During this two–year period, which includes the full duration of the next accounting period, the UK remains a full member of the EU and Euratom with all the rights and obligations arising from membership. There are no significant impacts on the financial statements in the short term from making the formal notification. exposure to ionising radiation pursued outside the existing UK Atomic Energy Authority insurance scheme. associated with the core Department assuming responsibility for uplifts in pension contributions for the UK Atomic Energy Authority's non-active pension scheme members. one of the contracting states, has a potential liability under Article 40 of the European Patent Convention of 1973. the UK, as a contracting state to the Patent Co-operation Treaty of 1970, has a potential liability under Article 57 of the Treaty. appointed by the Department to wholly owned subsidiaries. These indemnities are against personal liability following any legal action against the relevant company. • An indemnity has been provided to Pöyry PLC relating to the use of their yield curve data for the sale of GIB. The data was an important component of a bidder's due diligence, risk assessment and ultimately the price they were willing to pay. BEIS has indemnified Pöyry PLC for any liability that occurs as a result of using their information in the sale process that may be brought by bidders in relation to the transaction. • An indemnity has been provided to the Official Receiver relating to their actions as administrator of SSI Redcar with respect to the administration of the site. • The Department has a contingent liability relating to ongoing legal cases. The cost is dependent on the outcome of cases which currently cannot be reliably estimated. • In the event Financial Reporting Council's legal costs fund fall below £1 million in any year, BEIS will make a grant payment to cover legal costs subsequently incurred in that year. • Nuclear Liabilities Fund - Indemnities have been given to the Trustees of the Fund appointed by the Secretary of State. These indemnities are for personal liability due to potential legal action against the Fund. • Nuclear Liabilities Fund - Indemnities have been given to the British Energy (now EDF Energy) appointed Trustees of the Fund. These indemnities are for personal liability due to potential legal action against the Fund. These indemnities can only be invoked following a failed recourse to an indemnity from EDF Energy. • Indemnities have been given to the Directors appointed to the Low Carbon Contracts Company Ltd (formerly CFD Counterparty Company Limited) and to Electricity Settlements Company Ltd. The indemnities are against personal liability following any legal action against the companies. The indemnities make clear that they are the last resort for the companies after all other means have been exhausted i.e. Company and Directors insurance (cover limit of £100m); and the recovery of costs through the levy. This reduces the Department's potential exposure. • Indemnity provided to Low Carbon Contracts Company Ltd and Electricity Settlements Company Ltd in respect of their Officers. The indemnities make clear that they are the last resort for the companies after all other means have been exhausted i.e. Company and Directors insurance (cover limit of £100m); and the recovery of costs through the levy. • Statutory liability in the event of a nuclear accident in the UK for third-party claims in excess of the operator's liability. • Liability for non-compliance with the Cogeneration Directive (2004/8/EC): in the event contractors for the Department incorrectly certify combined heat and power plants. • Liability for costs of retrieving and disposing of sealed radioactive sources in the event that a company keeping such sources becomes insolvent under the High Activity Sealed Sources (HASS) Directive: Council Directive 2003/122/EURATOM. • Under section 9 of The Radioactive Contaminated Land (Modification of Enactments) (England) (Amendment) Regulations 2007 SI 2007/3245 the Secretary of State is deemed to be the appropriate person to bear responsibility for remediation of land contaminated by a nuclear occurrence. • An indemnity for loss or damage caused to other parties to the Energy Research Partnership consortium agreement. • Under the EU Emissions Trading Scheme, Member States are required to appoint a Single Auction Monitor to oversee the auctioning of allowances in Phase III. The Joint Procurement Agreement for the Single Auction Monitor (JPA) provides for Member States to indemnify the Commission should the Commission be required to compensate a third party or another Member State for damages which arise in connection with the JPA. The contingent liability shall remain in place until such time as the JPA no longer exists in its current form. The JPA will remain in place for as long as the obligation to jointly appoint an auction monitor remains under the EU Auctioning Regulation. This period is not specified. • The Department has indemnified Elexon • The Department is responsible under the Ltd against third-party claims relating to the design and/or implementation of Contracts for Difference (CfD) and Capacity Markets (CM) settlement systems which are not covered by insurance and/or guarantees by their subcontractors. • Organisation for Economic Co-operation ## Departmental Group • STFC collaborates with a number of and Development (OECD) and International Energy Agency (IEA): an indemnity for any loss to the IEA arising from use of its data in the Department's Global Climate Change 2050 Pathways Calculator, limited to maximum of £100,000. • Nuclear Liabilities Fund - A constructive These liabilities are unquantifiable due to the nature of the liability and the uncertainties surrounding them. ## Other Remote Contingent Liabilities Indemnities Core Department • The Secretary of State Investor Agreement obligation was created in 2002 when the Government undertook to underwrite the Nuclear Liabilities Fund in respect of uncontracted and decommissioning liabilities of British Energy (now EDF Energy Nuclear Generation Limited (EDFE)) to the extent that the assets of the Fund fall short. The undiscounted estimated liabilities of £19.9 billion (2015-16 £19.7 billion) have a present value of £32.8 billion (2015-16 £33 billion) using the prescribed discount rate from HM Treasury of negative 0.8% (2015-16 negative 0.8%). The value of the Fund is £9.4 billion (2015-16 £9.2 billion) and is likely to increase in the future from investment returns. It is hard to quantify the extent to which the net position of the Fund might represent a contingent liability or asset given the high level of uncertainty relating to estimation of cash outflows and investment returns over a future period exceeding 100 years. In view of changes to actual and expected interest rates and expected rates of inflation experienced during the course of the year, the Trustees are currently reviewing the Fund's asset allocation to help ensure sufficient funding to meet expected liabilities. On this basis, the Department believes it would not be appropriate to consider this as either a contingent liability or asset United Nations Convention on the Law of the Sea (UNCLOS) 1982, OSPAR decision 98/3, the Energy Act 2004 and the Petroleum act 1998 for decommissioning most oil, gas and renewable energy installations in the event that operators are unable to fulfil their decommissioning commitments. The potential cost of these liabilities will vary by site and cannot be reliably forecast. international partners in the funding, management and operation of technical facilities which it does not own. For each of these facilities STFC may be obliged to contribute to decommissioning costs arising from a decision to discontinue operations. The most significant of these potential liabilities is in respect of CERN and the European Southern Observatory (ESO). (SOSIA) provides protections in certain scenarios where the Hinkley Point C Nuclear plant is shut shown for reasons that are political, or due to certain changes in insurance arrangements or certain changes in law. Payments under the SOSIA would be expected in the first instance to be made using funds from the Supplier Obligation but in certain circumstances they could also come direct from the Secretary of State relying on spending powers granted under the relevant Appropriation Act or, if payments were to be made over a period longer than 2 years, seeking a new spending power at the time. The payments could be up to around £22bn excluding non-decommissioning operational costs that may be incurred after any shutdown. However, the liability to make payments under the SOSIA is almost entirely within the control of HM Government. ## Departmental Albs • The NDA has non-quantifiable contingent liabilities arising from indemnities given as part of the contracts for the management of the nuclear site license companies. These indemnities are in respect of the uninsurable residual risk that courts in a country which is not party to the Paris and Brussels Conventions on third–party liability in the field of nuclear energy may accept jurisdiction to determine liability in the event of a nuclear incident. Indemnities are in place in respect of Magnox, LLWR and Dounreay as set out in the relevant Parent Body Agreements. In addition, indemnities are provided to the previous PBO's of Magnox and Sellafield covering the periods of their ownership. These are not treated as contingent liabilities within the meaning of IAS 37 since the possibility of a transfer of economic benefit in settlement is considered too remote. ## Other Potential Or Expected Liabilities The Department has entered into the following quantifiable arrangements, none of which are a contingent liability requiring disclosure under IAS 37. The following information has been provided in the interests of transparency. • Hinkley Point C Funded Decommissioning Programme (FDP) and Waste Transfer Contracts (WTCs) The contract with NNB Generation Company Limited (NNB) to build Hinkley Point C (HPC) nuclear power plant includes a Contract for Difference between NNB and the Low Carbon Contracts Company, an FDP and associated FDP documents including WTCs between NNB and the core Department. The FDP and related documents including WTCs require NNB to make prudent provision for their waste and decommissioning liabilities. To meet their liabilities, the operator must set up a fund with an independent governance framework and will pay into it so that it is on track to fund the liabilities that arise from decommissioning and waste management. The fund will report annually to the Secretary of State and a full review will be conducted every 5 years to ensure that the fund is on track to meet all its liabilities. If it is off track, the operator will be required to take corrective action. These liabilities are strictly the operator's responsibility and the probability of taxpayers picking up these liabilities is remote. Alongside the FDP, the Government has entered into 2 WTCs. These set out terms on which the Government will take title to and liability for the spent fuel and intermediate level waste (ILW) from the site after decommissioning in order to dispose of the waste safely. The WTCs have generally been prepared in line with the Government's published waste transfer pricing methodology. 1 Although the WTCs provide a default price based on today's best estimate, they allow the waste transfer price to be set after a specified later date. The final price agreed is subject to a cap, but the likelihood of the future costs exceeding the agreed cap is considered remote. ## • Capacity Agreements These are statutory arrangements between National Grid, as system operator, and capacity providers. They require the capacity provider to be able to provide a given level of capacity in relevant delivery years when called upon to do so by National Grid. To date three auctions have been held for capacity to be delivered in 2018-19, 2019-20 and 2020- 21. These awarded 49.26 GW of capacity agreements at a cost of £1.790 billion, 45.37 GW capacity agreements at a cost of £1.089 billion, and 52.43 GW of capacity agreements at a cost of £2.024 billion respectively. The payments to capacity providers will be funded by a levy on licensed electricity suppliers. | As at 31 March 2017 | As at 31 March 2016 | |--------------------------|-----------------------| | Due | | | Due | within | | over 5 | within | | 1 year | | | 2 to 5 | | | years | | | £m | £m | | Capacity Market - ESC | - | | Income from levy - ESC | - | | Total Departmental Group | - | and Permanent Secretary 13 July 2017 The Department has responsibility for administering the settlement process. This role is carried out by the Electricity Settlements Company (ESC), a company set up and owned by the Department. The obligation for the ESC to make capacity payments only arises when the respective levy is received from licensed suppliers and the generator provides the agreed level of capacity. The potential income and payments arising from these arrangements are set out in the following table. Due Due Due within Due over 5 years Total within 1 year 2 to 5 years years Total ## The Certificate And Report Of The Comptroller And Auditor General To The House Of Commons I certify that I have audited the financial statements of the Department for Business, Energy and Industrial Strategy and of its Departmental Group for the year ended 31 March 2017 under the Government Resources and Accounts Act 2000. The Department consists of the core Department and its agencies. The Departmental Group consists of the Department and the bodies designated for inclusion under the Government Resources and Accounts Act 2000 (Estimates and Accounts) Order 2016. The financial statements comprise: the Department's and Departmental Group's Statements of Comprehensive Net Expenditure, Financial Position, Cash Flows, Changes in Taxpayers' Equity; and the related notes. I have also audited the Statement of Parliamentary Supply and the related notes. These financial statements have been prepared under the accounting policies set out within them. I have also audited the information in the Remuneration Report, Staff Report and Parliamentary Accountability disclosures within the Accountability Report that is described in those reports as having been audited. ## Respective Responsibilities Of The Accounting Officer And Auditor As explained more fully in the Statement of Accounting Officer's Responsibilities, the Accounting Officer is responsible for the preparation of the financial statements and for being satisfied that they give a true and fair view. My responsibility is to audit, certify and report on the financial statements in accordance with the Government Resources and Accounts Act 2000. I conducted my audit in accordance with International Standards on Auditing (UK and Ireland). Those standards require me and my staff to comply with the Auditing Practices Board's Ethical Standards for Auditors. ## Scope Of The Audit Of The Financial Statements An audit involves obtaining evidence about the amounts and disclosures in the financial statements sufficient to give reasonable assurance that the financial statements are free from material misstatement, whether caused by fraud or error. This includes an assessment of: whether the accounting policies are appropriate to the Department's and the Departmental Group's circumstances and have been consistently applied and adequately disclosed; the reasonableness of significant accounting estimates made by the Accounting Officer; and the overall presentation of the financial statements. In addition I read all the financial and non-financial information in the Annual Report to identify material inconsistencies with the audited financial statements and to identify any information that is apparently materially incorrect based on, or materially inconsistent with, the knowledge acquired by me in the course of performing the audit. If I become aware of any apparent material misstatements or inconsistencies I consider the implications for my certificate. I am required to obtain evidence sufficient to give reasonable assurance that the Statement of Parliamentary Supply properly presents the outturn against voted Parliamentary control totals and that those totals have not been exceeded. The voted Parliamentary control totals are Departmental Expenditure Limits (Resource and Capital), Annually Managed Expenditure (Resource and Capital), Non-Budget (Resource) and Net Cash Requirement. I am also required to obtain evidence sufficient to give reasonable assurance that the expenditure and income recorded in the financial statements have been applied to the purposes intended by Parliament and the financial transactions recorded in the financial statements conform to the authorities which govern them. ## Opinion On Regularity In my opinion, in all material respects: ## Emphasis Of Matter - Provisions For Nuclear Decommissioning And Contracts For Difference (Cfds) Derivative • the Statement of Parliamentary Supply properly presents the outturn against voted Parliamentary control totals for the year ended 31 March 2017 and shows that those totals have not been exceeded; and • the expenditure and income recorded in the financial statements have been applied to the purposes intended by Parliament and the financial transactions recorded in the financial statements conform to the authorities which govern them. ## Opinion On Financial Statements Without qualifying my opinion, I draw attention to the disclosures made in Notes 1.29 and 19.1 to the financial statements concerning the uncertainties inherent in the provisions relating to the costs of dealing with nuclear decommissioning liability. As set out in these notes, given the complexity and the very long timescales involved, a considerable degree of uncertainty remains over the value of the liabilities. Significant changes to the liabilities could occur as a result of subsequent information and events which are different from the current assumptions adopted. In my opinion: • the financial statements give a true and fair view of the state of the Department's and the Departmental Group's affairs as at 31 March 2017 and of the Department's net expenditure and Departmental Group's net expenditure for the year then ended; and • the financial statements have been properly prepared in accordance with the Government Resources and Accounts Act 2000 and HM Treasury directions issued thereunder. I also draw attention to the disclosures made in Notes 1.29 and 9 to the financial statements concerning the measurement of liabilities relating to CfDs. As this note describes, the fair value of these liabilities is highly sensitive to assumptions regarding future prices and volumes, particularly in view of the long timescales involved. As disclosed in note 9, the Department has concluded that the uncertainty over the valuation of the CfD for Hinkley Point C is such that the liability does not meet the recognition criteria set out in the Conceptual Framework for Financial Reporting. ## Opinion On Other Matters In my opinion: • the part of the Remuneration Report, Staff • the information given in the Performance Report and Parliamentary Accountability disclosures to be audited has been properly prepared in accordance with HM Treasury directions made under the Government Resources and Accounts Act 2000; and Report and Accountability Report for the financial year for which the financial statements are prepared is consistent with the financial statements. ## Matters On Which I Report By Exception I have nothing to report in respect of the following matters which I report to you if, in my opinion: • adequate accounting records have not been kept or returns adequate for my audit have not been received from branches not visited by my staff; or • the financial statements and the part of the Remuneration Report, Staff Report and Parliamentary Accountability disclosures to be audited are not in agreement with the accounting records and returns; or • I have not received all of the information and explanations I require for my audit; or • the Governance Statement does not reflect compliance with HM Treasury's guidance. ## Report I have no observations to make on these financial statements. Sir Amyas C E Morse Comptroller and Auditor General 17th July 2017 National Audit Office 157-197 Buckingham Palace Road Victoria London SW1W 9SP ## Financial Statements Primary Statements Consolidated Statement Of Comprehensive Net Expenditure For The Year Ended 31 March 2017 Note Income from sale of goods and services 6.1 (286) (1,782) (624) (2,118) Total operating income (286) (1,782) (624) (2,118) Staff costs 3 282 992 315 1,009 Purchase of goods and services 4.1 1,629 2,694 1,572 2,483 Depreciation and impairment charges 4.2 445 861 376 621 Provision expense 4.3 72 6,679 210 93,093 Grants 4.4 11,415 7,281 11,307 7,371 Other operating expenditure (19) (127) 2 (59) Profit on disposal of shareholding in Royal Mail plc 10.1 - - - (1,435) Total operating expenditure 13,824 18,380 13,782 103,083 Net operating expenditure 13,538 16,598 13,158 100,965 Finance income 6.2 (168) (252) (364) (363) Finance expense 5 (29) (1,305) (23) 1,404 Contracts for difference derivatives 9 (1,337) (181) 839 10,122 Net expenditure for the year from continuing operations 12,004 14,860 13,610 112,128 Net expenditure for the year from discontinuing operations 15 - (18) - (21) Net expenditure for the year 12,004 14,842 13,610 112,107 Other Comprehensive Income and Expenditure Net (gain)/loss on: Items that will not be reclassified to net operating expenditure: - revaluation of property, plant and equipment (1) (145) 2 (146) - revaluation of intangible assets - 1 - (21) Items that may be reclassified subsequently to net operating costs: - revaluation of investments (241) (91) 306 1,797 - actuarial (gains)/losses - 144 - (111) - other movements in fair value (21) (56) (86) (126) Total other comprehensive net income and expenditure from continuing operations (263) (147) 222 1,393 | | 31 March 2017 | 31 March 2016 restated | |------------|-----------------|--------------------------| | Core | | Core | | Department | Department | | | and | | Departmental | | Agencies | Group | Agencies | | £m | £m | £m | Department Note Agencies Total other comprehensive net income and expenditure from discontinuing operations - 7 - 1 Total other comprehensive net income and expenditure (263) (140) 222 1,394 Comprehensive net expenditure for the year 11,741 14,702 13,832 113,501 All operations are continuing apart from those included in note 15. Comparative figures for 2015-16 have been re-stated to reflect the merger of the Department for Business, Innovation and Skills and the Department of Energy and Climate Change to form the Department for Business, Energy and Industrial Strategy (BEIS). There have also been a number of Machinery of Government changes relating to former DECC and former BIS which had an impact on the prior year comparatives. Further analysis of staff costs can be found in the Staff report in the Accountability Report on page 83. The Notes on pages 128 to 219 form part of these Accounts. | | 31 March 2017 | 31 March 2016 restated | |------------|-----------------|--------------------------| | Core | | Core | | Department | | | | and | | Departmental | | Group | Agencies | Group | | £m | £m | £m | ## Consolidated Statement Of Financial Position As At 31 March 2017 | 31 March 2017 | 31 March 2016 restated | 1 April 2015 restated | |-----------------------|--------------------------|-------------------------| | Core | | | | Department | | | | and | | Departmental | | Note | Agencies | Group | | £m | £m | £m | | Non–current | | | | assets: | | | | Property, plant and | | | | equipment | 7 | 264 | | Investment | | | | properties | 31 | 151 | | Intangible assets | 8 | 6 | | Investment and | | | | loans in public | | | | bodies | 10 | 2,171 | | Other financial | | | | assets | 11 | 1,484 | | Recoverable | | | | contract costs | 12 | - | | Derivative financial | | | | instruments | 64 | 70 | | Investment in | | | | joint ventures and | | | | associates | 13 | - | | Trade and other | | | | receivables | 14 | 305 | | Total non– | | | | current assets | 4,325 | 12,656 | | Current assets: | | | | Inventories | - | 33 | | Non–current | | | | assets held for sale | 15 | 1,517 | | Trade and other | | | | receivables | 14 | 438 | | Investments and | | | | loans in public | | | | bodies | 16 | 682 | | Other financial | | | | assets | 11 | 1 | | Derivative financial | | | | instruments | 31 | 42 | | Cash and cash | | | | equivalents | 17 | 1,192 | | Total current | | | | assets | 3,861 | 6,484 | | Total assets | 8,186 | 19,140 | | Current | | | | liabilities: | | | | Trade payables | | | | and other liabilities | 18 | (2,248) | | Core | Core | |------------|------------| | Department | Department | | and | | | Agencies | Group | | 31 March 2017 | 31 March 2016 restated | 1 April 2015 restated | |-----------------------|--------------------------|-------------------------| | Core | | | | Department | Department | | | and | | Departmental | | Note | Agencies | Group | | £m | £m | £m | | Provisions | 19 | (289) | | Financial | | | | guarantees | (18) | (18) | | Non-current | liabilities | | | held for sale | - | (1,000) | | Total current | | | | liabilities | (2,555) | (9,490) | | Non–current | | | | assets plus/ | | | | less net current | | | | assets/ liabilities | 5,631 | 9,650 | | Non–current | | | | liabilities: | | | | Trade payables | | | | and other liabilities | 18 | (1,023) | | Provisions | 19 | (2,297) | | Financial | | | | guarantees | (43) | (43) | | Derivative financial | | | | instruments | 9 | - | | Retirement benefit | | | | obligations | 20 | - | | | | | | (842) | - | (277) | | Total non– | | | | current liabilities | (3,363) | (181,650) | | Total assets less | | | | liabilities | 2,268 | (172,000) | | Taxpayers' | | | | equity and other | | | | reserves: | | | | General fund | 1,364 | (175,252) | | Revaluation | | | | reserve | 904 | 2,813 | | Non-current | | | | assets held for sale | | | | revaluation reserve | - | | | Charitable funds | - | 319 | | Non–controlling | | | | interests | - | 105 | | Total equity | 2,268 | (172,000) | Core Department and Agencies comprise the core Department and the UK Space Agency, National Measurement and Regulation Office, Insolvency Service and the Oil and Gas Authority (until 30th September 2016). The notes on pages 128 to 219 form part of these accounts. Alex Chisholm Principal Accounting Officer and Permanent Secretary 13 July 2017 | Core | Core | |------------|----------| | Department | | | and | | | Group | Agencies | ## Consolidated Statement Of Cash Flows For The Year Ended 31 March 2017 Note Cash flows from operating activities Net operating cost (12,004) (14,860) (13,610) (112,128) Net operating cost from discontinuing operations - 18 - 21 Adjustment for non–cash expenditure (941) 6,048 1,293 103,911 (Increase)/decrease in inventories - 14 - (5) Less movements in inventories relating to items not passing through the Consolidated Statement of Comprehensive Net Expenditure - (1) - - (Increase)/decrease in trade and other receivables 14 162 35 541 823 Less movements in receivables relating to items not passing through the Consolidated Statement of Comprehensive Net Expenditure (5) (66) (6) (6) Increase/(decrease) in trade payables and other liabilities 18 645 318 (510) (47) Less movements in payables relating to items not passing through the Consolidated Statement of Comprehensive Net Expenditure (394) 334 943 1,344 Use of provisions 19 (301) (3,157) (663) (3,533) Payments to retirement benefit obligations – (155) – (153) Financial guarantees called in (11) (11) (11) (11) Expenditure funded by the National Insurance Fund (RPS) 4.1 232 232 254 254 Net cash outflow from operating activities (12,617) (11,251) (11,769) (9,530) Cash flows from investing activities Purchase of property, plant and equipment (25) (342) (16) (763) Purchase of investment property - - (15) (15) Purchase of intangible assets (3) (32) (3) (23) Proceeds of disposal of property, plant and equipment 3 25 (1) 2 Proceeds of disposal of investment property - - 10 41 Proceeds of disposal of intangible assets 1 1 - 1 Proceeds of disposal of assets held for sale - 23 - 2 Loan redeemed from Post Office Limited 16 7,527 7,530 7,288 7,289 Loans made to Post Office Limited 16 (7,661) (7,661) (7,511) (7,511) Repayments of other current loans and investments 3 3 2 2 Repayments of other non current loans and investments 10 - - 6 - Repayments of other loans and investments 47 452 82 2,795 Other investments and loans made (171) (1,264) (237) (2,736) Launch investment receipts 144 144 112 112 Venture capital fund redemptions 14 12 - 17 Venture capital fund investments (13) (79) (22) (66) | | 2016–17 | 2015–16 restated | |------------|------------|--------------------| | Core | | Core | | Department | Department | | | and | | Departmental | | Agencies | Group | Agencies | | £m | £m | £m | Department Note Agencies Dividends from Joint ventures and associates - 5 - 5 Disposal of Joint venture and associates - 47 - 16 Investment in Joint ventures and associates 13 - (186) - (200) Investment in shares (753) (37) (462) (229) Net cash outflow from investing activities (887) (1,359) (767) (1,261) Cash flows from financing activities From Consolidated Fund (supply) - current year 14,750 14,750 11,427 11,427 From Consolidated Fund (supply) - prior year 153 153 140 140 To Consolidated Fund (supply) - prior year (909) (909) – – From the National Insurance Fund 232 232 254 254 Payments to the National Insurance Fund (232) (232) (254) (254) Capital element of payments in respect of finance leases and on-balance sheet PFI contracts - (1) - - Capital contributions from non-controlling interests - 8 - - Issue of share capital - - - 1 Other adjustments relating to financing activities – 1 - - Net Financing 13,994 14,002 11,567 11,568 Less movements in cash and cash-equivalents relating to non-current assets held for sale – (69) – – Net increase/(decrease) in cash and cash equivalents in the period before adjustment for receipts and payments to the Consolidated Fund 490 1,323 (969) 777 Receipts due to the Consolidated Fund which are outside the scope of the Department's activities 1,005 77 2,915 979 Payments of amounts due to the Consolidated Fund (1,078) (1,078) (2,864) (2,864) Net increase/(decrease) in cash and cash equivalents in the period after adjustment for receipts and payments to the Consolidated Fund 417 322 (918) (1,108) Restated cash and cash equivalents opening balance 775 1,495 1,693 2,603 Cash and cash equivalents at the end of the period 17 1,192 1,817 775 1,495 The notes on pages 128 to 219 form part of these accounts. | | 2016–17 | 2015–16 restated | |------------|-----------|--------------------| | Core | | Core | | Department | | | | and | | Departmental | | Group | Agencies | Group | | £m | £m | £m | ## Statement Of Changes In Taxpayers' Equity (Core Department And Agencies) For The Year Ended 31 March 2017 | General | | Revaluation | Taxpayers' | Total | |-----------------------------------------|----------|----------------|---------------|----------| | Note | Fund | Reserve | equity | Reserves | | £m | £m | £m | £m | | | Balance at 1 April 2015 restated | 449 | 893 | 1,342 | 1,342 | | Net parliamentary funding - drawn down | 11,427 | - | 11,427 | 11,427 | | Net parliamentary funding - deemed | 1,594 | - | 1,594 | 1,594 | | National Insurance Fund - RPS | 4.1 | 254 | - | 254 | | Supply (payable)/receivable adjustment | 18 | (488) | - | (488) | | Decrease in RPS receivables | 14 | (6) | - | (6) | | Net expenditure for the year | (13,610) | - | (13,610) | (13,610) | | Non–Cash Adjustments: | | | | | | Auditors' remuneration | 4.1 | 1 | - | 1 | | Movements in Reserves: | | | | | | Other comprehensive net (expenditure) | | | | | | /income for the year | - | (222) | (222) | (222) | | Transfers between reserves | 23 | (23) | - | - | | Other movements | 3 | (1) | 2 | 2 | | Balance at 31 March 2016 restated | (353) | 647 | 294 | 294 | | Net parliamentary funding - drawn down | 14,750 | - | 14,750 | 14,750 | | Net parliamentary funding - deemed | (269) | - | (269) | (269) | | National Insurance Fund - RPS | 4.1 | 232 | - | 232 | | Supply (payable)/receivable adjustment | 18 | (977) | - | (977) | | Income payable to the Consolidated Fund | (11) | - | (11) | (11) | | Decrease in RPS receivables | 14 | (5) | - | (5) | | Net expenditure for the year | (12,004) | - | (12,004) | (12,004) | | Non–Cash Adjustments: | | | | | | Auditors' remuneration | 4.1 | 1 | - | 1 | | Movements in Reserves: | | | | | | Other comprehensive net (expenditure) | | | | | | /income for the year | - | 263 | 263 | 263 | | Transfers between reserves | 2 | (2) | - | - | | Other movements | (2) | (4) | (6) | (6) | | Balance at 31 March 2017 | 1,364 | 904 | 2,268 | 2,268 | Total Reserve Noninterests controlling Funds - Charitable Unrestricted equity Taxpayers' for Sale Reserve Revaluation Assets Held Non-current Reserve Revaluation £m £m £m £m £m £m £m Fund General Note Balance at 1 April 2015 restated (71,154) 4,310 - (66,844) 297 90 (66,457) Net parliamentary funding - drawn down 11,427 - – 11,427 - – 11,427 Net parliamentary funding - deemed 1,594 - – 1,594 - – 1,594 National Insurance Fund - RPS 4.1 254 - – 254 - – 254 Supply (payable)/receivable adjustment 18 (488) - – (488) - – (488) Income payable to the Consolidated Fund (935) - – (935) - – (935) Decrease in RPS receivables 14 (6) - – (6) - – (6) Net expenditure for the year (112,107) - – (112,107) - – (112,107) Amounts paid from distributable reserves (1,969) - – (1,969) - – (1,969) Non-Cash Adjustments: ## Consolidated Statement Of Changes In Taxpayers' Equity (Departmental Group) For The Year Ended 31 March 2017 Auditors' remuneration 4.1 1 - – 1 - – 1 Movements in Reserves: Other comprehensive net (expenditure)/income 111 (1,505) - (1,394) - – (1,394) Transfers between reserves 106 (120) - (14) 14 - – Minority interest - – - – - (5) (5) Issue of share capital 1 - – 1 - – 1 Other movements 9 – - 9 - – 9 Balance at 31 March 2016 restated (173,156) 2,685 - (170,471) 311 85 (170,075) Net parliamentary funding - drawn down 14,750 - – 14,750 - – 14,750 Net parliamentary funding - deemed (269) - – (269) - – (269) National Insurance Fund - RPS 4.1 232 - – 232 - – 232 Supply (payable)/receivable adjustment 18 (977) - – (977) - – (977) Income payable to the Consolidated Fund (782) - – (782) - – (782) Decrease in RPS receivables 14 (5) - – (5) - – (5) Total Reserve Noninterests controlling Funds - Charitable Unrestricted equity Taxpayers' for Sale Reserve Revaluation Assets Held Non-current Reserve Revaluation Fund General Note Net expenditure for the year (14,842) - – (14,842) - – (14,842) Amounts paid from distributable reserves (194) - – (194) - – (194) Non-Cash Adjustments: Auditors' remuneration 4.1 1 - – 1 - – 1 Movements in Reserves: Other comprehensive net (expenditure)/income for the year (144) 284 - 140 - – 140 Transfers between reserves 127 (150) 15 (8) 8 - – Minority interest - – - – - 20 20 Other movements 7 (6) - 1 - – 1 Balance at 31 March 2017 (175,252) 2,813 15 (172,424) 319 105 (172,000) The notes on pages 128 to 219 form part of these accounts. ## Notes To The Accounts 1 Accounting Policies, Judgements And Estimates 1.3 Presentational currency The financial statements are presented in pounds sterling, the functional currency of the Group. Transactions denominated in a foreign currency are translated into sterling at the rate of exchange on the date of each transaction. In preparing the financial statements, monetary assets and liabilities denominated in foreign currencies are translated at the rates prevailing at the reporting date. All translation differences of monetary assets and liabilities are included in Net expenditure for the year. Values are rounded to the nearest million pounds (£m) unless the FReM requires a lower threshold. 1.1 Basis of accounting These financial statements have been prepared in accordance with International Financial Reporting Standards (IFRS) as adapted and interpreted by the HM Treasury 2016-17 Financial Reporting Manual (FReM) and as set out in the Accounts Direction to the Department pursuant to section 5(2) of the Government Resources and Accounts Act 2000 except as described at 1.2 below. Where the FReM permits a choice of accounting policy, the policy selected is that judged to be most appropriate to the particular circumstances of the Department and its consolidated entities (the Group) for the purpose of giving a true and fair view. The policies adopted by the Group are described below; they have been applied consistently to items considered material to the accounts. The consolidated Statement of Financial Position shows significant net liabilities, primarily relating to Contracts for Difference derivatives and provisions for nuclear decommissioning which will be settled over many years. Liabilities in excess of those to be funded by the Group will be met by future funding voted by Parliament annually in Supply and Appropriation Acts. There is no reason to believe the resources to settle these liabilities will not be forthcoming. It has accordingly been considered appropriate to adopt a going concern basis for the preparation of these financial statements. 1.4 Basis of consolidation The Group accounts consolidate the balances of the Core Department and designated bodies ('partner organisations' (POs)) listed in note 28, which fall within the departmental boundary as defined in the FReM and make up the 'Departmental Group', excluding transactions and balances between them. Where the Office for National Statistics (ONS) designates a body retrospectively such that the body should have been designated for consolidation in a prior period, the accounts are voluntarily restated to reflect the position from the effective date of classification. The consolidated bodies prepare accounts in accordance with either the FReM or the Companies Act 2006 (for limited companies). For those bodies that do not prepare accounts in accordance with the FReM, adjustments are made at consolidation if necessary where differences would have a significant effect on the accounts. The Department and its POs are all domiciled in the UK. 1.2 Accounting convention These accounts have been prepared under the historical cost convention modified to measure property, plant and equipment (except specific waste management assets), intangibles, investment properties and financial instruments at fair value to the extent required or permitted under IFRS as set out in these policies. The Department has agreed with HM Treasury that specific nuclear waste management assets should be measured at historical cost less any impairment losses where there is no reliable and cost effective valuation methodology; this is a departure from the FReM requirement to report property, plant and equipment at fair value. Public Dividend Capital and shares in bodies held by the core Department are carried at historical cost less any impairment in accordance with the FReM. 1.5 Machinery of Government changes Core Department The Department for Business, Energy and Industrial Strategy (the core Department) was created on 14 July 2016 comprising all of the former Department of Energy and Climate Change (DECC) and the business, industrial strategy, science and innovation responsibilities of the former Department for Business, Innovation and Skills (BIS). Responsibility for higher and further education and apprenticeships was moved to the Department for Education; and responsibility for overseas trade to the Department for International Trade. The creation of BEIS is accounted for as a transfer by merger. This means that the Group accounts reflect the combined entity's results as if DECC and the remaining elements of BIS had always been combined. The results and cash flows in these accounts relate to activities undertaken by the new Department from 1 April 2016 to 31 March 2017, adjusted to achieve uniformity of accounting policies. In accordance with the transfer by merger principles, prior year balances have been restated to aid comparability with 2016-17. The historic carrying values of assets and liabilities have not been adjusted to fair value except where required as a result of aligning the accounting policies of the two former departments. There has also been a number of Machinery of Government changes relating to DECC and BIS, see note 27 for details of all the Machinery of Government changes and the impact of these on the prior year comparatives. 1.6 Changes in accounting policies Accounting policies are unchanged compared to those in the 2015-16 accounts of the former Core departments and Groups other than a) to set the capitalisation threshold for the new Core Department to £3,000 for non-current tangible and intangible assets (it had been £2,000 in the former DECC), b) to change the valuation basis for nonconsolidated subsidiaries of the DECC and NDA and c) to process receipts from the Nuclear Decommissioning Authority and Coal Authority for onward payment to the Consolidated Fund as agent rather than recognising as income in the core Department (this last change impacts the core Department only and has no effect on the Group). The changes have been applied retrospectively. The changed treatment of the receipts aligns with treatment of similar receipts in the former BIS and provides better information relating to Other income in the Core Department's Statement of Comprehensive Net Expenditure since the receipts are paid over to the Consolidated Fund rather than being retained. It has resulted in a reduction in Other income reported by the Core Department of £745 million for 2016- 17 and £936 million for 2015-16. Because the receipts are not retained but are paid over to the Consolidated Fund, the change has not affected Taxpayers' equity in the Statement of Financial Position. The Group accounts are unaffected as they are intra- Group payments and receipts. ## 1.7 New Accounting Standards Adopted In The Year And Frem Changes No New Accounting Standards Were Incorporated Into The Frem In 2016-17. 1.8 Applicable accounting standards issued but not yet adopted and FReM changes for 17-18 The standards below will be applied when adopted by the FReM. IFRS 9 and IFRS 15 are expected to be adopted by the FReM for 2018-19; the date of adoption for IFRS 16 is still to be determined by HM Treasury. • IFRS 9 Financial Instruments replaces IAS 39 Financial Instruments: Recognition and Measurement, simplifying the classification and measurement of financial assets as well as amending when and how impairments are calculated and reported, moving from an incurred loss to an expected loss model. This will result in impairments being recognised earlier than under IAS 39. Changes in classification and measurement means that, changes in the fair value of hybrid debt instruments will be recognised in Net expenditure for the year rather than Other comprehensive income and expenditure. • IFRS 15 Revenue from Contracts with Customers replaces both IAS 18 Revenue and IAS 11 Construction Contracts, unifying the concepts in these two standards into a single model to recognise revenue once performance obligations under a contract are satisfied. • IFRS 16 Leases replaces IAS 17 Leases, ## 1.10 Operating Income From Contracts removing the distinction between operating leases (off-statement of financial position financing) and finance leases (on-statement of financial position financing). IFRS 16 requires the recognition of all leases with terms over 12 months to be recognised as finance leases. This will result in the recognition of a right-to-use asset, measured at the present value of future lease payments, and a matching liability in the Statement of Financial Position. The interpretation of these standards into the FReM is currently being determined by HM Treasury. Consultation drafts issued by HM Treasury imply that the adoption of IFRS 9 will have a material impact on the Group due to the changes in impairment calculations and the recognition of gains and losses on hybrid debt instruments. IFRS 15 is not anticipated to have a material impact on the Group. IFRS 16 could have a material effect on the Statement of Financial Position as the Group occupies administrative properties under operating leases but a more limited effect on recognition of expenditure. No material changes have been proposed to the FReM for 2017-18. 1.11 European Funding Grants 1.12 Staff costs 1.9 Operating income Operating income relates directly to the operating activities of the Group and is measured at the fair value of consideration received or receivable net of trade discounts, value added tax and other taxes. Operating income is recognised when the Group has performed its contractual obligations, the income can be measured reliably and it is probable that the economic benefits will flow to the Group. The Group is required to identify receipts which it collects on behalf of the Consolidated Fund; these are not recognised as income but instead are disclosed in a separate Trust Statement published alongside these accounts and in note 4 in the Statement of Parliamentary Supply in the Accountability Report. The Low Carbon Contracts Company Ltd and Electricity Supply Company Ltd are permitted to retain levies collected under statute and classified as taxes in the national accounts. This income is recognised by the companies in the same period as the related expenditure; it is only recognised in the Group accounts when an event has occurred that creates an obligation on a counterparty to pay the levy, the amount can be reliably measured and it is probable that the economic benefits will flow to the Group. Where the outcome of a contract can be estimated reliably, income and costs are recognised by reference to the stage of completion of contract activity at the reporting date, i.e. the proportion of total contract costs represented by costs incurred to date except where this would not be representative of the stage of completion. Where the outcome of a contract cannot be estimated reliably, contract revenue is recognised to the extent of contract costs incurred where it is probable they will be recoverable. When it is probable that total contract costs will exceed total contract revenue, the expected loss is recognised as an expense immediately. A non-current financial asset for recoverable contract costs is recognised where costs incurred plus recognised profits less recognised losses exceed amounts invoiced to date. Where amounts invoiced to date exceed costs incurred plus recognised profits less recognised losses the balance is reported as payments received on account. European Funding Grants are recognised as income when there is reasonable assurance that there are no conditions attached, or that any such conditions have been complied with and it is certain the grant will be received. Staff costs are recognised as expenses when the Group becomes obligated to pay them, including the cost of any untaken leave entitlement. ## 1.13 Grants Payable Grants payable are recognised when the grant recipient has performed the activity that creates an entitlement to the grant under the terms of the scheme and include estimates for claims not yet received. Grant contributions to international organisations in the form of promissory notes are recognised as expenses when they become payable on demand with the Department exercising no further control over disbursement. ## 1.14 Taxation The Core Department and its executive agencies are exempt from corporation tax by way of Crown exemption. Some consolidated bodies are subject to corporation tax on taxable profits. Current tax assets and liabilities are measured at the amount expected to be recovered from or paid to HM Revenue and Customs, based on tax rates and laws that are enacted or substantively enacted by the reporting date. Value Added Tax (VAT) is accounted for in the Accounts, in that the amounts are shown net of VAT except for irrecoverable VAT, which is aggregated with the cost of purchased items. Deferred taxation Deferred tax is recognised on temporary differences arising between the tax bases of assets and liabilities and their carrying amounts for financial reporting purposes. Deferred tax assets are recognised for all tax-deductible temporary differences, carry forward of unused tax credits and unused tax losses to the extent that it is probable that taxable profit will be available in future years against which they can be utilised. ## 1.15 Property, Plant And Equipment (Ppe) Assets are capitalised as PPE if they are intended for use on a continuing basis and their original carrying value, on an individual or asset pool basis, exceeds the relevant capitalisation threshold which ranges from £1,000 to £10,000 across the Group. Exceptions are: a) assets held by the Nuclear Decommissioning Authority on designated nuclear sites are only recognised where the economic element of their value at the reporting date exceeds £100,000 and the proportion of asset value relating to commercial activity exceeds 10%; and b) operational mine water schemes and subsidence pumping stations are held by the Coal Authority at nil value because they are used to address pollution caused by past mining activities where the economic benefits have already been received. To the extent that it has been recognised as a provision under IAS 37, the estimated cost of decommissioning facilities is recognised as part of the carrying value of the asset at initial recognition and depreciated over its useful life. Valuation of PPE PPE is carried at fair value except for nuclear waste management assets held at historical cost (note 1.2) and assets under construction which are held at cost. In accordance with the FReM, assets that have short useful lives or are of low value are carried at depreciated historical cost less impairment as a proxy for fair value. Non-specialist land and buildings are measured at current value in existing use using professional valuations. Specialist land and buildings are measured at depreciated replacement cost which represents the present value of the asset's remaining service potential. Revaluation of PPE Any accumulated depreciation at the date of revaluation is eliminated and the resulting net value restated to equal the revalued amount. Any revaluation increase arising is credited to the revaluation reserve except to the extent that it reverses a revaluation decrease for the same asset previously recognised as an expense in which case the increase is credited to Net expenditure for the year to the extent of the decrease previously charged. A decrease in carrying amount arising on revaluation is charged as an expense to the extent that it exceeds the balance, if any, held in the revaluation reserve relating to a previous revaluation of that asset. On de-recognition, any revaluation surplus remaining in the revaluation reserve attributable to the asset is transferred directly to the General Fund. Depreciation of PPE Apart from freehold and long leasehold land which are not depreciated, PPE assets are depreciated to estimated residual values on a straight line basis over the following estimated useful lives: | Freehold buildings | 10 - 60 years | |----------------------------------------------|-----------------------------------------------------| | Leasehold land and buildings | 10 - 60 years or remaining life of lease | | Agricultural buildings | Up to 60 years | | Dwellings | Up to 60 years | | Leasehold improvements | | | or outstanding term of lease | | | Computer equipment | 2 - 10 years | | Plant and machinery | 3 - 50 years or remaining life of lease | | Office machinery (included in plant and | | | machinery), furniture, fixtures and fittings | 2 - 11 years or remaining life of lease | | Transport equipment | 2 - 14 years | | Ships (included in transport equipment) | Minimum of 20 years | | Aircraft (included in transport equipment) | Minimum of 15 years | | Assets under construction | Not depreciated until available for use as intended | by management Residual values and useful lives are reviewed and adjusted if appropriate at each reporting date. ## 1.16 Investment Property The Group holds a number of properties which have been classified as investment properties and are measured using the fair value model specified in IAS 40. Gains and losses arising from changes in fair value are recognised in Net expenditure for the year. ## 1.17 Intangible Non-Current Assets 1.18 Impairment Of Ppe And Intangible Intangible non-current assets are capitalised if they are intended for use on a continuing basis and their original carrying value, on an individual or asset pool basis, exceeds the relevant capitalisation threshold which ranges from £1,000 to £10,000 across the Group. There are no active markets for any of the Group's intangible non-current assets which are valued at the lower of depreciated replacement cost and value in use using a valuation technique (for example for income-generating assets); where there is no value in use, depreciated replacement cost is used. Assets of low value or with short useful lives are carried at cost less accumulated amortisation and impairment losses as a proxy for fair value. They are amortised on a straight-line basis over the following periods: | Software licences | 3 - 10 years | |-----------------------|----------------| | Internally developed | | | software | Up to 10 years | | Website development | | | costs | 2 - 5 years | | Patents, licenses and | | | royalties | 7 - 15 years | non-current assets The Group reviews carrying amounts at each reporting date. If an indicator for impairment occurs then the recoverable amount of the asset (the higher of fair value less costs to sell and value in use) is estimated and an impairment loss recognised to the extent that it is lower than the carrying amount. Losses arising from a clear consumption of economic benefit are charged to Net expenditure for the year. Losses that do not result from a loss of economic value or service potential are taken to the revaluation reserve to the extent that a revaluation reserve exists for the impaired asset; otherwise to Net expenditure for the year. ## 1.19 Assets Held For Sale Assets are classified as held for sale if their carrying amount will be recovered through a sale transaction rather than through continuing use. This condition is regarded as met only when the sale is highly probable, the asset is available for immediate sale in its present condition and the asset is actively marketed for sale. Management must be committed to the sale which should be expected to qualify for recognition as a completed sale within one year from the date of classification. Assets held for sale are measured at the lower of a) carrying amount and b) fair value less costs to sell. ## 1.20 Cash And Cash Equivalents Cash and cash equivalents comprise cash in hand and other short-term highly liquid investments which are readily convertible to known amounts of cash are subject to insignificant risk of changes in value and have an original maturity of three months or less. Any bank overdraft amounts are included within Trade payables and other liabilities ## 1.21 Leases Leases are classified as finance leases when the risks and rewards of ownership are transferred substantially to the lessee; all other leases are classified as operating leases. ## Finance Leases Group As Lessor Amounts due from lessees under finance leases are recognised as receivables at the amount of the Group's net investment in the lease. Finance lease income is allocated to accounting periods so as to reflect a constant periodic rate of return on the Group's net investment outstanding in respect of the leases. Group as lessee Assets subject to finance leases and the associated liabilities for future payments (if any) are recognised in the SoFP. ## Operating Leases Group As Lessor Assets subject to operating leases are recognised in the SoFP with rental income plus initial direct costs incurred in arranging the lease, including incentives to the lessee to enter into the lease, recognised on a straight-line basis over the lease term. Group as lessee Rentals payable under operating leases, including benefits received and receivable as incentives to enter into the leases, are expensed on a straight-line basis over the term of the lease. ## 1.22 Subsidiaries, Associates And Joint ventures Subsidiaries and public sector joint ventures are consolidated where designated within the Departmental Group boundary (note 28); those outside the Departmental boundary are measured in accordance with IAS 39. Equity investments in associates or joint ventures outside the public sector are initially recorded at cost and subsequently adjusted to reflect the Group's share of net profit or loss of the associate or joint venture. ## 1.23 Financial Instruments Financial assets and liabilities are measured initially at fair value plus transaction costs unless carried at fair value through profit or loss in which case transaction costs are charged to Net expenditure for the year. Fair value is determined by reference to quoted prices where an active market exists for the instrument; otherwise it is determined using generally accepted valuation techniques including discounted estimated cash flows. Financial assets Financial assets are derecognised when the rights to receive future cash flows have expired or are transferred and the risks and rewards of ownership have been substantially transferred. Categories of financial asset Financial assets are categorised as one of the following: • *Loans and receivables:* are non-derivative financial assets with fixed or determinable payments that are not quoted in an active market. They are initially recognised at fair value and thereafter at amortised cost using the effective interest method less any impairment. The effective interest rate method is a method of calculating the amortised cost of a financial asset and of allocating interest income over the relevant period. • *Held to maturity:* are non-derivative financial assets with fixed or determinable payments and fixed maturity where there is the positive intention and ability to hold to maturity. After initial recognition at fair value, they are measured at amortised cost. • At fair value through profit or loss (FVTPL): are financial assets held for trading or designated as being held at FVTPL at initial recognition. Transaction costs and any subsequent movements in the valuation of the asset are recognised in Net expenditure for the year. • *Available for sale:* are non-derivative financial assets designated as such or not classified in any of the other three categories. After initial recognition, these assets are subsequently carried at fair value. Gains and losses in fair value are recognised directly in equity except for impairment losses which are recognised in Net expenditure for the year. On de-recognition, the cumulative gain or loss previously recognised in equity is recognised in Net expenditure for the year. ## Impairment Of Financial Assets Financial assets other than those at FVTPL are assessed for impairment at each reporting date and impaired where there is evidence that future cash flows have been reduced by one or more events that occurred after initial recognition. The carrying amount is reduced directly except for trade receivables where it is reduced through the use of an allowance account. Impairment losses are recognised in Net expenditure for the year. If, in a subsequent period, the amount of the impairment loss decreases as a result of an event after the impairment was recognised, the previously recognised impairment loss is reversed through Net expenditure for the year to the extent that the carrying amount of the asset does not exceed what it would have been had the impairment not been recognised. Financial liabilities Financial liabilities are derecognised when the obligation is discharged, cancelled or expires. The Group's financial liabilities excluding derivatives are initially recognised at fair value including directly attributable transaction costs, and subsequently at amortised cost using the effective interest rate method. Derivative financial instruments Derivatives are initially recognised at fair value and subsequently at fair value, gains/ losses in fair value are recognised in Net expenditure for the year unless hedge accounting is applied. The Group has two classes of derivative financial instrument, foreign exchange contracts to which hedge accounting is applied and contracts for difference to which hedge accounting is not applied. ## Forward Foreign Exchange Contracts Forward contracts are held as cash flow hedges to reduce exposure to foreign currency risk. The effective portions of changes in their fair values are recognised in equity. Gains and losses relating to ineffective portions are recognised immediately in Net expenditure for the year. Amounts accumulated in equity are recycled to Net expenditure for the year in the same period as the hedged item. Contracts for difference (CfDs) CfDs are held to incentivise investment in low carbon electricity generation by agreeing strike prices with electricity generators which are counterparties to the contracts. The counterparty pays or is paid the difference between the strike price and the reference price (a measure of the average market price of electricity) at the time of electricity supply. CfDs are measured at FVTPL, initially at their transaction price (£nil) with subsequent changes in fair value (as measured by a valuation model) recognised in Net expenditure for the year, along with amortisation over the contracts settlement period of the difference between the transaction price and the valuation model estimate of fair value at initial recognition, which is usually different from the transaction price. Where the valuation model estimate of fair value at initial recognition is different from the transaction price, the difference is deferred and amortised to Net expenditure for the year over the contract settlement period (note 9). ## 1.24 Financial Guarantees Financial guarantees are initially recognised at fair value on the date the guarantee was given and subsequently remeasured at the higher of a) the amount determined in accordance with IAS 37 Provisions, Contingent Liabilities and Contingent Assets and b) the amount initially recognised less when appropriate, cumulative amortisation in accordance with IAS 18 Revenue. ## 1.25 Pensions The accounting for each of the Departmental Group's pension plans is dependent its nature. Funded defined-benefit pension schemes The Group has 8 funded defined-benefit pension schemes, the Medical Research Council Pension Scheme (MRCPS), 2 schemes through the NDA and 5 others through the nuclear site licence companies. The net liabilities recognised in the Statement of Financial Position for funded defined benefit schemes are calculated by independent actuaries by deducting the fair value of scheme assets (at bid prices) from the present value of defined benefit obligations (estimated using the projected unit credit method, less any amounts receivable from third parties). Where the scheme is in surplus, the asset recognised in these statements is limited to the present value of benefits available from future refunds from the plan, reductions in future contributions to the plan or on settlement of the plan and takes into account the adverse effect of any minimum funding requirements. Actuarial gains and losses are recognised as Other Comprehensive Income and Expenditure except for site licence companies where they are included in provision expense relating to the Nuclear Decommissioning Provision. | Short-term (between 0 and 5 years) | (2.70%) | (1.55%) | |--------------------------------------|-----------|-----------| | Medium-term (between 5 and 10 years) | (1.95%) | (1.00%) | | Long-term (over 10 years) | (0.8%) | (0.8%) | Unfunded defined benefit pension schemes The Group contributes towards a number of unfunded defined benefit pension schemes of which employees are members: these include the Principal Civil Service Pension Scheme, the Civil Servant and Other Pension Scheme, the Combined Pension Scheme of the UK Atomic Energy Authority. The participating employers in these schemes are unable to identify their share of the underlying net liability; as such these schemes are accounted for as defined contribution pension schemes, with employers contributions charged to the SoCNE in the period to which they relate. Defined contribution pension schemes Contributions are charged to the SoCNE when they become payable. The Group has no further liabilities in respect of benefits to be paid to members. More information about the Group's pension schemes can be found in the accounts of the consolidated entities, including in note 3 for the Core Department, and of the pension schemes themselves. ## 1.26 Provisions A provision is recognised when it is probable that an outflow of economic benefits will be required to settle a present obligation (legal or constructive) that can be reliably measured and which results from a past event. Where the time value of money is material the provision is measured at present value using discount rates prescribed by HM Treasury and based upon the real yield of UK index-linked gilts: 2016-17 2015-16 Nuclear decommissioning provisions Where expenditure in settlement of a provision is expected to be recovered from a third party, the recoverable amount is treated as a separate asset (note 12 Recoverable contract costs). Provision charges in the SoCNE are shown net of changes in these recoverable amounts. ## 1.27 Contingent Assets And Liabilities Where an outflow of economic benefits from a past event is possible but not probable, the Department discloses a contingent liability. In addition to contingent liabilities disclosed in these financial statements in accordance with IAS 37 Provisions, Contingent Liabilities and Contingent Assets, certain statutory and non-statutory contingent liabilities where the likelihood of a transfer of economic benefit is remote are disclosed in the Accountability Report for Parliamentary reporting and accountability purposes. Where an inflow of economic benefits from a past event is probable, the Group discloses a contingent asset. Estimates of the financial effects are disclosed where practicable; where the time value of money is material, contingent liabilities and assets in are stated at discounted amounts and the amount reported to Parliament separately noted. Remote contingent liabilities reported in the Accountability Report are stated at the amounts reported to Parliament. ## 1.28 Third Party Assets The Group holds, as custodian or trustee, certain cash balances belonging to third parties. These balances are not recognised in the financial statements since neither the Group nor Government more generally has a direct beneficial interest in them. ## 1.29 Judgements, Estimates And assumptions Preparation of financial statements requires management to make judgements, estimates and assumptions based on experience and expected events that affect the reported amounts of assets and liabilities, income and expenditure. Key accounting judgements applied in these statements are described below. Estimates In accordance with IAS 8 Accounting Policies, Changes in Accounting Estimates and Errors, revisions to accounting estimates are recognised prospectively. Revisions of the estimates and assumptions below could cause material adjustment to the carrying amounts of assets and liabilities within the next financial year. Income recognition (note 6.1) The percentage of completion method used to measure income on contracts (note 1.10) requires the Group to estimate the work performed to date as a proportion of the total work to be performed. Useful lives of non-current assets There is uncertainty in relation to estimated useful lives of non-current assets; these are reviewed as at the reporting date and updated if expectations differ from previous estimates due to physical wear and tear, technical or commercial obsolescence or legal or other limits on their use. Impairment of assets (note 4.2, 7, 8, 10 and 11) Impairment is measured by comparing the carrying value of the asset or cash generating unit with management's estimate of its recoverable amount. Fair value of Repayable Launch Investments (note 11) The econometric model used to estimate future cash flows from Repayable Launch Investments includes a number of assumptions including on future economic growth. Fair value of private equity investments (note 11) A range of valuation techniques are used for private equity investments, including discounted cash flows and net asset values. Redundancy Payments Service receivable (note 14) There is uncertainty in the estimate of the amount to be realised by the Insolvency Service from sale of assets of insolvent employers. CfD contracts (note 9) The significant uncertainties affecting measurement of FIDeR and CfD contracts, which facilitate investment in low-carbon electricity generation, are described in note 9. Fair value of financial guarantees Fluctuations in the fair value of financial guarantees measured using modelling techniques. Provisions (note 19) Provision discount rates set by HM Treasury are updated annually and have a material effect on liabilities. There are other significant uncertainties in relation to measurement of the liabilities reported in note 19, in particular in relation to future decommissioning costs to be incurred by the UK Atomic Energy Authority, Nuclear Decommissioning Authority and Coal Authority, which are described in the note. ## 1.30 Prior Period Adjustments In accordance with the FReM, where a prior period adjustment is identified as a result of an error, the Departmental Group will correct all material prior period errors retrospectively in the first set of financial statements authorised for issued after their discovery by: • restating the comparative amounts for the prior periods presented in which the error occurred; • if the error occurred before the earliest prior period presented, restating the opening balances of assets, liabilities and equity for the earliest prior period presented. However, if it is impracticable to determine the period-specific effects of an error on comparative information for one or more prior periods presented, the Departmental Group will restate the opening balances of assets, liabilities and equity for the earliest period for which retrospective restatement is practicable. The prior period adjustments and their impact on the comparative amounts for the prior periods represented in which the error occurred are detailed in Note 27. ## 2 Reporting By Operating Segment In accordance with the relevant reporting requirements, including IFRS 8, the Statement of Parliamentary Supply and supporting notes reflect net resource and capital outturn in line with the control totals voted by Parliament. The figures within SoPS 1.1 provide the income and expenditure totals associated with key business activities within the Group and therefore reflect the management information reporting to Board during the period. ## 3 Staff Costs Staff costs comprise: Permanently employed Wages and salaries 713 68 781 795 Social security costs 70 – 70 64 Other pension costs 145 – 145 153 Sub total 928 68 996 1,012 Less recoveries in respect of outward secondments (4) – (4) (3) Total net costs 924 68 992 1,009 Of which: Core Department and Agencies 255 27 282 315 NDPBs and other designated bodies 669 41 710 694 Total net costs 924 68 992 1,009 For further information on staff costs and numbers, please see the Staff Report and the Remuneration Report which includes staff costs for nuclear site license companies which are not included in the table above. 2015-16 2016-17 restated staff Others Total Total £m £m £m £m ## 4 Operating Expenditure 4.1 Purchase Of Goods And Services | Rentals under operating leases | 35 | 50 | 39 | 54 | |-------------------------------------------------------|-------|-------|-------|-------| | Accommodation and office equipment costs | 49 | 202 | 55 | 189 | | Legal, professional and consultancy costs | 115 | 198 | 180 | 245 | | Finance, HR, IT and support costs | 77 | 81 | 62 | 74 | | Training and other staff costs | 8 | 27 | 11 | 29 | | Travel and subsistence costs | 10 | 49 | 9 | 45 | | Advertising and publicity | 1 | 8 | 5 | 11 | | Programme management and administration of grants | | | | | | and awards | 18 | 339 | 68 | 240 | | Professional and international subscriptions | 332 | 578 | 276 | 453 | | Enforcement costs of employment related policies | 17 | 17 | 12 | 12 | | Donations | - | 19 | - | 16 | | Funding Paternity, Adoption and Shared Parental Leave | | | | | | policy | 133 | 133 | 103 | 103 | | Purchase of geographical and scientific equipment | 79 | 99 | 81 | 89 | | Purchase of weather information and weather related | | | | | | services | 97 | 97 | 95 | 95 | | Redundancy payments service | 232 | 232 | 254 | 254 | | Sponsorship costs | 1 | 1 | 1 | 1 | | Payment of taxes and levies | - | 14 | 3 | 1 | | Subsidy to Post Office Limited | 140 | 140 | 180 | 180 | | Innovation subsidies | 5 | 5 | 3 | 3 | | Energy intensive industries subsidies | 265 | 265 | 129 | 129 | | Other purchase of goods and services cost | 15 | 140 | 6 | 260 | | Total | 1,629 | 2,694 | 1,572 | 2,483 | Audit fees Audit fees are included under the heading 'Legal, professional and consultancy costs'. Core Department During the year the core Department did not purchase any non-audit services from its auditor, the National Audit Office. The non-cash auditors' remuneration of £705,750 (2015-16: £995,200) comprises £650,000 (2015-16: £941,000) for the cost of the audit of the Departmental Group, £20,000 (2015-16: £20,000) for the trust statement, and £35,750 (2015-16: £34,200) for the audit of the UK Atomic Energy Authority Pension Scheme Accounts. | | 2016-17 | 2015-16 restated | |------------|------------|--------------------| | Core | | Core | | Department | Department | | | and | | Departmental | | Agencies | Group | Agencies | | £m | £m | £m | Agencies During the year the Agencies did not purchase any non-audit services from their auditor, the National Audit Office. Details of the non-cash auditors' remuneration of £159,000 (2015-16: £189,500) can be found in the accounts of the individual agencies. NDPBs and other designated bodies The cash remuneration of £2,403,219 (2015-16 restated: £2,391,462) relates to the statutory audit of NDPBs and other designated bodies. Of this amount, £1,980,352 (2015-16 restated: £2,012,660) was payable to the NAO and £422,867 (2015-16 restated: £378,802) was payable to auditors other than the NAO. was £2,829 (2015-16: £3,343). An average amount of £1,253 was paid during 2016-17 for RP2 (2015-16: £1,350). There is associated income arising from 2 sources: In 2016-17, £nil was payable to the NAO (2015- 16 restated: £nil) and £182,093 was payable to auditors other than the NAO (2015-16 restated: £210,429) for non-audit services. Further details can be obtained from the accounts of the NDPBs and other designated bodies. • Solvent Recovery - where monies are • Insolvent Recovery - the core Department Redundancy Payments Service The core Department is responsible for the approval and processing of claims under the Redundancy Payment Service (RPS), which is financed from the National Insurance Fund. Redundancy payments are made from the National Insurance Fund to employees whose employers have failed to make payments due or who were insolvent. The RPS is administered by the Insolvency Service who have a service level agreement with HM Revenue and Customs. Claims processed fall into 2 categories: RP1 (which covers redundancy pay, holiday pay and arrears of pay) and RP2 (pay in lieu of notice). The average payment for RP1 during 2016-17 Expenditure in respect of RPS in 2016-17 totalled £269 million (2016-17: £285 million) against income of £37 million (2015-16: £31 million). The net amount totalled £232 million (2015-16: £254 million). ## 4.2 Depreciation And Impairment Charges Department Agencies Amortisation of recoverable contract costs - 203 - 243 Depreciation 23 260 23 250 Amortisation 5 33 4 51 Impairment of property, plant and equipment – 76 1 36 Impairment of intangible assets – 1 – 2 Impairment of investments1 417 288 348 39 Total 445 861 376 621 1. The 2016-17 investment impairment figure for core Department and Agencies includes £138 million (2015-16: £285 million) impairment of Postal Services Holding Company Limited (PSH). This impairment is eliminated on consolidation and is treated as a downward revaluation movement in the Departmental Group, for which details are disclosed in Note 10.1 recovered over a period of up to 3 years from companies, by setting up a standing order, that are continuing to trade but would not be able to do so if they had to meet the full costs of redundancy payments at that time; and becomes a creditor receiving a dividend if there are sufficient funds on the winding up of the company. | | 2016-17 | 2015-16 restated | |------------|-----------|--------------------| | Core | | Core | | Department | | | | and | | Departmental | | Group | Agencies | Group | | £m | £m | £m | ## 4.3 Provision Expense | Increase/(decrease) in bad debt provision | (6) | (5) | - | - | |--------------------------------------------------------|-------|-------|------|--------| | Increase/(decrease) in provisions | 81 | 6,687 | 222 | 93,105 | | Increase/(decrease) in financial guarantee liabilities | (3) | (3) | (12) | (12) | | Total | 72 | 6,679 | 210 | 93,093 | Included in the increase/(decrease) in provisions of £6,687 million above (2015-16: £93,105 million) are the amounts provided in year of £2,304 million (2015-16: £3,247 million), provisions not required written back credit of £940 million (2015- 16: £318 million), and discount to present value of £4,964 million (2015-16: £89,474 million) in note ## 4.4 Grants | Research and development | 100 | 148 | 103 | 183 | |---------------------------------------------------|--------|-------|--------|-------| | Grant in aid | 7,441 | - | 7,404 | - | | Post Office Network Reform | 80 | 80 | 100 | 100 | | Market frameworks | 58 | 58 | 61 | 61 | | Science and research | 2,346 | 4,861 | 2,311 | 4,930 | | International Climate Fund - Official Development | | | | | | Assistance | 332 | 332 | 306 | 306 | | Global Threat Reduction Programme | 11 | 11 | 12 | 12 | | Renewable Heat Incentive | 545 | 545 | 372 | 372 | | Innovation programme | 497 | 1,244 | 499 | 1,171 | | Energy Markets and Consumers | 7 | 7 | 5 | 5 | | Heat Infrastructure Team | 13 | 13 | - | - | | Other grants | (15) | (18) | 134 | 231 | | Total | 11,415 | 7,281 | 11,307 | 7,371 | The 2015-16 Departmental group other grants figure of £231 million includes £94 million relating to the gift of shares to Royal Mail plc employees (2% of issued Royal Mail plc shares) as part of the disposal of the Government's shareholding in Royal Mail plc. See Note 10.1 for further details. | | 2016-17 | 2015-16 restated | |------------|------------|--------------------| | Core | | Core | | Department | Department | | | and | | Departmental | | Agencies | Group | Agencies | | £m | £m | £m | 19.1. Also included in the £6,687 million above are amounts provided in year of £252 million (2015-16: £244 million), provisions not required written back credit of £150 million (2015-16: credit of £117 million) and discount to present value of £35 million (2015-16: £2,105 million) in note 19.2. | | 2016-17 | 2015-16 restated | |------------|------------|--------------------| | Core | | Core | | Department | Department | | | and | | Departmental | | Agencies | Group | Agencies | | £m | £m | £m | ## 5 Finance Expense Department Agencies Change in fair value - Financial Assets (3) (4) (11) (4) Net loss/(gain) on foreign exchange 1 (3) - (6) Expected return on funded pension scheme assets - (42) - (38) Interest on pension liabilities - 38 - 37 Unrealised foreign exchange rate gains/losses 1 3 - - Interest payable - 3 - 3 Unwinding of discount on provisions/assets/liabilities (28) (1,300) (12) 1,412 Total (29) (1,305) (23) 1,404 The impact of HM Treasury-prescribed discount rates for provisions in 2014-15 was to decrease undiscounted liabilities for the Departmental Group, the unwinding of which in 2015-16 gave rise to a positive expense for Unwinding of discount on provisions. This was reversed when the long-term rate became negative in 2015-16, application of which had the effect of increasing liabilities, hence the negative expense on unwinding in 2016-17. | | 2016-17 | 2015-16 restated | |------------|-----------|--------------------| | Core | | Core | | Department | | | | and | | Departmental | | Group | Agencies | Group | | £m | £m | £m | ## 6 Income 6.1 Operating Income Note Income from sales of goods and services: Income from other Government departments: Department of Health funding for The Francis Crick Institute 9 9 141 141 European Union funding 3 17 – 19 Fees, charges and recharges to/from external customers and central Government organisations 134 222 135 245 Levy income 20 154 16 22 Sales of goods and services 2 1,045 187 1,300 Current grants and capital grants 49 143 66 185 Venture capital and Repayable launch investment income 26 28 22 26 Miscellaneous income 43 164 57 180 Total operating income 286 1,782 624 2,118 ## 6.2 Finance Income Note Effective interest: Repayable launch investments 11.1 44 44 57 57 Other 17 16 (29) (29) Dividend and interest income 107 192 336 335 Finance income 168 252 364 363 In 2016-17 the core Department recognised dividend income of £98 million (2015-16: £332 million). This includes a £86 million dividend from Enrichment Holdings Limited (EHL) (2015- 16: £172 million). The 2016-17 EHL dividend represents the 2016 year-end dividend from URENCO. The 2015-16 EHL dividend was higher, as it represented the 2014 and 2015 year-end dividends from URENCO. The EHL dividend is eliminated upon consolidation. In 2016-17 the Departmental Group received dividend income of £124 million (2015-16: £283 million) included within the total dividend and | | 2016–17 | 2015–16 restated | |------------|------------------|--------------------| | Core | | Core | | Department | Department | | | and | | Departmental | | Agencies | Group | Agencies | | £m | £m | £m | | 2016–17 | 2015–16 restated | | | Core | | Core | | Department | Department | | | and | | Departmental | | Agencies | Group | Agencies | | £m | £m | £m | interest income shown above of £192 million (2015-16: £335 million). The departmental group recognised the 2015-16 year-end dividend from URENCO of £86 million (2015-16: £90 million). Recognised in both the core Department and the Departmental Group in 2015-16 was a one-off 'notional' super dividend of £135 million from Ordnance Survey Trading Fund (OSTF) as a result of OSTF transferring its trade and assets into a Government owned limited company, Ordnance Survey Limited (OSL), for which further details are disclosed in note 10.1. under Assets Construction Total Transport Equipment Fittings Furniture, Fixtures and Plant and Machinery Technology Information Leasehold Improvements Freehold Buildings Dwellings £m £m £m £m £m £m £m £m £m £m Departmental Group 2016-17 Land Cost or valuation Balance at 1 April 2016 (restated) 417 4,051 36 75 229 6,598 22 323 416 12,167 Additions - – - – 7 36 2 5 293 343 Disposals (3) (49) - – (33) (196) (5) (5) (3) (294) Impairments (10) (9) - – (9) (23) (1) (7) (22) (81) Transfers in/(out) of boundary - – - – 1 - 1 - – 2 Reclassifications (31) 51 (5) (3) 14 (432) - 4 (223) (625) Revaluations 1 66 8 - 1 74 1 6 1 158 At 31 March 2017 374 4,110 39 72 210 6,057 20 326 462 11,670 Depreciation ## 7 Property, Plant And Equipment Departmental Group 2016-17 Balance at 1 April 2016 (restated) (6) (2,761) - (32) (147) (5,125) (16) (164) - (8,251) Charged in year - (54) (1) (7) (37) (171) (2) (19) - (291) Disposals 1 31 - – 27 181 4 4 - 248 Impairments 6 - – - – (2) 1 - – 5 Reclassifications - – - 2 1 51 - - – 54 Revaluations (1) (32) 1 - 7 15 - (3) - (13) At 31 March 2017 - (2,816) - (37) (149) (5,051) (13) (182) - (8,248) Carrying amount at 31 March 2017 374 1,294 39 35 61 1,006 7 144 462 3,422 Carrying amount at 31 March 2016 411 1,290 36 43 82 1,473 6 159 416 3,916 Asset financing: Owned 362 1,294 39 35 58 1,006 7 135 462 3,398 Finance leased 12 - – - – - – 9 - 21 under Assets Construction Total Transport Equipment Fittings Furniture, Fixtures and Plant and Machinery Technology Information Leasehold Improvements Freehold Buildings Dwellings £m £m £m £m £m £m £m £m £m £m Departmental Group 2016-17 Land On balance sheet (SoFP) PFI and other service concession arrangements - – - – 3 - – - – 3 Carrying amount at 31 March 2017 374 1,294 39 35 61 1,006 7 144 462 3,422 Of the total: Core Department and Agencies 18 102 - 32 7 73 2 - 30 264 NDPBs and other designated bodies 356 1,192 39 3 54 933 5 144 432 3,158 Carrying amount at 31 March 2017 374 1,294 39 35 61 1,006 7 144 462 3,422 under Assets Construction Total Transport Equipment Fittings Furniture, Fixtures and Plant and Machinery Technology Information Leasehold Improvements Freehold Buildings Dwellings £m £m £m £m £m £m £m £m £m £m Departmental Group 2015- 16 (restated) Land Cost or valuation Balance at 1 April 2015 394 4,061 36 50 223 6,237 24 311 444 11,780 Additions - 13 - 1 6 545 2 3 194 764 Disposals (1) (82) - – (10) (291) (4) - – (388) Impairments - (62) (1) (1) - (6) - - (7) (77) Transfers in/(out) of boundary - – - – - 1 - - (1) - Reclassifications (39) 89 (5) 25 9 103 - 7 (231) (42) Revaluations 63 32 6 - 1 9 - 2 17 130 At 31 March 2016 417 4,051 36 75 229 6,598 22 323 416 12,167 Depreciation Balance at 1 April 2015 (6) (2,843) - (24) (116) (5,234) (18) (147) - (8,388) Charged in year - (53) - (8) (40) (138) (1) (16) - (256) under Assets Construction Total Transport Equipment Fittings Furniture, Fixtures and Plant and Machinery Technology Information Leasehold Improvements Freehold Buildings Dwellings £m £m £m £m £m £m £m £m £m £m Departmental Group 2015- 16 (restated) Land Disposals - 82 - – 10 263 3 - – 358 Impairments - 45 - – - (4) - - – 41 Transfers (in)/out of the boundary - – - – - (8) - - – (8) Reclassifications - (15) - – - 1 - - – (14) Revaluations - 23 - – (1) (5) - (1) - 16 At 31 March 2016 (6) (2,761) - (32) (147) (5,125) (16) (164) - (8,251) Carrying amount at 31 March 2016 411 1,290 36 43 82 1,473 6 159 416 3,916 Carrying amount at 1 April 2015 388 1,218 36 26 107 1,003 6 164 444 3,392 Asset financing: Owned 398 1,290 36 43 79 1,473 6 147 416 3,888 Finance leased 13 - – - – - – 12 - 25 On balance sheet (SoFP) PFI and other service concession arrangements - – - – 3 - – - – 3 Carrying amount at 31 March 2016 411 1,290 36 43 82 1,473 6 159 416 3,916 Of the total: Core Department and Agencies 18 103 - 38 12 72 2 - 19 264 NDPBs and other designated bodies 393 1,187 36 5 70 1,401 4 159 397 3,652 Carrying amount at 31 March 2016 411 1,290 36 43 82 1,473 6 159 416 3,916 Property, plant, and equipment (PPE) held by the Departmental Group The professional valuations of land and buildings undertaken within the Departmental Group were prepared in accordance with the Royal Institute of Chartered Surveyors (RICS) Valuation Standards (6th Edition), the 'Red Book'. Unless otherwise stated, land and buildings are professionally revalued every 5 years and where appropriate in the intervening period, relevant indices are used. The most significant land and buildings at 31 March 2017 were held by MRC, BBSRC, STFC and NERC. Revaluations for these entities were conducted by Powis Hughes Limited for MRC, GVA Grimley Limited for BBSRC and STFC, and NERC were jointly revalued by GVA Grimley Limited and Powis Hughes Limited. In accordance with the FReM the majority of Leasehold improvements, Information Technology, Furniture, Fixtures and Fittings and Plant and Machinery are held at depreciated historic cost as a proxy for fair value as the assets have short useful lives or low values. Land, Freehold Buildings, Dwellings, Transport Equipment and the remainder of Plant and Machinery are held at fair value based on professional valuations. Within the Departmental Group, a variety of valuation techniques are used depending upon whether the PPE asset is a specialised asset or a non-specialised asset. Where the PPE asset is a specialised asset, then a depreciated replacement cost valuation is used for example by scientific institutes. Where the PPE asset is a non-specialised asset, then an existinguse valuation is used, for example for land and office buildings. Depreciated replacement cost (DRC) valuations are based on a number of unobservable inputs; these would be classified as level 3 in accordance with IFRS 13. Existing-use value (EUV) valuations are based on a number of market corroborated but unobservable inputs e.g. land valuations are based on similar prices per hectare adjusted for the specific location of the land, whilst other EUV valuations use specific unobservable inputs, e.g. rental yields. The EUV valuations inputs are classified as level 2 and level 3 in accordance with IFRS 13. The Departmental Group does not hold any material individual PPE assets. Therefore there are no individually material level 3 assumptions included in the overall Departmental Group fair value of PPE. For there to be a material movement in the fair value of PPE, this would require a significant increase in a number of level 3 valuation assumptions across the Departmental Group. This is unlikely, given that the fair value movement in PPE in 2016-17 was £145 million (2015-16: £146 million). Further information can be found in the financial statements of the individual bodies' accounts. ## 8 Intangible Assets | Assets under | Information | Departmental Group | |---------------------|----------------|-----------------------| | 2016-17 | Construction | Technology | | Software | | | | Licences | Websites | Patents | | £m | £m | £m | | Cost or Valuation | | | | Balance at 1 April | | | | 2016 (restated) | 17 | 128 | | Additions | 4 | 14 | | Disposals | (1) | - | | Impairments | - | (2) | | Reclassifications | (12) | (6) | | Transfers in/(out) | (1) | 2 | | Revaluations | - | - | | At 31 March 2017 | 7 | 136 | | Amortisation | | | | Balance at 1 April | | | | 2016 (restated) | - | (92) | | Charged in year | - | (18) | | Disposals | - | - | | Impairments | - | 1 | | Reclassifications | - | 3 | | At 31 March 2017 | - | (106) | | Carrying amount | | | | at 31 March 2017 | 7 | 30 | | Carrying amount | | | | at 31 March 2016 | 17 | 36 | | Asset financing: | | | | Owned | 7 | 30 | | Carrying amount | | | | at 31 March 2017 | 7 | 30 | | Of the total: | | | | Core Department and | | | | Agencies | 4 | 1 | | NDPBs and other | | | | designated bodies | 3 | 29 | | Carrying amount | | | | at 31 March 2017 | 7 | 30 | | Assets under | Information | Departmental Group | |---------------------|----------------|-----------------------| | 2015-16 (restated) | Construction | Technology | | £m | £m | £m | | Cost or Valuation | | | | At 1 April 2015 | 8 | 109 | | Additions | 16 | 6 | | Disposals | (1) | (3) | | Impairments | (1) | (1) | | Reclassifications | (3) | 8 | | Transfers in/(out) | (2) | 9 | | Revaluations | - | - | | At 31 March 2016 | 17 | 128 | | Amortisation | | | | At 1 April 2015 | - | (77) | | Charged in year | - | (17) | | Disposals | - | 2 | | At 31 March 2016 | - | (92) | | Carrying amount | | | | at 31 March 2016 | 17 | 36 | | Carrying amount | | | | at 1 April 2015 | 8 | 32 | | Asset financing: | | | | Owned | 17 | 36 | | Carrying amount | | | | at 31 March 2016 | 17 | 36 | | Carrying amount | | | | at 1 April 2015 | 8 | 32 | | Of the total: | | | | Core Department and | | | | Agencies | 3 | 5 | | NDPBs and other | | | | designated bodies | 14 | 31 | | Carrying amount | | | | at 31 March 2016 | 17 | 36 | All software licenses are acquired separately. All Information Technology (IT) assets are internally generated. IT assets are initially classified as assets under construction and are not amortised until they are commissioned, at which time they are re-classified as IT. The Departmental Group holds its intangible assets at valuation. In accordance with the FReM, the Departmental Group adopts cost less amortisation as a proxy for fair value as the intangible assets have short lives. The exception to this are patents which are held at fair value based on a valuation model. The model uses a variety of assumptions to estimate the value of future income streams from the patents to determine their fair value; these Software Licences Websites Patents Total include an estimate for future royalty income derived from the consensus forecast data from industry specialists, which are adjusted for expected future USD/GBP exchange rates, the territories in which the patents are applicable and potential threats to future income (such as competitor products and regulatory approval). In accordance with IFRS 13, these assumptions would be classed as level 3 assumptions. The carrying amount of the patents at year end is £40 million (2015-16: £48 million) and there would need to be a substantial increase in expected royalty income to result in a material increase in the fair value of the patents. ## 9 Derivative Financial Instruments signed CfDs that span 15 and 35 years. With the assumption of even cash flows in each year, those in later years are more sensitive to the differing discount rates, being 0.7% for financial reporting and 3.5% for economic appraisal purposes. The most significant items included within Derivatives on the Consolidated Statement of Financial Position are Contracts for Difference (CfDs). ## Contracts For Difference (Cfds) The deferred difference between the fair value of the liability on day one and the transaction price is amortised over the contract life of the CfDs, which commences from the earlier of i) the actual start date of generation or ii) the end of the Target Commissioning Window (TCW) identified in the CfD, as this is the point at which the contractual liability will start to unwind (i.e. it is the point at which the potential payment period under the CfD commences). Contracts for Difference are a mechanism used to support investment in UK low carbon generation projects. CfDs have been established as a contract between the 'Generator' and the Low Carbon Contracts Company (LCCC), a company wholly owned by the Government and consolidated within the Department's Accounts. The significance of these two dates is that they are the part of the contractual provisions which determine when the right to potential CfD payments starts. The contract payment period is typically for 15 years, but specific exceptions exist: • for contracts relating to biomass conversion • the contract for HPC) which will expire at CfDs, other than the CfD relating to Hinkley Point C (HPC), nuclear generating plant, have been classified as derivatives in accordance with International Accounting Standard 39 and recognised at their 'fair value' by deferring the difference between fair value and transaction price. Any subsequent gain or loss in fair value is recognised in the Statement of Comprehensive Net Expenditure. The HPC CfD has not been recognised in these accounts and its accounting treatment is described under heading 'Hinkley Point C' of this note. CfDs may be signed many years in advance of actual generation. The main benefit to generators is the fact that they can derive economic benefit from these contracts across the payment period life of the contract and the added certainty which the CfD contract provides helps them to finance the project. The fair value of any derivative recognised in these accounts is assessed by reference to IFRS13 (Fair Value) which provides three options for assessment. The different options are hierarchical and classed as Level 1, 2, or 3, where Level 1 is based on market prices, Level 2 is based on observable data other than market prices and Level 3 is used where Level 1 or 2 data is unavailable and can include use of an entity's own data, models and assumptions. The fair value of the Department's CfDs recognised in these accounts has been calculated using the income approach based on Level 3 inputs, which reflects the present value (PV) of future cash flows that are expected to occur over the contract term of the CfD. The discount rate which has been used to determine the PV for financial reporting is the financial instrument real rate of 0.7% set by HM Treasury Public Expenditure System (PES) Secretariat on 2 Dec 2016. Typically, if generators start generating within their TCW (which is specified in the contract) then the generation period starts from the date of generation and subject to all conditions being met, the generator can extract benefit for the full term of the contract. If generators miss the end of their TCW (and it is not extended under the terms of the contract) then the payment life period commences at the end of their TCW even if the generator is not in a position to generate. If the generator does not achieve the required minimum generation capacity by the contractual 'Longstop Date', the LCCC has a right to terminate the CfD. By contrast, for investment decisions and project appraisal the Department is required to use the social discount rate of 3.5% published in HM Treasury's Green Book. The Department has which have an expiration date in 2027; and the earlier of 35 years after the start date of the second reactor or when the total CfD payments made have reached the Generation Cap (i.e. 910,000,000 MWh). There is an obligation placed on licensed electricity suppliers to fund the CfD liabilities as they crystallise. The future levy amounts which will be received from the licensed suppliers will be accounted for within the LCCC and will be triggered by the generation and supply of low carbon electricity. As at 31 March 2016 the LCCC was counterparty to 38 contracts. Of those, 14 contracts were related to 8 CfD projects under the government's "Final Investment Decisions enabling Renewables" programme (FIDeR). Subsequently, 2 additional CfDs were entered into or transferred to the LCCC during the financial year. • The Drax FIDeR contract was transferred to the LCCC from the Core Department in December 2016. The Drax biomass project has a capacity of 637MW of low carbon generation.In addition, in March 2017, a previously terminated CfD contract was reinstated following the results of a tribunal decision. • The Hinkley Point C contract was signed on 29 September 2016. Details of the contract, CfD liability as at 1 April 2015 recognised on the Consolidated Statement of Financial Position 498 1,987 2,485 CfD liability transferred during the year (896) 896 - Re-measurement of the CfD liability 1,735 8,965 10,700 CfD liability released during the year – (578) (578) CfD liability as at 31 March 2016 recognised on the Consolidated Statement of Financial Position 1,337 11,270 12,607 CfD liability transferred during the year (1,111) 1,111 – CfD reinstated during the year – 575 575 Re-measurement of the CfD liability (226) (571) (797) Payments to the CfD generators – (92) (92) Deferred difference recognised during the year – 41 41 CfD liability as at 31 March 2017 recognised on the Consolidated Statement of Financial Position - 12,334 12,334 which has not been recognised in these accounts, are further explained in the section entitled "Hinkley Point C" in this note. At 31 March 2017 the LCCC was counterparty to 40 contracts recognised in the accounts. The transaction price for CfDs differs from the fair value at initial recognition (measured using a valuation model) because the transaction price on day one was zero as the generators were awarded the CfD contracts at nil consideration through a competitive process. However the future anticipated cash flows do have a fair value determined using projections of wholesale electricity prices from the Dynamic Dispatch Model with significant unobservable inputs and based on IFRS 13 Level 3 valuation technique. The Departments financial instruments are therefore recognised at the transaction price and any difference between the transaction price and fair value at initial recognition measured using a valuation model is deferred and disclosed in the accounts. The following table shows the movement of the CfD liability on the SoFP: | Core Department | LCCC CfDs exc. | Departmental | |--------------------|-------------------|-----------------| | and Agencies | HPC | Group Total | | £m | £m | £m | ## Movement In Deferred Measurement Differences The Following Table Shows The Movement In Deferred Day One Loss. Core Department and Agencies Deferred measurement differences as at 1 April 2015 2,315 16,808 19,123 Measurement differences deferred on contracts transferred from BEIS (816) 816 - Measurement differences recognised in respect of terminated CfDs (1,088) (1,088) Deferred measurement differences as at 31 March 2016 1,499 16,536 18,035 Measurement differences deferred relating to a reinstated CfD – 1,085 1,085 Measurement differences deferred on contract transferred from BEIS (1,499) 1,499 - Measurement differences deferred during the year – - – Deferred measurement differences recognised during the year – (41) (41) Deferred measurement differences as at 31 March 2017 – 19,079 19,079 (DDM) owned by BEIS. Should no low carbon electricity be supplied in accordance with the contractual terms, then the LCCC is not under any obligation to make these payments. Fair value of CfDs (financial liabilities at fair value through profit and loss) The following table shows the impact on the fair value of the CfDs which have been recognised in these accounts, classified under Level 3 by using the assumptions described below: Fair value measurement of CfDs The fair value of CfDs (which excludes the HPC CfD which has not been recognised in these accounts) represents the LCCC's best estimate of the payments which the LCCC will be committed to make, if and when the generators supply low carbon electricity in accordance with their contractual terms. They are based upon the estimates of future fossil fuel prices estimated, using the central projections of fossil fuel prices and rising carbon prices to forecast the potential liabilities using the Dynamic Dispatch Model | Core Department and Agencies | - | - | 2,836 | 2,836 | |--------------------------------|--------------|---------|---------|---------| | LCCC | - | - | 27,806 | 27,806 | | As at 31 March 2016 | - | - | 30,642 | 30,642 | | LCCC | - | - | 771 | 771 | | As at 31 March 2017 | - | - | 31,413 | 31,413 | | LCCC CfDs | Departmental | | | | | exc. HPC | Group Total | | | | | £m | £m | £m | | | | Level 1 | Level 2 | Level 3 | Total | | | £m | £m | £m | £m | | Reconciliation of CfDs The following table shows the impact of changes to the fair value of CfDs which have been recognised in these accounts, classified under Level 3: | As at 1 April 2015 | 2,813 | 18,795 | 21,608 | |--------------------------------------|---------|----------|----------| | Transferred during the year | (1,712) | 1,712 | | | - | | | | | Change in fair value during the year | 1,735 | 8,965 | 10,700 | | CfD terminated during the year | - | (1,666) | (1,666) | | As at 31 March 2016 | 2,836 | 27,806 | 30,642 | | Additions during the year | - | - | - | | CfD reinstated during the year | - | 1,660 | 1,660 | | Transferred during the year | (2,610) | 2,610 | - | | Change in fair value during the year | (226) | (571) | (797) | | Payments to the CfD generators | - | (92) | (92) | | Deferred measurement differences | | | | | as at 31 March 2017 | - | 31,413 | 31,413 | The fair value of the CfDs has been estimated using a discounted cash flow model. This method involved the projection ofa series of cash flows and application of a discount rate to establish the present valueof the expenses associated with the liability. The valuation requires management to make certain assumptions about the model inputs, including cash flows, the discount rate, credit risk and volatility. Key Assumptions (excluding HPC CfD) Management's estimate of each CfD fair value takes into account many factors and inputs within ranges that consider the most likely outcome across the life of the CfD. Annual cash flow is estimated as reference price less strike price multiplied by estimated generation delivered. The series of cash flows is then discounted using the HM Treasury discount rate of 0.7% (2015-16: 0.7%). The following six assumptions are key to the CfD valuation: ## 1. Transmission Loss Multiplier (Tlm) TLM reflects the fact that electricity is lost as it passes through the transmission system from generators to suppliers. If the TLM is incorrect, this will have implications for the volume of electricity subject to CfD payments. Any change in TLM will be corrected through adjustments in strike prices although the change in TLM is expected to be immaterial. | Core Department | LCCC CfDs exc. | Departmental | |--------------------|-------------------|-----------------| | - | | | | and Agencies | HPC | Group Total | | £m | £m | £m | ## 2. Start Date Generators nominate a Target Commissioning Date (TCD) in their binding application form for a CfD, and this date is specified in their CfD following contract award. However, the generator is free to commission at any time within their Target Commissioning Window (TCW), a period of one year from the start of the TCW for most technologies, with no penalty, or after the end of the TCW and up to their 'Longstop Date' (one to two years after the end of the TCW depending on technology) with a penalty in the form of reduction of contract length for each day they are late in commissioning after the end of the TCW. The contract can be terminated if the generator has not commissioned 95% (or 85% for offshore wind) of their revised installed capacity estimate by the end of the Longstop Date. Any change to the start date will change the timing of future cash flows and impact on the discounted fair value. ## 3. Strike Price The strike price is an agreed price which determines the payments made to the generator under the contract with reference to its low carbon output and the market reference price. The relevant strike price is specified in each CfD and is not intended to change for the duration of the project, other than through indexation to CPI and certain network charges, or in the event of certain qualifying changes in law. ## 4. Future Forecast Wholesale Electricity Prices Forecast wholesale electricity prices are derived from the Dynamic Dispatch Model (DDM) which has been developed by BEIS to facilitate/inform policy decisions by modelling investor behaviour in response to fuel and carbon prices and policy environment. The DDM estimates the wholesale price by: • using the Short Run Marginal Cost (SRMC) for each plant, adjusted to take into account startup and shut-down costs; • half hourly demand for electricity taking be increased after contract signature, but can be reduced by the generator by no more than 25% with no penalty between contract signature and the completion of the first contractual milestone by its contractual deadline (i.e. the Milestone Requirement which must be completed 12 months after contract award). Thereafter the installed capacity figure can only be reduced by the generator for a permitted contractual construction event (which is a narrowly defined concept) or by the difference by which the relevant project has an installed capacity of 95% (or 85% in the case of offshore wind) of its current contractual installed capacity figure and 100%. The actual output of the generator will depend on the load factor. into account wind and solar profiles and generation, interconnector flows, pumped storage, auto-generation; and ## 6. Load Factor • projecting the future generation mix, taking into account announced government policy and illustrative assumptions on future policy. Load Factor is defined as the actual power output of a project as a proportion of its rated installed capacity. It is a percentage figure which is used to transform installed capacity into actual power output (generation). Load factor assumptions are based on reference factors for given technology types; however, actual power outputs are sensitive to technological and environmental factors which may impact actual cash flows. Economic, climate, policy, generation and demand assumptions are external inputs to the model including demand load curves for both a range of sample days for each season, including business and non-business days, and high and low demand days. Inherent limitations exist within forecasting wholesale electricity prices across the long term (>20 years). ## 5. Installed Capacity The figure for the maximum installed capacity was provided by the generator in its application for a CfD and specified in its CfD contract following allocation. The installed capacity cannot Sensitivity analysis (excluding HPC CfD) The following table shows the impact on the fair value of CfDs excluding HPC (in 2016 prices), classified under Level 3 in accordance with IFRS 13, by using reasonably possible alternative assumptions: ## Change In Fair Value Of Cfds Recognised In The Accounts If: | Electricity prices decrease by 10% | - | 1,858 | |--------------------------------------------------|-------|---------| | Electricity prices increase by 10% | 1,858 | - | | 10% more load factor | - | 3,141 | | 10% less load factor | 3,141 | - | | Estimated Commissioning Date moves back one year | 553 | - | | Generation starts at earliest possible date | - | 359 | concerning the uncertainty around valuation of these CfD contracts. ## Significant Unobservable Inputs The following table discloses the valuation techniques and significant unobservable inputs for CfDs recognised at fair value and classified as Level 3 along with the range of values used for these significant unobservable inputs. The fair value is highly dependent upon the actual capacity generated once the plant is built and the electricity prices which will prevail at the time of generation. The favourable and unfavourable changes show how the impact of changes in capacity and prevailing electricity prices will affect the fair value of CfDs due to the change in the level of cash flows. The Group auditors continue to include an emphasis of matter paragraph in their audit certificate | Favourable changes | Unfavourable changes | |----------------------|------------------------| | £m | £m | | Fair value | Valuation | |---------|--------------| | of CfDs | technique | | £m | (min - max) | | 2016 | 30,642 | | 2017 | 31,413 | ## Hinkley Point C The Department entered into the HPC Contract on 29 September 2016. This project has a maximum cumulative capacity of 910,000,000 MWh. The HPC contract will expire at the earlier of 35 years after the start date of the second reactor or when the total CfD payments made have reached the Generation Cap (i.e. 910,000,000 MWh). The valuation of the HPC CfD requires that an assumption be made of wholesale electricity prices in each year out to 2060. The Department uses a dynamic despatch model to develop scenarios-based estimates of future wholesale electricity prices. This model currently extends only as far as 2050 and the Department has therefore assumed flat wholesale prices for the ten years 2050-2060. Moreover there is an inherent limitation in accurate estimation beyond 2040 because there is a paucity of independent third-party information beyond this point from which to validate the Department's assumptions. The unavoidable uncertainty over possible scenarios so far into the future extend to a variety of factors including electricity demand, fossil fuel prices, generation mix, carbon prices and technology. Under International Financial Reporting Standards (IFRS) the Conceptual Framework sets out the concepts which underlie the preparation and presentation of financial statements. The Conceptual Framework deals with, amongst other things, the definition, recognition and measurement of the elements from which financial statements are constructed. Paragraph 4.38 of the Conceptual Framework states that an element should be recognised in the accounts if: a) it is probable that any future economic benefit associated with the item will flow to or from the entity; and b) the item has a cost or value that can be measured with reliability [defined as: using information that is complete, neutral and free from error]. In comparison to other CfDs the Department considers the CfD for HPC to have materially different characteristics from the other CfDs which currently exist. The European Pressurised | Significant | | Range | |---------------------|---------|-------| | unobservable inputs | Min-Max | Units | Reactor is a much more complex asset than the wind turbines or bio-mass generators associated with our other CfDs. It has very high levels of safety, reinforcement and containment incorporated into the design, which make it more expensive and complex to build and result in a significant lead time before generation commences (planned for 2025). Until these challenges are overcome and the asset is built, no payments will be made by the UK Government under the CfD. This unavoidably long lead time before generation commences is relevant to condition (a) of paragraph 4.38 of the Conceptual Framework. The HPC CfD contract duration is also more than double (35 years) the length of other CfDs (15 years) so far entered into by the Department. This makes it considerably more challenging to provide a single point fair value estimate, as required for accounting purposes, as that requires estimation of future wholesale electricity prices in every year out to 2060. This means that there are considerable but unavoidable uncertainties in creating a fair value estimate for the HPC CfD because of the unusually long time period involved. Uncertainty increases with time and so the choice of discount rate plays a significant part in determining how much uncertainty is weighted into a present value calculation; a higher discount rate places less weight on increasingly more uncertain later years of a present value calculation. For example, in conducting the economic appraisal for the HPC project the Department used the social discount rate of 3.5% per year, as required by the HM Treasury Green Book. However for valuing financial instruments like CfDs the Department is obliged to use the financial instrument discount rate of 0.7%, as required by the HM Treasury Financial Reporting Manual. Therefore, compared to an economic appraisal, a present value estimate for a financial instrument includes progressively more weight from the less certain later years of the appraisal period. For comparison, using the social discount rate of 3.5% would lead to a valuation of £15.6bn compared to £28.8bn using HM Treasury Financial Reporting Manual discount rate of 0.7%. of Comprehensive Net Expenditure and the Statement of Financial Position as they arise. The Department has nonetheless set out below its best estimation of the fair value of the contract, and its sensitivity to assumptions underlying the valuation, in the interests of transparency. This follows a 'Level 3' methodology under IFRS 13, which allows for use of the entity's own models and assumptions. Fair value measurement of HPC The Department has set out below its best estimation of the fair value of the contract, and the assumptions which have been considered in its valuation. This follows a Level 3 methodology under IFRS 13 (Fair Value), which allows for use of the entity's own models and assumptions. This disclosure is consistent with IAS 39 (Financial Instruments) where the initial recognition of a financial instrument like the HPC CfD requires a deferred liability disclosure rather than a transaction of the initial fair value estimate through the primary statements. The following table provides an analysis of the fair value of HPC, grouped into Levels 1 to 3 within the fair value hierarchy based on the degree to which the fair value is observable: This is particularly relevant to the HPC CfD fair value because external forecasts for wholesale electricity prices are not currently readily available beyond 2040. It has not been possible for the Department to satisfactorily verify whether a single point fair value estimate for the HPC CfD is complete, neutral and free from error. (Verifiability is one of the qualitative characteristics of useful financial information for financial statements as set out in the Conceptual Framework.) The Department has therefore concluded that for the time being the HPC CfD fails to meet the recognition criterion (b) as outlined above. Therefore, the HPC CfD has not been recognised as a transaction in these primary statements. It is expected that when the HPC CfD meets the recognition criteria (a) and (b) of paragraph 4.38 of the Conceptual Framework the HPC CfD will be recognised at the prevailing fair value at that point in time. The fair value at the date of recognition will be determined in accordance with IFRS 13 and the difference between the fair value and the transaction price of zero will be deferred and amortised in the same way as the other CfDs described above. Changes in fair value after the date of recognition will be recognised in subsequent reporting periods and accounted for in the Statement | Level 1 | Level 2 | Level 3 | Total | |---------------------|-----------|-----------|---------| | £m | £m | £m | £m | | As at 31 March 2016 | - | - | - | | As at 31 March 2017 | - | - | 28,824 | Information on other factors which impact on the fair value of HPC CfD is set out below: end of the Longstop Date. The TCW for reactor one is 1 May 2025 to 30 April 2029. The TCW for reactor two is 1 November 2025 to 31 October 2029. Any change to the start date will change the timing of future cash flows and impact on the discounted fair value. Start date The Target Commissioning Date (TCD: current expected start date) for reactor one and reactor two of the Hinkley Point C project are 1 May 2025 and 1 November 2025 respectively. ## Equity Gain Share For Hinkley Point C • The equity gain share mechanism consists of In each case, as and when the Internal Rate of Return (IRR) thresholds are reached: The generator is free to commission at any time within their Target Commissioning Window (TCW), a period of one year from the start of the TCW for most technologies, with no penalty, or after the end of the TCW and up to their 'Longstop Date' (one to two years after the end of the TCW depending on technology) with a penalty in the form of reduction of contract length for each day they are late in commissioning after the end of the TCW. The contract can be terminated if the generator has not commissioned 95% (or 85% for offshore wind) of their revised installed capacity estimate by the two separate components: (i) a mechanism to capture gains above specified levels where the Hinkley Point C project outperforms relative to the original base case assumptions; and (ii) a mechanism to capture gains above specified levels arising from the sale of equity and economic interests (direct or indirect) in the Hinkley Point C project. • If the relevant IRR is more than 11.4%, the LCCC will receive 30% of any gain above this level. • If the relevant IRR is more than 13.5%, the LCCC will receive 60% of any gain above this level. The equity gain share mechanism forms part of the Secretary of State Investor Agreement and does not therefore impact the fair value of Hinkley Point C. Installed Capacity Hinkley Point C which does not have an installed capacity cap, is only entitled to CfD payment support up to a Generation Cap of 910,000,000 MWh. Strike price The strike price is an agreed price which determines the payments made to the generator under the contract with reference to its low carbon output and the market reference price. The relevant strike price is specified at £92.50 in real 2012 terms and is not intended to change for the 35 year contract duration, other than through indexation to CPI and certain network charges, or in the event of certain qualifying changes in law. In addition to the factors mentioned above, Hinkley Point C's strike price change is also subject to the following three additional factors: 1. Construction gain share for Hinkley Point C If the construction costs of Hinkley Point C come in under budget, the strike price will be adjusted downwards so that the gain (or saving) is shared with the LCCC. The gain share is 50/50 for the first billion pounds, with savings in excess of this figure being shared 75% to the LCCC and 25% to the generator, NNB Generation Company (HPC) Limited (NNBG). If the outturn cost of construction is less than assumed then by reducing the strike price the amounts paid out to NNBG under the CfD will reduce and hence the benefit of the lower construction costs is shared between NNBG and ultimately consumers. There is, however, no similar upward adjustment if the construction cost of Hinkley Point C is over budget. ## 2. Opex Reopener For Hinkley Point C The strike price may be adjusted upwards if the operational expenditure costs are more than assumed and downwards if they are less. There are two operational expenditure reopener dates, at 15 years and 25 years after the first reactor start date. The rationale behind the reopener is that the strike price is based on long-term assumptions on operational expenditure costs. The reopener provides a way of mitigating longterm cost risks for both parties. 3. Sizewell C strike price adjustment for Hinkley Point C If the Sizewell C condition is not satisfied on or before the reactor one start date, there shall be no strike price adjustment. However, if the Sizewell C condition is satisfied after the reactor one start date, then the applicable strike price shall be reduced with effect from the date of satisfaction of the Sizewell C condition by £3/MWh. Sensitivity analysis Using a Level 3 technique to assess the value of the Hinkley Point C CfD is permissible when there is no observable input against which to assess the valuation. The Department has used internally generated models and assumptions consistent with an emissions pathway towards the Government's decarbonisation commitments to generate the wholesale electricity price scenarios used in the valuation of the HPC CfD. There is unavoidable uncertainty inherent in all such modelling and as such the results should be interpreted as a range of plausible scenarios rather than a single point value. However, IFRS13 requires that a single amount be declared for fair value and so to satisfy this condition the Department has adopted its central scenario when valuing the HPC CfD. To provide transparency for the reader, it is important to highlight the uncertainty inherent in material values over a long period of time such is the nature of this CfD. The predicted price series from the Dynamic Dispatch Model between 2025 and 2050 (flat-lined from 2050 to 2060) has a higher degree of certainty in the early years (2025-2040) and a lower degree of certainty in later years (2040-2060). The Department has illustrated some empirical impact of changes in assumptions on the fair value of the HPC CfD (in 2016 prices). These are shown in the table below: ## Change In Fair Value Of Hpc If: | Electricity prices decrease by 10% | - | 4,478 | |--------------------------------------------------|----------------------|---------| | Electricity prices increase by 10% | 4,478 | - | | At generation cap | - | 260 | | 10% less load factor | 2,882 | - | | Estimated Commissioning Date moves back one year | 481 | - | | Sizewell C Strike price adjustment for HPC | 2,387 | - | | Favourable changes | Unfavourable changes | | | £m | £m | | ## 10 Investments And Loans In Other Public Sector Bodies | | Public | Other | |------------------------|-----------|-------------| | Ordinary | Dividend | loans and | | shares | Capital | investments | | £m | £m | £m | | Balance at | | | | 1 April 2015 | | | | restated | 2,469 | 115 | | Additions | 462 | - | | 610 | | | | (332) | - | | | 278 | | | | Redemptions | - | (34) | | (40) | | | | 6 | - | | | (34) | | | | Impairments | (326) | - | | (325) | | | | 315 | - | | | (10) | | | | Revaluations | 12 | - | | 12 | | | | - | (255) | | | (243) | | | | Unwinding | | | | of discount | - | - | | 2 | | | | - | - | | | 2 | | | | Loans repayable | | | | within 12 months | | | | transferred to | | | | current assets | - | - | | (27) | | | | - | - | | | (27) | | | | Balance at | | | | 31 March 2016 | | | | restated | 2,617 | 81 | | Additions | 753 | - | | 921 | | | | (822) | - | | | 99 | | | | Redemptions | - | - | | - | | | | - | - | | | - | | | | Impairments | (148) | - | | (148) | | | | 148 | - | | | - | | | | Revaluations | 18 | - | | 18 | | | | - | (115) | | | (97) | | | | Reclassification | (1,517) | - | | (1,522) | | | | 1,517 | - | | | (5) | | | | Unwinding of | | | | discount | - | - | | 3 | | | | - | - | | | 3 | | | | Loans repayable | | | | within 12 months | | | | transferred to current | | | | assets | - | - | | (9) | | | | - | - | | | (9) | | | | Balance at | | | | 31 March 2017 | 1,723 | 81 | Elimination of shares Core and other Department investments and and loans NDPBs Agencies held in Ordinary Departmenta Total NDPBs Shares Group Total ## 10.1 Ordinary Shares In Other Public Sector Bodies Department Agencies Balance at 1 April 2,617 1,146 2,469 1,171 Additions 753 37 462 229 Impairments (148) - (326) (11) Revaluations 18 (97) 12 (243) Reclassification (1,517) - - - Balance at reporting date 1,723 1,086 2,617 1,146 Comprising Ordinary Shares held within the Departmental boundary - held at cost 1,059 – 2,007 – Ordinary Shares held outside the Departmental boundary - held at fair value 664 1,086 610 1,146 Balance at reporting date 1,723 1,086 2,617 1,146 ## British Business Bank Plc (Bbb) Ordinary Shares in other public sector bodies held within the Departmental boundary In accordance with the FReM, ordinary shares held within the Departmental boundary are carried at historical cost less any provision for impairment. They are eliminated on consolidation. ## Green Investment Bank (Gib) The core Department holds 1,071,407,935 ordinary shares (31 March 2016: 837,525,846), each with a nominal value of £1. BEIS made £234 million (31 March 2016: £173 million) capital injections in BBB during the year in exchange for share capital, to allow BBB to make investments that could not be financed with free capital. The core Department's holding had a cost less provision for impairment of £1,046 million at 31 March 2017 (31 March 2016: £815 million). The principal objective of the company is to address long-standing, structural gaps in the supply of finance and bring together in one place Government finance support for small and midsized businesses. The core Department holds 1,517,450,000 shares of £1 each (31 March 2016: 1,034,850,000) in GIB. BEIS made £483 million (31 March 2016: £60 million) capital injections into GIB during the year in exchange for share capital. The Core Department's holding had a cost of £1,517 million at 31 March 2017 (31 March 2016: £1,035 million). ## Uk Shared Business Services Limited (Uksbs) The principal objective of the company is to accelerate private sector investment in the clean energy sector. The core Department holds 62,016,358 nonvoting shares and one voting share in UKSBS, held at cost less provision for impairment of £6 million at 31 March 2017 (31 March 2016: £12 million). On the 20 March 2017, the core Department had committed to the sale of GIB. The core Department's shareholding in GIB met the classification criteria of a non-current asset held for sale in accordance with IFRS 5. The shareholding was reviewed for impairment (of which no impairment was identified) prior to being reclassified as a non-current asset held for sale. See Note 15 for further details. The company is a specialist business services organisation that provides finance, procurement, grants, information systems and HR and payroll services to the public sector. Its main objective is to improve the economy, efficiency and effectiveness of corporate services to BEIS bodies. | | 31 March 2017 | 31 March 2016 | |------------|-----------------|------------------| | Core | | Core | | Department | | | | and | | Departmental | | Group | Agencies | Group | | £m | £m | £m | ## Postal Services Holding Company Limited (Psh) The Secretary of State for BEIS owns 50,005 ordinary shares in PSH which is 100% of the issued share capital at a historic cost of £430 million at 31 March 2017 (31 March 2016: £430 million). The Secretary of State for BEIS also owns one special share in PSH, relating to certain areas for which Special Shareholder's consent is required. The core Department's holding had a cost less provision for impairment of £7 million at 31 March 2017 (31 March 2016: £145 million), reflecting the reduction in the value of investments held by PSH. The impairment is reversed in the Departmental Group and recognised as a fair value movement in Post Office Limited (POL). The principal objective of the company is to hold and manage its shares in POL. ## Low Carbon Contracts Company Ltd (Lccc) The core Department holds one ordinary share in LCCC with a nominal value of £1. The principal objective of the company is to be the counterparty to and manage Contracts for Difference (CFD's) throughout their lifetime. ## Electricity Settlements Company Ltd (Esc) The core Department holds one ordinary share in ESC with a nominal value of £1. The principal objective of the company is to oversee settlement of the Capacity Market agreements. ## Enrichment Holdings Limited (Ehl) The core Department holds two shares of £1 each in EHL with a nominal value of £2. EHL has been set up as a holding company, along with a subsidiary company, Enrichment Investments Limited (EIL), solely to hold the Government's one-third share in Urenco Limited, an entity operating in the civil uranium enrichment sector. ## Bis (Postal Services Act 2011) Company Limited The core Department holds one ordinary share in BIS (Postal Services Act 2011) Company Limited with a nominal value of £1. The principal objective of the company is to dispose of the assets transferred to it from the Royal Mail Pension Plan (RMPP). ## Wave Hub Limited The core Department held one ordinary share in Wave Hub Limited with a nominal value of £1. The principal objective of the company is to provide test platforms for companies performing research and development in wave energy technologies on the Cornwall Coast. On 31 March 2017 Wave Hub was transferred to Cornwall Council. ## South Tees Site Company Limited (Stsc) The core Department holds one ordinary share in STSC with a nominal value of £1. The principal objective of the company is to secure and manage the South Tees Site. Ordinary Shares held outside of the Departmental boundary Shares held outside of the Departmental boundary are carried at fair value in accordance with IAS 39. ## Post Office Limited (Pol) And Royal Mail Plc The core Department holds 100% of the shares in the Postal Services Holding Company Limited (PSH), the company which wholly owns Post Office Limited (POL) and up to the end of 2015- 16 held the department's investment in Royal Mail plc. PSH holds 50,003 ordinary shares in POL at a nominal value of £1 each which is 100% of the issued share capital. There is a special share in POL (nominal value of £1) which is held directly by the Secretary of State for BEIS. This shareholding is held at fair value, but as there is no active market for these shares the net asset value of POL is considered to be a reasonable approximation for fair value. The fair value as at 31 March 2017 was £nil (31 March 2016: £137 million). The principal objective of POL is to provide retail post office services through its national network of branches. During 2015-16 PSH's shareholding of 299,913,077 ordinary shares in Royal Mail plc was reduced to nil through a combination of sales (28% of issued Royal Mail plc shares) and gifts to employees (2% of issued Royal Mail plc shares). A total realised profit on disposal of £1,435 million was recognised in 2015-16, as shown in the Statement of Comprehensive Net Expenditure. £94 million was incurred in 2015-16 for the gift of shares to employees and is shown in Note 4.4 under other grants. ## British Nuclear Fuels Limited (Bnfl) each in NNL Holdings Limited (NNHL) with a nominal value of £1 each. NNLHL has been set up as a holding company, to hold all the shares in the National Nuclear Laboratory Limited. The core Department holds 50,000 ordinary shares in BNFL at a nominal value of £1 each. The Secretary of State for BEIS owns 49,999 ordinary shares and the Treasury Solicitor owns one ordinary share. The shareholding is held at fair value but because there is no active market for these shares the net asset value of NNLHL is considered to be a reasonable approximation of fair value. The fair value as at 31 March 2017 was £76 million (31 March 2016: £65 million). The core Department's shareholding is held at fair value, but because there is no active market for these shares the net asset value of BNFL is considered to be a reasonable approximation of fair value. The fair value as at 31 March 2017 was £324 million (31 March 2016: £322 million). ## Nuclear Liabilities Fund Ordnance Survey Limited (Osl) The core Department holds 34,000,002 ordinary shares in OSL at a nominal value of £1 each which is 100% of the issued share capital. BEIS acquired the ordinary shares in OSL for £170 million on 1 April 2015 as part of the Ordnance Survey Trading Fund transferring its trade and assets into OSL. The primary objective of the Nuclear Liabilities Fund Limited is to produce sufficient returns to cover the cost of decommissioning 8 existing nuclear power stations, all now owned by EDF Energy Nuclear Generation Limited (EDFE) and to cover certain of EDFE's uncontracted liabilities (principally the removal and storage of spent fuel). A remote contingent liability has been disclosed in relation to these costs in the Parliamentary Accountability and Audit Report. The shareholding is held at fair value, but as there is no active market for these shares the net asset value of OSL is considered to be a reasonable approximation for fair value. The fair value as at 31 March 2017 was £189 million (31 March 2016: £174 million). The principal objective of OSL is to produce mapping products and mapping data information. ## Npl Management Limited (Nplml) The Fund is owned by the Nuclear Trust, the members of which also constitute the Fund's Board. The Secretary of State has powers to set the Fund's investment policy and appoints three of the trustees. The other two trustees are appointed by EDFE. In addition to the ordinary shares jointly owned by the trustees, the Secretary of State and EDFE each own a special share in the Fund (note 10.4). The fair value of the Fund (i.e. assets less liabilities as recognised in the accounts) as at 31 March 2017 was £nil (31 March 2016: £nil). The core Department holds 57 ordinary shares in NPLML which is 100% of the issued share capital. ## Nda Subsidiaries The shareholding is held at fair value, but as there is no active market for these shares the net asset value of NPLML is considered to be a reasonable approximation for fair value. The fair value as at 31 March 2017 was £75 million (31 March 2016: £49 million). ## Nnl Holdings Limited (Nnlhl) The NDA controls the following subsidiaries, all of which are outside the Departmental Group boundary and not consolidated into these accounts. The holdings are valued at fair value. As there is no active market, the net assets of the entities are considered the most appropriate approximation of fair value of £422 million as at 31 March 2017 (31 March 2016: £399 million). The core Department holds two shares of £1 Name Country of incorporation Nature of business Direct Rail Services Limited UK Rail transport services within the UK NDA 100% International Nuclear Services France SAS (i) France Transportation of spent fuel NDA 100% International Nuclear Services Japan KK (i) Japan Transportation of spent fuel NDA 100% International Nuclear Services Limited UK Contract management and the transportation of spent fuel, reprocessing products and waste NDA 100% NDA Properties Limited UK Property management NDA 100% Pacific Nuclear Transport Limited (i) UK Transportation of spent fuel, reprocessing products and waste NDA 68.75% Rutherford Indemnity Limited Guernsey Nuclear insurance NDA 100% (i) Ownership through International Nuclear Services Limited. ## 10.2 Public Dividend Capital (Pdc) Companies House UKIPO £m £m £m £m £m Balance at 1 April 2015 16 6 34 59 115 Additions - - - - - Redemptions - - (34) - (34) Impairments - - - - - At 31 March 2016 16 6 - 59 81 Additions - - - - - Redemptions - - - - - Impairments - - - - - At 31 March 2017 16 6 - 59 81 PDC is held by the Core Department. In accordance with the FReM, PDC is carried at historical cost less any impairment. On 1 April 2015 the trade and assets of Ordnance Survey were transferred to the newly incorporated Limited Company, Ordnance Survey Limited (OSL). BEIS is the sole shareholder of OSL. Ordnance Survey was a trading fund owned by BEIS, but outside of the departmental boundary. BEIS's investment in the trading fund was recorded as PDC. The transfer of the trade and assets from Ordnance Survey to OSL resulted in the £34 million PDC investment BEIS had in the Trading Fund being repaid and £170 million of ordinary share capital for OSL being recognised, 100% of the issued ordinary share capital in OSL. The £170 million ordinary share capital issued was equal to the net assets of Ordnance Survey trading fund at the date of the transfer. Holding entity Proportion of ordinary shares held Ordnance Survey Met Office Total ## 10.2.1 Share Of Net Assets And Results For Public Dividend Capital Holdings Outside The Departmental Consolidation Boundary The Department Is Required To Disclose Its Share Of The Net Assets And The Results | Net Assets/(Liabilities) at 31 March 2016 | 75 | 86 | 250 | |-------------------------------------------------------------|------|------|-------| | Turnover | 66 | 83 | 227 | | Surplus/profit (deficit/loss) for the year before financing | (2) | 4 | 9 | | Net Assets/(Liabilities) at 31 March 2017 | 79 | 85 | 246 | | Turnover | 66 | 88 | 227 | | Surplus/profit (deficit/loss) for the year before financing | 4 | 7 | 5 | For all bodies, information for 2016-17 was derived from their draft unaudited accounts. The information for 2015-16 was derived from their audited accounts. The accounts were prepared on an IFRS basis, in accordance with the requirements of the FReM. ## 10.3 Other Investments And Loans In Public Sector Bodies 31 March 2017 Core Department and Agencies £m £m £m £m Balance at 1 April 210 113 92 88 Additions 168 62 148 49 Repayments - - (6) - Impairments - - 1 1 Unwind of discount 3 3 2 2 Reclassification (5) (5) - - Loans repayable within 12 months transferred to current assets (9) (9) (27) (27) Balance at reporting date 367 164 210 113 ## Core Department Loans In Other Public Sector Bodies Loans in other public sector bodies are classified as 'loans and receivables' and measured at amortised cost in accordance with IAS 39. The total carrying amount of EELs and REELs with public sector bodies is £137 million at 31 March 2017 (31 March 2016: £92 million). The non-current element of the loans is £107 million at 31 March 2017 (31 March 2016: £68 million), and the current element of these loans is £30 million at 31 March 2017 (31 March 2016: £24 million), which is included in note 16. The balance comprises a number of loans to public sector bodies, the most significant loans making up the balance are detailed below These loans are to non-consolidated public sector entities and are not eliminated on consolidation. Fleetbank Funding Limited Loan (Enable Funding programme) The core Department's loan to Fleetbank Funding Limited is to provide funding to support the Enable Funding programme, managed Energy Efficiency Loans and Recyclable Energy Efficiency Loans (EELs and REELs) The core Department's energy efficiency loans scheme was set up under the Environmental Protection Act 1990 to help businesses and public sector organisations reduce their energy costs by providing interest free loans for the implementation of energy efficiency projects. for the year of other public sector bodies, which are outside of the departmental boundary. The following disclosures relate to the Department's trading funds. Companies House UKIPO Met Office £m £m £m 31 March 2016 Restated Departmental Core Department Departmental Group and Agencies Group by the British Business Bank and launched in November 2014, aimed at improving the provision of asset and lease finance to smaller UK businesses. Fleetbank Funding Limited was designated as a consolidated body in 2016-17, resulting in the loan being reclassified as a loan to a public sector entity from a loan to a private sector entity. This was adjusted in the opening balances as part of changes in the departmental boundary. The carrying amount of the Fleetbank Funding Limited loan is £130 million at 31 March 2017 (31 March 2016: £93 million), the increase is due to additions in year of £37 million (31 March 2016: £93 million). This loan is to a consolidated body and is eliminated on consolidation. Northern Powerhouse Investment Limited and Midlands Engine Investment Limited loans The core Department has loans with Northern Powerhouse Investment Fund and Midlands Engine Investment Fund. The funds are matched by funding from the European Investment Bank. The funds are set up to provide commercially-focused finance to help small and medium sized enterprises start up and grow. The carrying amount of the loan investments in these entities is £58 million at 31 March 2017 (31 March 2016: £nil). The loan investments were made during 2016-17. The loans are accounted for at cost under IAS 27 in the core Department. These loans are to consolidated bodies and are eliminated on consolidation. 10.4 Special Shares The Secretary of State holds one Special Share in each of the entities listed below. The list is a summary and does not claim to be a comprehensive record of the terms of each respective shareholding. Further details can be obtained from the annual report and financial statements of each body or their Articles of Association. The core Department does not recognise the special or 'golden' shares on its Statement of Financial Position. ## Significant Terms Of Shareholding Body in which Share is held and type and value of Share • Created in January 2001 (formerly called Royal Mail Holdings plc). • It may be redeemed at any time by the shareholder. Postal Services Holding Company Limited. £1 Special Rights Preference Share • The consent of the special shareholder is required for a number of decisions, including: - Appointments to the Board (the special shareholder can also make appointments to the Board) - Setting (and approving any material changes in) the remuneration packages of the Directors - Borrowing - Disposing of substantial assets of the business and shareholdings - Issuing or allotment of shares in the Post Office network company (Post Office Limited) - Voluntary winding-up of the company - Varying certain of the company's Articles of Association, including the rights of the special shareholder - Exercising of voting rights in Royal Mail plc ## Significant Terms Of Shareholding Body in which Share is held and type and value of Share • Created in April 2012. • Special Shareholder is entitled to attend and speak at any general meeting or any Post Office Limited ("POL") £1 Special Rights Redeemable Preference Share meeting of any other class of shareholders of POL, but the Special Share does not carry voting rights or any other rights at any such meeting. • It may be redeemed at any time by the Special Shareholder. POL cannot redeem the Special Share without prior consent of the Special Shareholder. • The consent of the special shareholder is required for a number of decisions, including: - Varying POL 's Articles of Association, including the rights of the special shareholder; - Appointment or removal from office of any Director of POL; - Approval of (including material variations) Directors' remuneration and terms of employment; - Adoption of (and any material variation in) POL 's strategic plan; - Substantial alterations in the nature of the business carried on by POL; - Sale of material assets in the absence of which POL would not be able to deliver its strategic plan; - Incurring of any borrowing exceeding pre-set limits as agreed with HM Treasury; - Issuing or allotment of shares or granting of share rights in the company; and - Voluntary winding-up of the company or member of the group. • Created in 1985 (but subsequently amended). BAE Systems plc £1 Special Rights Preference Share • No time limit. • Provides for a 15% limit on any individual foreign shareholding, or group of foreign shareholders acting in concert, in the company. • Requires a simple majority of the Board and the Chief Executive to be British. • Requires any Executive Chairman to be British and, if both the Chairman and Deputy Chairman are non-executives, requires at least one of them to be British. • Created in 1987 (but subsequently amended and transferred to Rolls-Royce Holdings plc). Rolls Royce Holdings plc £1 Special Rights Non- Voting Share • No time limit. • Provides for a 15% limit on any individual foreign shareholding, or group of foreign shareholders acting in concert, in the company. • Requires a simple majority of the Board to be British. • Allows either the Chairman or the Chief Executive to be either an EU or US citizen provided that the other is a British citizen. • Provides for a veto over the material disposal of assets of the group. • Provides for a veto for a proposed voluntary winding up. • British Energy Group plc Special Share created on 13 January 2005 and held jointly by the Secretary of State for Business, Energy and Industrial Strategy and the Secretary of State for Scotland. EDF Energy Nuclear Generation Group Limited (formerly British Energy Group plc) £1 Special Share • The consent of the Special Shareholder, which can only be refused on grounds of national security (except in relation to an amendment to the company's Articles of Association), is required in respect of: - various amendments to the company's Articles of Association; - any purchase of more than 15% of the company's shares; - the issue of shares carrying voting rights of 15% or more in the company; - variations to the voting rights attaching to the company's shares; and the giving of consent in respect of the issue of shares by the sale of shares in or amendments to the Articles of Association of various subsidiaries in certain cases. | Significant terms of Shareholding | Body in which Share is | |----------------------------------------------------------------------------------------|-------------------------------------------------------------------------------| | held and type and value | | | of Share | | | - | British Energy Holdings plc Special Share created on 13 January 2005 and held | | jointly by the Secretary of State for Business, Energy and Industrial Strategy and the | | | Secretary of State for Scotland. | | | British Energy Limited | | | (formerly British Energy | | | Holdings plc) £1 Special | | | Share | | • The consent of the Special Shareholder, which can only be refused on grounds of national security (except in relation to an amendment to the company's Articles of Association), is required in respect of: - various amendments to the company's Articles of Association, and the giving of consent in respect of the issue of shares by the sale of shares in or amendments to the Articles of Association of various subsidiaries in certain case. • British Energy Generation Ltd Special Share created in 1996 is held solely by the Secretary of State for Business, Energy and Industrial Strategy. • The consent of the Special Shareholder, which can only be refused on grounds of EDF Energy Nuclear Generation Limited (formerly British Energy Generation Ltd) £1 Special Share national security (except in relation to an amendment to the company's Articles of Association), is required in respect of: - various amendments to the company's Articles of Association; - the disposal of any of the nuclear power stations owned by the company; and prior to the permanent closure of such a station, the disposal of any asset which is necessary for the station to generate electricity. • British Energy plc Special Share created in 1996 is held solely by the Secretary of State for Business, Energy and Industrial Strategy. British Energy Ltd (formerly British Energy plc) £1 Special Share • The consent of the Special Shareholder, which can only be refused on grounds of national security (except in relation to an amendment to the company's Articles of Association), is required in respect of: - various amendments to the company's Articles of Association; and - the giving of consent in respect of the issue of shares by, the sale of shares in or amendments to the Articles of Association of various subsidiaries in certain cases • The company has no significant assets or liabilities as a result of the restructuring scheme, which came into effect on 14 January 2005. Nuclear Liabilities Fund Ltd • Created in 1996. • The Secretary of State for Business, Energy and Industrial Strategy has a Special 'A' Share (there is also a 'B' Share held by British Energy). £1 Special Rights Redeemable Preference Share • The consent of the Special Shareholder is required for any of the following: - to change any of the provisions in the Memorandum of Association or Articles of Association; - to alter the share capital or the rights attached thereto; - the company to create or issue share options; - the 'B' Special Shareholder or any of the Ordinary shareholders to dispose or transfer any of their rights in their shares; - the company to pass a members voluntary winding-up resolution; - the company to recommend, declare or pay a dividend; - the company to create, issue or commit to give any loan capital; - the company to issue a debenture; or - the company to change its accounting reference date. 10.5 Membership Fund The Secretary of State for Business, Energy and Industrial Strategy has a share in the membership fund of Carbon Trust. The members' fund at 31 March 2017 was nil (31 March 2016: nil). ## 11 Other Financial Assets Department Note Agencies Balance at 1 April (restated) 1,639 4,473 1,944 5,921 Transfer - 7 (35) - Reclassifications 5 (1,267) (1) (1) Additions 17 1,281 116 688 Repayments (206) (508) (126) (2,142) Effective interest 45 45 58 58 Unwinding of discount – 2 – – Revaluations (7) (7) (297) (21) Impairments (8) (60) (20) (43) Impairment reversals - - - 13 Balance at reporting date 1,485 3,966 1,639 4,473 Comprising: Repayable Launch Investments 11.1 1,205 1,205 1,389 1,389 Other Financial assets 11.2 280 2,761 250 3,084 Balance at reporting date 1,485 3,966 1,639 4,473 ## Other Financial Assets Analysed Between Current And Non-Current Assets: Department Agencies Due within twelve months 1 1 2 2 Due after twelve months 1,484 3,965 1,637 4,471 Total 1,485 3,966 1,639 4,473 ## 11.1 Repayable Launch Investments Department Agencies Balance at 1 April 1,389 1,389 1,740 1,740 Repayments (144) (144) (112) (112) Effective interest 44 44 57 57 Revaluations (84) (84) (296) (296) Balance at period end date 1,205 1,205 1,389 1,389 Repayable launch investments are held by the core Department. | | 31 March 2017 | 31 March 2016 restated | |---------------|------------------------|--------------------------| | Core | | Core | | Department | | | | and | | Departmental | | Group | Agencies | Group | | £m | £m | £m | | 31 March 2017 | 31 March 2016 restated | | | Core | | Core | | Department | | | | and | | Departmental | | Group | Agencies | Group | | £m | £m | £m | | 31 March 2017 | 31 March 2016 restated | | | Core | | Core | | Department | | | | and | | Departmental | | Group | Agencies | Group | | £m | £m | £m | The core Department has determined that repayable launch investments are to be classified as 'available for sale financial assets' and measured at fair value, in accordance with IAS 39. The core Department, under the provisions of the 1982 Civil Aviation Act, provides repayable launch investment to companies to fund a proportion of the non-recurring eligible design and development capital costs on civil aerospace development products. Each product supported is covered by separate contractual terms and conditions. Under these contracts, periodic repayments become due when products are delivered or at other specific points. The portfolio of investments is valued twice annually and the valuations are based on forecast annual income arising under each contract. Measurement and carrying values Repayable launch investment contracts are initially recognised at fair value which is the transaction price. After initial recognition, the value is the discounted forecast value of future income streams, excluding accrued income which is included in receivables when products are delivered. The value of future income streams is predominantly driven by the core Department's view of the applicable programme's performance in the global market over the period of the contract's life. A number of activities inform this view and some are described below. The core Department uses a variety of sources to inform a forecast of deliveries for individual programmes. This can include using: an internal delivery forecast model and market share model, forecast delivery schedules and other data directly provided from the RLI recipient companies, publicly available aircraft delivery forecasts, specifically commissioned consultant programme forecasts as well as commentary and vies from industry experts. The approach taken is entirely dependent on the programme in question. Other valuation variables include inflation measures - or proxies (such as RPI, RPIX, gilt rates and GDP deflators). Some contracts entitle the core Department to a share of aircraft or engine spare part and support income, and the valuation of these contracts is based on analysis of past income streams and forecasts of future demand. The forecast income streams are adjusted by inflation of 2.55% and are discounted to present value using a constant discount rate of 3.5% representing the effective rate of return of the investment portfolio. The carrying value of launch investments is influenced by the interaction of key drivers such as deliveries and economic variables. The core Department uses Monte Carlo simulation to understand the effect of different scenarios for these drivers on the valuation of each contract. The core Department considers that the carrying value is a reasonable approximation of the fair value of launch investments. Where the valuation exceeds historical cost, increases in value are taken to the revaluation reserve and are released to the Consolidated Statement of Comprehensive Net Expenditure as investments are realised. Any permanent diminution in value is charged to the Consolidated Statement of Comprehensive Net Expenditure. Fluctuations in fair value are adjusted through the revaluation reserve. The balance on the Revaluation Reserve pertaining to launch investments was a £268 million credit at 31 March 2017 (31 March 2016: £116 million credit restated). The revaluation reserve was restated as a result of an over-release of income in prior years. This was not material in any one financial year, but resulted in a material diminution in the value of the revaluation reserve over time. Therefore, this adjustment has been treated as a prior year adjustment, with the 2014- 15 and 2015-16 reserve position restated. This is further explained in note 27. The carrying value of the investments derived from the discounted cash flow model at 31 March 2017 was £1,205 million (31 March 2016: £1,389 million). The historic cost excluding accrued income of the portfolio at 31 March 2017 was £600 million (31 March 2016: £706 million). Sensitivity analysis The core Department has developed a Monte Carlo-based approach which uses the software package @Risk to assess the impact of uncertainty on forecast income, overall contract values, and enhance the robustness of the valuation process. Uncertainties are addressed by constructing different scenarios for the key drivers and then assigning probabilities to these scenarios to implement a Monte Carlo simulation of the contracts on a contract-by-contract basis. The key variables include: programme development delays, changes to entry into service and out of service dates, production levels, market shares and economic variables used as inflation measures. The contracts are highly complex and generally distinct from each other in their terms and structure, yet there are cases of significant interdependencies between contracts and correlations between variables. Interest Rate Risk A number of the contracts use retail price indexes (such as RPI and RPIX) or other surrogates as a tool to inflate the value of income due to the core Department over time. As such there is a risk relating to the forecasting of these indexes and surrogates within the valuation, although we estimate that the risk is relatively low and the overall impact relatively minor. The model is iterated 10,000 times to produce distributions of income for each contract and thus the overall portfolio. Each iteration of the model produces an income forecast. These are collated and used to form an income distribution. It is from this distribution that the value of the portfolio is calculated. Foreign Exchange Risk The core Department has a small number of contracts which may deliver a US dollar denominated income in their later stages which would be translated into pounds sterling. We assess these income streams as relatively low value and low likelihood, thus exchange-rate risk exists but is minimal in the context of the overall portfolio. In order to give an assessment of potential volatility for the portfolio, we calculate the 5th and 95th percentiles from the income distribution - 90% of all the iterations outputted from the Monte Carlo simulation lie between these particular percentile points. The lower (5th) and upper (95th) points which define this interval were £1,179 million and £1,229 million respectively, at 31 March 2017 (2015-16: £1,353 million and £1,410 million). ## Risk Market Risk Credit Risk Company failure could result in the core Department's investment not being recovered in whole or in part. The core Department seeks to offset this low probability risk by analysing the financial health of any applicant at the time of application for launch investment and reviewing financial health as part of the programme monitoring activity. In addition, contracts aim to contain provisions which will (as a minimum) not disadvantage the core Department compared to other creditors in the event of a corporate failure. The core Department takes steps to monitor the payments that become due to companies under launch investment contracts to ensure they comply with the terms of the contracts. Finally, the contracts also require the company's auditors to confirm that all payments have been made correctly and to identify any errors made. Other Risk The Core Department's investments are exposed to wider risks such as economic downturns or market shocks from natural or non-natural events. These risks may adversely impact the value and timing of the income received by the core Department. The core Department seeks to manage this risk by actively monitoring such events when they arise to assess any potential impact. This constitutes the largest area of potential risk in the portfolio as the primary method of the calculation of income streams is based on the forecasts of aircraft or engine deliveries. The core Department uses internal analysis, company information and third party information to forecast deliveries and ultimately future income on each investment over the life of the investment period. Deliveries in the short term are driven by variables which include manufacturer production plans, market cycles, customer demand and availability of financing. Medium and longerterm deliveries will be affected by overall market growth and the market attractiveness of an aircraft programme. A negative shift in outlook may result in the core Department not being able to recover its investment in whole or in part, although once deliveries have commenced some level of income is usually due to the core Department. The core Department aims to minimise risk of under-recovery of investments by carrying out a full evaluation of each business case submitted for launch investment support, and by monitoring programmes for the substantive life of the contracts to allow it to assess exposure to risks (including project risk, market risk and technical risk). Other investments Total funds Investment Private equities (listed Equities securities) related holdings Property loans Private sector Term deposits £m £m £m £m £m £m £m £m £m bonds Gilts and Balance at 1 April 2015 restated 139 17 322 213 1,559 578 785 568 4,181 Reclassifications - – - – - – (1) - (1) Additions 45 - 246 - 1 23 313 60 688 Redemptions (135) (2) (41) (133) (1,466) (163) (78) (12) (2,030) Revaluations 7 - – 3 112 47 36 70 275 Effective interest - – 1 - – - - – 1 Impairments (1) - (19) - – - (19) (4) (43) Impairment reversals - – - – - – 13 - 13 Balance at 1 April 2016 restated 55 15 509 83 206 485 1,049 682 3,084 Transfers in/(out) - – 6 - – - - 1 7 Reclassifications - – (255) - – - (51) (961) (1,267) ## 11.2 Other Loans And Investments Additions - – 141 - 70 14 275 781 1,281 Redemptions (12) (1) (95) (23) (41) (118) (81) 7 (364) Revaluations 3 - (2) 5 31 62 108 (130) 77 Effective interest - – 1 - – - - – 1 Unwinding of discount - – 2 - – - - – 2 Impairments - – (1) - – - (55) (4) (60) Balance at 31 March 2017 46 14 306 65 266 443 1,245 376 2,761 Of the total: Core Department and Agencies - – 2 - – - 278 - 280 NDPBs and other designated bodies 46 14 304 65 266 443 967 376 2,481 Balance at 31 March 2017 46 14 306 65 266 443 1,245 376 2,761 ## Core Department Private Sector Loans: Ndpbs And Other Designated Bodies Gilts And Bonds Private Sector Loans are classified as 'loans and receivables' and measured at amortised cost in accordance with IAS 39. Nesta Trust held investments in gilts. The investments in gilts were classified as 'availablefor-sale financial assets' and were measured at fair value in accordance with IAS 39 based on market quotes. The value of Gilts held by the NDPBs and other designated bodies as at 31 March 2017 was £nil (31 March 2016: £11 million). The prior year included loans to the Green Deal Finance Company (GDFC). The carrying value is £nil at 31 March 2017 (31 March 2016: £23 million) as the loans were sold in the year. The movement in the value of gilts is primary a result of repayments of £12 million (31 March 2016: £135 million). Green Deal Finance Company Loans comprised a Stakeholder Loan and Senior Facility Loan. The stakeholder loan was fully impaired in 2014-15. In November 2014, the Department provided a facility of up to £34 million of additional funding to GDFC, in the form of a senior facility loan. This facility expired at the end of December 2015 after which no further drawdowns were possible. On 13 January 2017 the core Department sold GDFC and the full amount of £23 million was recovered on sale. BIS (Postal Services Act 2011) Company Limited and Nesta Trust hold investments in bonds. The investments in corporate bonds are classified as 'available-for-sale financial assets', and are measured at fair value in accordance with IAS 39 based on market quotes. The value of bonds held by the NDPBs and other designated bodies as at 31 March 2017 was £46 million (31 March 2016 restated: £43 million). ## Investment Funds Private sector loans GIB, BBB, STFC, Nesta Trust and Fleetbank Funding Limited have entered into loan agreements with parties within the private sector. The loans within the Departmental Group are carried at historic cost as a proxy for amortised cost because the NDPBs and other designated bodies have determined that there is no material difference between historical cost and amortised cost. As at 31 March 2017, £304 million of loans were held by NDPBs and other designated bodies (31 March 2016 restated: £480 million). Investment Funds are classified as 'available for sale financial assets' and measured at fair value in accordance with IAS 39. After initial recognition the carrying value is based upon the valuations prepared by the fund managers. They are taken from the most recent set of annual accounts for each of the funds and, where available, updated with interim fund manager valuations. These investments support private-sector-led venture capital to stimulate private investment into early stage small- and medium-sized enterprise (SME) businesses. During the reporting period BBB made loans of £70 million (31 March 2016: £65 million) to private companies through the BFP Small Business and Investment Programme schemes. The fair value of loans held by BBB as at 31 March 2017 was £170 million (31 March 2016: £104 million). The conditions attached to each loan vary depending on the details of the arrangement. Repayment schedules have been agreed and all loans are expected to be repaid at the end of the loan term. The UK Innovation Investment Fund (UKIIF) is the largest Investment Fund of the core Department. The Fund was announced in June 2009 to drive economic growth and create highly skilled jobs by enabling investment in growing small businesses, start-ups and spin-outs in key technology areas such as life sciences, clean technology and low carbon, digital technologies, and advanced manufacturing. The funds are managed by 2 private sector fund managers - Hermes GPE and the European Investment Fund. The UKIIF was valued at £130 million at 31 March 2017 (31 March 2016: £84 million). During 2016-17 Fleetbank Funding Limited made loans of £34 million (31 March 2016: £89 million) to private companies through the Enable Loan Programme scheme. The fair value of loans held by Fleetbank Funding Limited as at 31 March 2017 was £122 million (31 March 2016: £89 million). Fleetbank Funding Limited (an SPV set up to hold the Enable Loan Programme investments) was designated a central government entity in 2016-17. It is now consolidated as part of the Departmental Group, with the opening balances restated. Included in the £255 million reclassification balance is £260 million relating to GIB's private sector loans which on 20 March 2017, were reclassified as non-current assets held for sale. Prior to reclassification the fair value of loans held by GIB was £260 million (31 March 2016: £277 million). ## Property-Related Holdings BIS (Postal Services Act 2011) Company Limited and Nesta Trust have property-related holdings. At 31 March 2017 the value of the holdings was £65 million (31 March 2016: £83 million). During the period, BIS (Postal Services Act 2011) Company Limited disposed of £21 million of property related investments (31 March 2016: £130 million). The fair value of the investments held by BIS (Postal Services Act 2011) Company Limited as at 31 March 2017 was £65 million (31 March 2016: £81 million). These investments relate to holdings in a number of marketable real estate investment funds and are held as 'available for sale financial assets' in accordance with IAS 39. ## Equities (Listed Securities) At 31 March 2017 the Departmental Group held £266 million of listed equities (31 March 2016: £206 million). The investments are held by BIS (Postal Services Act 2011) Company Limited, and Nesta Trust. During 2015-16, PSH's investment in Royal Mail Plc was reduced to nil through a combination of sales (28% of issued Royal Mail Plc shares) and gifts to employees (2% of issued Royal Mail Plc shares). Further details are disclosed in Note 10.1. ## Private Equities BIS (Postal Services Act 2011) Company Limited, Nesta Trust, STFC and NERC have investments in private equity. These investments have been classified as 'available for sale' assets in accordance with IAS 39. The value invested at 31 March 2017 was £443 million (31 March 2016: £485 million). The fair value of the remaining investments in BIS (Postal Services Act 2011) Company Limited as at 31 March 2017 was £428 million (31 March 2016: £469 million). These investments primarily comprised investments in European and North American unquoted shares. The fair values are estimated based on a variety of valuation techniques, adopted by the investment managers that comply with the International Private Equity and Venture Capital (PEVC) Valuation Guidelines or the valuation guidelines produced by the British Venture Capital Association (BVCA). Valuation techniques used include the use of earnings multiples, discounted cash flows analysis, and net asset values. ## Investment Funds BBB, GIB, Nesta Trust and BIS (Postal Services Act 2011) Company Limited hold investment funds. The value invested at 31 March 2017 was £967 million (31 March 2016 restated: £827 million). In accordance with IAS 39, the investments of BBB, GIB and Nesta Trust are classified as 'available for sale' assets, those of BIS (Postal Services Act 2011) Company Limited are held at 'fair value through profit and loss'. BBB held investment funds valued at £956 million at 31 March 2017 (31 March 2016: £764 million). The most significant investment is in the Business Finance Partnership (BFP) for mediumsized businesses at 31 March 2017, this was valued at £584 million (31 March 2016: £500 million). The BFP aims to increase the supply of capital through non-bank lending channels and, in the longer term, to help to diversify the sources of finance available to businesses. BBB also has an investment fund in Enterprise Capital Funds which were valued at £155 million at 31 March 2017 (31 March 2016: £136 million). BBB provides invoice discount finance and peer-topeer lending through the Investment Programme funds which were valued at £122 million at 31 March 2017 (31 March 2016: £50 million). On 20 March 2017, GIB's investment fund balance of £53 million was reclassified as a non-current asset held for sale. Prior to reclassification the fair value of loans held by GIB was £53 million (31 March 2016: £52 million). ## Other Investments Other investments includes Enrichment Holdings Limited investment in URENCO. This is measured as an 'available for sale' financial asset in accordance with IAS 39. The fair value of this investment at 31 March 2017 was £350 million (31 March 2016: £508 million). The remaining other investments are held by GIB, Nesta Trust, Northern Powerhouse Investment Fund and the Medical Research Council, and are classified as 'available for sale' in accordance with IAS 39. The fair value of these other investments at 31 March 2017 was £26 million (31 March 2016: £19 million). The reason for the reduction in remaining other investments is due to GIB's other investments balance of £961 million being reclassified as a non-current asset held for sale on 20 March 2017. Prior to reclassification the fair value of other investments held by GIB was £961 million (31 March 2016: £155 million). The movement in GIB's other investments value was primarily due to additions of £777 million (31 March 2016: £61 million) of which £681 million is the purchase by GIB's Off-shore Wind Fund of Lincs Offshore Wind Farm in 2016-17. As the Lincs Offshore Wind Farm is not a designated body, it is not consolidated in the BEIS departmental group and in accordance with the FReM is recognised as an investment under IAS 39. ## 12 Recoverable Contract Costs The Group has commercial agreements in place under which some or all of the expenditure required to settle nuclear provisions will be Recoverable contract costs relating to nuclear provisions Gross recoverable contract costs 6,885 7,221 Less applicable payments received on account (3,445) (3,576) Less associated contract loss provisions (570) (846) Balance at reporting date 2,870 2,799 The above balances relate to the Nuclear Decommissioning Authority. The movements in gross recoverable contract costs during the year were: ## Gross Recoverable Contract Costs | Gross recoverable contract costs at 1 April | 7,221 | 5,661 | |-----------------------------------------------|---------|---------| | Increase/(decrease) in year | 175 | 2,071 | | Unwinding of discount | (42) | 35 | | Release in year - continuing operations | (266) | (303) | | Amortisation of recoverable contract costs | (203) | (243) | | Gross recoverable contract costs at 31 March | 6,885 | 7,221 | The gross balance of recoverable contract costs of £6,885 million comprises £2,011 million (31 March 2016: £2,213 million) of past costs which were incurred before the revenue recognition period of the related contracts and will be amortised in future years in line with revenue and £4,874 million (31 March 2016: £5,008 million) of probable future costs which form part of the nuclear decommissioning provision (note 19) and will be released as they are incurred. Further details are published in the NDA's accounts. recovered from third parties. Net recoverable costs at 31 March 2017 were £2.87 billion (31 March 2016: £2.799 billion). | 31 March 2017 | 31 March 2016 | |-----------------|-----------------| | Departmental | Departmental | | Group | Group | | £m | £m | | 31 March 2017 | 31 March 2016 | | Departmental | Departmental | | Group | Group | | £m | £m | ## 13 Investments In Joint Ventures And Associates Department Agencies Balance at 1 April - 872 - 680 Reclassifications - (682) - - Additions - 186 - 200 Dividends - (5) - (5) Disposals - (47) - (16) Profit/(Loss) - 18 - (24) Revaluations - 5 - 37 Balance at reporting date - 347 - 872 These include the following: Scira Offshore Energy Limited (Sheringham Shoal Wind Farm) NDPBs and other designated bodies Green Investment Bank, MRC, STFC, UKAEA and BBB plc have joint ventures and/or associates. The most significant holdings are: In November 2014, the Green Investment Bank (GIB) purchased a 20% share in Sheringham Shoal, a wind-farm operator based off the coast of Norfolk, through its wholly owned subsidiary UK Green Investment Sheringham Shoal Limited. This investment was part of GIB's wider strategy to strengthen the UK offshore wind sector. Subsequently in March 2015 GIB sold their holding in UK Green Investment Sheringham Shoal Limited to the Offshore Wind Fund in which GIB have a holding. The investment in Sheringham Shoal is accounted for as an associate and its value at 31 March 2017 is £209 million (31 March 2016: £220 million). Rampion Offshore Wind Limited The Francis Crick Institute Limited The Francis Crick Institute was established in 2010 to deliver a world-class interdisciplinary biomedical research centre. MRC holds 42% (31 March 2016: 42%) of the ordinary shares in the Francis Crick Institute Limited. The remaining shares are held by Cancer Research UK, University College London, the Wellcome Trust, Kings College London and Imperial College of Science, Technology and Medicine. The Institute became fully operational in 2016-17 following the completion of the Crick building. Accordingly, the value of the BEIS investment at 31 March 2017 is £266 million (31 March 2016: £268 million), after revaluing to reflect BEIS's share of net assets. Green Investment Bank Green Investment Bank holds a number of joint ventures and associates, the most significant holdings are below. At 20 March 2017 the carrying value of joint ventures and associates held by GIB were reclassified as a non-current asset held for sale. The Green Investment Bank (GIB) holds a 25% (31 March 2016: 25%) share in Rampion Offshore Wind Limited through its wholly owned subsidiary UK Green Investment Rampion Limited. BEIS accounts for this investment as an associate under IFRS 11 (equity method), with a carrying value of £195 million at 31 March 2017 (31 March 2016: £75 million). This investment is part of GIB's wider strategy to strengthen the UK offshore wind sector. Construction of this project commenced in May 2015 and is progressing in line with expectations. The wind farm is expected to become fully operational during 2018. For further financial information on the investments shown above, please see the individual accounts of the entities. | | 31 March 2017 | 31 March 2016 restated | |------------|-----------------|--------------------------| | Core | | Core | | Department | | | | and | | Departmental | | Group | Agencies | Group | | £m | £m | £m | ## 14 Trade And Other Receivables Amounts falling due within one year: Trade receivables 93 535 215 544 Deposits and advances - - - 5 Other receivables: VAT and other taxation 18 131 35 129 Staff receivables 1 2 1 3 RPS receivables 135 135 140 140 Other 89 109 71 132 Prepayments and accrued income 102 388 87 344 Amounts falling due after more than one year: Trade receivables 4 60 16 60 Deposits and advances - 1 - - Other receivables 301 300 340 341 Prepayments and accrued income - 38 - 36 Total Receivables 743 1,699 905 1,734 The Redundancy Payment Scheme (RPS) receivable is shown net of an annual impairment. The impairment is calculated by the Insolvency Service using a model which is approved by HMRC. The model calculates the recoverable debt as £135 million as at 31 March 2017 (31 March 2016: £140 million). There is a risk that the estimation of 14% is over-optimistic and therefore would result in a downward revision in future years. Additionally the model has been created using only 11 years of available data with 14 years of data required for a full model to be effective. However, the model is designed to self-check against recovery rates and for data available there is only a small annual variation from the 14% target. This variation is not material and therefore does not render the model invalid. The model is also designed to be monitored and amended annually as required. Additionally, reporting is on a monthly basis to ensure early warning of any trends outside the parameters set in the model. Coal Pensions receivables included in Other receivables are held by the core Department, and represent the amounts due to the Government relating to its relationship with the British Coal | | 31 March 2017 | 31 March 2016 restated | |------------|-----------------|--------------------------| | Core | | Core | | Department | Department | | | and | | Departmental | | Agencies | Group | Agencies | | £m | £m | £m | | 438 | 1,300 | 549 | | 305 | 399 | 356 | Staff Superannuation Scheme (BCSSS) and the Mineworkers' Pension Scheme (MPS). After privatisation of the British Coal Corporation in 1994 the Government gave financial guarantees in relation to certain benefits payable to members and beneficiaries of the 2 schemes. The balance of Coal Pensions receivables at 31 March 2017 is £331 million (31 March 2016: £369 million). As part of those agreements the Government is entitled to a portion of any periodic valuation surpluses. Recommended cash flows to Government are generally determined by the Government Actuary following their triennial valuations. The most recent valuations were at 31 March 2015 for BCSSS and 30 September 2014 for MPS. More details can be found at https://www.bcsss-pension.org.uk/ and http://www.mps-pension.org.uk/. The Coal Pensions receivables have been classified as loans and receivables in accordance with IAS 39: Financial Instruments: Recognition and Measurement. They are valued at fair value which equates to the cash flows being discounted at a rate of 3.7%, which is the Treasury's real Financial Instrument discount rate of 0.7% plus appropriate indexation. ## 15 Non-Current Assets And Liabilities Held For Sale Department Agencies Balance of assets at 1 April - 19 - 2 Additions and reclassifications 1,517 2,605 - 19 Disposals - (23) - (2) Revaluations - 8 - - Carrying amount of assets at reporting date 1,517 2,609 - 19 Balance of liabilities at 1 April - - - - Additions and reclassifications - (1,000) - - Carrying amount of liabilities at reporting date - (1,000) - - Carrying amount at reporting date 1,517 1,609 - 19 ## Core Department Green Investment Bank On 3 March 2016, the Secretary of State formally launched a process for the sale of the shares in the Green Investment Bank ("GIB"). On 19 April 2017, the Secretary of State signed a deal to sell the shares to Macquarie Group Limited. The negotiations with Macquarie Group Limited were sufficiently advanced by 31 March 2017 for GIB to be classified as a non-current asset held for sale. The sale is expected to be completed during 2017. The most significant items held as 'Non-current assets classified as held for sale' in accordance with IFRS 5 comprise the core Department's shareholding in Green Investment Bank plc ("GIB"). Prior to reclassification as a non-current asset held for sale the shareholding was held at cost less impairment. In accordance with IFRS 5, the shareholding is held at the lower of the carrying value (cost less impairment) and fair value less cost to sell. The shareholding is held at the carrying value as at 31 March 2017 of £1.517 billion. This core Department shareholding is eliminated on consolidation. Of the total additions to assets held for sale of £2,605 million shown above, £2,565 million relates to the assets of GIB. Of the total additions to liabilities held for sale of £1,000 million shown above, £1,000 million relates to the liabilities of GIB. The results of GIB for the year are presented below: | Income from sale of goods and services | (145) | (24) | |------------------------------------------|---------------|--------------| | Total operating income | (145) | (24) | | Staff costs | 19 | 17 | | Purchase of goods and services | 59 | 23 | | Depreciation and impairment charges | 35 | 11 | | Other operating expenditure | (12) | (33) | | Total operating expenditure | 101 | 18 | | Finance income | (6) | (30) | | Finance expense | 32 | 15 | | Net expenditure | (18) | (21) | | 31 March 2017 | 31 March 2016 | | | Core | | Core | | Department | | | | and | | Departmental | | Group | Agencies | Group | | £m | £m | £m | | 31 March 2017 | 31 March 2016 | | | £m | £m | | The major classes of assets and liabilities of GIB as held for sale as at 31 March 2017 are, as follows: | Note | 31 March 2017 | |--------------------------------------------------------------|-----------------| | £m | | | Non-current assets: | | | Property, plant and equipment | 7 | | Intangible assets | 5 | | Other financial assets | 11 | | Investment in joint ventures and associates | 13 | | Total non-current assets | 2,425 | | Current assets: | | | Inventories | 1 | | Trade and other receivables | 61 | | Other financial assets | 9 | | Cash and cash equivalents | 69 | | Total current assets | 140 | | Total assets | 2,565 | | Current liabilities: | | | Trade payables and other liabilities | 18 | | Total current liabilities | (748) | | Non-current assets plus/less net current assets/ liabilities | 1,817 | | Non-current liabilities: | | | Trade payables and other liabilities | 18 | | Provisions | (50) | | Total non-current liabilities | (252) | | Total assets less liabilities | 1,565 | | Amounts included in accumulated OCI: | | | Revaluation reserve | 15 | | Reserve of disposal group classified as available for sale | 15 | The net cash flows incurred by GIB are as follows: | 31 March 2017 | 31 March 2016 | |-----------------------------------------------------------------------|-----------------| | £m | £m | | Cash flows: Net cash inflow from operating activities | 354 | | Cash flows: Net cash outflow from investing activities | (889) | | Cash flows: Net Financing | 482 | | Cash flows: Net increase/(decrease) in cash equivalents in the period | (53) | ## 16 Investments And Loans In Public Sector Bodies: Current | Balance at 1 April | 541 | 293 | |----------------------------------------------------------------------|---------|---------| | Additions | 7,662 | 7,511 | | Repayments | (7,530) | (7,290) | | Loans repayable within 12 months transferred from non-current assets | 9 | 27 | | Balance at reporting date | 682 | 541 | The most significant item included above is a loan facility to Post Office Limited (POL). Since October 2003 the core Department has made available to POL a revolving loan facility of up to £950 million. This is to help the company fund its daily in-branch working capital requirements to deliver services through the network, such as social benefits payments and access to cash. The facility currently matures in March 2018. The outstanding balance at 31 March 2017 was £649 million (31 March 2016: £515 million) which is included in the £682 million above. ## 17 Cash And Cash Equivalents Department Agencies Balance as at 1 April 775 1,495 1,693 2,603 Net change in cash and cash equivalent balances 417 322 (918) (1,108) Balance as at period end date 1,192 1,817 775 1,495 The following balances at 31 March were held at: The Government Banking Service (GBS) 1,191 1,606 774 1,294 Commercial banks and cash in hand 1 211 1 201 Balance at period end date 1,192 1,817 775 1,495 31 March 2016 31 March 2017 restated £m £m 31 March 2017 31 March 2016 Core Core Department and Departmental and Departmental Group Agencies Group £m £m £m £m ## 18 Trade Payables And Other Liabilities Amounts falling due within one year: VAT, social security and other taxation 8 91 9 109 Trade payables - 310 - 212 Other payables 28 355 41 212 Accruals and deferred income 1,020 2,930 662 2,434 Amounts issued from the Consolidated Fund for supply but not spent at year end 977 977 488 488 Consolidated Fund Extra Receipts due to be paid to the Consolidated Fund: Received 215 227 288 305 Amounts falling due after more than one year: Trade Payables - 2 - 3 Other payables, accruals and deferred income 1,023 2,456 1,138 3,266 Finance leases - 2 - 3 Total payables 3,271 7,350 2,626 7,032 Included under accruals and deferred income are: a) promissory note liabilities with maturities of less than one year of £446 million (31 March 2016: £136 million) and with maturities greater than one year of £1,022 million (31 March 2016: £1,137 million) which represent amounts owed for various ODA (Official Development Assistance) projects to which the Department has contributed and b) sums received on account by the Nuclear Decommissioning Authority relating to income from long term contracts to be recognised within one year of £719 million (31 March 2016: £695 million) and after one year of £1,416 million (31 March 2016: £1,424 million); more details are available in the accounts of the Nuclear Decommissioning Authority. | | 31 March 2017 | 31 March 2016 restated | |------------|-----------------|--------------------------| | Core | | Core | | Department | Department | | | and | | Departmental | | Agencies | Group | Agencies | | £m | £m | £m | | 2,248 | 4,890 | 1,488 | | 1,023 | 2,460 | 1,138 | ## 19 Provisions For Liabilities And Charges Department Note Agencies Current liabilities: Not later than one year 289 3,582 315 3,496 Total current liabilities 289 3,582 315 3,496 Non-current liabilities: Later than one year and not later than five years 1,008 13,244 1,072 13,206 Later than five years 1,289 152,722 1,444 150,916 Total non-current liabilities 2,297 165,966 2,516 164,122 Total 2,586 169,548 2,831 167,618 Total provisions Nuclear 19.1 1,592 165,283 1,698 163,239 Other 19.2 994 4,265 1,133 4,379 Total 2,586 169,548 2,831 167,618 ## 19.1 Nuclear | Department | | |---------------------------|------------------------| | UK Atomic | | | British | Energy Authority | | Energy | Decommissioning | | £m | £m | | Restated balance at 31 | | | March 2015 | 1,581 | | Unwinding of discount | (14) | | 1,441 | | | Discount to present value | 61 | | 89,474 | | | Provided in the year | 4 | | 3,248 | | | Provisions not required | | | written back | - | | (318) | | | Provisions utilised | | | in the year | (217) | | (3,014) | | | Restated balance at 31 | | | March 2016 | 1,415 | | Unwinding of discount | (17) | | (1,309) | | | Discount to present value | 54 | | 4,964 | | | Provided in the year | 38 | | 2,303 | | | Provisions not required | | | written back | - | | (940) | | | Provisions utilised | | | in the year | (204) | | (2,974) | | | Balance at | | | 31 March 2017 | 1,286 | | 31 March 2017 | 31 March 2016 restated | | Core | | | Department | | | and | | | Group | Agencies | | £m | £m | | Core | | | and | | | NDA | Contract | | Total | Decommissioning | ## Estimated Forward Discounted Cash Flows As At 31 March 2017 UK Atomic British Energy Authority Energy Decommissioning £m £m £m £m £m £m Not later than one year 191 – 191 3,024 162 3,377 Later than one year and not later than five years 612 52 664 11,761 168 12,593 Later than five years 483 254 737 148,386 190 149,313 Total forward cash flows as at 31 March 2017 1,286 306 1,592 163,171 520 165,283 ## Core Department British Energy As a result of the restructuring of British Energy (BE) in January 2005, the Government assists BE in meeting its contractual historic fuel liabilities. The provision is based on the forecast payment schedule up to 2029 which is set out in the waste processing contracts agreed between BE, BNFL and the Department. The costs are estimated to be £188 million (31 March 2016: £205 million) (undiscounted at current prices) for next year and are then expected to fall each year thereafter. Each year the profile of future payments is reassessed in line with the Retail Prices Index (RPI) and the level of provision adjusted in accordance with the Historic Liabilities Funding Agreement with BE. UK Atomic Energy Authority Decommissioning The decommissioning provision represents the estimated costs of decommissioning fusion research facilities at UKAEA's Culham site, including the storage, processing and eventual disposal of radioactive wastes. The Core Department retains the liability for these costs. The estimate for the provision is reassessed annually. The last detailed Life Time Plan (LTP) for decommissioning, funded by the Nuclear Decommissioning Authority (NDA), was drawn up in 2007-08. Since then UKAEA has each year carried out a high level assessment of changes to the assumptions made in the previous LTP. For example, the provision includes estimates for the decommissioning of facilities built since 2007-08, and an assessment of the effect of changes to some key assumptions such as the date of Joint European Torus (JET) closure. | Core | | |------------|-----------------| | Department | | | and | | | Agencies | NDA | | Total | Decommissioning | The approach taken, until a further LTP is prepared, and the fact that much of the work required to deal with the liabilities will not be undertaken until well into the future, means that there is at present a significant uncertainty as to the amount of the provision. In addition, timing of expenditure on the decommissioning provision is dependent on the closure date of the JET facility which is to be decommissioned. The best estimate of the cost of the liabilities is discounted using HM Treasury's discount rates which range from -2.70% to -0.80% depending on the timing of cash flows. The undiscounted cost of the provisions as at 31 March 2017 was £266 million (31 March 2016: £258 million). ## Nda Decommissioning The NDA's nuclear decommissioning liability represents NDA's best estimate of the costs of decommissioning plant and equipment on each of the designated nuclear licensed sites in accordance with the published strategy. The programme of decommissioning work will take until 2137 but, in preparing the estimate, the NDA has focused in particular on the first 20 years which represent £53 billion out of the total £163.2 billion provision (31 March 2016: £51.2 billion out of £160.2 billion restated). The estimates are necessarily based on assumptions about the processes and methods likely to be used to discharge the obligations and reflect latest technical knowledge, existing regulatory requirements, Government policy and commercial agreements. Given the very long timescale and the complexity of the plants and material being handled, considerable uncertainty remains in the cost estimate, particularly in the later years. Discounting of the forward cash flow estimates to present value also has a significant impact on the liability reported in the Statement of financial position of £163.2 billion at 31 March 2017 (31 March 2016: £160.2 billion restated). The undiscounted equivalent of this reported liability is £119 billion at 31 March 2017 (31 March 2016: £117.4 billion). The Group auditors continue to include an, emphasis of matter, paragraph in their audit certificate concerning the overall measurement uncertainty. The NDA has commercial agreements in place under which a portion of the expenditure required to settle certain elements of the decommissioning provision are recoverable from third parties. Changes in future cost estimates of discharging these particular elements are therefore matched by a change in recoverable contract costs. In accordance with IAS 37, these recoverable amounts are not offset against the decommissioning provision but are treated as a separate asset (note 12). Further details are reported in Box 4 on page 38 of the Annual Report and in the NDA Annual Report and Accounts. Contract loss Contract loss provisions have been recognised by the Nuclear Decommissioning Authority to cover anticipated shortfalls between total income and total expenditure on relevant long term contracts. The amounts are disclosed net after deduction of amounts relating to recoverable contract costs (note 12). The amount provided in the year for contract losses relates to changes in estimates of the costs of existing contracts. Further detail, including movement on the gross provision, can be found in the accounts of the NDA. Group Total Departmental Early departure costs and restructuring Other Coal Authority and Total Core Agencies Department leases Other Onerous Legacy ailments British Shipbuilders £m £m £m £m £m £m £m £m £m £m fuel Concessionary Restated balance at 1 April 2015 486 184 185 133 458 1,446 918 121 147 2,632 Transferred in/(out) - – - – - – - - 25 25 Discount to present value 64 46 23 - 12 145 1,927 - 35 2,107 Provided in the year - – - 5 65 70 15 87 72 244 Provisions not required written back (28) (20) (1) (5) (23) (77) (33) (1) (6) (117) Provisions utilised in the year (49) (10) (11) (16) (359) (445) (16) (55) (2) (518) Unwinding of discount (2) 3 (2) (2) (3) (6) 11 - 1 6 Restated balance at 31 March 2016 471 203 194 115 150 1,133 2,822 152 272 4,379 ## 19.2 Other Provisions Transferred in/(out) - – - – - – - - (34) (34) Discount to present value 15 5 1 3 4 28 - (3) 10 35 Provided in the year - – - 31 8 39 57 25 130 251 Provisions not required written back (5) (2) (47) (16) (30) (99) (14) (4) (34) (152) Provisions utilised in the year (43) (6) (15) (19) (13) (96) (23) (49) (15) (183) Unwinding of discount (5) (2) (2) (1) - (10) (24) - 3 (31) Balance at 31 March 2017 433 198 131 113 119 994 2,818 121 332 4,265 Estimated forward discounted cash flows as at 31 March 2017 Not later than one year 43 8 11 17 19 98 26 38 43 205 Later than one year and not later than five years 146 36 50 72 40 344 110 41 156 651 Later than five years 244 154 70 24 60 552 2,682 42 133 3,409 Total forward cash flows as at 31 March 2017 433 198 131 113 119 994 2,818 121 332 4,265 The time scale over which it is estimated the discounted costs will need to be incurred is shown against Estimated forward discounted cash flows. ## Core Department Concessionary Fuel The Department's approach to accounting for the personal injury compensation claims against British Shipbuilders and its subsidiaries has been to provide for those costs of resolution which are both probable and reliably estimable. An actuarial review of asbestos and other disease liabilities as at 31 March 2016 was reported in April 2016. This report identified a range of undiscounted liabilities from £118 million to £389 million. The current estimate is that the liabilities will extend for up to 33 years. The provision has previously covered the cost of the Department's responsibility to provide either solid fuel or a cash alternative to ex-miners and their dependants formerly employed by British Coal, including the administration of the scheme. On the 15 November 2013, the Chancellor of the Exchequer announced that the government would additionally guarantee the concessionary fuel allowance of those who lost their entitlement as a consequence of the restructuring of UK Coal in July 2013. This resulted in a further cohort of approximately 1,500 beneficiaries added to the Department's Scheme. In the light of significant uncertainty associated with asbestos claims, there can be no guarantee that the assumptions used to estimate the provisions for the cost of resolving asbestos claims will be an accurate prediction of the actual cost that may be incurred and, as a result, the provisions are the subject of an actuarial review when a condition changes materially. On 4 March 2015, the Minister of State for Energy further announced that the government would ensure that the current UK Coal miners, approximately 700 beneficiaries, would continue to receive their concessionary fuel benefits upon closure of the companies' remaining deep mines. The estimated future cost is also included in the provision. The core Department is also responsible for compensation claims made against former British Shipbuilders' companies. The Financial Services Compensation Scheme does not compensate former employees in respect of periods of employment with nationalised industries and the Department assumed liability for this compensation by way of a Minute to Parliament in 2003. The undiscounted liability at 31 March 2017 was £9 million (31 March 2016: £9 million) and is included within other provisions. ## Legacy Ailments Of the total 52,287 current beneficiaries (including ex UK Coal beneficiaries) at 31 March 2017, 44,015 have opted for the cash alternative at an average of around £741 per annum; for the remainder, the average annual solid fuel cost to the Department is around £1,416 per beneficiary (this includes the cost of fuel, distribution and VAT). The provision is based on standard female mortality rates and includes an assumption of beneficiaries continuing to switch their entitlement from solid fuel to cash, in line with rates observed in the recent past and allowing for the fact that the ex-UK Coal beneficiaries have greater restrictions in this regard. Responsibility for the compensation claims relating to personal injuries and ailments suffered by former British Coal mineworkers transferred to the Department on 1 January 1998 by a restructuring scheme under the Coal Industry Act 1994. ## British Shipbuilders British Shipbuilders had liabilities arising from personal injury to former employees resulting primarily from exposure to asbestos during the course of their work. The Core Department has taken on full responsibility for the liabilities of the former Corporation, which was abolished in March 2013. The best estimate of the cost of the liabilities is discounted using HM Treasury's discount rates which range from -2.70% to -0.80% depending on the timing of the cash flows. The undiscounted liability as at 31 March 2017 was £176 million (31 March 2016: £183 million). The discounted value is higher than the undiscounted liability due to the negative discount rates used. The liabilities concern compensation claims relating to personal injuries. Over £6.3 billion has been paid out since privatisation and there are future liabilities such as induced hearing loss (£28 million), miscellaneous disease claims (including phurnacite, mesothelioma, pneumoconiosis, pleural thickening, asbestosrelated conditions, vibration white finger, chronic obstructive pulmonary disease, cancer, pleural plaques, other minor benefits schemes) (£69 million) and recently commenced litigation by former British Coal Coke Oven Workers (£20 million). The provisions are based on the forecasts of the settlements of future claims, taking into account discussion with our legal advisors, claim handlers and recent actuarial estimates. Forecasts beyond 2022, when the current contract with our legal advisors is due to end, are subject to considerable uncertainty in estimates of the number of cases and the levels of damages and costs. ## Onerous Leases The Core Department has onerous leases in respect of leased offices at 151 Buckingham Palace Road (BPR), 10-18 Victoria Street (10VS) and various leases transferred from other bodies following their winding up. The Department provides for these leases in full when the lease becomes onerous by establishing a provision for the future estimated payments discounted by HM Treasury's discount rate in the range -2.70% to -0.80% in real terms, depending on the timing of the cash flows. The current estimate is that the liabilities will extend up to 2026. The core Department has attempted to mitigate any potential losses through subletting against the existing head leases for the buildings, and has sublet BPR, 10VS and some of the properties transferred into the Department. However, given current market conditions and future forecasts the core Department has determined that at the reporting date neither the current nor future potential subleases will recover the full costs incurred by BEIS. Work is also ongoing to dispose of some of the leases to a specialist company, which primarily deals with surplus buildings. The core Department is also undergoing a program to rationalise the impact of onerous leases going forward. The undiscounted liability as at 31 March 2017 was £106 million (31 March 2016: £111 million). The discounted value is higher than the undiscounted liability due to the negative discount rates used for the short and medium term. ## Group Enterprise Capital Fund The British Business Bank plc (BBB) recognises a provision for loan commitments relating to Enterprise Capital Fund (ECF) investments which is included in other provisions. The British Business Bank accepts a lower return from ECF investments in order to encourage private sector investors to invest. Although BBB expects to make a positive return from these investments, this return is less than that required by the private sector. Accounting standards require BBB to recognise a liability when it makes a commitment to a fund. BBB records this liability as a provision. When a commitment is drawn, BBB subsequently impairs the resulting investment and utilises the provision by a corresponding amount. This results in significant upfront expenditure when new ECF commitments are entered into. This expenditure gradually reverses over the lifetime of the investment as the impairment is reversed and does not relate to an underlying loss on ECF investments. The undiscounted liability as at 31 March 2017 was £165 million (31 March 2016: £109 million). ## Coal Authority The Coal Authority provision relates predominantly to the Authority's responsibilities for mine water treatment, public safety and subsidence, subsidence pumping stations and tip management. Significant uncertainties are associated with estimation of likely costs in respect of these liabilities. Further details are reported in the Coal Authority Annual Report and Accounts. Included in other provisions in note 19.2 for the core Department is the Coal Health provision (legacy ailments), which is subject to significant uncertainty. ## Early Departure Costs And Restructuring £109 million of the restructuring provision relates to site licence companies and includes continuing annual payments under early retirement arrangements to individuals who retired early, or had accepted early retirement, before 31 March 2017 and will continue at least until the date at which the individual would have reached normal retirement age. ## 20 Retirement Benefit Obligations | Present value of defined benefit obligation at 1 April | 5,821 | 5,923 | |----------------------------------------------------------|---------|---------| | Interest cost | 197 | 188 | | Current service cost | 186 | 222 | | Past service cost | 36 | 25 | | Benefits paid | (200) | (189) | | Actuarial (gains)/losses | 1,385 | (412) | | Employee contributions | 25 | 26 | | Transfer in | - | 38 | | Present value of defined benefit obligation at 31 March | 7,450 | 5,821 | | Fair value of assets at 1 April | 5,544 | 5,461 | | Expected return on plan assets | 190 | 174 | | Employer contributions | 162 | 160 | | Benefits paid | (200) | (189) | | Actuarial gains/(losses) | 887 | (112) | | Employee contributions | 25 | 26 | | Transfer in | - | 24 | | Fair value of assets at 31 March | 6,608 | 5,544 | | Net liability at 31 March | 842 | 277 | to 2.5% at 31 March 2017 and for the nuclear site licence companies from 3.5% at 31 March 2016 to 2.5% at 31 March 2017. The increase in the net liability at 31 March 2017 compared to 31 March 2016 is primarily due to a decrease in the discount rate applied to the defined benefit obligation for the Medical Research Council from 3.4% at 31 March 2016 ## Net (Asset)/Liability By Scheme | Medical Research Council | (3) | (124) | |----------------------------------------------------|---------|---------| | SLC - LLWR section of CNPP | 13 | 5 | | SLC - SLC section of Magnox Electric Group of ESPS | 144 | 151 | | SLC - Magnox section of CNPP | 32 | 23 | | SLC - Group Pension Scheme SLC section of CNPP | 100 | 30 | | SLC - Sellafield section of CNPP | 541 | 191 | | Nuclear Decommissioning Authority | 15 | 1 | | Total net liability | 842 | 277 | | 2016-17 | 2015-16 | | | Funded | Funded | | | pension | pension | | | schemes | schemes | | | £m | £m | | | 31 March 2017 31 March 2016 | | | | £m | £m | | Medical Research Council (MRC) The MRC operates a defined benefit, final salary pension scheme. A full actuarial evaluation was undertaken as at 31 December 2013 which was rolled forward by the actuary to determine the approximate position as at 31 March 2017. Further details can be found in the accounts of the MRC. Nuclear site licence companies (SLCs) There are 5 defined benefit, final salary pension schemes relating to 3 of the 4 SLCs comprising: a) the LLWR section of the Combined Nuclear Pension Plan (CNPP) (for LLW Repository Limited), b) the SLC Section of the Magnox Electric Group of the Electricity Supply Pension Scheme and the Magnox Section of the CNPP ## Major Actuarial Assumptions For Slc Schemes | | | | LLW Repository Limited | Magnox Limited | Sellafield Limited | |---------------------------------|---------|---------|--------------------------|------------------|----------------------| | 2016-17 | 2015-16 | 2016-17 | 2015-16 | 2016-17 | 2015-16 | | Discount rate | 2.5% | 3.5% | 2.5% | 3.4% | 2.5% | | Inflation (Retail Prices Index) | 3.2% | 3.0% | 3.4% | 3.2% | 3.2% | | Life expectancy in years at | | | | | | | 65, currently aged 65 (male) | 21.8 | 22.6 | | | | | Life expectancy in years at | | | | | | | 65, currently aged 45 (male) | 23.1 | 23.9 | | | | | Life expectancy in years at | | | | | | | 65, currently aged 65 (female) | 24.2 | 25.3 | | | | | Life expectancy in years at | | | | | | | 65, currently aged 45 (female) | 25.8 | 26.6 | | | | | Life expectancy in years at | | | | | | | 60, currently aged 60 (male) | 28.4 | 27.8 | | | | | Life expectancy in years at | | | | | | | 60, currently aged 40 (male) | 29.5 | 29.7 | | | | | Life expectancy in years | | | | | | | at 60, currently aged 60 | | | | | | | (female) | 30.3 | 30.2 | | | | | Life expectancy in years at | | | | | | | 60, currently aged 40 (female) | 31.4 | 32.2 | | | | | Life expectancy in years at | | | | | | | 65, currently aged 65 (male) | 22.8 | 22.6 | | | | | Life expectancy in years at | | | | | | | 65, currently aged 45 (male) | 24.2 | 23.9 | | | | (for Magnox Limited) and c) the Group Pension Scheme SLC section of the CNPP and the Sellafield section of the CNPP (for Sellafield Limited). They are subject to the UK regulatory framework for pensions. The plans are operated under trust and the Trustees are responsible for operating them. All are closed to new entrants. Full actuarial evaluations were undertaken as at 31 March 2016 for the Magnox schemes and as at 31 March 2013 for the other three. The actuaries rolled forward the results to determine approximate positions as at 31 March 2017. Further information relating to actuarial assumptions, asset allocation and sensitivity analysis is provided below for these SLC schemes only as they comprise the major part of the overall pension liability. ## Asset Allocation For Slc Schemes | Equities | 1,538 | 1,163 | |---------------------------|---------|---------| | Property | 292 | 299 | | Government bonds | 1,488 | 1,133 | | Corporate bonds | 391 | 369 | | Other growth assets | 1,235 | 957 | | Other | 64 | 261 | | Balance at reporting date | 5,008 | 4,182 | ## Sensitivity Analysis For Slc Schemes | 0.1 percentage point decrease in annual discount rate | 58 | |---------------------------------------------------------|------| | 0.1 percentage point increase in inflation assumption | 56 | | 0.5 percentage point decrease in annual discount rate | 5 | | 0.5 percentage point increase in inflation assumption | 5 | | 1 year increase in life expectancy | 1 | The table shows the increase in liability that would result from changes in these actuarial assumptions. Nuclear Decommissioning Authority (NDA) 2 defined benefit pension schemes relate to the NDA - the Closed and Nirex sections of the CNPP. Both are closed to new entrants. Full actuarial evaluations were undertaken as at 31 March 2013. The actuaries rolled forward the results to determine approximate positions as at 31 March 2017. 31 March 2017 31 March 2016 £m £m LLW Repository Magnox Sellafield Limited Limited Limited £m £m £m ## 21 Capital And Other Commitments Total Minimum Payments In Respect Of Capital, Lease And Other Commitments Note Contracted capital commitments 21.1 123 2,095 119 2,087 Minimum future payments under: Operating leases 21.2 282 353 374 474 Finance leases – 3 – 5 PFI contracts and service concession arrangements 5 5 7 7 Other financial commitments 21.3 3,178 3,612 1,960 2,367 Total 3,588 6,068 2,460 4,940 ## 21.1 Capital Commitments Contracted capital commitments not otherwise included in these financial statements: Property, plant and equipment 2 415 1 318 Intangible assets 1 40 – 53 Loans and investments 120 1,640 118 1,716 Total 123 2,095 119 2,087 Core Department The core Department has not entered into any significant capital commitments. NDPBs and other designated bodies Capital commitments as at 31 March 2017 include the following significant items: • Property, plant and equipment commitments for Biotechnology and Biological Sciences Research Council (BBSRC) of £225 million (31 March 2016: £165 million) at the BBSRC Institute sites for the next four years and for Natural Environment Research Council (NERC) of £93 million (31 March 2016: £133 million), to build a new polar research vessel. • Investment commitments of £960 million (31 March 2016: £946 million) for the British Business Bank plc (BBB) relating to undrawn investment commitments, £456 million | | 31 March 2017 | 31 March 2016 restated | |---------------|------------------------|--------------------------| | Core | | Core | | Department | Department | | | and | | Departmental | | Agencies | Group | Agencies | | £m | £m | £m | | 31 March 2017 | 31 March 2016 restated | | | Core | | Core | | Department | Department | | | and | | Departmental | | Agencies | Group | Agencies | | £m | £m | £m | (31 March 2016: £539 million) for the Green Investment Bank (GIB), which on 20 March 2017 was reclassified as an asset held for sale - relating to investment contracts where the borrower or investee entity may draw down committed capital over the contracted period - and £99 million (31 March 2016: £101 million) for the BIS (Postal Services Act 2011) Company Limited, which has capital calls relating to investments in respect of its private equity and property funds financial instruments. ## 21.2 Commitments Under Leases 21.2.1 Operating Leases Total future minimum lease payments under operating leases are given in the table below for each of the following periods: Department Agencies Obligations under operating leases comprise: Land: Not later than one year - 1 - - Later than one year and not later than five years - 2 - 2 Later than five years - 19 - 11 Buildings: Not later than one year 60 68 69 78 Later than one year and not later than five years 172 187 252 268 Later than five years 33 57 51 100 Other: Not later than one year 7 8 1 6 Later than one year and not later than five years 10 11 1 6 Later than five years - - - 3 Total 282 353 374 474 Operating leases: Department as a lessor Total future minimum lease receivables under operating leases are given in the table below: The core Department is allowed to sub-lease and can assign leases subject to the lease provisions. Further information about finance leases and sub-lease arrangements of the Agencies, NDPBs and other designated bodies can be found in the accounts of the relevant bodies. Receivables under operating leases for the following periods comprise: Not later than one year 7 5 Later than one year and not later than five years 24 10 Later than five years 39 17 Total 70 32 All of the above balances relate to the Departmental Group's ALBs. | | 31 March 2017 | 31 March 2016 | |---------------|-----------------|-----------------| | Core | | Core | | Department | | | | and | | Departmental | | Group | Agencies | Group | | £m | £m | £m | | - | 22 | - | | 265 | 312 | 372 | | 17 | 19 | 2 | | 31 March 2017 | 31 March 2016 | | | Departmental | Departmental | | | Group | Group | | | £m | £m | | 21.3 Other financial commitments BEIS has entered into non-cancellable contracts (which are not leases, PFI contracts or other service concession arrangements) for | Not later than one year | 487 | 674 | 523 | 705 | |---------------------------------------------------|-------|-------|-------|-------| | Later than one year and not later than five years | 1,601 | 1,806 | 1,294 | 1,472 | | Later than five years | 1,090 | 1,132 | 143 | 190 | | Total | 3,178 | 3,612 | 1,960 | 2,367 | ## 21.3.1 International Subscriptions The financial commitments payable include subscriptions payable to international bodies, analysed by the period in which the payments are due: | | | | Organisation | Note Within 1 Year | |------------------------------|-----|-------|----------------|----------------------| | £m | £m | £m | £m | £m | | European Space Agency | a | 216 | 926 | - | | Other subscriptions | 1 | 5 | 29 | 35 | | Core Department and | | | | | | Agencies total | 217 | 931 | 29 | 1,177 | | European Organisation for | | | | | | Nuclear Research (CERN) | b | 132 | 82 | - | | Institut Laue Langevin (ILL) | c | 18 | 76 | 35 | | Other subscriptions | 35 | 48 | 7 | 90 | | Departmental Group total | 402 | 1,137 | 71 | 1,610 | Notes: The Departmental Group is required to subscribe to a number of bodies on an ongoing and continuous basis. These subscriptions are paid in euros, Swiss francs and pounds sterling. The subscriptions described below are paid in euros or Swiss francs and amounts paid are subject to fluctuations due to exchange rate differences. a) The UK Space Agency subscribes to the European Space Agency (ESA) programme. The UK shares research objectives with other European nations and collaborates with them to mitigate the high capital and running costs of facilities. There are agreements in place at national level to regulate annual contributions and the management of the facilities. These subscriptions to international bodies and various other expenditures. Future payments to which BEIS is committed are as follows: | | 31 March 2017 | 31 March 2016 restated | |--------------|-----------------|--------------------------| | Core | | Core | | Department | Department | | | and | | Departmental | | Agencies | Group | Agencies | | £m | £m | £m | | Later than 1 | | | | year and not | Total | | | later than 5 | Later than | | | years | 5 Years | 2016-17 | include a period of notice of withdrawal from the arrangement. ESA requires a 12-month notice period after the end of the current calendar year. b) STFC shares the funding of the capital and running costs of CERN with other major scientific nations. There is a notice of withdrawal period of 12 months after the end of the current calendar year. c) The UK, through STFC, has signed up to International Conventions, with respect to Institut Laue-Langevin (ILL). The 5th protocol of the Intergovernmental Convention was signed in July 2013 and will remain in force until 31 December 2023. ## 21.3.2 Other Commitments The financial commitments payable in future years include payments due under non-cancellable contracts to the following organisations: Later than 1 year and not Within later than 5 Organisation Note 1 Year £m £m £m £m £m Met Office a 97 407 1,035 1,539 596 Met Office Supercomputer - - - - 47 Ordnance Survey b 53 150 - 203 352 Other commitments 120 113 26 259 193 Core Department and Agencies total 270 670 1,061 2,001 1,188 Other commitments 2 - - 2 9 Departmental Group total 272 670 1,061 2,003 1,197 The Departmental group has entered into noncancellable contracts with the above bodies. Contracts are paid in euros and pounds sterling. Where payments are made in euros, there are fluctuations due to exchange rate differences. The nature of the most significant contracts is described below: a) The core Department has agreements with the Met Office (a BEIS-owned trading fund) to provide meteorology services, including the Public Weather Service agreement which BEIS manages on behalf of the government. This agreement is open-ended but is reviewed on an annual basis. b) The core Department has agreements with Ordnance Survey Limited (a Governmentowned company in which BEIS is the sole shareholder) to provide mapping data and access to its database for the whole of government. The Public Sector Mapping agreement and the Open Data agreement expire on 31 March 2021. | | | | Total | | |------------|---------|---------|----------|---------| | Later than | | Total | | 2015-16 | | years | 5 Years | 2016-17 | restated | | ## 22 Financial Instruments The carrying amounts of financial instruments in each of the IAS 39 categories are as follows: Note Financial assets Loans and receivables: Cash and cash equivalents 17 1,192 1,817 775 1,495 Receivables (i) 14 641 1,273 818 1,354 Loans to public sector bodies (ii) & (iii) 10.3 & 16 991 846 751 654 Other financial assets 11.2 2 313 27 516 Total loans and receivables 2,826 4,249 2,371 4,019 Public dividend capital: Public dividend capital 10.2 81 81 81 81 Total public dividend capital 81 81 81 81 Available for sale: Repayable launch investments 11.1 1,205 1,205 1,389 1,389 Ordinary shares in public sector companies (iv) 10.1 664 1,086 610 1,146 Other financial assets 11.2 278 2,439 223 2,499 Total available for sale 2,147 4,730 2,222 5,034 Derivatives: Forward contracts 95 107 73 77 Contracts for difference – (12,334) (1,337) (12,607) Total derivatives 95 (12,227) (1,264) (12,530) Fair value through profit or loss: Other financial assets 11.2 – 2 – 61 Total fair value through profit or loss - 2 - 61 Held to maturity: Other financial assets 11.2 – 7 – 8 Total held to maturity - 7 - 8 Financial liabilities Financial guarantees (61) (61) (60) (60) Payables (ii) 18 (1,228) (1,964) (826) (1,332) Total other financial liabilities (1,289) (2,025) (886) (1,392) (i) The amounts disclosed above as payables and receivables exclude any assets or liabilities which do not arise from a contractual arrangement. (ii) Loans to public sector bodies comprises the loans detailed in note 16 and Other loans and investments in Other public sector bodies detailed in note 10.3. (iii) Loans to public sector bodies in the Core Department for 2016-17, excludes £58 million, relating to the Core Department's loan investments in the Northern Powerhouse Investment Fund and Midlands Engine Investment Fund, these are accounted for at cost under IAS 27. (iv) Ordinary shares in public sector companies excludes bodies that are consolidated in the Departmental Group, as these are held at cost, see note 10.1. | | 31 March 2017 | 31 March 2016 restated | |------------|-----------------|--------------------------| | Core | | Core | | Department | Department | | | and | | Departmental | | Agencies | Group | Agencies | | £m | £m | £m | • Investment Funds - Investee companies IFRS 7 Financial Instruments: Disclosure requires the disclosure of information which will allow users of financial statements to evaluate the significance of financial instruments on the Group's financial performance and position and the nature and extent of the Group's exposure to risks arising from these instruments. • Financial Guarantees - Through the various As the cash requirements of the Departmental Group are largely met through the Estimates process, financial instruments play a more limited role in creating risk than would apply to a nonpublic sector body of a similar size. The Departmental Group is however exposed to credit, market, interest rate, liquidity and commodity price risks due to the specific programmes and activities undertaken in pursuance of the Group's objectives. ## Credit Risk Credit risk is the risk that one party to a financial instrument will cause a financial loss for the other party by failing to discharge an obligation. The Departmental Group's total maximum exposure to credit risk as at 31 March 2017 is £6,720 million (31 March 2016 restated: £7,816 million). The risk of non-payment is reflected in the carrying amounts of the assets and liabilities, where the Department is exposed to credit risk. Significant credit risks can be summarised as follows: Core Department • Repayable Launch Investments - In the event of an investee company failure, the core Department may not recover its initial investment in whole or in part. The core Department seeks to offset this low-probability risk by analysing the financial health of any applicant at the time of application for launch investment and reviewing financial health as part of the programme monitoring activity. In addition, contracts aim to contain provisions which will (as a minimum) not disadvantage the core Department compared to other creditors in the event of a corporate failure. The core Department takes steps to monitor the payments that become due to the companies under launch investment contracts to ensure they comply with the terms of the contracts. Finally, the contracts also require the company's auditors to confirm that all payments made to the core Department have been made correctly and to identify any errors made. may not perform as expected and the Departmental Group may not recover its initial investment. The Department minimises the risk by monitoring the overall performance of the Funds and to secure value for the Department as an investor. This includes a full evaluation of each business case submitted prior to committing funds. loan guarantee schemes the core Department is exposed to the risk that a recipient of the loan may default and the lending institution will call upon the core Department to honour its guarantee. The core Department minimises the credit risk for its most significant guarantees, the Enterprise Financial Guarantee (EFG) and legacy Small Firms Loan Guarantee Scheme (SFLGS), by devolving responsibility to the banks to determine whether any business applying for a loan is commercially viable. The banks are required to apply normal commercial practices. To establish that this is the case, for EFG the core Department undertakes an independent audit of the lenders participating in the Scheme. This is done by sampling and checking guarantees granted and defaults arising using recognised statistical sampling and auditing techniques and by auditing individual default claims by exception, using the participating banks to determine whether any potential lender applying for a loan is commercially viable. Furthermore, any losses suffered on these loans are shared between the Department and the lending institution. The EFG is also subject to a cap which limits the core Department's exposure. As at 31 March 2017 BEIS has £684 million of guarantees outstanding (31 March 2016: £755 million) which will expire over the next 10 years as the underlying debt matures. Due to the cap on payouts, the maximum amount that could be paid out if all loans defaulted is £201 million (31 March 2016: £189 million). However, not all loans are expected to payout and BEIS has estimated its liability to be £61 million (31 March 2016: £60 million). In addition, BEIS has estimated that it will have future fees receivable of £27 million after allowing for bad debts (31 March 2016: £31 million). Both the liability for expected payouts and asset for future fees are recognised on the Statement of Financial Position. NDPBs and other designated bodies • BIS (Postal Services Act 2011) Company Limited is exposed to credit risk, from its investments in debt securities. At 31 March 2017, the Company held debt securities of mixed quality. The group is exposed to counter party credit risk on its high-yield debt securities. Based on historic rates of market defaults a 2% to 4% default rate within the portfolio would not be unexpected. To manage the risk of loss, the investments are broadly diversified. There are specific parameters for the holding of the debt securities within particular sectors together with a limit on individual holdings as a percentage of the total portfolio. The investment managers also have significant expertise in managing default risk. • The British Business Bank (BBB) investments are assessed by BBB's Valuation Committee. BBB produces credit risk ratings for its investments based upon a risk grading of the financial obligor and the estimated Loss Given Default on that investment. Risk drivers assessed in setting the ratings include the financial viability and lending safety of the investment and, if available, the rating assigned by an external credit agency. This is mitigated by new product approval processes that assess default and loss rates, due diligence of delivery partners underwriting methods, and portfolio monitoring and default models being put in place. • The Green Investment Bank (GIB) is exposed to credit risk with respect to their debt investments. GIB minimises the risk of default by entering into loan arrangements with borrowers with strong credit ratings and who hold appropriate collateral. ## Market Risk Market risk is the risk that fair values and future cash flows will fluctuate due to changes in market prices. Market risk generally comprises of: ## Foreign Currency Risk Core Department The core Department is exposed to a small amount of currency risk with respect to Repayable Launch Investment contracts where income due from aircraft or engine sales may initially be based in US dollars, but it is minimal in the context of the overall Repayable Launch Investment portfolio. Otherwise the core Department's exposure to foreign currency risk during the year was insignificant. Foreign currency income was negligible, and foreign currency expenditure was a small percentage of total expenditure (less than 1%). All material assets and liabilities are denominated in pounds sterling. ## Agencies Forward Contracts The UKSA pays an annual subscription in euros to the European Space Agency (ESA) and has entered into forward contracts to mitigate the risk. These derivative contracts have been designated as cash flow hedges. At the reporting date the hedges met the IAS 39 effectiveness criteria. ## Ndpbs And Other Designated Bodies Forward Contracts STFC and BIS (Postal Services Act 2011) Company Limited are subject to foreign currency risks and have entered into forward contracts to help mitigate these risks. These derivative contracts have been designated as cash flow hedges by STFC and at the reporting date the hedges met the IAS 39 effectiveness criteria. BIS (Postal Services Act 2011) Company Limited does not apply hedge accounting. Cash and cash equivalents held in foreign currency BIS Postal Services Act Company, MRC, STFC, NERC and Nesta Trust are subject to minor foreign currency risk through the maintenance of bank accounts in foreign currencies (predominantly USD and EUR) to deal with dayto-day overseas transactions. Investments At 31 March 2017 Enrichment Holdings Limited (EHL) primary investment was in URENCO Limited, a company valued in euros. A 5% movement in the EUR/GBP foreign exchange rate would result in an unrealised foreign exchange gain or loss of £21 million (31 March 2016: £30 million). ## Interest Rate Risk Core Department The core Department does not invest or access funds from commercial sources, but it is exposed to interest rate risk with respect to the SFLGS and the EFG. For SFLGS and EFG, the core Department is exposed to interest rate risk, as the majority of the loan guarantees are provided against variable rate loans. The banks' usual lending practices mean that fixed rate loans are usually available only for small value short-term loans. To minimise the risk of default due to interest rate rises, accompanied by a decline in the economic environment, the core Department relies on the lenders assessment using best commercial practice to manage the risk of default. NDPBs and other designated bodies GIB is exposed to market risk through the concentration of investments in the clean energy sector. GIB is also exposed to equity price risk due to its investments in businesses developing construction assets across its priority sectors. The company intends to withdraw from the investments when these assets are operational in order to recycle their capital. The risk is minimised by spreading investments across all of its priority sectors. The Nesta Trust is exposed to equity price risk due to its investment of a portion of its endowment assets in publicly listed equity investments. Nesta Trust minimises this risk by investing for the medium to long term, diversifying its equity investments over a number of managers with complementary styles, and invests in investment funds with large institutional investors. The performance of these investment managers is monitored regularly. NDPBs and other designated bodies For BIS (Postal Services Act 2011) Company Limited interest rate risk arises from the effects of fluctuations in the prevailing levels of market interest rates on the fair value of financial assets and future cash flows. The Company holds fixed interest securities that are exposed to fair value interest rate risk. The Company also holds floating rate securities that are exposed to cash flow interest rate risk. The principal strategy is to manage the fair value risk by holding the debt securities until maturity unless opportunities exist in the market for it to profit, for example, from any favourable interest rate movements. Interest rate risk is not expected to have a significant impact. EHL holds a one-third stake in URENCO Limited. The other, equal shareholders, are effectively the Dutch government (through Ultra-Centrifuge Nederland Limited), and German utilities (through Uranit UK Limited). URENCO Limited's principal activity is the provision of a service to enrich uranium to provide fuel for nuclear power utilities. Any change to this specialised market, such as a change in a country's energy policy, will impact the value of EHL 's investment. EHL regularly monitors the performance of URENCO Limited. GIB and BBB each hold both fixed and variable rate investments. Interest rate risk is regularly monitored by each organisation to ensure that the mix of fixed and variable borrowing is appropriate. GIB has entered into swaps to hedge against interest rate risk. The counterparty to these swaps is the core Department and so the Group is unaffected. BBB does not use derivatives to hedge interest rate risk. The impact of interest rates affects the discount rate used to arrive at the fair value of the CfD liability held by LCCC. Changes in interest rates which affect the discount rate would therefore affect the Statement of Financial Position valuation. However the Group is not financially exposed to this risk because the liability is funded through a levy on suppliers. ## Other Market Risk Core Department Inflation risk The CfD valuation is based on models which use assumptions about future prices. The amounts payable under the CfD contracts will be affected by the indexation of strike prices to reflect actual inflation and an inflation risk arises from the possibility of differences between the assumed inflation in the model and in the actual contracts. Inflation rates may not continue at the relatively low levels experienced in recent years; the Group is not financially exposed to this risk because the liability is funded through a levy on suppliers. Liquidity risk Liquidity risk is the risk that an entity will encounter difficulty in meeting obligations associated with financial liabilities. The core Department is exposed to wider risks relating to the performance of the economy as a whole. The main risks resulting from a downward movement in the economy include failures of investee companies of investment funds, loan defaults under the core Department's EFG Scheme and negative impacts on the core Department's repayable launch investment income and valuations from the potential resultant decrease in demand in the aerospace industry. The core Department and its Agencies In common with other Government departments, the future financing of its liabilities is to be met by future grants of Supply, voted annually by Parliament. There is no reason to believe that future approvals will not be forthcoming, therefore, on this basis the liquidity risk to the core Department and its Agencies is minimal. NDPBs and other designated bodies Information about the Departmental Group's objectives, policies and processes for managing and measuring risk can be found in the Governance Statement. Commodity price risk Commodity price risk is the risk or uncertainty arising from possible price movements. The amounts payable under the CfD contracts are exposed to price risk through the fluctuations in future actual wholesale electricity prices, specifically, on how they will differ from the current forecast of future prices in the central scenario. However the LCCC and the Department are not financially exposed to this risk because the liability is funded through a levy | | | | | | Note Level 1 Level 2 Level 3 | Total Level 1 Level 2 Level 3 | Total | |-----------------------------------------|-------------------------------------|-----------------------|-------------------|-----------------------|--------------------------------|---------------------------------|----------| | £m | £m | £m | £m | £m | £m | £m | £m | | Assets | | | | | | | | | Available for sale | | | | | | | | | Equity investments | | | | | | | | | Ordinary shares in public sector bodies | 10.1 | - | 1,086 | - | | | | | 1,086 | | | | | | | | | - | 1,146 | - | | | | | | | 1,146 | | | | | | | | | Ordinary shares in listed equities | 11.2 | 266 | - | - | | | | | 266 | | | | | | | | | 199 | - | - | | | | | | | 199 | | | | | | | | | | Ordinary shares in unlisted private | | | | | | | | equities | 11.2 | - | 14 | 429 | | | | | 443 | | | | | | | | | - | 15 | 470 | | | | | | | 485 | | | | | | | | | Debt and venture capital | | | | | | | | | investments | | | | | | | | | Repayable launch investments | 11.1 | - | - | 1,205 | | | | | 1,205 | | | | | | | | | - | - | 1,389 | | | | | | | 1,389 | | | | | | | | | Gilts and bonds | 11.2 | 46 | - | - | | | | | 46 | | | | | | | | | 55 | - | - | | | | | | | 55 | | | | | | | | | Property related holdings | 11.2 | - | - | 65 | | | | | 65 | | | | | | | | | - | 2 | 81 | | | | | | | 83 | | | | | | | | | Investment funds | 11.2 | - | - | 1,243 | | | | | 1,243 | | | | | | | | | - | - | 1,004 | | | | | | | 1,004 | | | | | | | | | Other investments | 11.2 | 7 | 350 | 19 | | | | | 376 | | | | | | | | | 3 | 508 | 162 | | | | | | | 673 | | | | | | | | | Total available for sale assets | 319 | 1,450 | 2,961 | 4,730 | 257 | 1,671 | 3,106 | | Derivatives | | | | | | | | | Forward contracts | - | 112 | - | | | | | | 112 | | | | | | | | | - | 78 | - | | | | | | | 78 | | | | | | | | | Total derivatives used for hedging | - | 112 | - | 112 | - | 78 | - | | Fair value through profit or loss | | | | | | | | | | Ordinary shares in listed equities, | | | | | | | | Investment funds and other investments | 11.2 | 2 | - | - | | | | | 2 | | | | | | | | | 9 | - | 52 | | | | | | | 61 | | | | | | | | | Total fair value through profit or loss | 2 | - | - | 2 | 9 | - | 52 | | Total assets | 321 | 1,562 | 2,961 | 4,844 | 266 | 1,749 | 3,158 | | Derivatives | | | | | | | | | Forward contracts | - | (5) | - | | | | | | (5) | | | | | | | | | - | (1) | - | | | | | | | (1) | | | | | | | | | Contracts for difference | 9 | - | - (12,334) | | | | | | (12,334) | | | | | | | | | - | - (12,607) | | | | | | | | (12,607) | | | | | | | | | Financial liabilities through profit | | | | | | | | | or loss | - | (5) | (12,334) (12,339) | - | (1) | (12,607) | (12,608) | | Total liabilities | - | (5) (12,334) (12,339) | - | (1) (12,607) (12,608) | | | | on suppliers. ## Financial Instruments: Fair Value Hierarchy The table below analyses financial instruments carried at fair value, by valuation method. The different levels have been defined as follows: - Level 1 - uses quoted prices (unadjusted) in active markets for identical assets or liabilities; - Level 2 - uses inputs for the assets or liabilities other than quoted prices, that are observable either directly or indirectly; - Level 3 - uses inputs for the assets or liabilities that are not based on observable market data, such as internal models or other valuation method. The following table presents the Departmental group's financial assets and liabilities that are measured at fair value at 31 March 2017 and 31 March 2016: 31 March 2017 31 March 2016 There were no transfers between level 1 and 2 during the year. Specific valuation techniques used to value financial instruments include: - the fair value of forward foreign exchange contracts is determined using forward exchange rate at the reporting date, with the resulting value discounted back to present value; - quoted market prices or dealer quotes for similar instruments; - the fair value of interest rate swaps, calculated as the present value of the estimated future cash flows based on observable yield curves; - other techniques, such as discounted cash flow analysis or for non-quoted ordinary shares that are not actively traded the net assets of the company are used. These are classified as level 3. The following table presents the changes in level 3 instrument for the year ended 31 March 2017, excluding the Contracts for Difference which is disclosed in note 9. Ordinary shares in un listed private Opening balance 470 1,389 1,299 3,158 Additions 13 – 1,056 1,069 Repayments/disposals (114) (144) (93) (351) Reclassifications to Non-current Asset held For Sale – – (1,009) (1,009) Gains and losses recognised in CSoCNE 60 (40) 74 94 Closing balance 429 1,205 1,327 2,961 The following table presents the changes in level 3 instrument for the year ended 31 March 2016, excluding the Contracts for Difference which is disclosed in note 9. Ordinary shares in un listed private Opening balance 564 1,740 1,113 3,417 Additions 20 – 375 395 Repayments/disposals (162) (112) (218) (492) Gains and losses recognised in CSoCNE 48 (239) 29 (162) Closing balance 470 1,389 1,299 3,158 The most significant individual valuation using level 3 inputs in the Departmental Group is Repayable launch investments; sensitivity analysis is detailed in note 11.1. The sensitivity analysis for the significant valuations using level 3 inputs for property related holdings and investment funds are detailed in the financial statements of British Business Bank Plc, Green Investment Bank and BIS (Postal Services Act 2011) Company Limited. Property related holdings, Investment funds and Repayable Other launch financial equities investments assets Total £m £m £m £m Property related holdings, Investment funds and Repayable Other launch financial equities investments assets Total £m £m £m £m ## 23 Contingent Liabilities Disclosed Under Ias37 The Departmental Group has the following significant contingent liabilities. Other liabilities | Basis of Recognition | Description | |-------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------| | Unquantifiable | | | Nuclear | The core Department has a range of civil nuclear liabilities arising through its association | | with the United Kingdom Atomic Energy Authority and British Nuclear Fuels Limited as | | | well as ensuring that the Government complies with its obligations under the various | | | international nuclear agreements and treaties. The amount and timing of this overarching | | | liability is not quantifiable. | | | Coal Industry Act 1994 | Responsibility for compensation claims relating to personal injuries suffered by former | | British Coal mineworkers between 1947 and 31 December 1994 transferred to the | | | Department on 1 January 1998 by a restructuring scheme under the Coal Industry | | | Act 1994. The timing and amounts of any future liabilities are uncertain except where | | | provision has been made in the accounts. The future liabilities will depend on the nature | | | of any injury and whether the courts decide that compensation is due. | | | Site restoration liabilities | | | inherited from British Coal | | | The Department has inherited liabilities from British Coal to reimburse certain third parties | | | with the costs necessary to meet statutory environmental standards in the restoration of | | | particular coal-related sites. In addition to specific claims provided for (this is included in | | | Other in note 19.2) it remains possible that the Department will be held responsible for | | | further environmental liabilities. The timing and amounts of any liability are uncertain. | | | Deed relating to the British | | | Coal Staff Superannuation | | | Scheme (BCSSS) under | | | Paragraph 2(9) of Schedule | | | 5 to the Coal Industry Act | | | 1994 | | | Government Guarantees were put in place on 31 October 1994, the day the Schemes | | | were changed to reflect the impact of the privatisation of the coal industry. They are | | | legally binding contracts between the Trustees and the Secretary of State for the | | | Department for Business, Energy and Industrial Strategy. | | | | | | | | | Deed relating to the | | | Mineworkers' Pension | | | Scheme (MPS) under | | | Paragraph 2(9) of Schedule | | | 5 to the Coal Industry Act | | | 1994 | | | The Guarantees ensure that the benefits earned by Scheme members during their | | | employment with British Coal, and any benefit improvements from surpluses which were | | | awarded prior to 31 October 1994, will always be paid and will be increased each year in | | | line with the Retail Prices Index. If at any periodic valuation, the assets of the Guaranteed | | | Fund were to be insufficient to meet its liabilities, the assets must be increased to bring | | | the Fund back into balance. This is a long-term contingent liability dependent on the | | | performance of the schemes' investments and their mortality experience. Further details | | | regarding the Schemes and the notional sub-funds can be found in note 14. | | | Restructuring Scheme | | | Where liabilities transferred under the various Coal Authority Restructuring Schemes | | | (CARS) have crystallised due to planning conditions, agreements, claims etc. a provision | | | has been made in these financial statements. It has not however been possible to | | | quantify those contingent liabilities that may arise in the future. | | | UK Space Agency | In 2013/14 the UK Space Agency (UKSA) entered into an operating lease with NATS (En | | Route) Plc for office accommodation. At the end of the lease term in December 2030, the | | | landlord has the contractual right to enforce the Agency to pay for costs of dilapidation. | | | However, due to the specialized nature of the asset, the expectation is that the landlord | | | will continue using the asset in its current state and therefore will not choose to exercise | | | this option. In the event of the lease contract being terminated by the landlord before the | | | end of the lease term, UK Space Agency will be compensated. The likelihood of outflow | | | of economic benefit is therefore assessed as not probable. | | | Outer Space Act 1986 | The UKSA has an obligation, governed by international (UN) convention, to third parties | | if they are accidentally damaged by UK space activities. Due to its unprecedented | | | nature, a cost cannot be reliably estimated. In March 2015 the Outer Space Act 1986 | | | was amended to cap licensees' previously unlimited liability for third party costs at 60 | | | million euros for the majority of missions, for the duration of the licensed activity. This | | | amendment was designed to adequately balance the risk to the UK Government whilst | | | ensuring UK space operators remain competitive internationally. | | | Financial Reporting Council | The core Department has provided assurance to FRC in respect of providing grant where | | FRC's general voluntary funding falls or current statutory exemption from liability nears | | | expiry. In the course of the financial year, new legislative measures were effected to | | | prevent the statutory exemption from liability from expiring. | | are disclosed in our partner organisation accounts. | Basis of Recognition | Description | |--------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------| | Public Appointment | | | Assessors | | | The Cabinet Secretary has provided a Government-wide indemnity to Public | | | Appointments Assessors (PAAs). This will ensure that PAAs will not have to meet any | | | personal civil liability incurred in the execution of their PAA functions. | | | Inventories | In March 2017 the Nuclear Decommissioning Authority held inventories of reprocessed | | uranic material. These materials are currently held at nil value due to uncertainty over their | | | future use which may result in as-yet unquantified liabilities relating to potential treatment | | | or disposal costs. | | | BBSRC | An indemnity has been given by Biotechnology and Biological Sciences Research | | Council (BBSRC) to the Roslin Institute for any costs that arise as a result of past actions | | | of the Institute prior to its transfer to the University of Edinburgh in 2008. A further | | | indemnity has been given to any fall in grant income of the Institute as a result of the | | | transfer. The maximum settlement BBSRC will fund reduces each year and is limited to | | | claims made up to May 2023. | | | Subsidence damage and | | | public safety liabilities | | | Licensees of mining operations are required to provide security to the Coal Authority to | | | cover anticipated future costs of settling subsidence damage liabilities within their Areas | | | of Responsibility. Outside the Areas of Responsibility of the holders of licences under | | | Part II of the 1994 Act, the Authority is responsible for making good subsidence damage. | | | Where an Area of Responsibility is extinguished, this would transfer to the Authority | | | who would become responsible for the discharge of outstanding subsidence liabilities. | | | The Authority also has an ongoing liability to secure and keep secured the majority of | | | abandoned coal mines. (In all cases the liability for operating collieries is the responsibility | | | of the licensees/lessees and security is held to address those liabilities.) | | | The above liabilities have been provided for within the Coal Authority provision (note 19.2) | | | based on analysis of trends and claims experience. However it is possible that significant, | | | unexpected events outside of this provision may materialise. | | | In addition to the above general contingent liability, damage notices have been submitted | | | to the Coal Authority in respect of subsidence damage to Wentworth Woodhouse, a | | | Grade I listed country house. The Coal Authority has rejected these notices. The Upper | | | Tribunal (Lands Chamber) has ruled on 4 locations of damage and concluded that the | | | Coal Authority has no liability in respect to these; one further area of damage has yet to | | | be considered and the Coal Authority will continue to strongly defend its case. | | | Legal claims | The Coal Authority is subject to various claims and legal actions in the ordinary course of | | its activities for which provision is made in the accounts where appropriate on the basis of | | | information available. The Authority does not expect that the outcome of the above issues | | | will materially affect its financial position. | | | The CNPA has a number of potential liabilities in respect of claims from employees which | | | depend on actual or potential proceedings. The timing and amounts of any payments are | | | uncertain. These liabilities have not been provided for as CNPA believes the claims are | | | unlikely to be successful or to lead to a transfer of economic benefit. | | | Other | There are a number of potential liabilities for the Department in respect of claims from | | suppliers, employees and third parties which depend on actual or potential proceedings. | | | The timing and amounts of any liabilities are uncertain. | | | Quantifiable | | | Feed-in-Tariffs | | | (£293 million) | | | The Department faces claims for damages from solar energy and construction | | | companies affected by changes to Feed-in-Tariffs in 2011. A number of companies from | | | the solar industry initiated legal proceedings in 2012, claiming damages for interference | | | with property rights. Following determination of the legal principles by the Court of | | | Appeal, the Department is preparing for a full trial on the facts of the case, which is set | | | for the first available date after 21 January 2018. Based on updated claims, claimants | | | are seeking damages of up to £293 million. The Department has been ordered to pay | | | 80% and 50% of the claimants' legal costs relating to preliminary hearings in the High | | | Court and Court of Appeal respectively; the Department bears its own legal costs. | | | The claimants and the Department are likely to incur substantial further legal costs (the | | | Department's costs being estimated at £3.1 million) and the losing party is likely to be | | | ordered to pay the costs of the winning party. | | | Basis of Recognition | |---------------------------------------------------------------------------------------------| | British Business Bank | | (£201 million) | | The core Department guarantees British Business Bank under the Enterprise Financial | | Guarantee (EFG) and legacy Small Firms Loan Guarantee Scheme (SFLGs) to facilitate | | lending to viable businesses, with a maximum obligation being subject to a cap, which at | | 31 March 2017 is £201 million. | | Under the BBB's Help to Grow financial guarantee programme, which was new in the | | year, the Bank has entered in to financial guarantee agreements of £60 million. The Bank | | has guaranteed 75% of eligible lending to SMEs under these agreements and a counter | | guarantee is in place that guarantees 50% of the Bank's 75% of eligible lending. As at 31 | | March 2017 the amount lent under these financial guarantee agreements was £0.6 million | | (2016: £nil). | | Reprocessing and staff | | commitments | | (£16 million) | | STFC is responsible for Institut Laue-Langevin (ILL) staff-related commitments and costs | | associated with reprocessing fuel elements. The contingent liability is estimated to be £16 | | million (31 March 2016: £12 million). | | Wave Hub | | (£5 million) | | The core Department has indemnified Cornwall Council in respect of the transfer of Wave | | Hub up to a maximum amount of £5 million. This obligation expires in 2028 due to the | | limitation period under the signed contract. | | Ofgem administration costs | | from the buy-out fund | | (£3.6-£3.8 million) | | BEIS, the Scottish Government and the Northern Ireland Executive have previously | | undertaken to support Ofgem's costs for administering the Renewables Obligation | | scheme (around £3.6 - £3.8 million) if there is insufficient money in both the buy-out | | fund and late payment fund to cover these costs. The size of the 2016/17 buy-out fund | | will not be known until October 2017. It is dependent in part by the availability and price | | of Renewable Obligation Certificates (ROCs) - if there is a surplus of ROCs, suppliers | | may be more inclined to meet their obligations by submitting ROCs but ultimately much | | depends on supplier behaviour which is difficult to predict. BEIS will have an indication | | of how many ROCs are available and whether there is likely to be a surplus after the end | | of the obligation year (31 March 2017) but will not know the size of the buy-out fund until | | October 2017. | | Innovate UK | | (£2.5 million) | | Innovate UK is responsible for decommissioning of Narec Monitoring Platform at an | | estimated cost of £2.5 million. This could take place anytime between 3 and 25 years. | | Medical Research Council | | (£1.8 million) | | MRC has identified a contingent liability of £1.8 million (31 March 2016: £1.8 million) | | for dilapidation work. This may be required at the end of property leases which are | | due to expire within the next five years. | ## 24 Contingent Assets Departmental Albs | Basis of Recognition | |------------------------------------------------------------------------------------------------| | Unquantifiable | | Coal Authority Restructuring | | Schemes | | By virtue of the seventh and ninth Coal Authority Restructuring Schemes (CARS 7 and | | 9), the Coal Authority is the beneficiary of restrictive covenants and clawback provisions | | relating to land and properties sold by the British Coal Corporation. In the event that the | | purchasers are able to retrospectively secure added value by obtaining planning consent | | for alternative uses, the Authority will receive a share of the added value. Quantification of | | this asset is not possible. | | Quantifiable | | On 13 February 2015 an agreement was signed between the Trustee and 'the Guarantor' | | (the core Department) to amend the Scheme structure of the BCSSS which was | | designed to provide certainty to members over increases to their pensions in the future. | | Under the provisions of the agreement, within 12 months of 31 March 2033, the trustee | | shall pay to the Guarantor any surplus remaining on the Scheme net of any amount | | retained for the obligation. | | Deed Relating to the British | | Coal Staff Superannuation | | Scheme (BCSSS) under | | Paragraph 2(9) of Schedule | | 5 to the Coal Industry Act | | 1994 | | (£1.707 billion) | | At the last valuation, the Government Actuary's Department had valued the surplus at | | £1.707 billion. The value of this surplus is subject to change depending on performance | | of future investments and changes to underlying valuation assumptions. Therefore the | | amount receivable by the Department is not certain and is dependent on a surplus being | | available on the Scheme in 2033. Based on the sizeable current surplus, the Department | | considers a receipt from the scheme in 2033 to be probable. | ## 25 Related-Party Transactions The core Department is the parent of the bodies listed in Note 28 - these bodies are regarded as related parties and various material transactions have taken place during the reporting period between members of the Departmental Group. The related parties of the consolidating bodies are disclosed in their respective accounts. The core Department is also the sponsor of Companies House, UKIPO, the Met Office (Trading Funds), Ordnance Survey, NPL Management Limited, NNL Holdings Limited and British Nuclear Fuels Limited. The core Department has had various material transactions with other Government departments, Government bodies and devolved administrations comprising the Northern Ireland Executive, Scottish Government and the Welsh Government. The most significant of these transactions have been with HM Treasury, Post Office, HM Treasury's consolidated fund, Higher Education Funding Council for England, UK Green Investment Bank, UK Space Agency, Engineering and Physical Sciences Research Council, HM Revenue and Customs, the Department for Environment, Food and Rural Affairs, the Department for Communities and Local Government, Office of Gas and Electricity Markets, the Met Office and the Environment Agency. No minister, board member, key manager of the group or other related party have undertaken any material transactions with the core Department during the year. Details of the Department's ministers and senior managers are shown in the Remuneration Report. Professor Dame Ann Dowling, Non-Executive Director on the BEIS Departmental Board is an unpaid President and Chairman of the Board of Trustees of the Royal Academy of Engineering. The Royal Academy of Engineering received £21 million in grants from the core Department during the year. In the course of allocating funding during the year, the 7 research councils entered into material transactions with various Higher Education institutions. Where these bodies have board members who are also members of university councils, each body operates a policy that precludes interested parties from voting on the funding to the university in which they have an interest. Further details of the transactions can be found in the statutory accounts of the individual bodies. ## 26 Third-Party Assets benefit of third parties and are not included in BEIS's Accounts. The following are balances on accounts held in BEIS's name at banks but which are not BEIS's monies. They are held or controlled for the Department Agencies Monetary assets such as bank balances and monies on deposit 34 42 50 63 Total 34 42 50 63 The table above includes the following significant third-party assets: On 31 March 2017 the core Department held £21m (31 March 2016: £16.6m) transferred from BNFL plc to meet the potential future capitalisation requirements of the National Nuclear Laboratory Ltd. These monies are held in GBS (Government Banking Service) accounts. On 16 January 2016 the IOC ceased to be a listed, sanctioned entity by the EU and UK. The Department completed an orderly handover of the Rhum gas field management to the IOC by the agreed deadline of 16 March 2016. The IOC is now in full control of the management of their interest in the Rhum gas field. The IOC's share of revenues from resumed production was being held by the Department in a separate dedicated account, on behalf of the IOC. The IOC's share of costs were funded from this account and the balance of the funds amounting to £25.9 million was paid over to IOC in June 2016. On 22 October 2013 the Department took over temporary management of the Iranian Oil Company's (IOC) interest in the Rhum gas field; enabling co-management of the Rhum field with the operator, and 50% owner, British Petroleum (BP). This action was under the Hydrocarbons (Temporary Management Scheme) Regulations 2013, which allows the Secretary of State (SoS) of the Department to apply a temporary scheme to the hydrocarbons interests of a listed person which holds a relevant licence, where SoS is satisfied that this is necessary to avoid or remediate environmental damage and/or prevent permanent destruction of the value of the relevant licence. | | 31 March 2017 | 31 March 2016 restated | |------------|-----------------|--------------------------| | Core | | Core | | Department | | | | and | | Departmental | | Group | Agencies | Group | | £m | £m | £m | ## 27 Restatement Of Statement Of Financial Position And Statement Of Comprehensive Net Expenditure As A Result Of Machinery Of Government (Mog) Changes, Changes To The Designation Order And Other Restatements Machinery Of Government (Mog) Changes (Accounted For As Transfer By Merger) BEIS has had several MoG changes affecting its Estimate and Accounts for the year ended 31 March 2017, where functions or responsibilities have been merged or transferred within Government. A function is an identifiable business operation with an integrated set of activities, staff and recognised assets and liabilities, and changes are accounted for using merger accounting in accordance with the FReM. This requires the restatement of the Primary Statements and the associated Notes to the Accounts. ## The Creation Of Beis From The Merger Of Bis And Decc, And Transfer Out Of Functions From Bis To Department For Education (Dfe), Department For International Trade (Dit) As A Result Of Departmental Changes Announced In July 2016. As A Result Of The Departmental Changes Announced In July 2016, There Were Several Mog Changes Effective From 1 April 2016: • The transfer in to BEIS of BIS and DECC. • The transfer out of Higher Education (HE), Further Education (FE) and Apprenticeships to Department for Education (DfE) from BIS. In addition as a result of this MoG change, the Construction Industry Training Board, the Engineering Construction Industry Training Board, the Higher Education Funding Council for England, the Office for Fair Access, the Skills Funding Agency, the Student Loan Company and the UK Commission for Education and Skills are no longer consolidated within the Department's Accounts. To reflect the change in 2014-15 and 2015-16 comparative figures have been restated. The Departmental Group's net assets decreased by £57,499 million and £42,437 million respectively and in 2015-16 net expenditure decreased by £2,016 million as a result of this MoG change. • The transfer out of the International Trade and Export Control (ITEC) to Department for International Trade (DIT) from BIS. To reflect the change in opening balance sheet 2014- 15 and 2015-16 comparative figures, the Departmental group's net assets decreased by £3 million in both years and in 2015-16 net expenditure decreased by £15 million as a result of this MoG change. As part of alignment of accounting policies of BIS and DECC, receipts from the Nuclear Decommissioning Authority and Coal Authority for onward payment to the Consolidated Fund will be processed by the core Department as agent rather than recognised as income (this change impacts the core Department only and has no effect on the Group). Also part of the alignment of accounting policies, the Department's investments in other public sector bodies that are outside of the departmental boundary and not consolidated are held at fair value. In DECC these had been reported at historical cost whereas in BIS net assets of the entities was used. Across the BEIS Departmental Group, net assets is now used as the most appropriate measure of fair value. The core Department's net assets increased by £65 million and £57 million in 2015-16 and 2014- 15 and the Departmental Group's net assets increased by £235 million and £225 million in 2015-16 and 2014-15 respectively as a result of this MoG change. In addition to the creation of BEIS, the following MoG changes were previously announced and implemented during 2016-17. Transfer of Offender Learning and Skills Service to Ministry of Justice As a result of the Spending Review 2015, the Offender Learning and Skills Service programme transferred from 1 April 2016 from BIS to Ministry of Justice. To reflect the change in 2015-16 comparative figures, the Departmental Group's net expenditure was decreased by £1million as a result of this MoG change. Changes to the Departmental boundary Four GIB entities were added to the Designation and Amendment Order in 2016-17, with a retrospective classification, that affect the prior year figures. The prior year figures have therefore been restated to reflect the change in the Departmental boundary. These are: • UK Green Investment Offshore Wind C L.P. • UK Green Investment LID Limited • UK Green Investment FCG Limited Transfer of Shareholder Executive Group to UK Government Investments On 1 April 2016, the function of the Shareholder Executive transferred from BIS to the Chancellor of the Exchequer under a new body called UK Government Investments. UK Government Investments brings together the activities of both the Shareholder Executive and UK Financial Investments and is wholly owned by the Chancellor of the Exchequer. To reflect the change in 2015-16 comparative figures, the Departmental Group's net expenditure was decreased by £11 million as a result of this MoG change. • GLID Wind Farms Topco Limited In addition, Fleetbank Funding Limited was designated as a central government body. These changes to the departmental boundary have resulted in an increase in net assets of £437 million. Transfer of Environmental Regulation to the Department for Environment, Food and Rural Affairs (DEFRA) On 1 April 2016, Environmental Regulation transferred from BIS to DEFRA. This has not resulted in any impact on net expenditure or net assets. Changes in accounting policy No changes in accounting policies were adopted by the FReM in 2016-17. Prior period restatements In 2016-17 a prior period accounting error was identified in relation to the over-release of income from the revaluation reserve in relation to Repayable Launch Investments. Transfers of functions (accounted for as transfer by absorption) In addition there were 3 transfers of functions accounted for as transfers by absorption, where the Departmental Group's Primary Statements and Notes have not been restated and the transfers are accounted for prospectively. • The transfer in of the National Measurement In accordance with Department's accounting policy, repayments received in excess of historic costs of an investment in the portfolio were released to the Consolidated Statement of Comprehensive Net Expenditure. It was identified that this released was incorrectly calculated. As a result CSoCNE was not materially overstated in any individual financial year but, the over-release had resulted in a material reduction in the value of the revaluation reserve. Regulation Office (NMRO) activities to core Department from 1 April 2016. This resulted in £2.4 million of NMRO's net assets being transferred into the core Department. NMRO was previously one of BIS' agencies. This transfer was between the core Department and an Executive Agency and has had no net effect on the presentation of financial statements as the transfer is reflected within the Core and Agencies column (see note 27.1 below). • The transfer out of BEIS Criminal Enforcement The Department has restated the 1 April 2015 reserves position, increasing the revaluation reserve by £266 million and reduction in the General Fund by £266 million. In 2015-16, the income released has been decreased by £7 million and revaluation reserve increased by £7 million, resulting in a restated revaluation reserve of £273 million. to Insolvency Service from 1 January 2017. This transfer was between the core Department and an Executive Agency and has had no net effect on the presentation of financial statements as the transfer is reflected within the Core and Agencies column. • The transfer out of the Oil and Gas Authority to the Oil and Gas Authority limited company from 1 October 2016. This transfer was between an Executive Agency and a Nondepartmental Public Body. The second restatement arises from elimination in 2016-17 of intra-Group receivables relating to funding of nuclear site licence company retirement-benefit obligations against the Nuclear Decommissioning Provision. In prior years they had been eliminated against current accrued expenses. These transfers have no impact on the financial statements as they are within the Departmental Group. ## Impact Of Restatements On Opening Balances For The Departmental Group At 31 March 2016 Re-presented Balance at 31 balance at 31 Machinery of March 2016 March 2016 Government per 2015-16 of the 2015- changes and published 16 published accounts accounts (BIS) (DECC) £m £m £m £m £m £m Consolidated Statement of Comprehensive Net Expenditure Net expenditure for the period 8,890 105,262 (2,046) (6) 7 112,107 Other comprehensive net income and expenditure 1,434 (19) (14) - (7) 1,394 Total comprehensive expenditure 10,324 105,243 (2,060) (6) - 113,501 Consolidated Statement of Financial Position Non-current assets 64,167 4,159 (54,726) 506 - 14,106 Current assets 6,436 819 (3,892) 51 - 3,414 Current liabilities (2,797) (4,428) 354 (9) (399) (7,279) Non-current liabilities (1,381) (179,792) 996 (538) 399 (180,316) General fund (63,835) 179,334 57,390 (6) 273 173,156 Revaluation reserve (2,119) (59) (234) - (273) (2,685) Charitable funds (423) - 112 - - (311) Minority interest (48) (33) - (4) - (85) Statement of Parliamentary Supply Resource DEL 16,819 1,405 (9,906) – – 8,318 Capital DEL 2,471 2,309 102 – – 4,882 Resource AME (7,826) 101,581 8,190 – – 101,945 Capital AME 9,965 64 (11,642) – – (1,613) Net outturn for the year 21,429 105,359 (13,256) – – 113,532 Nature of restatement accounting Other prior Restated policy Changes in period balance at 31 alignments the boundary adjustments March 2016 ## Impact Of Restatements On Opening Balances For Core Department And Agencies At 31 March 2016 Re-presented Balance at 31 balance at 31 Machinery of March 2016 March 2016 Government per 2015-16 of the 2015- changes and published 16 published accounting accounts accounts policy (BIS) (DECC) alignments £m £m £m £m £m £m Consolidated Statement of Comprehensive Net Expenditure Net expenditure for the period 10,377 4,385 (1,159) – 7 13,610 Other comprehensive net income and expenditure 241 (5) (7) – (7) 222 Total comprehensive expenditure 10,618 4,380 (1,166) – - 13,832 Non-current assets 59,465 488 (54,691) – – 5,262 Current assets 5,373 248 (3,754) – – 1,867 Current liabilities (1,826) (860) 860 – – (1,826) Non-current liabilities (871) (4,351) 213 – – (5,009) General fund (61,838) 4,482 57,436 – 273 353 Revaluation reserve (303) (7) (64) – (273) (647) Nature of restatement Other prior Restated Changes in period balance at 31 the boundary adjustments March 2016 ## Impact Of Restatements On Opening Balances For The Departmental Group At 1 April 2015 Re-presented Balance at 31 balance at 31 Machinery of March 2015 March 2015 Government per 2015-16 of the 2015- changes and published 16 published accounts accounts (BIS) (DECC) £m £m £m £m £m £m Consolidated Statement of Financial Position Non-current assets 50,870 2,827 (40,003) – - 13,694 Current assets 6,969 1,444 (3,391) – - 5,022 Current liabilities (3,422) (5,786) 774 – (481) (8,915) Non-current liabilities (1,448) (75,736) 445 – 481 (76,258) General fund (48,709) 77,334 42,263 – 266 71,154 Revaluation reserve (3,783) (37) (224) – (266) (4,310) Charitable funds (433) – 136 – - (297) Minority interest (44) (46) – – - (90) ## Impact Of Restatements On Opening Balances For Core Department And Agencies At 1 April 2015 Re-presented Balance at 31 balance at 31 Machinery of March 2015 March 2015 Government per 2015-16 of the 2015- changes and published 16 published accounts accounts (BIS) (DECC) £m £m £m £m £m £m Consolidated Statement of Financial Position Non-current assets 45,074 332 (40,086) - - 5,320 Current assets 5,412 776 (3,138) - - 3,050 Current liabilities (2,593) (1,661) 765 - - (3,489) Non-current liabilities (872) (2,793) 126 - - (3,539) General fund (46,454) 3,348 42,391 - 266 (449) Revaluation reserve (567) (2) (58) - (266) (893) Nature of restatement accounting Other prior Restated policy Changes in period balance at 31 alignments the boundary adjustments March 2015 Nature of restatement accounting Other prior Restated policy Changes in period balance at 31 alignments the boundary adjustments March 2015 ## 27.1 The National Measurement and Regulation Office (NMRO) transfer into BEIS core Department As detailed in Note 27 above, 1 April 2016, NMRO became part of the Regulatory Delivery directorate within the core Department. This resulted in £2.4 million of net assets transferring from NMRO to the core Department. The full effect of this transfer is shown below. ## Transfer To Beis | Statement of Comprehensive Net Expenditure | £'000 | £'000 | |--------------------------------------------------------------|---------|---------| | Loss on transfer | 2,400 | | | Statement of Financial Position | £'000 | £'000 | | Non-current assets: | | | | Property, plant and equipment | 896 | | | Heritage assets | 127 | | | Intangible assets | 123 | | | Trade and other receivables | 200 | | | Total non-current assets | 1,346 | | | Current assets: | | | | Trade and other receivables | 1,298 | | | Cash and cash equivalents | 785 | | | Total current assets | 2,083 | | | Total assets | 3,429 | | | Current liabilities: | | | | Trade payables and other liabilities | (1,029) | | | Total current liabilities | (1,029) | | | Non-current assets plus/less net current assets/ liabilities | - | 2,400 | | Non-current Liabilities: | | | | Trade payables and other liabilities | | | | Total non-current liabilities | - | - | | Total assets less liabilities | - | 2,400 | | Taxpayers' equity and other reserves: | | | | General fund | 2,197 | | | Revaluation reserve | 203 | | | Total equity | - | 2,400 | ## 28 List Of Bodies Within The Departmental Group The table below shows the list of BEIS organisations that are included in the Government Resources and Accounts Act 2000 (Estimates and Accounts) Order 2016, known as the Designation Order. The individual Annual Report and Accounts for each of these bodies can be found on their own websites or via the Inside Government website (https://www.gov. uk/government/organisations/department-forbusiness-energy-and-industrial-strategy). The bodies whose accounts have been consolidated within the Departmental Group Designated Body (linked bodies are indicated in italics below their parent body) Status (a) Bodies consolidated in Departmental Group accounts for 2016-17 Executive Agencies Insolvency Service Executive Agency gov.uk/government/organisations/insolvencyservice National Measurement and Regulation Office1 Executive Agency gov.uk/government/organisations/nationalmeasurement-and-regulation-office UK Space Agency Executive Agency gov.uk/government/organisations/uk-spaceagency Oil and Gas Authority2 Executive Agency https://www.ogauthority.co.uk/ Crown Executive Non Departmental Public Bodies (NDPBs) Crown Executive NDPB acas.org.uk Advisory Conciliation and Arbitration Service (ACAS) Central Arbitration Committee Linked but independent institution of ACAS Certification Office for Trade Union and Employers' Associations Linked but independent institution of ACAS NDPBs and other designated bodies Executive NDPB ahrc.ac.uk The Arts and Humanities Research Council Executive NDPB bbsrc.ac.uk The Biotechnology and Biological Sciences Research Council BIS (Postal Services Act 2011) Company Limited Limited Company owned by BEIS BIS (Postal Services Act 2011) B Company Limited Limited Company Consolidated by BIS (Postal Services Act 2011) Company Limited British Business Bank plc Public Limited Company owned by BEIS British Business Bank Investments Ltd Limited Company Consolidated by British Business Bank plc British Business Finance Ltd Limited Company Consolidated by British Business Bank plc British Business Financial Services Ltd Limited Company Consolidated by British Business Bank plc accounts are shown in section (a) of the table. Bodies within the Departmental Group but not consolidated, such as where net assets are not considered material to the Departmental Group accounts, are indicated separately in section (b) of this table. As a result of changes made in the 2016-17 Designation Order, some additional bodies are now included in the Departmental Group accounts boundary. Where boundary changes have an impact on previously reported financial results, these are shown in Note 27. Website (further information about linked bodies or those closed during the year is also included) Consolidated by ACAS Consolidated by ACAS Website not yet available british-business-bank.co.uk Designated Body (linked bodies are indicated in italics below their parent body) Status British Business Aspire Holdco Ltd Limited Company Consolidated by British Business Bank plc Capital for Enterprise Limited (CfEL) Limited Company Consolidated by British Business Bank plc Limited Company Consolidated by British Business Bank plc Capital for Enterprise Fund Managers Limited Capital for Enterprise (GP) Limited Limited Company Consolidated by British Business Bank plc Competition Service Executive NDPB catribunal.org.uk/244/Competition-Service.html Competition Appeal Tribunal Tribunal NDPB catribunal.org.uk Civil Nuclear Police Authority Executive NDPB gov.uk/government/organisations/civil-nuclearpolice-authority Coal Authority Executive NDPB gov.uk/government/organisations/the-coalauthority Committee on Fuel Poverty Advisory NDPB gov.uk/government/organisations/committeeon-fuel-poverty Committee on Radioactive Waste Management Advisory NDPB gov.uk/government/organisations/committeeon-radioactive-waste-management The Copyright Tribunal Tribunal NDPB gov.uk/government/organisations/copyrighttribunal Council for Science and Technology Advisory NDPB gov.uk/government/organisations/council-forscience-and-technology Diamond Light Source Limited Limited Company diamond.ac.uk Dounreay Site Restoration Limited Limited Company dounreay.com Executive NDPB esrc.ac.uk The Economic and Social Research Council Executive NDPB epsrc.ac.uk The Engineering and Physical Sciences Research Council Enrichment Holdings Ltd Limited Company owned by BEIS Enrichment Investments Limited Limited Company Consolidated by Enrichment Holdings Limited Electricity Settlements Company Ltd Limited Company emrsettlement.co.uk/ Fleetbank Funding Limited Limited Company owned by BEIS Limited Company frc.org.uk The Financial Reporting Council Limited Limited Partnership Joint venture owned by STFC and UK Atomic Energy Authority Harwell Science and Innovation Campus Public Sector Limited Partnership Website (further information about linked bodies or those closed during the year is also included) Costs are included in the core Department's expenditure. No accounts produced as costs are included in the core Department's expenditure. It is funded by BEIS and operated by UK Intellectual Property Office. No accounts produced as costs are included in the core Department's expenditure. Site Licence Company - private company, which operates sites on behalf of, and under contract from the NDA. This is a special purpose vehicle for the Government's investment in Urenco Limited. This is a vehicle for the Government to facilitate the Enable Loan Guarantee Scheme Designated Body (linked bodies are indicated in italics below their parent body) Status Industrial Development Advisory Board Advisory NDPB gov.uk/government/organisations/industrialdevelopment-advisory-board Insolvency Practitioners Tribunal Tribunal NDPB gov.uk/government/organisations/insolvencypractitioners-tribunal LLW Repository Limited Limited Company llwrsite.com Low Carbon Contracts Company Ltd Limited Company owned by BEIS Low Pay Commission Advisory NDPB gov.uk/government/organisations/low-paycommission Magnox Limited Limited Company magnoxsites.com Medical Research Council Executive NDPB mrc.ac.uk Midlands Engine Investments Limited Limited Company owned by BEIS Executive NDPB nerc.ac.uk The Natural Environment Research Council The NESTA Trust Charitable Trust nesta.org.uk/faqs/what_is_the_nesta_trust Northern Powerhouse Investments Limited Limited Company owned by BEIS Nuclear Decommissioning Authority Executive NDPB gov.uk/government/organisations/nucleardecommissioning-authority Radioactive Waste Management Limited Limited Company Consolidated by Nuclear Decommissioning Authority Sellafield Limited Limited Company sellafieldsites.com/ ## Nuclear Liabilities Financing Assurance Board | Advisory NDPB | gov.uk/government/organisations/nuclear- | |---------------------------------------|--------------------------------------------| | liabilities-financing-assurance-board | | | Office of Manpower Economics | Advisory NDPB | | manpower-economics | | ## Website (Further Information About Linked Bodies Or Those Closed During The Year Is Also Included) No accounts produced. Funded by BEIS and operated by the Insolvency Service. Costs are included as part of the core Department. No accounts produced as costs are included in the core Department's expenditure. It is funded by BEIS and operated by the Insolvency Service. Site Licence Company - private company, which operates sites on behalf of, and under contract from the NDA. lowcarboncontracts.uk/ No accounts produced as costs are included in the core Department's expenditure Site Licence Company - private company, which operates sites on behalf of, and under contract from the NDA. british-business-bank.co.uk/ourpartners/ midlands-engine-investment-fund/ british-business-bank.co.uk/ourpartners/ northern-powerhouse-investment-fund/ Site Licence Company - private company, which operates sites on behalf of, and under contract from the NDA. Costs are included in the core Department's expenditure. No accounts produced as costs are included in the core Department's expenditure. Designated Body (linked bodies are indicated in italics below their parent body) Status Oil and Gas Authority2 Limited Company owned by BEIS Postal Services Holding Company Limited Limited Company owned by BEIS Regulatory Policy Committee Advisory NDPB gov.uk/government/organisations/regulatorypolicy-committee Executive NDPB stfc.ac.uk The Science and Technology Facilities Council (STFC) STFC Innovations Limited Limited Company Consolidated by STFC South Tees Site Company Limited Limited Company owned by BEIS Executive NDPB innovateuk.org Innovate UK (trading name of The Technology Strategy Board) UK Climate Investments LLP Limited Partnership between BEIS and UK Green Investment Bank UK Climate Investments Indigo Limited Limited Company Consolidated by the UK Climate Investments LLP UK Green Investment Bank plc Public Limited Company owned by BEIS Limited Partnership Consolidated by UK Green Investment Bank plc Aviva Investors Realm Energy Centres Limited Partnership Limited Partnership Consolidated by UK Green Investment Bank plc UK Energy Efficiency Investments 1 L.P. Energy Saving Investments L.P. Limited Partnership Consolidated by UK Green Investment Bank plc Limited Company Consolidated by UK Green Investment Bank plc UK Green Investment Bank Financial Services Limited Limited Company Consolidated by UK Green Investment Bank plc UK Green Investment Rhyl Flats Limited Limited Partnership Consolidated by UK Green Investment Bank plc UK Green Sustainable Waste and Energy Investments L.P. Limited Partnership Consolidated by UK Green Investment Bank plc UK Waste Resources and Energy Investments L.P. UK Green Community Lending Ltd Limited Company Consolidated by UK Green Investment Bank plc Limited Company Consolidated by UK Green Investment Bank plc UK Green Investment Rampion Limited Limited Company Consolidated by UK Green Investment Bank plc UK Green Investment Gwynt y Mor Limited Limited Company Consolidated by UK Green Investment Bank plc UK Green Investment Climate International Limited The Recycling and Waste L.P. Limited Partnership Consolidated by UK Green Investment Bank plc Limited Company Consolidated by UK Green Investment Bank plc Green Investment Bank Offshore Wind Fund LP Limited Company Consolidated by UK Green Investment Bank plc UK Green Investment Offshore Wind B L.P. Limited Company Consolidated by UK Green Investment Bank plc UK Green Investment Co-investment Lyle Limited UK Green Investment FCG Limited Limited Company Consolidated by UK Green Investment Bank plc Website (further information about linked bodies or those closed during the year is also included) ogauthority.co.uk/ This is a vehicle for the Government's investment in Royal Mail Plc and Post Office Limited. No accounts produced as costs are included in the core Department's expenditure. This is a vehicle for managing the Government investment in the South Tees Site greeninvestmentbank.com/funds/international/ greeninvestmentbank.com Designated Body (linked bodies are indicated in italics below their parent body) Status UK Green Investment LID Limited Limited Company Consolidated by UK Green Investment Bank plc UK Green Investment Lyle Limited Limited Company Consolidated by UK Green Investment Bank plc Limited Partnership Consolidated by UK Green Investment Bank plc UK Green Investment Offshore Wind C L.P. Limited Partnership Consolidated by UK Green Investment Bank plc UK Green Investment Offshore Wind Co-Investment L.P. Limited Company Consolidated by UK Green Investment Bank plc UK Green Investment OSWF Lyle Limited Limited Company Consolidated by UK Green Investment Bank plc UK Green Investment (OSW) GP Limited Limited Company Consolidated by UK Green Investment Bank plc UK Green Investment Sheringham Shoal Limited GLID Wind Farms TopCo Limited Limited Company Consolidated by UK Green Investment Bank plc Lyle JV Holdings Limited Limited Company Consolidated by UK Green Investment Bank plc UK Shared Business Services Limited Limited Company uksbs.co.uk RCUK Shared Services Centre Limited Limited Company Consolidated by UK Shared Business Services Limited United Kingdom Atomic Energy Authority Executive NDPB gov.uk/government/organisations/uk-atomicenergy-authority (corporate) AEA Insurance Ltd Limited Company Consolidated by United Kingdom Atomic Energy Authority ## (B) Bodies Not Consolidated In Departmental Group Accounts For 2016-17 | Limited Company | www.apcuk.co.uk/ | Advanced Propulsion Centre UK | |---------------------------------------------------|--------------------|--------------------------------------------| | Limited | | | | Aerospace Technology Institute | Limited Company | ati.org.uk/ | | British Business HoldCo Ltd | Limited Company | No accounts produced as dormant company in | | 2016-17 prior to being dissolved on 19 April 2016 | | | | British Hallmarking Council | Executive NDPB | gov.uk/government/organisations/british- | | hallmarking-council | | | | Committee on Climate Change | Executive NDPB | theccc.org.uk/about/ | Daresbury SIC (Pub Sec) LLP (Daresbury Science and Innovation Campus Public Sector Limited Liability Partnership) | Limited Liability Partnership | |----------------------------------------------| | Technology Facilities Council and Halton | | Borough Council. Turnover and net assets are | | not material to Departmental Group accounts. | | Company Limited by | | Guarantee | | Daresbury Science & Innovation | | Campus Limited (Daresbury Science | | and Innovation Campus Limited | | Liability Partnership (Sci-Tech | | Daresbury)) | ## Website (Further Information About Linked Bodies Or Those Closed During The Year Is Also Included) ccfe.ac.uk (fusion research) Turnover and net assets are not material to Departmental Group accounts. Turnover and net assets are not material to Departmental Group accounts. Turnover and net assets are not material to Departmental Group accounts. Turnover and net assets are not material to Departmental Group accounts. www.sci-techdaresbury.com A joint venture between the Science and Technology Facilities Council and Langtree. Turnover and net assets are not material to Departmental Group accounts. Designated Body (linked bodies are indicated in italics below their parent body) Status Groceries Code Adjudicator Office Holder and Corporation Sole NDA Archives Limited Limited Company gov.uk/government/organisations/nucleardecommissioning-authority NW VCLF HF LLP Limited Liability Partnership Recorded as investment in core Department accounts. Turnover and net assets are not material to Departmental Group accounts. Pubs Code Adjudicator Office Holder and Corporation Sole Research Sites Restoration Limited Limited Company Dormant - Site Licence Company UK Climate Investments VC Limited Limited Company Limited company holding investment by the UK Climate Investments LLP. Wave Hub Limited3 Limited Company wavehub.co.uk 1 The activities of the National Measurement and Regulation Office, transferred to BEIS core Department on 1 April 2016 2 The activities of the Oil and Gas Authority (agency) transferred to the Oil and Gas Authority limited company owned by BEIS from 1 October 2016 3 Wave Hub Limited transferred from BEIS's ownership to Cornwall Council on 31 March 2017 Website (further information about linked bodies or those closed during the year is also included) gov.uk/government/organisations/groceriescode-adjudicator Turnover and net assets are not material to Departmental Group accounts. Turnover and net assets are not material to Departmental Group accounts. gov.uk/government/organisations/pubs-codeadjudicator Turnover and net assets are not material to Departmental Group accounts. No costs or activities incurred in 2016/17 as the activities transferred to Magnox Turnover and net assets are not material to Departmental Group accounts. Turnover and net assets are not material to Departmental Group accounts. ## 29 Events After The Reporting Period Machinery of Government Changes Transfer of International Education programmes to Department for Education As a result of the Departmental changes announced in July 2016 and a subsequent ministerial decision in March 2017, from 1 April 2017 the International Education programme transferred from the Secretary of State for Business, Energy and Industrial Strategy to the Secretary of State for Education. These programmes encompass: - European University Institute subscriptions - Erasmus and other European Education programmes - Global Science A budget of £13 million will be transferred with the programmes. Transfer of the BEIS Advisory Legal Team to the Government Legal Department On 1 April 2017, the BEIS Advisory Legal team transferred to the Government Legal Department (GLD), the Government-shared legal service for advisory legal work and civil litigation. The strategic rationale of this transfer enables the greater critical mass of the GLD to enhance the flexibility and resilience of BEIS's legal support. The move facilitates even closer working between BEIS Legal and the other parts of GLD on the many common issues that BEIS faces. Establishment of UK Research and Innovation The Higher Education and Research Bill received Royal Assent on 27 April 2017. Under the provisions of this legislation, UK Research and Innovation will be established as a single, strategic body that will bring together the 7 research councils, Innovate UK and the research and knowledge exchange functions of the Higher Education Funding Council for England, to be known as Research England. It is anticipated that UK Research and Innovation will be established on 1 April 2018. 29.1 Date Accounts authorised for issue BEIS's Accounting Officer has authorised these Accounts to be issued on the same day as they were certified. Harwell Campus ## Trust Statement Accounting Officer'S Foreword To The Trust Statement Scope The Department of Business, Energy and Industrial Strategy is responsible for collection and allocation of receipts from the EU Emissions Trading Scheme (EU ETS), the Carbon Reduction Commitment (CRC) Scheme and the Climate Change Agreements (CCA) Scheme. The Department is also responsible for: expenses incurred in the collection of these receipts; the revenue and expenditure; and the cash flows. On 1 April, 2015 the Oil and Gas Authority (OGA) was formed as an Executive Agency of the Department and was responsible for collection and allocation of the receipts from the Petroleum Licensing Regime. In 2015-16 it was agreed on efficiency grounds that the Petroleum Licence fees collected by the OGA and paid over to the Consolidated Fund would be included in the Departmental Trust Statement for financial reporting purposes. As the OGA became a Government company on 1 October 2016, in 2016-17 the OGA has prepared its own Trust Statement. This will include the petroleum licence receipts for 2016- 17 with prior year comparatives. These prior year comparatives are also in the Departmental Trust Statement for 2015-16. The assets and liabilities related to petroleum licence fees on 1 April 2016 were as follows; cash of £15.177 million, receivables of £9.109 million and other liabilities of £5.070 million represented by reserves of £19,216 million. These were removed from the Departmental Trust Statement by a movement on reserves, where £19.216 million represented the amount due to the Consolidated Fund. The Departmental Trust Statement reports the: • Revenues, expenditure, assets and liabilities relating to proceeds received from the UK auctions of European Allowances under Phase III of the EU ETS and Aviation allowances of the EU ETS for the financial year 2016- 17. These amounts are collected by the Department for payment into the Consolidated Fund; • Revenues, expenditure, assets and liabilities relating to the receipts of Petroleum Licences under The Petroleum Act 1998 for the financial year 2015-16, but not 2016-17. These amounts are collected and now reported by the OGA for payment to the Consolidated Fund; • Revenues and assets relating to the receipts of CRC Allowances under the CRC Energy Efficiency Scheme Order (2010) as amended by CRC Energy Efficiency Scheme Order (2013) for the financial year 2016-17. These amounts are collected by the Department for payment to the Consolidated Fund; • Revenues and assets relating to the receipts of CCA Buy-out payments for Target 1 reporting period; and • Civil penalties levied against participants in the EU ETS, CRC, ESOS and CCA Schemes. These amounts are collected by the Department for payment to the Consolidated Fund. This statement is also prepared to provide disclosure of any material expenditure or income that has not been applied to the purposes intended by Parliament or material transactions that have not conformed to the authorities which govern them. ## Background In the current phase (Phase III) there is a single EU-wide cap. Each Member State was required to submit a list of all the participants that will be included in Phase III, setting out its proposed levels of free allocation in accordance with the revised ETS Directive. EU ETS The EU Emissions Trading Scheme is designed to reduce greenhouse gas (GHG) emissions at the lowest cost to the European economy. It also aims to provide greater certainty that the UK and the EU will meet emission reduction targets. For Phase III at least 50% of allowances will be auctioned across the EU, a far greater percentage than in the previous phases. This includes full auctioning for the power generation sector in the UK and most Member States and for all Member States by 2020. The EU ETS includes approximately 11,000 power stations and industrial plants across the EU. Around 1,000 of these are sited in the UK and comprise power stations, oil refineries, offshore oil and gas platforms and industries that produce iron and steel, cement and lime, paper, glass, ceramics and chemicals. Other organisations may also be covered by the EU ETS, including universities and aviation operators, although there is an opt-out for hospitals and small emitters. The EU ETS works on a 'cap and trade' basis: there is a 'cap' or limit set on the total greenhouse gas emissions allowed by participants covered by the Scheme. This cap is converted into tradable emission allowances. Tradable emission allowances are allocated to participants in the market; in the EU ETS this is done via a mixture of free allocation and auctions. One allowance gives the holder the right to emit one tonne of CO2 (or its equivalent). Participants covered by the EU ETS must monitor and report their emissions each year and surrender enough allowances to cover their annual emissions. The UK appointed ICE Futures Europe to conduct auctions of EU ETS Phase III EUAs and EUAAs on behalf of the Department from November 2012. The Department has extended the contract with ICE by a further 2 years, until November 2017, the maximum allowed for in the EU Auctioning Regulation. The full schedule for Phase III auctions is available on the ICE emissions auctions web pages at www.theice. com/emissions/auctions. The UK has completed an exercise through the Official Journal of the European Union to re-procure the UK's auction platform upon expiry of the current contract in November 2017. The UK Government has identified ICE Futures Europe as the preferred supplier. On 27 April 2017, EU Member States voted in favour of an amendment to the Auctioning Regulation for a new listing of the UK's auction platform. Following the clearance of EU Parliament and Council scrutiny, the formal listing is expected to be complete in Q3 of 2017 to enable the smooth continuation of the UK's EU ETS auctions in November 2017. Participants who are likely to emit more than their allocation have a choice between taking measures to reduce their emissions or buying additional allowances, either from companies who will emit less, from the secondary carbon market or from Member State held auctions. The UK held 25 auctions of EUA allowances in 2016/17. All but one of these auctions cleared successfully. The auction on 14 December was cancelled as a result of the total volume of bids falling short of the volume of the allowances being auctioned. The allowances were distributed over the next 4 auctions,as required by the Auctioning Regulation. The carbon price signifies the amount participants in the EU ETS are willing to pay per EU allowance (EUA) which is based on demand and supply. There are separate Aviation Allowances (EUAAs) for airline operators. There was one EUAA auction of 921,000 allowances held in 2016/17. This was held on the 26 October 2016 and covered the 2016 compliance year. The auction cleared successfully. The first phase of the EU ETS ran from 2005 to 2007 and the second phase ran from 2008 to 2012 to coincide with the first Kyoto Commitment Period. The current phase of the EU ETS (2013 to 2020) builds upon the previous two phases and is significantly revised to make a greater contribution to tackling climate change. Petroleum Licences The Petroleum Act 1998 vests in the Crown all rights to the nation's petroleum resources. The Act gives the Secretary of State powers to grant licences that confer exclusive rights to "search and bore for and get" petroleum. Each of these licences confers such rights over a limited area and for a limited period. Following the creation of the OGA as an executive agency of the Department and the subsequent transfer of operations to the government company, the OGA is responsible for issuing and administering these licences and reporting them through their own Trust Statement. The amount reported in 2016-17 in the Departmental Trust Statement in respect of licence rental fees is £nil in 2016-17 and £70 million in 2015-16. CRC The CRC Energy Efficiency Scheme (CRC) is a mandatory UK-wide trading scheme that was brought into law via the CRC Energy Efficiency Scheme Order 2010 (SI 2010/768) (the 'CRC Order') and simplified via the CRC Energy Efficiency Scheme Order 2013 (SI 2013/1119). The scheme is designed to incentivise large public and private sector organisations to take up cost-effective energy efficiency opportunities through the application of a range of drivers and thereby drive down the carbon emissions throughout the UK. The CRC Scheme is designed to tackle the four main barriers to the take up of energy efficiency highlighted by the Carbon Trust report in 2005, namely insufficient financial incentives to reduce emissions, uncertain reputational benefits of demonstrating leadership, split incentives between landlord and tenants and organisational inertia. The CRC is designed to improve energy efficiency and thereby reduce emissions primarily from large non-energy intensive organisations in the private and public sectors. The sectors being targeted include large retail organisations, banks, large offices, universities, large hospitals, large local authorities and central government departments. The Environment Agency, in its role of UK Scheme Administrator, administers the scheme's registry on behalf of the Department and the Devolved Administrations. Participants use it to report annually their energy supply data and purchase and surrender allowances as required each compliance year. The Environment Agency along with the devolved scheme regulators, namely Scottish Environment Protection Agency, Northern Ireland Environment Agency and Natural Resources Wales, are responsible for the audit and enforcement of the scheme, including the issue of Civil Penalties as required. The Environment Agency report to the Department who are responsible for the overall monitoring and reporting of CRC, ensuring that the figures recorded in the Trust Statement are complete and correct. The scheme started in April 2010 with a four-year introductory phase. The second phase of the scheme commenced in 2014 and will run until 2019. There are around 2000 participants in the scheme for the second phase. The CRC tackles the barriers to energy efficiency in three ways. Firstly, the CRC has standardised and structured reporting requirements which require participants to monitor and report their emissions; secondly it has a reputational driver through the publication of data, and thirdly its financial element which requires participants to buy allowances for the carbon they emit. This brings the cost-benefits of energy efficiency to the attention of Finance Directors and aims to make it a boardroom issue. In Phase II there are 2 allowance sales each year, a forecast sale in April for the compliance period starting that month and a compliance sale in October for the previous compliance year. The allowance price in the forecast sale is set at a lower price than that in the later buy-to-comply sale for the same compliance year. This is to incentivise participants to better forecast their energy use in order that they can, if they wish, make use of the cheaper forecast sale price (NB there is a special allocation sale that runs from November to the following April for use where participants are found to need to purchase additional allowances to comply with the scheme). The special allocation allowance price would be the same as the equivalent compliance buy to comply price. This financial year 2016-17 saw the third forecast sale for Phase II of the scheme. 3. Buy-out Payments - Payments made by Climate Change Agreements (CCAs) Climate Change Agreements (CCAs) are voluntary agreements that allow eligible energyintensive sectors to receive up to a 90% reduction in the Climate Change Levy (CCL) if they sign up to stretching energy efficiency targets agreed with Government. The collection of buy-out payment income commenced in 2015-16 in respect of the first target reporting period and will continue for both buy-out payments and civil penalties, until the scheme ends in 2023. The income distribution is explained under the section on Financial Review. The new CCA scheme was launched on 1 April 2013 and contains 53 industrial sectors across more than 8,000 sites. The scheme runs until 2023 and if all sectors meet their targets from 2013 to 2020 against agreed baselines, the scheme is estimated to deliver an overall 11% energy efficiency improvement and savings to participants on the CCL of around £300 million each year. A number of simplifications were made to the scheme when it was launched in 2013. These include: • The Environment Agency administering Energy Savings Opportunity Scheme The Energy Savings Opportunity Scheme (ESOS) is an energy assessment scheme that is mandatory for all large undertakings in the UK. Government established ESOS in response to the requirements of Article 8 (4-6) of the EU Energy Efficiency Directive (2012/27/EU). the new scheme on a cost-recovery basis, providing a simplified and streamlined approach to administration for both Government and Industry; • Participants being able meet their targets Qualifying organisations must carry out audits of the energy used by their buildings, industrial processes and transport to identify cost-effective energy saving measures, by 5 December 2015 and every 4 years thereafter. either by direct action, or by using a buy-out mechanism for any shortfall against targets. Any over-achievement by a target unit may be banked and used by that target unit against future targets without having to be verified by a third party; and • The introduction of civil penalties for minor infractions not warranting decertification or termination. These simplifications mean that there are 3 potential money streams: 1. Charging Income - Payments by CCA The Department's analysis indicates that around 7,500 Ultimate Parent organisations will participate in the scheme. It is estimated that ESOS would deliver a net benefit to the UK of £1.6 billion (over 15 years), with the vast majority being felt by business through lower energy bills. This benefit will be realised if each participant in the scheme makes an average energy reduction of 0.7% as a result of implementing cost effective energy efficiency opportunities identified through audits. The Environment Agency (EA) and equivalent regulators in the devolved administrations are responsible for ensuring compliance with ESOS. Participants who fail to comply with the scheme could be fined up to £50,000 by the EA. participants to the Administrator on an annual basis, in accordance with a charging scheme established under paragraph 52C Finance Act 2000, Schedule 6 (as amended by Finance Act 2012). These monies are retained by the Environment Agency and will not feature in the Trust Statement. 2. Civil Penalties - Payments received by the There are currently no charges for registering for the scheme. The income stream consists of penalties for non-compliance with the regulations and these can only be issued after 29 January 2016 (the grace period allowed for compliance in the first phase, after the 5 December 2015 regulatory deadline). Confirmation has been given that no penalties have been issued for 2016-17. Administrator for minor infractions, passed by the Department to the Consolidated Fund in accordance with powers given in 52F Finance Act 2000, Schedule 6 (as amended by Finance Act 2012). The amounts are specified in The Climate Change Agreements (Administration) Regulations 2012. participants at the end of each 2-year target period in cases where CCA targets are not met. Payments are calculated on the basis of £12 per tonne of CO2 by which the target is exceeded. The powers are given in 52F Finance Act 2000, Schedule 6 (as amended by Finance Act 2012). The amount is specified in The Climate Change Agreements (Administration) Regulations 2012. ## Future Developments EU ETS The Department has agreed a schedule of Phase III general allowance auctions through to November 2017. The Department will announce further auctions for 2017 following the listing of the UK's new auction platform in EU legislation (expected in Q3 of 2017). Negotiations on Phase IV of the EU ETS (which runs from 2021–2030) are expected to conclude later in 2017. Both the European Council and European Parliament agreed their negotiation positions in February 2017 to enter trilogue negotiations. Petroleum Licences The OGA's Trust Statement for 2016-17 can be found at: www.ogauthority.co.uk CRC For the current phase, the following prices have been announced: CRC Scheme Year Forecast Sale Price Compliance Sale Price 2014-15 £15.60 £16.40 2015-16 £15.60 £16.90 2016-17 £16.10 £17.20 2017-18 £16.60 £17.70 2018-19 £17.20 £18.30 As part of the Budget in March 2016, the Government announced that CRC would close following the 2018-19 compliance year, with no purchase of allowances required to cover emissions for energy supplied from April 2019. The Government stated that organisations will report under the CRC for the last time by the end of July 2019, with a surrender of allowances for emissions from energy supplied in the 2018-19 compliance year by the end of October 2019. The Government will work with the devolved administrations on scheme closure arrangements. ## Energy Savings Opportunity Scheme No Future Developments Are Ascertained. Remote Contingent Liabilities On 29 March 2017, the UK Government submitted its notification to leave the EU in accordance with Article 50. The triggering of Article 50 starts a 2-year negotiation process between the UK and the EU. Any subsequent changes in legislation, regulation and funding arrangements are subject to the outcome of the negotiations. As a result, an unquantifiable remote contingent liability is disclosed. In accordance with accounting standards, no contingent assets can be recognised. During this 2-year period, which includes the full duration of the next accounting period, the UK remains a full member of the EU with all the rights and obligations arising from membership. There are no significant impacts on the financial statements in the short term from making the formal notification. ## Financial Review CRC Allowance sales under the CRC Scheme generated £750 million (2015-16: £755m). There were 10 civil penalties levied against companies participating in the CRC Scheme in the financial year under review. The civil penalties amounted to £59,420 (2015-16: £110,000). EU ETS The UK has held 24 EUA auctions and one EUAA auction between 1 April 2016 and 31 March 2017 that yielded income of £387 million (whereas the same period in 2015-16 yielded £415 million) as shown in Note 2.2 of the Trust Statement. All the auctions were wholly competitive auctions. The costs incurred in administering the CRC Scheme were borne by the Department as shown in Note 3 and included within the Department's Accounts. For each auction the total amount received was passed to the Consolidated Fund within a few days of the auction. The timing of the revenues in euros and onward transfer in sterling gave rise to exchange differences in the case of each auction totalling £211,000 (2015-16: £432,000). These exchange differences are recognised in the Statement of Revenue, Other Income and Expenditure. CCA Buy-out payments income generated from the Phase 1 reporting cycle of the CCA generated £94,000 in 2016-17 (£22.5 million in 2015-16). The drop in income for 2016-17 is explained by the fact that this was a period of secondary reporting for target reporting period 1, where participants make further top-up buy-out payments after an audit or they receive a refund if they have overpaid. ## Auditors In 2016-17, there were 54 civil penalties totalling £0.97 million levied under the EU ETS scheme by the Environmental Agency as regulator for the year under review (2015-16: 242 penalties totaling £4.9 million). There were also 9 penalties totalling £1.5 million issued by the Offshore Petroleum Regulator for Environment and Decommissioning (OPRED) in 2016-17 which are reported here for the first time. These financial statements have been audited, under the Government Resources and Accounts Act 2000, by the Comptroller and Auditor General (C&AG), who is appointed under statute and reports to Parliament. The audit opinion is on pages 229 to 230. The auditor's notional remuneration is included within the Department's Accounts. There were no fees in respect of nonaudit work. ## Basis For Preparation Most of the penalties relate to non-compliance with targets for installations in the UK small emitter opt-out scheme, who have opted out of the main requirements of the ETS. The optout requires that installations have to keep their emissions below a set target; for every tonne of CO2 emitted above their target, a penalty is charged, which is not subject to appeal. Some of these penalties (for example on aviation) relate to previous compliance years. However, the offshore industry is regulated by OPRED, a discrete directorate within BEIS. The relevant Civil Sanctions Guidance has been published alongside the civil penalties so far applied. These are related to a backlog of failures to surrender sufficient allowances and failures to comply with a permit condition. OPRED expects the number of penalties to increase in the near future as a number of compliance issues are identified. The HM Treasury Accounts Direction, issued under section 7(2) of the Government Resources and Accounts Act 2000, requires the Department to prepare the Trust Statement to give a true and fair view of the state of affairs relating to the collection and allocation of the carbon allowance auction receipts for the EU Emissions Trading Schemes, the allowances sales from the CRC scheme, buy-out payments from the CCA Scheme and civil penalties receivable under the EU ETS, CRC and CCA schemes. Regard is given to all relevant accounting and disclosure requirements given in Managing Public Money and other guidance issued by HM Treasury. The costs associated with administering the scheme were borne by the Department as shown in Note 3 and included within the Department's Accounts. ## Accounting Judgements As the Accounting Officer, it is my responsibility to apply suitable accounting policies in the preparation of the Trust Statement. Revenues are recognised in the period in which the event that generates the revenue takes place, consequently the anticipated proceeds from future auctions and licences as detailed in Note 2 are not recognised as assets within this statement. All the transactions within the Trust Statement reflect transactions that have taken place in the financial year and consequently do not require accounting judgements to be made. ## Events After The Reporting Period Details of events after the reporting period are given in Note 11 to the Trust Statement. ## Governance Statement The Department's Governance Statement, covering both the Accounts and the Trust Statement, is included in Governance section of this Report. Alex Chisholm Principal Accounting Officer and Permanent Secretary 13 July 2017 ## Statement Of The Accounting Officer'S Responsibilities In Respect Of The Trust Statement • the state of affairs of the CRC Allowance Under section 7 of the Government Resources and Accounts Act 2000, HM Treasury has directed the Department for Business, Energy and Industrial Strategy to prepare for each financial year a Trust Statement in the form and on the basis set out in the Accounts Direction. • the revenue collected and expenditure incurred HM Treasury has appointed the Permanent Secretary as Accounting Officer of the Department for Business, Energy and Industrial Strategy with overall responsibility for preparing the Trust Statement and for transmitting it to the Comptroller and Auditor General. In preparing the Trust Statement, the Accounting Officer is required to comply with the requirements of the Government Financial Reporting Manual and in particular to: • observe the Accounts Direction issued by HM • make judgements and estimates on a • state whether applicable accounting standards The Accounting Officer is responsible for ensuring that: there is a high standard of financial management, including a sound system of internal control; that financial systems and procedures promote the efficient and economical conduct of business and safeguard financial propriety and regularity; that financial considerations are fully taken into account in decisions on policy proposals; and that risk is considered in relation to assessing value for money. • prepare the Trust Statement on a going ## Accounting Officer'S Confirmation The Accounting Officer is responsible for the fair and efficient administration of the EU Emissions Trading Scheme (EU ETS) including conducting the auction of EU Allowances in the UK for Phase III of the Scheme and Aviation allowances of the EU ETS, collection of the proceeds and onward transmission of the funds in their entirety to the Consolidated Fund. The Accounting Officer is also responsible for the collection of CRC Allowances and CCA buy-out payments for onward transmission to the Consolidated Fund and, the collection of civil penalties levied under the CCA, CRC, ESOS and EU ETS schemes for onward transmission to the Consolidated Fund. I have taken all the steps that I ought to have taken to make myself aware of any relevant audit information and to establish that the Department's auditors are aware of that information. I have received appropriate assurances from the former accounting officers who served this department and its predecessors, Sir Martin Donnelly and Stephen Lovegrove. As far as I am aware, there is no relevant audit information of which the Department's auditors are unaware. The responsibilities of the Accounting Officer, including responsibility for the propriety and regularity of the public finances for which an Accounting Officer is answerable, for keeping proper records and for safeguarding the Department's assets, are set out in Managing Public Money published by HM Treasury. The annual report and accounts as a whole is fair, balanced and understandable. I take personal responsibility for the annual report and accounts and the judgements required for determining that it is fair, balanced and understandable. The Trust Statement must give a true and fair view of: • the state of affairs of the EU ETS, CCA, Alex Chisholm Principal Accounting Officer and Permanent Secretary 13 July 2017 Schemes and penalties issued under the EU ETS, ESOS, CCA and CRC Schemes. These streams of income are recognised on an accruals basis; Scheme sales which are recognised on a cash received basis; and together with the net amounts surrendered to the Consolidated Fund. Treasury, including the relevant accounting and disclosure requirements, and apply suitable accounting policies on a consistent basis; reasonable basis; as set out in the Government Financial Reporting Manual have been followed, and disclose and explain any material departures in the accounts; and -concern basis. # The Certificate And Report Of The Comptroller And Auditor General To The House Of Commons I certify that I have audited the financial statements of the Department for Business, Energy and Industrial Strategy Trust Statement for the year ended 31 March 2017 under the Government Resources and Accounts Act 2000. The financial statements comprise the Statement of Revenue, Other Income and Expenditure, the Statement of Financial Position, the Statement of Cash Flows and the related notes. These financial statements have been prepared under the accounting policies set out within them. ## Respective Responsibilities Of The Accounting Officer And Auditor As explained more fully in the Statement of Accounting Officer's Responsibilities in Respect of the Trust Statement, the Accounting Officer is responsible for the preparation of the financial statements and for being satisfied that they give a true and fair view. My responsibility is to audit, certify and report on the financial statements in accordance with the Government Resources and Accounts Act 2000. I conducted my audit in accordance with International Standards on Auditing (UK and Ireland). Those standards require me and my staff to comply with the Auditing Practices Board's Ethical Standards for Auditors. ## Scope Of The Audit Of The Financial Statements An audit involves obtaining evidence about the amounts and disclosures in the financial statements sufficient to give reasonable assurance that the financial statements are free from material misstatement, whether caused by fraud or error. This includes an assessment of: whether the accounting policies are appropriate to the circumstances of the Department for Business, Energy and Industrial Strategy Trust Statement and have been consistently applied and adequately disclosed; the reasonableness of significant accounting estimates made by the Department for Business, Energy & Industrial Strategy; and the overall presentation of the financial statements. In addition I read all the financial and non-financial information in the Accounting Officer's Foreword to the Trust Statement to identify material inconsistencies with the audited financial statements and to identify any information that is apparently materially incorrect based on, or materially inconsistent with, the knowledge acquired by me in the course of performing the audit. If I become aware of any apparent material misstatements or inconsistencies I consider the implications for my certificate. I am required to obtain evidence sufficient to give reasonable assurance that the expenditure and income recorded in the financial statements have been applied to the purposes intended by Parliament and the financial transactions recorded in the financial statements conform to the authorities which govern them. ## Opinion On Regularity In my opinion, in all material respects the expenditure and income recorded in the financial statements have been applied to the purposes intended by Parliament and the financial transactions recorded in the financial statements conform to the authorities which govern them. ## Opinion On Financial Statements Matters On Which I Report By Exception In my opinion: I have nothing to report in respect of the following matters which I report to you if, in my opinion: • the Department for Business, Energy and • adequate accounting records have not been • the financial statements are not in agreement • I have not received all of the information Industrial Strategy Trust Statement gives a true and fair view of the state of affairs of balances stemming from: the collection of EU Emissions Trading Scheme (ETS) auction receipts; Carbon Reduction Commitments (CRC) allowance sales; Climate Change Agreements (CCA) receipts; and EU ETS, CRC, CCA and Energy Savings Opportunity Scheme (ESOS) civil penalties as at 31 March 2017 and of the net revenue for the year then ended; and • the Governance Statement does not reflect • the financial statements have been properly ## Report prepared in accordance with the Government Resources and Accounts Act 2000 and HM Treasury directions issued thereunder. I have no observations to make on these financial statements. ## Opinion On Other Matters In my opinion: Sir Amyas C E Morse Comptroller and Auditor General • the information given in the Accounting 17 July 2017 Officer's Foreword to the Trust Statement for the financial year for which the financial statements are prepared is consistent with the financial statements National Audit Office 157-197 Buckingham Palace Road Victoria London SW1W 9SP kept or returns adequate for my audit have not been received from branches not visited by my staff; or with the accounting records and returns; or and explanations I require for my audit; or compliance with HM Treasury's guidance. ## Statement Of Revenue, Other Income And Expenditure For The Year Ended 31 March 2017 | Revenue | Note | £'000 | £'000 | |---------------------------------------------------|-----------|-----------|---------| | Licence fees and taxes | | | | | Carbon Reduction Commitment allowance sales | 2.1 | 750,179 | 755,026 | | EU Emissions Trading Scheme auction income | 2.2 | 387,264 | 415,232 | | Petroleum licences | 2.3 | - | 70,225 | | Climate Change Agreements buy-out payments income | 2.4 | 94 | 22,538 | | Total licence fees and taxes | 1,137,537 | 1,263,021 | | | Fines and penalties | | | | | Civil penalties - EU Emissions Trading scheme | 2.5 | 2,472 | 4,862 | | Civil penalties - CRC Scheme | 2.5 | 59 | 110 | | Total fines and penalties | 2,531 | 4,972 | | | Total revenue and other income | 1,140,068 | 1,267,993 | | | Expenditure | | | | | EU Emissions Trading Scheme costs | 3.1 | (218) | (437) | | Credit losses - debts written off | 3.2 | (–) | (42) | | Total expenditure | (218) | (479) | | | Disbursements | | | | | Northern Ireland Government payments | 3.3 | - | (1,600) | | Total disbursements | - | (1,600) | | | Total expenditure and disbursements | (218) | (2,079) | | | Net revenue for the Consolidated Fund | 1,139,850 | 1,265,914 | | | Transfer of petroleum licence net assets to OGA | (19,216) | - | | | Net revenue for the Consolidated Fund | 1,120,634 | 1,265,914 | | There were no recognised gains or losses accounted for outside the above Statement of Revenue, Other Income and Expenditure. The notes on pages 234 to 241 form part of this statement. 2016-17 2015-16 ## Statement Of Financial Position as at 31 March 2017 Current assets Receivables and accrued fees 4 2,453 11,320 Cash and cash equivalents 5 17,087 28,684 Total current assets 19,540 40,004 Current liabilities Payables 6 (518) (1,600) Deferred revenue 7 (–) (3,470) Total current liabilities (518) (5,070) Net current assets 19,022 34,934 Total net assets 19,022 34,934 Represented by: Balance on Consolidated Fund Account 8 19,022 34,934 The notes on pages 234 to 241 form part of this statement. Alex Chisholm Principal Accounting Officer and Permanent Secretary 13 July 2017 | | 31 March 2017 | 31 March 2016 | |------|-----------------|-----------------| | Note | £'000 | £'000 | ## Statement Of Cash Flows for the year ended 31 March 2017 | Net cash flows from operating activities | A | 1,140,126 | 1,263,684 | |--------------------------------------------|-------------|-------------|-------------| | Cash paid to the Consolidated Fund | (1,136,546) | (1,205,942) | | | Cash for Petroleum Licences paid to the | | | | | Consolidated Fund | (15,177) | (72,185) | | | Increase/(decrease) in cash in this period | B | (11,597) | (14,443) | ## Notes To The Statement Of Cash Flows A: Reconciliation of Net Cash Flow to Movement in Net Funds Net Revenue for the Consolidated Fund 1,120,634 1,265,914 Non-cash movement - Transfer of petroleum licences to OGA 8 19,216 – (Increase)/decrease in receivables and accrued income 4 (242) (5,550) Increase/(decrease) in payables and deferred income 6, 7 518 3,320 Net cash flows from revenue activities 1,140,126 1,263,684 B: Analysis in changes in Net Funds Increase/(decrease) in cash in this period (11,597) (14,443) Net Funds as at 1 April (net cash at bank) 5 28,684 43,127 Net Funds as at 31 March (closing balance) 5 17,087 28,684 Please note that the movement in receivables and payables does note reconcile to prior year due to the transfer of associated amounts to the Oil and Gas Authority (OGA). These are included in the non-cash movement line in section A: Reconciliation of Net Cash Flow to Movement in Net Funds. The notes on pages 234 to 241 form part of this statement. | | 2016-17 | 2015-16 | |---------|-----------|-----------| | Note | £'000 | £'000 | | 2016-17 | 2015-16 | | ## Notes To The Trust Statement 1 Statement Of Accounting Policies 1.3 Revenue recognition Revenue is recognised when it can be measured reliably and it is probable that the economic benefits will flow to the Exchequer. It is measured at the fair value of amounts received or receivable, net of repayments. 1.1 Basis of Accounting The Trust Statement is prepared in accordance with the accounts direction issued by HM Treasury under section 7(2) of the Government Resources and Accounts Act 2000. The Trust Statement is prepared in accordance with the accounting policies detailed below. These have been agreed between the Department of Business, Energy and Industrial Strategy (the Department) and HM Treasury and have been developed in accordance with International Financial Reporting Standards (IFRS) and other relevant guidance. The accounting policies have been applied consistently in dealing with items considered material in relation to the accounts. The income and associated expenditure contained in the Departmental Trust Statement are those flows of funds which the Department administers on behalf of the Consolidated Fund. In prior years the petroleum licences which the OGA administers were included. However in 2016-17 the OGA's operations were transferred to a government company. Therefore the OGA is now preparing its own Trust Statement for the petroleum licences. This transfer is reflected by use of absorption accounting principles showing the transfer of net petroleum licence assets to the OGA. 1.4 Financial instruments A financial instrument is any contract that gives rise to a financial asset of one entity and a financial liability or equity instrument of another entity. Financial assets and financial liabilities are recognised in the Statement of Financial Position when the Department becomes a party to the contractual provisions of an instrument. The financial information in the Trust Statement is rounded to the nearest £'1000. ## 1.5 Financial Assets The Department Classifies Financial Assets Into The Following Categories: The Trust Statement is presented in pounds sterling, which is the functional currency of the Department. 1.2 Accounting convention The Trust Statement has been prepared in accordance with the historical cost convention. EU Emissions Trading Scheme receipts represent proceeds from the auction of carbon allowances under Phase III and aviation allowances of the EU Emissions Trading Scheme. Revenue is recognised at the close of each competitive auction, when the revenue can be measured reliably. Revenue in respect of CRC allowance sales is recognised on a cash received basis by agreement with HM Treasury. Revenue in respect of CCA buy-out payments is recognised on an accruals basis, albeit the recognition point is when the income is received. Revenue in respect of civil penalties is recognised when the penalty is imposed. CRC participants may request refunds for over-surrendered allowances (Note 10 Contingent Liabilities refers). These are accounted for in the period in which the refund request is authorised and processed. • Loans and receivables; and • Cash and cash equivalents. Loans and receivables comprise: • for EU ETS the amounts due from Primary Participants in respect of established auction liabilities for which, at the financial year end, payments had not been received. The amounts due are measured at fair value calculated at the close of each auction and have a maturity of less than 3 months; and • civil penalties levied against participants in the EU ETS, CCA and CRC Schemes, amounts for which have not been received at the financial year end. The carrying amount of these assets approximates to their fair value. Cash and cash equivalents comprises current balances with banks and other financial institutions, which are readily convertible to known amounts of cash and which are subject to insignificant risk of changes in value and have an original maturity of 3 months or less. The carrying amount of these assets approximates to their fair value. ## 1.6 Financial Liabilities The Department Classifies Financial Liabilities Into The Following 2 Categories: • Financial liabilities at fair value through profit or loss; and • Other financial liabilities. The categorisation depends on the purpose for which the financial liability is held or acquired. Management determines the categorisation of financial liabilities at initial recognition and re-evaluates this designation at each reporting date. For the purposes of this Trust Statement the Department holds financial liabilities in the following category: • Other financial liabilities. Other financial liabilities comprise: • Payables in the Statement of Financial Position. Payables are amounts established as due at the reporting date, but where payment is made subsequently; and • Deferred revenue which represents petroleum licence income invoiced and received in advance relating to a future financial year. Since these balances are expected to be settled within 12 months of the reporting date there is no material difference between fair value, amortised cost and historical cost. 1.7 Foreign currency Transactions that are denominated in a foreign currency are translated into sterling at the rate of exchange ruling on the date of each transaction. Monetary assets and liabilities denominated in foreign currency at the year-end are translated at the rates ruling at that date unless a forward rate has been fixed with the Bank of England. All translation differences are included in the Statement of Revenue, Other Income and Expenditure for the period. ## 2 Revenue 2.1 Carbon Reduction Commitment Allowance Sales | 2016-17 | 2015-16 | |-----------|-----------| | £'000 | £'000 | | Allowance | | | sales | 750,179 | | Total | 750,179 | ## 2.2 Eu Emissions Trading Scheme Auction Income | 2016-17 | 2015-16 | |-----------|-----------| | £'000 | £'000 | | Phase III | | | Auctions | | | Income | 382,461 | | Aviation | | | Auctions | | | Income | 4,803 | | Total | 387,264 | Auctions under Phase III of the scheme were held from November 2012, and aviation allowance auctions were held from September 2014. For further details please see the Foreword. Dates for the carbon allowances auctions under Phase III and aviation allowances of the EU ETS, along with the number of units to be auctioned are available on the Intercontinental Exchange website on the auction calendar link at theice.com/ emissions/auctions. ## 2.3 Petroleum Licence Income 3 Expenditure And | 2016-17 | 2015-16 | |------------|-----------| | £'000 | £'000 | | Fees | | | receivable | - | ## 3.1 Costs Incurred In The Collection Of Receipts | Total | - | 70,225 | |---------|-----|----------| OGA are responsible for petroleum licence income, which in 2015-16 as reported in the Departmental Trust statement. In 2016-17 OGA are preparing a separate Trust Statement so only the prior year comparatives are shown here. ## 2.4 Climate Change Agreement Income | 2016-17 | 2015-16 | |-----------|-----------| | £'000 | £'000 | ## 3.2 Credit Losses Buy-out payment income receivable 94 22,538 Total 94 22,538 Buy-out payments income generated from the Phase 1 reporting cycle of the CCA generated £94,000 in 2016-17 2015-16: £22.5 million. The drop in income for 2016- 17 is explained by the fact that this was a period of secondary reporting for target reporting period 1, where participants make further top-up buy-out payments after an audit, or they receive a refund if they have overpaid. ## 2.5 Civil Penalties | 2016-17 | 2015-16 | |--------------|-----------| | £'000 | £'000 | | Levied under | | | EU ETS | | | Scheme | 2,472 | | Levied under | | | CRC Scheme | 59 | | Total | 2,531 | There were 64 civil penalties totalling £2,471,990 (2015-16: 242 penalties totalling 4,861,929), levied under the EU ETS scheme for the year under review. CRC penalties of £59,420 were recognised in 2016-17 (2015-16 £110,453). Additionally for 2016-17, the income incorporates offshore EU ETS penalties alongside onshore and aviation EU ETS penalties. ## Disbursements | 2016-17 | 2015-16 | |----------------|-----------| | £'000 | £'000 | | Foreign | | | currency | | | translation | | | costs (EU ETS) | 211 | | Bank charges | | | on Euro | | | auction bank | | | account (EU | | | ETS) | 7 | | Total | 218 | | 2016-17 | 2015-16 | | £'000 | £'000 | | Specific bad | | | debts written | | | off - EU ETS | | | penalties | - | | Total | - | A single penalty of £42,217.95 shown as a receivable in 2014-15 was written off in 2015-16 as the company was dissolved. ## 3.3 Disbursements | 2016-17 | 2015-16 | |-------------|-----------| | £'000 | £'000 | | Payments | | | to Northern | | | Ireland | | | Government | - | | Total | - | Prior to 2016-17, disbursements represented payments to the Northern Ireland government. This was to reflect their share of the proceeds received by the Department under the Petroleum Licensing Regime administered by the OGA. These payments are made under Section 2 of the Miscellaneous Financial Provisions Act 1968. There are no outstanding amounts at the reporting date under Payables (Note 6) as for 2016-17 they are reported in the OGA's Trust Statement. In addition to the costs and disbursements above the Department incurred expenditure of £664,175 (2015-16: £1.448 million) in administering EU ETS and £657,787 (2015-16: £430,882) in respect of the CRC Scheme. Expenditure to administer the CCA scheme totalled £457,610 (2015-16: £501,275). Expenditures on EU ETS, CRC and CCA are included in the Department's Accounts because there is no express statutory provision for these costs to be deducted from the revenue collected and paid over to the Consolidated Fund. ## 4 Receivables And Accrued Fees | 2016-17 | 2015-16 | |-----------------|-----------| | £'000 | £'000 | | Petroleum | | | licence fees | | | receivable | - | | Civil penalties | | | receivable | 2,453 | | Accrued | | | petroleum | | | licences | | | receivable | - | | Total | 2,453 | Civil penalties receivable represent the amounts due from the participants where invoices for payment have been issued but not paid for at the year end. ## 5 Cash And Cash Equivalents | 2016-17 | 2015-16 | |----------------|-----------| | £'000 | £'000 | | Balance as at | | | 1 April | 28,684 | | Net change in | | | cash and cash | | | equivalent | | | balances | (11,597) | | Balance | | | at 31 March | 17,087 | | The following | | | balances at 31 | | | March were | | | held at: | | | Government | | | Banking | | | Service | 17,087 | | Total | 17,087 | ## 6 Payables 9 Financial Instruments 2016-17 2015-16 ## 9.1 Classification And Categorisation Of Financial Instruments | | £'000 | £'000 | |----------|---------|---------| | Accruals | - | 1,600 | | Other | 518 | - | | Total | 518 | 1,600 | ## 7 Deferred Revenue | 2016-17 | 2015-16 | |--------------------|-----------| | £'000 | £'000 | | Deferred Petroleum | | | Licence revenue | - | | Total | - | ## 8 Balance On The Consolidated Fund Account | 2016-17 | 2015-16 | |----------------|-----------| | £'000 | £'000 | | Balance on the | | | Consolidated | | | Fund as at 1 | | | April | 34,934 | ## 9.2 Risk Exposure To Financial Instruments Net revenue for the Consolidated Fund 1,139,850 1,265,914 Transfer of Petroleum licences to OGA; (19,216) – Less amounts paid to the Consolidated Fund (1,136,546) (1,278,127) Balance on the Consolidated Fund as at 31 March 19,022 34,934 2016-17 2015-16 £'000 £'000 Financial assets: Cash 5 17,087 28,684 Petroleum licence fees receivable 4 – 8,719 Civil penalties receivable 4 2,453 2,211 Accrued petroleum licence fees receivable 4 – 390 Total loans and receivables 19,540 40,004 Financial liabilities: Accruals 6 (–) (1,600) Other payables (518) (–) Deferred revenue 7 (–) (3,470) Total other financial liabilities (518) (5,070) EU Emissions Trading Scheme The EU Emissions Trading Scheme is exposed to foreign currency risk due to the timing difference in recognising the proceeds at the auction exchange rate and the date at which the proceeds are converted into sterling, which is one day after the close of the auction. This results in either an exchange loss or gain. As shown in Note 3.1 there was an exchange loss incurred this financial year of £211,000 (2015-16: £432,000). The scheme is not exposed to interest rate or liquidity risk and its exposure to market risk is limited due to there being a current demand for carbon allowances. The civil penalties imposed under the EU ETS scheme are subject to credit risk, but this risk is assessed by management as minimal due to the nature of the participants in the scheme. However one infrastructure civil penalty was written off in 2015-16 (Note 3.2) as the company concerned was dissolved. CRC Scheme The allowance sales under the Carbon Reduction Commitment are subject to credit risk, but this risk is assessed by management as low. This is borne out in the results from previous years of the scheme. The civil penalties imposed under the CRC scheme are subject to credit risk, but this risk is assessed by management as minimal due to the nature of the participants in the scheme. CCA Scheme The buy-out payment revenue collected under the CCA scheme is subject to credit risk, but this risk is assessed by management as low, due to the nature of participants in the scheme. All fees under the regime are received in sterling minimising any other risks. Information which will allow Trust Statement users to evaluate the significance of financial instruments on the Department's financial performance and position and the nature and extent of the Department's exposure to other risks arising from financial instruments can be found in Note 22 of the Department's Accounts. ## 10 Contingent Liability A contingent liability exists for refunds the Department may have to pay to participants in the CRC Energy Efficiency Scheme who have over-surrendered allowances. This is as a result of legislation included in the CRC Order 2013, which came into force in May 2013. The refunds are contingent upon participants being able to prove that the over-surrender was due to a reporting error and must be agreed by the Secretary of State. The Department is unable to quantify the amount of future refunds, but based on the most recent information available from the scheme administrators, the refunds are not expected to be significant. Future refunds will be paid as and when they fall due out of future scheme receipts. The Department has issued guidance to participants detailing the refund process. Furthermore for the CCA scheme a contingent liability also exists in the secondary reporting phase of each Target Reporting Period. A refund is due where a participant has undergone review or audit procedures and it is deemed they have overpaid. The Department must retain sufficient funds in order to satisfy this requirement of the CCA scheme. ## 11 Events After The Reporting Period There were no significant events after the reporting period that require disclosure. The Accounting Officer has duly authorised the issue of the Trust Statement on the date of the Comptroller and Auditor General's audit certificate. 6. Compliance with the requirements of the ## Annex D Accounts Direction Given By Hm Treasury In Accordance With Section 7(2) Of The Government Resources And Accounts Act 2000. 1. This direction applies to the Department for Business, Energy and Industrial Strategy. 2. The Department shall prepare a Trust Statement ("the Statement") for the financial year ended 31 March 2017 for the revenue and other income, as directed by the Treasury, collected by the department as an agent for others, in compliance with the accounting principles and disclosure requirements of the edition of the Government Financial Reporting Manual by HM Treasury ("FReM") which is in force for 2016-17. 7. The Statement shall be transmitted to 3. The Statement shall be prepared, as 8. The Trust Statement, together with this prescribed in Appendix 1, so as to give a true and fair view of: (a) the state of affairs relating to the collection and allocation of taxes, licence fees, fines and penalties and other income by the Department as agent and of the expenses incurred in the collection of those taxes, licence fees, fines and penalties insofar as they can properly be met from that revenue and other income; (b) the revenue and expenditure; and (c) the cash flows for the year then ended. 4. The Statement shall also be prepared so as to provide disclosure of any material expenditure or income that has not been applied to the purposes intended by Parliament or material transactions that have not conformed to the authorities which govern them. 5. When preparing the Statement, the Vicky Rock Deputy Director, Government Financial Reporting Her Majesty's Treasury 2 June 2017 Department shall comply with the guidance given in the FReM (Chapter 8). The Department shall also agree with HM Treasury the format of the Principal Accounting Officer's Foreword to the Statement, and the supporting notes, and the accounting policies to be adopted, particularly in relation to revenue recognition. Regard shall also be given to all relevant accounting and disclosure requirements in Managing Public Money and other guidance issued by HM Treasury, and to the principles underlying International Financial Reporting Standards. FReM will, in all but exceptional circumstances, be necessary for the accounts to give a true and fair view. If, in these exceptional circumstances, compliance with the requirements of the FReM is inconsistent with the requirement to give a true and fair view, the requirements of the FReM should be departed from only to the extent necessary to give a true and fair view. In such cases, informed and unbiased judgement should be used to devise an appropriate alternative treatment which should be consistent with both the economic characteristics of the circumstances concerned and the spirit of the FReM. Any material departure from the FReM should be discussed in the first instance with HM Treasury. the Comptroller and Auditor General for the purpose of his examination and report by a date agreed with the Comptroller and Auditor General and HM Treasury to enable compliance with the administrative deadline for laying the audited accounts before Parliament before the Summer Recess. direction (but with the exception of the related appendices) and the Report produced by the Comptroller and Auditor General under section 7(2) of the Government Resources and Accounts Act 2000 shall be laid before Parliament at the same time as the Department's Resource Accounts for the year, unless the Treasury have agreed that the Trust Statement may be laid at a later date. ## Appendix 1 Trust Statement for the year ended 31 March 2017 1. The Trust Statement shall include: • a Foreword by the Principal Accounting Officer; • a Statement of the Principal Accounting Officers Responsibilities; • a Governance Statement; • a Statement of Revenue, Other Income and Expenditure; • a Statement of Financial Position; • a Cash Flow Statement; and • such notes as may be necessary to present a true and fair view. 2. The Notes shall include among other items: • the accounting policies, including the policy for revenue recognition and estimation techniques and forecasting techniques together with statements explaining any significant uncertainty surrounding estimates and forecasts; • a breakdown of material items within the accounts; • any assets, including intangible assets and contingent liabilities; • summaries of losses, write-offs and remissions; • post balance sheet events; and • any other notes agreed with HM Treasury and the National Audit Office. Sponsoring Department Income Stream Responsible Entity BEIS EU Emissions Allowance BEIS Department of Business, Energy and Industrial Strategy Fines and Penalties BEIS CRC Allowances BEIS CCA Buy-Out Payments Core Technology Facility, Newcastle Univeristy campus ## Annexes Annex A: Our Major Projects And Programmes At the end of September 2016, the Department had 10 major projects listed in the Government Major Projects Portfolio (GMPP), summarised in the table below. Transparency data on project | Project | |-----------------------------------------------------------------------------| | To avert an investment hiatus in the deployment of low carbon electricity | | Financial Investment | | Decision Enabling | | for Hinkley Point C | | generation caused by the announced reform of the electricity market, | | in the period between the publication of the Electricity Market Reform | | (EMR) white paper and the full implementation of the EMR Contracts | | for Difference (CfD). | | To establish a new research institution, with the construction of a new | | Francis Crick | | Institute | | facility located close to St Pancras station, London. The Francis Crick | | Institute is a joint venture between the UK's largest biomedical research | | and academic institutions: the Medical Research Council (MRC), Cancer | | Research UK (CRUK), the Wellcome Trust, University College London, | | Kings College, London and Imperial College, London. | | To site and construct a safe, secure and environmentally responsible | | permanent geological disposal facility for higher-activity radioactive | | waste across England, Wales and Northern Ireland. | | Geological Disposal | | Facility (GDF) | | Programme | | To provide £320 million of time-limited capital support to support | | the construction of heat networks projects in England and Wales. | | Heat Networks | | Investment Project | | To deliver a single LLC Register Service for England to provide a national | | resilient service, consistency of customer experience and fees. | | Local Land Charges | | (LCC) Programme | | To secure a reduction in the cost and time to deliver the outcomes of | | the Magnox Optimised Decommissioning Plan and the Optimised RSRL | | baseline by securing a new PBO for the Magnox and RSRL Site Licence | | Companies. | | Magnox and | | Research Sites | | Restoration Limited | | (RSRL) Parent Body | | Organisation (PBO) | | Competition | | New Polar Research | | Vessel | | Replace 2 existing polar research and supply vessels with | | one dual-purpose ship. The single-ship option is planned to save | | £102 million over 30 years. | | Project Eagle | | The Shareholder Executive is taking forward consideration of a sale | | of Government's one-third shareholding in Urenco, a uranium enrichment | | company. | | Creating the environment for success at Sellafield by moving from | | a PBO model to a subsidiary model. | | Sellafield Model | | Change | | To offer smart electricity and gas meters to every home in Great Britain by | | 2020, providing accurate bills, and enabling better-informed decisions on | | energy consumption, faster switching, and a more flexible energy system. | | Smart Metering | | Implementation | | Programme | cost and delivery confidence are published annually alongside the Infrastructure and Projects Authority's Annual Report. In addition, the Department had one major project which left the GMPP between September 2015 and September 2016. | Project | |---------------------------------------------------------------------------| | To support practical experience in the design, construction and operation | | of commercial-scale CCS power generation through the CCS competition. | | Carbon Capture | | and Storage (CCS) | | Commercialisation | | Programme | ## Annex B: Other Information Advertising Campaigns We delivered a £1.75 million UK-wide communications campaign to raise awareness to employees and employers of the 1 April increases in the National Living Wage and National Minimum Wage. The campaign was launched at the end of February and included advertising on radio, online, in regional newspapers and posters - all up-weighted to the regions where higher concentrations of the target audience reside. Its aim was to ensure that eligible workers are paid the correct rate, with support and guidance on a campaign website checkyourpay.com. The campaign drove more than 730,000 visits to the website, far exceeding initial predictions. ## Correspondence We aim to respond to 80% of correspondence within 15 working days. In 2016-17, we responded to 13,094 cases with 71% replied to within the deadline. The chart below shows the core department's performance responding to correspondence from both Ministers and the public ## Complaints To The Parliamentary Ombudsman In 2015-16 (latest data available), the ombudsman accepted 16 complaints for investigation against the department and the organisations that are accountable to the department (2014-15: 16) and upheld or partly upheld 6 complaints (2014-15: 5)16. ## Annex C: Regulatory Reporting Table 1 - Public Spending This Table Provides A Summary Of Departmental net expenditure using the same headings as voted within the Estimate. | 2012-13 | 2013-14 | 2014-15 | 2015-16 | |----------------------|---------|----------|----------| | outturn | outturn | outturn | outturn | | Resource DEL | | | | | Deliver an ambitious | | | | | industrial strategy | 200,403 | 300,436 | 288,168 | | Maximise investment | | | | | opportunities and | | | | | bolster UK interests | 27,640 | 7,535 | 3,980 | | Promote competitive | | | | | markets and | | | | | responsible business | | | | | practices | 55,945 | 85,943 | 70,324 | | Delivering | | | | | affordable energy | | | | | for households and | | | | | businesses | 65,099 | 45,947 | 355,160 | | Ensuring that our | | | | | energy system is | | | | | reliable and secure | 7,073 | 22,151 | 18,822 | | Taking action on | | | | | climate change and | | | | | decarbonisation | | | | | 54,662 | 76,446 | 115,824 | 95,211 | | Managing our energy | | | | | legacy safely and | | | | | responsibly | 340,708 | 336,433 | 318,312 | | Science and | | | | | Research | 53,806 | (15,051) | 10,819 | | Capability | 380,370 | 370,967 | 408,745 | | Government as | | | | | Shareholder | 401,055 | 387,362 | 243,220 | | Deliver an ambitious | | | | | industrial strategy | | | | | (ALB) net | 16,704 | (35,066) | (38,576) | | Promote competitive | | | | | markets and | | | | | responsible business | | | | | practices (ALB) net | 63,058 | 59,821 | 49,766 | | Ensuring that our | | | | | energy system is | | | | | reliable and secure | | | | | (ALB) net | 0 | 0 | (280) | | Taking action on | | | | | climate change and | | | | | decarbonisation | | | | | (ALB) net | 3,427 | 3,710 | 4,416 | | 2016-17 | 2017-18 | 2018-19 | 2019-20 | | outturn | plans | plans | plans | | 2012-13 | 2013-14 | 2014-15 | 2015-16 | 2016-17 | 2017-18 | 2018-19 | 2019-20 | |------------------------------|-----------------------------------------------------------------------------------------------|-----------|-------------|-----------------------|-----------|-----------|-----------| | outturn | outturn | outturn | outturn | outturn | plans | plans | plans | | Managing our energy | | | | | | | | | legacy safely and | | | | | | | | | responsibly (ALB) net | 24,424 | 29,121 | 23,188 | 46,977 | 39,234 | 23,177 | 24,800 | | Science and | | | | | | | | | Research (ALB) net | 365,092 | 84,291 | 80,272 | 82,787 | 257,357 | 223,749 | 297,921 | | Capability (ALB) Net | 59,591 | 68,597 | 59,268 | 39,218 | 39,818 | 9,800 | 9,800 | | Government as | | | | | | | | | Shareholder (ALB) net | 99,432 | 72,153 | 16,238 | (30,023) | (46,890) | (41,068) | (42,901) | | NDA and SLC | | | | | | | | | expenditure | 1,259,039 | 1,413,249 | 1,431,342 | 1,414,542 | 1,287,445 | 1,360,000 | 1,342,000 | | Nuclear | | | | | | | | | Decommissioning | | | | | | | | | Authority Income | | | | | | | | | (CFER) | (784,055) | (892,139) | (1,008,787) | (974,558) (1,026,768) | (998,000) | (976,000) | (978,000) | | Electricity Market | | | | | | | | | Reform | 3,823 | (4,851) | 0 | 0 | - | 0 | 0 | | Total Resource DEL 2,697,296 | 2,417,055 2,450,221 2,499,237 1,972,334 | 1,982,716 | 2,019,110 | 1,821,519 | | | | | Of which: | | | | | | | | | Staff costs | 498,100 | 527,935 | 518,385 | 548,832 | 519,891 | 363,576 | 429,133 | | Purchase of goods | | | | | | | | | and services | 2,016,160 | 2,279,269 | 2,200,717 | 2,231,691 | 2,017,981 | 1,951,253 | 1,924,922 | | Income from sales of | | | | | | | | | goods and services | (893,095) (1,027,176) (1,157,876) (1,144,381) (1,173,251) (1,030,906) (1,009,512) (1,018,452) | | | | | | | | Current grants to | | | | | | | | | local government | | | | | | | | | (net) | 14,087 | 7,253 | 18,354 | 25,513 | 12,055 | 8,956 | 6,180 | | Current grants to | | | | | | | | | persons and non- | | | | | | | | | profit bodies (net) | 213,494 | 167,028 | 585,126 | 548,517 | 196,275 | 338,068 | 338,066 | | Current grants | | | | | | | | | abroad (net) | 61,993 | 44,913 | 31,427 | 41,307 | 33,974 | 70,349 | 89,401 | | Subsidies to private | | | | | | | | | sector companies | 200 | 0 | 0 | 131,476 | 264,837 | 1,618 | 1,465 | | Subsidies to public | | | | | | | | | corporations | 350,000 | 350,250 | 230,402 | 183,035 | 145,239 | 95,000 | 60,000 | | Net public service | | | | | | | | | pensions | | | | | | | | | 2 | | | | | | | | | 15,967 | 27,640 | (7) | 0 | - | 0 | 0 | 0 | | Rentals | 24,712 | (63,075) | (63,400) | (47,642) | 40,608 | 25,814 | 26,190 | | Depreciation | | | | | | | | | 1 | | | | | | | | | 304,486 | 304,701 | 293,609 | 268,978 | 355,397 | 279,919 | 279,303 | 283,669 | | Take up of provisions | (2,577) | (25) | 23 | (30) | 780 | 0 | 0 | | Change in pension | | | | | | | | | scheme liabilities | 204 | 37 | 12 | 35 | 128 | 200 | 200 | | Other resource | 93,565 | (201,695) | (206,551) | (288,094) | (441,580) | (121,131) | (126,238) | | 2012-13 | 2013-14 | 2014-15 | 2015-16 | |-----------------------|----------|-----------|--------------------| | outturn | outturn | outturn | outturn | | Resource AME | | | | | Deliver an ambitious | | | | | industrial strategy | (31,763) | (142,334) | (93,804) | | Maximise investment | | | | | opportunities and | | | | | bolster UK interests | 0 | 0 | 3,881 | | Promote competitive | | | | | markets and | | | | | responsible business | | | | | practices | 38,660 | 68,858 | 74,000 | | Ensuring that our | | | | | energy system is | | | | | reliable and secure | (4,797) | (1,484) | 342,599 | | Taking action on | | | | | climate change and | | | | | decarbonisation | 0 | 0 | 497,618 | | Managing our energy | | | | | legacy safely and | | | | | responsibly | 68,415 | (396,981) | (96,723) | | Science and | | | | | Research | 82,814 | 34,544 | 87,581 | | Capability | (9,289) | (34,742) | (29,793) | | Government as | | | | | Shareholder | 48,248 | (21,894) | 25,524 | | Renewable Heat | | | | | Incentive | 27,416 | 52,367 | 158,946 | | Deliver an ambitious | | | | | industrial strategy | | | | | (ALB) net | 0 | 2,479 | (4,309) | | Promote competitive | | | | | markets and | | | | | responsible business | | | | | practices (ALB) net | (11,657) | (561) | (243) | | Taking action on | | | | | climate change and | | | | | decarbonisation | | | | | (ALB) net | 0 | 0 | 1,987,931 | | Managing our energy | | | | | legacy safely and | | | | | responsibly (ALB) net | 160,363 | 378 | (65,835) 1,906,630 | | Science and | | | | | Research (ALB) net | 43,462 | (24,687) | 48,980 | | Capability (ALB) Net | 113 | (113) | 0 | | Government as | | | | | Shareholder (ALB) net | 0 | (130,671) | (148,034) | | 2016-17 | 2017-18 | 2018-19 | 2019-20 | | outturn | plans | plans | plans | | 2012-13 | 2013-14 | 2014-15 | 2015-16 | 2016-17 | 2017-18 | 2018-19 | 2019-20 | |-----------------------|-----------|----------------------|----------------------|---------------------|---------------------|-----------|-----------| | outturn | outturn | outturn | outturn | outturn | plans | plans | plans | | Nuclear | | | | | | | | | Decommissioning | | | | | | | | | Authority | 5,137,651 | 5,309,642 | 5,644,353 89,797,932 | 2,850,516 | 1,794,000 | 1,105,000 | 1,069,000 | | Nuclear | | | | | | | | | Decommissioning | | | | | | | | | Authority Income | | | | | | | | | (CFER) | (711) | (898) | 0 | 0 | 0 | 0 | 0 | | Government as | | | | | | | | | Shareholder | 415,257 | 316,071 | 239,776 | 254,256 | 231,511 | 277,000 | 217,000 | | Government as | | | | | | | | | Shareholder | 0 | 77,341 | 0 | 0 | 0 | 0 | 0 | | Total | | | | | | | | | Resource AME | 5,964,182 | 5,107,315 8,672,448 | 101,956,236 | 3,523,215 2,855,274 | 2,166,525 2,248,019 | | | | Of which: | | | | | | | | | Staff costs | 0 | 0 | 0 | 0 | 0 | 834 | 902 | | Purchase of goods | | | | | | | | | and services | 6,612 | 127,354 | 19,776 | 23,450 | 36,169 | 1,700 | 1 | | Income from sales of | | | | | | | | | goods and services | (711) | (10,578) | (152) | 0 | 0 | (12,414) | 152 | | Current grants to | | | | | | | | | persons and non- | | | | | | | | | profit bodies (net) | 513,246 | 448,509 | 392,622 | 327,826 | 385,511 | 523,940 | 492,922 | | Subsidies to private | | | | | | | | | sector companies | 0 | 52,367 | 158,943 | 372,420 | 0 | 780,000 | 900,000 | | Net public service | | | | | | | | | pensions | | | | | | | | | 2 | | | | | | | | | 24 | 0 | 0 | 0 | - | 0 | 0 | 0 | | Rentals | 0 | 0 | (139) | (81) | (718) | 0 | 0 | | Depreciation | | | | | | | | | 1 | | | | | | | | | 293,077 | 53,750 | 2,653,848 10,126,954 | 59,846 | 148,121 | 52,833 | 37,625 | | | Take up of provisions | 5,743,710 | 5,400,115 | 6,022,459 91,967,474 | 2,984,414 | 1,909,642 | 1,263,026 | 1,229,353 | | Release of provision | (451,125) | (448,607) | (407,513) | (692,733) | (351,474) | (343,857) | (314,688) | | Change in pension | | | | | | | | | scheme liabilities | 25,762 | 12,337 | 29,627 | 19,199 | 20,375 | 0 | 0 | | Unwinding of the | | | | | | | | | discount rate on | | | | | | | | | pension scheme | | | | | | | | | liabilities | 40,890 | 1,464 | 43,398 | 37,423 | 38,095 | 80 | 80 | | Release of provisions | | | | | | | | | covering payments of | | | | | | | | | pension benefits | (15,991) | (27,758) | 0 | 0 | - | 0 | 0 | | Other resource | (191,312) | (501,638) | (240,421) | (225,696) | 350,997 | (152,772) | (228,703) | | Total Resource | 8,661,478 7,524,370 11,122,669 | 104,455,473 | 5,495,549 4,837,990 4,185,635 4,069,538 | | | | | | Budget | | | | | | | | | Of which: | | | | | | | | | Depreciation | | | | | | | | | 1 | | | | | | | | | 597,563 | 358,451 | 2,947,457 10,395,932 | 415,243 | 428,040 | 332,136 | 321,294 | | | 2012-13 | 2013-14 | 2014-15 | 2015-16 | |-----------------------|----------|---------|-----------| | outturn | outturn | outturn | outturn | | Capital DEL | | | | | Deliver an ambitious | | | | | industrial strategy | (71,647) | 9,744 | (345,273) | | Maximise investment | | | | | opportunities and | | | | | bolster UK interests | 189,430 | 374,500 | 190,635 | | Promote competitive | | | | | markets and | | | | | responsible business | | | | | practices | 9,500 | 446 | 47 | | Delivering | | | | | affordable energy | | | | | for households and | | | | | businesses | 86,404 | 81,312 | 137,266 | | Ensuring that our | | | | | energy system is | | | | | reliable and secure | 0 | 0 | 1,158 | | Taking action on | | | | | climate change and | | | | | decarbonisation | 30,146 | 48,575 | 47,620 | | Managing our energy | | | | | legacy safely and | | | | | responsibly | 6,815 | 6,883 | 7,103 | | Science and | | | | | Research | 328,823 | 474,623 | 597,152 | | Capability | 54,126 | 26,178 | 11,027 | | Government as | | | | | Shareholder | 178,322 | 121,200 | 106,569 | | Deliver an ambitious | | | | | industrial strategy | | | | | (ALB) net | 394,562 | 609,293 | 642,389 | | Promote competitive | | | | | markets and | | | | | responsible business | | | | | practices (ALB) net | 879 | 1,543 | 1,559 | | Ensuring that our | | | | | energy system is | | | | | reliable and secure | | | | | (ALB) net | 0 | 0 | 2,207 | | Taking action on | | | | | climate change and | | | | | decarbonisation | | | | | (ALB) net | 2 | 0 | 4,004 | | Managing our energy | | | | | legacy safely and | | | | | responsibly (ALB) net | 3,443 | 3,497 | 5,895 | | 2016-17 | 2017-18 | 2018-19 | 2019-20 | | outturn | plans | plans | plans | | 2012-13 | 2013-14 | 2014-15 | 2015-16 | 2016-17 | 2017-18 | 2018-19 | 2019-20 | |-----------------------|-----------|---------------------|------------|------------|------------|------------|------------| | outturn | outturn | outturn | outturn | outturn | plans | plans | plans | | Science and | | | | | | | | | Research (ALB) net | 4,786,495 | 5,443,945 | 5,490,888 | 5,531,882 | 3,453,704 | 3,277,431 | 3,553,492 | | Capability (ALB) Net | 1,600 | 7,257 | 773 | 641 | 480 | 1,500 | 0 | | Government as | | | | | | | | | Shareholder (ALB) net | 120,113 | 603,759 | 616,035 | 595,189 | 1,172,665 | 408,000 | 163,090 | | NDA and SLC | | | | | | | | | expenditure | 1,776,295 | 1,697,841 | 1,845,932 | 1,827,695 | 1,970,695 | 1,998,000 | 1,901,000 | | Nuclear | | | | | | | | | Decommissioning | | | | | | | | | Authority Income | | | | | | | | | (CFER) | (54,866) | (337) | (2,916) | (51,639) | 0 | 0 | 0 | | Total Capital DEL | 7,840,442 | 9,510,259 9,360,070 | 10,198,839 | 10,834,636 | 10,895,941 | 10,594,925 | 11,245,374 | | Of which: | | | | | | | | | Staff costs | 486,510 | 481,265 | 499,390 | 480,109 | 477,642 | 401,488 | 300,294 | | Purchase of goods | | | | | | | | | and services | 482,611 | 598,356 | 604,949 | 648,188 | 400,763 | 277,614 | 277,154 | | Income from sales of | | | | | | | | | goods and services | (275,173) | (107,129) | (122,637) | (131,102) | (257,467) | (245,487) | (247,493) | | Current grants to | | | | | | | | | persons and non- | | | | | | | | | profit bodies (net) | 4,223,838 | 4,248,076 | 4,465,923 | 4,666,325 | 4,800,848 | 3,132,212 | 3,514,732 | | Current grants | | | | | | | | | abroad (net) | 333,655 | 321,542 | 317,714 | 302,460 | 317,400 | 481,240 | 574,064 | | Subsidies to private | | | | | | | | | sector companies | - | - | - | - | 0 | 59,722 | 61,214 | | Subsidies to public | | | | | | | | | corporations | 0 | (452) | (1,238) | (2,655) | 224,350 | 154,882 | 157,825 | | Capital support for | | | | | | | | | local government | | | | | | | | | (net) | 49,075 | 77,095 | 21,570 | 54,528 | 280 | 55,500 | 42,000 | | Capital grants to | | | | | | | | | persons & non-profit | | | | | | | | | bodies (net) | | | | | | | | | 487,920 | 1,247,048 | 968,596 | 999,113 | 420,695 | 1,034,527 | 914,968 | 796,641 | | Capital grants | | | | | | | | | to private sector | | | | | | | | | companies (net) | 57,986 | 93,124 | 131,354 | 155,115 | 237,003 | 240,224 | 249,316 | | Capital grants abroad | | | | | | | | | (net) | 210,070 | 362,976 | 203,769 | 425,981 | 525,994 | 511,085 | 470,058 | | Capital support for | | | | | | | | | public corporations | (1,229) | 118,832 | 90,278 | 170,203 | 191,538 | 79,070 | 38,010 | | Purchase of assets | 2,046,889 | 1,958,591 | 2,071,328 | 2,059,177 | 2,241,911 | 2,284,773 | 2,176,534 | | Income from sales of | | | | | | | | | assets | (67,184) | (84,335) | (37,628) | (92,106) | (65,427) | (9,193) | (8,910) | | 2012-13 | 2013-14 | 2014-15 | 2015-16 | |----------------------------------|-----------------------------------------------------------------------------------------|-------------------|----------------------| | outturn | outturn | outturn | outturn | | Net lending to the | | | | | private sector and | | | | | abroad | 140,708 | 322,515 | 519,050 | | Other capital | (335,234) | (127,245) | (372,348) | | Capital AME | | | | | Deliver an ambitious | | | | | industrial strategy | 0 | 0 | (35,000) | | Maximise investment | | | | | opportunities and | | | | | bolster UK interests | 0 | (19,723) | 17,413 | | Managing our energy | | | | | legacy safely and | | | | | responsibly | (33,189) | (490,707) | (620,294) | | Science and | | | | | Research | 0 | 0 | 0 | | Government as | | | | | Shareholder | (61,368) | (763,521) | 291,559 | | Renewable Heat | | | | | Incentive | 12,731 | 13,770 | 1,697 | | Deliver an ambitious | | | | | industrial strategy | | | | | (ALB) net | 0 | 0 | 7,159 | | Science and | | | | | Research (ALB) net | (57,492) | (1,108) | (71,497) | | Government as | | | | | Shareholder (ALB) net | 0 (1,063,420) (1,206,678) | (430,678) | (129,934) | | Government as | | | | | Shareholder | 0 (1,979,829) | 0 | 0 | | Government as | | | | | Shareholder (ALB) net | 0 | 0 | 0 | | Total Capital | | | | | Budget | 7,701,124 | 5,205,721 | 7,744,429 | | Total departmental | | | | | spending | | | | | 3 | | | | | 15,765,039 12,371,640 15,919,641 | 102,628,415 | 15,900,435 | 15,139,672 | | Of which: | | | | | Total DEL | 10,233,252 11,622,613 11,516,682 12,429,098 12,451,573 12,598,738 12,334,732 12,783,224 | | | | Total AME | 5,531,787 | 749,027 4,402,959 | 90,199,317 3,448,862 | 1 Includes impairments 2 Pension schemes report under FRS 17 accounting requirements. These figures therefore include cash payments made and contributions received, as well as certain non-cash items 3 Total departmental spending is the sum of the resource budget and the capital budget less depreciation. Similarly, total DEL is the sum of the resource budget DEL and capital budget DEL less depreciation in DEL, and total AME is the sum of resource budget AME and capital budget AME less depreciation in AME. | 2016-17 | 2017-18 | 2018-19 | 2019-20 | |---------|-------|-------|-------| | outturn | plans | plans | plans | ## Notes The large increase in spend in 2014-15 and 2015-16 on Delivering affordable energy for households and businesses Resource DEL is due to the Government Electricity Rebate. Resource DEL expenditure for Electricity Market Reform is shown separately in 2012-13 as this expenditure was funded through a Contingencies Fund advance, pending passage of the Energy Bill through Parliament. Repayment of that advance in 2013-14 was made against Deliver secure energy on the way to a low carbon energy future Resource DEL, offset by the credit shown against Electricity Market Reform. The increase in spend from 2016-17 against Science and Research Capital DEL and decrease against Science and Research (ALB) Capital DEL reflects the reclassification of expenditure for the Higher Education Funding Council for England (HEFCE) for Science and Research following the Machinery of Government transfer of HEFCE to the Department for Education. The figure for Depreciation in Resource AME in 2014-15, 2015-16 and 2016-17 includes the movement in fair value for Contracts for Difference, shown against Taking action on climate change and decarbonisation and Taking action on climate change and decarbonisation (ALB) net. Outturn for 2015-16 has not been updated in line with the restated Statement of Comprehensive Net Expenditure, but does include the reclassification across all years of certain research and development expenditure from Resource to Capital DEL, which is not reflected in the restated 2015-16 Statement of Comprehensive Net Expenditure and Statement of Parliamentary Supply. | | 2012-13 | 2013-14 | 2014-15 | |-----------------------|---------|---------|---------| | Resource DEL | outturn | outturn | outturn | | Deliver an ambitious | | | | | industrial strategy | 1,941 | 2,662 | 1,935 | | Promote competitive | | | | | markets and | | | | | responsible business | | | | | practices | 781 | (528) | 796 | | Managing our energy | | | | | legacy safely and | | | | | responsibly | 0 | 0 | 0 | | Science and | | | | | Research | 51 | 53 | 58 | | Capability | 351,444 | 335,497 | 345,965 | | Government as | | | | | Shareholder | 4,394 | 3,465 | 3,108 | | Deliver an ambitious | | | | | industrial strategy | | | | | (ALB) net | 5,864 | 1,968 | 2,565 | | Promote competitive | | | | | markets and | | | | | responsible business | | | | | practices (ALB) net | 8,532 | 12,206 | 10,102 | | Taking action on | | | | | climate change and | | | | | decarbonisation | | | | | (ALB) net | 3,427 | 3,710 | 4,043 | | Managing our energy | | | | | legacy safely and | | | | | responsibly (ALB) net | 4,403 | 4,629 | 5,536 | | 2015-16 | 2016-17 | 2017-18 | 2018-19 | 2019-20 | |---------|---------|-------|-------|-------| | outturn | outturn | plans | plans | plans | | | 2012-13 | 2013-14 | 2014-15 | 2015-16 | |-------------------------|----------|-----------|-----------|-----------| | Resource DEL | outturn | outturn | outturn | outturn | | Science and | | | | | | Research (ALB) net | (813) | (1,350) | 4,740 | 3,649 | | Capability (ALB) Net | 56,252 | 68,597 | 59,268 | 39,218 | | Government as | | | | | | Shareholder (ALB) net | 467 | 4,626 | 267 | 251 | | NDA and SLC | | | | | | expenditure | 38,752 | 41,790 | 37,110 | 34,992 | | Nuclear | | | | | | Decommissioning | | | | | | Authority Income (CFER) | (2,321) | (1,875) | 0 | 0 | | Electricity Market | | | | | | Reform | 0 | (200) | 0 | 0 | | Total | | | | | | administration | | | | | | budget | 473,174 | 475,250 | 475,493 | 435,008 | | Of which: | | | | | | Staff costs | 326,077 | 349,871 | 341,753 | 365,590 | | Purchase of goods | | | | | | and services | 183,826 | 191,654 | 179,482 | 145,800 | | Income from sales of | | | | | | goods and services | (81,121) | (115,081) | (123,790) | (135,538) | | Current grants to | | | | | | persons and non- | | | | | | profit bodies (net) | 0 | (439) | 30 | 29 | | Current grants | | | | | | abroad (net) | 20 | 36 | 18 | 108 | | Net public service | | | | | | pensions | 1,532 | 1,219 | (7) | 0 | | Rentals | 20,438 | 20,131 | 27,074 | 31,852 | | Depreciation | 35,683 | 33,203 | 30,738 | 29,956 | | Take up of provisions | 0 | 0 | (12) | 2 | | Change in pension | | | | | | scheme liabilities | 0 | (12) | (65) | 25 | | Other resource | (13,281) | (5,332) | 20,272 | (2,816) | | 2016-17 | 2017-18 | 2018-19 | 2019-20 | | | outturn | plans | plans | plans | | ## Annex D: Glossary AME: Annual Managed Expenditure, see box 1 on page 33. ARAC: Audit and Risk Assurance Committee, see page 56. Article 50: Under the Lisbon Treaty, states any EU member state may decide to withdraw from the Union and must notify the European Council of its intentions. The Union shall negotiate and conclude an agreement with the state, setting out the arrangements for its withdrawal, taking account of the framework for its future relationship with the union. BBB: British Business Bank plc BBSRC: Biotechnology and Biological Sciences Research Council BE: British Energy BEIS: Our Department, the Department for Business, Energy and Industrial Strategy BFP: Business Finance Partnership, BIS: Department for Business, Innovation and Skills, one of our predecessor departments BIS2020: The Business, Innovation and Skills' transformation programme prior to the Machinery of Government change that formed BEIS. BNFL: British Nuclear Fuels Limited BVCA: British Venture Capital Association Business Improvement District : Business led partnerships which are created through a ballot process to deliver additional services to local businesses. CAVs: Connected and Autonomous Vehicles CCA: Climate Change Agreements CCL: Climate Change Levy CDEL: Capital Departmental Expenditure Limit, see box 1 on page 33. CETV: Cash Equivalent Transfer Value CFER: Consolidated Fund Extra Receipts, Income which is not retained by the department but returned to the Consolidated Fund CFP: Cavendish Fluor Partnership Consolidated Fund: The main bank account of the UK government. Contracts for Difference (CfDs) : See box 5, page 39 CRC: Carbon Reduction Commitment CNI: Critical National Infrastructure CNPP: Combined Nuclear Pension Plan CSOPS: Civil Service and Other Pension Scheme D&I: Diversity and inclusion DDR: Departmental Risk Registers DECC: Department for Energy and Climate Change, one of our predecessor departments DEFRA: Department for Environment, Food and Rural Affairs DEL: Departmental Expenditure Limit, see box 1 on page 33. DExEU: Department for Exiting the European Union DfE: Department of Education DIT: Department for International Trade Dynamic Dispatch Model (DDM): a comprehensive fully integrated power market model covering the GB power market over the medium to long term EDFE: Energy Nuclear Generation Limited EHL: Enrichment Holdings Limited Energy Company Obligation (ECO): A government energy efficiency scheme to help reduce carbon emissions and tackle fuel poverty. EPO: European Patent Office ESA: European Space Agency ESC: Electricity Settlements Company ESO: European Southern Observatory ESOS: Energy Savings Opportunity Scheme Estimate: See Supply Estimate EU ETS: EU Emissions Trading Scheme EUA: EU allowance EUAA: EU aviation allowance ExCo: Executive Committee, see page 58. Fifth Carbon Budget: A carbon budget places a restriction on the total amount of greenhouse gases the UK can emit over a 5-year period. The fifth carbon budget covers the 2028 to 2032 period. FIDeR: Final Investment Decisions enabling Renewables FLS: Future Leaders Scheme FReM: Government Financial Reporting Manual GBS: Government Banking Services GCIA: Group Chief Internal Auditor GCRF: Global Challenges Research Fund GDFC: Green Deal Finance Company GGCs: Greening Government Commitments GHG: Greenhouse gas GIAA: Government Internal Audit Agency GIB: Green Investment Bank GMM: Government Major Projects Portfolio GRAA: Government Resources and Account Act 2000 Green Paper: a set of proposals for discussion and consideration, and an invitation to others to contribute collaboratively to their development. Hinkley Point C (HPC): A project to construct a nuclear power station in Summerset, England. HPDS: High Potential Talent Schemes ICO: Information Commissioner's Office IEA: International Energy Agency IFRS: International Financial Reporting Standards ILL: Institut Laue Langevin IPA: Infrastructure and Projects Authority IRR: Internal Rate of Return ITEC: International Trade and Export Control LCCC: Low Carbon Contracts' Company LCF: Levy Control Framework Repeal Bill: Sets out the government's proposals for ensuring a functioning statute book once UK has left the EU RDEL: Resource Departmental Expenditure Limit, see page 33 Local Enterprise Partnerships : Partnerships between local authorities and businesses who decide what the priorities should be for investment in roads, buildings and facilities in the area. RICS: Royal Institute of Charted Surveys RO: Renewables Obligations Loss of Load Expectation (LOLE): Metric used to measure the security of the electricity supply RPS: Redundancy Payment Service LTP: Life Time Plan SCS: Senior Civil Service MoG: Machinery of Government SDP: Single Departmental Plans SLS: Senior Leaders Schemes SLCs: Nuclear Site Licence companies Monte-Carlo Simulation : A computerised mathematical technique that allows for the account of risk in quantitative analysis and decision making. SME: Small and medium enterprise engagement MPS: Mineworkers' Pension Scheme SoPS: Statement of Parliamentary Supply MRC: Medical Research Council SOSIA: Secretary of State Investor Agreement NAO: National Audit Office SRMC: Short Run Marginal Cost NDA: Nuclear Decommissioning Authority SSCL: Shared Services Connect Ltd NDPBs: Non-departmental public bodies STSC: South Tees Site Company Limited NEBMs: Non-Executive Board Members NERC: Natural Environment Research Council NIF: National Insurance Fund NMRO: National Measurement Regulation Office Supply Estimates: the means of obtaining from Parliament, the legal authority to consume resources and spend cash the government needs to finance department's agreed spending programme. NNLHL: NNL Holdings Limited TCD: Target Commissioning Date NPLML: NPL Management Limited TCW: Target Commissioning Window ODA: Official Development Assistance TME: Total Departmental Managed Expenditure UKAEA: UK Atomic Energy Authority Decommissioning OEDC: Organisation for Economic Co-operation and Development UKCES: UK Commission for Employment and Skills OGA: Oil and Gas Authority UKIIF: UK Innovation Investment Fund ONS: Office of National Statistics UKRI: UK Research and Innovation OSL: Ordinance Survey Limited UKSBS: UK Shared Business Services OSTF: Ordinance Survey Trading Fund Paris Agreement: An agreement within the United Nations Framework Convention on Climate Change which deals with greenhouse gas emissions mitigations, adaptation and finance starting in the year 2020. Virement: the reallocation of provision in the Estimates without the need for a Supplementary Estimate to obtain parliamentary authority. Virement reallocates underspends on one part of the Estimate to cover overspends on another part of the Estimate. PAC: Public Accounts Committee WTC: Waste Transfer Contracts PBL: Parliament Business and Legislation Committee PCSPS: Principal Civil Service Pension Scheme PES: Public Expenditure System PEVC: Private Equity and Venture Capital PFR: Performance, Finance and Risk Committee, see page 60. POL: Post Office Limited PPAs: Prior Period Adjustment PPE: Property, plant and equipment PSH: Postal Services Holding Company Limited Pulse Surveys: Shorter surveys carried out between annual Staff Surveys on staff attitudes. R&D: Research and Development

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## Update Of Major Projects Over The Page Is A Summary Of The Council'S Major Projects: Please Note Before Reviewing The "Large" Project Information: - The Summary of "Large" projects will evolve over time as projects progress, are completed and new projects are initiated and is provided to inform the committee in performing its role of risk and assurance of the project management approach. - Any project that achieves a score of 80 or more out of 160 qualifies as a "Medium/Large" or Major project and is included in this list. - Executive is responsible for scheme financing/policy and Scrutiny will perform detailed reviews of any relevant project. - The status (RAG - Red, Amber or Green) is provided as an overview. (RAG description, below, as agreed at the July 2016 A&G committee) Green All the elements of delivery are within acceptable parameters with risks managed. Amber There are risks/issues with one or more elements of delivery. There is a plan in place to bring the project back within acceptable parameters and it is in the control of the project team. Red There are issues with one or more elements of delivery and there is no plan in place to mitigate or there is a plan emerging, but it is out of the control of the project team ## The Coporate Projects Portfolio Was Significantly Affected By The Unprecedented Challenges Of The Covid- 19 Pandemic During This Period | Large projects summary | Previous | |----------------------------------|-------------| | period | | | (RAG) | | | Older Person's Accommodation | | | Phase 2(ASC) | | | York Central | | | Castle Gateway | | | Local Plan | | | Guildhall | | | Adult Social Care - Future Focus | | | Outer ring road (A1237) | | | Housing Delivery Programme | | | Centre of Excellence | | | Provision of School Places 2017- | | | 2023 | | | Housing ICT Programme | Amber | | Smart Travel Evolution Programme | | | (STEP) | | | Flood Risk | | | City Centre Access Project | | | Parking Review | | | Inclusion Review | | | Be Independent | | | Procurement of MSA and Strategic | | | Engagement Technology Partner | | | Hyperhubs | | This period (RAG) Direction of travel Green Amber Worse Amber Amber Same Amber Amber Same Green Amber On hold ## Detailed Updates Project Title Older Persons' Accommodation Programme Phase 2 Reporting period April 2020 ## Description To provide, and ensure the provision of, a range of accommodation to address the housing (and care) needs of the city's older residents. The Council's Executive on 30th July 2015 approved the Business Case for the Older Persons' Accommodation Programme in order to prepare the city for a 50% increase in the size of the over 75 population. This will:  Deliver a 10 unit extension and refurbishment of Lincoln Court Independent living scheme  Build a 29 unit extension to the Extra Care scheme at Marjorie Waite Court, plus provide 4 bungalows on the site  Carry out community and stakeholder engagement to establish the demand for specialist older person's housing and the issues facility residents of the city in relation to age related housing.  Complete procurement of a new residential care facility as part of the wider Health and Wellbeing Campus at Burnholme; and  Encourage the development of additional residential care capacity, extra care and age related housing, supporting older people to continue to live independently in their own home.  Complete the transfer of Haxby Hall care home to a care provider who will extend and enhance the provision on site.  Review the Council's Independent Living stock to ensure it meets the needs of existing and new tenants and to seek opportunities to increase its capacity. | Overall status this period (Apr) | | Overall status previous period (Mar) | |-------------------------------------------------------------------------|---------------------------------------------------------------------|-----------------------------------------| | | | | | Financial | Non | Tasks | | | Scope | Quality | | | | | | Benefits | | | | | | | | Milestones | | | | | | | | Apr | | | | | | | | | | | | Mar | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | - | | | | | We are now able to fill void properties much more quickly than had | | | been the case and we are not carrying void properties for long | | | | periods. We are now starting to see a shift into extra care nominations | | | | and where possible supporting people to live independently rather | | | | than move into residential care. | | | | Financial | | | | Status | | | | Explanation | | | | - | | | | | Promotional work around the availability and benefits of extra care | | | over the coming months will generate interest and demand for | | | | properties of all tenures and should help shift the demand from | | | | residential care. | | | - The allocations process has been streamlined and voids are starting to be filled more quickly. - Work still needs to be done to ensure that the costs of CYC extra care are in line with other extra care schemes. - The ongoing financial benefits of the programme are at risk in the short term as the projects are on hold. This will delay the provision of the accommodation which will require ongoing access to commissioned accommodation. Tasks & - Construction projects are now all on hold. Completion of these will now be delayed. Milestones Status - Procurement of an extra care development on the Lowfield Green site has been put on hold during the COVID 19 outbreak. Explanation - The timetables for all of these projects will be reviewed when dates for restarting the work are known. Issues Status Explanation - The closure of all capital construction sites in this programme is an issue for all projects. The cessation of procurement projects will delay the development of an extra care scheme on the Lowfield Green site. ## Current Status Programme Wide 1. Plans are being developed by the Housing Delivery Programme for properties on Burnholme, Ordnance Lane and Duncombe Barracks. The Older Person's Accommodation Programme has been involved in determining the design, layout and home numbers to enable older people to live well in each of these developments. 2. Development of Bungalows at Lowfield Green is progressing well with these being in the first phase of the development to be completed. ## Burnholme Health & Wellbeing Campus 1. The care home topping out ceremony was held on 18 March attended by the Executive Member for Health & Adult Social Care, representatives from the contractor and the care home operator. 2. Care home construction is now on hold as the contractor has closed the site during the COVID 19 outbreak. It is not clear yet when work will resume, therefore a revised timetable is not yet available. ## Marjorie Waite Court Extra Care Scheme. 1. Construction of the MWC extension is now on hold as the contractor has closed the site during the COVID 19 outbreak. It is not clear yet when work will resume therefore a revised timetable is not yet available. 2. The site and existing building have been secured to ensure the safety of the existing tenants. 3. Work in the existing building has been delayed, which has enabled the care provider team to allocate temporary properties in the building. ## Lincoln Court 1. Construction work at Lincoln Court is now on hold as the contractor has closed the site during the COVID 19 outbreak. It is not clear yet when work will resume therefore a revised timetable is not yet available. 2. The electrical supply to the building has been connected. 3. Steel structural work to the front of the building has been completed. 4. Cookers for the apartments and furniture for communal areas have been ordered. ## Haxby Hall 1. The transfer of Haxby Hall care home has been put on hold during the COVID 19 outbreak, for the welfare of all of the residents of Haxby Hall. 2. Legal negotiations with Yorkare Homes are ongoing. ## New Independent Sector Provision 1. The partnership working with JHRT for nominations to apartments at New Lodge is going well. 2. The Council's planning department is working on applications for extra care properties on Shipton Rd and a 60 bed care home in Strensall. 3. The Council's planning department have received a planning application for an extra care development on Cherry Lane. - Construction projects are unlikely to be progressed during the coming month. - Planning applications for Shipton Rd, Strensall and Cherry Lane sites will continue to be processed. - Following an electronic consultation and design session, plans for the design and layout of older person's and intergenerational accommodation on the Ordnance Lane site will be progressed. Reports to Executive, CMT, Project Board, DMT Exec member Cllr. Carol Runciman and Cllr Denise Craghill Corporate Director of Health, Housing and Adult Social Care: Sharon Houlden Director responsible Dependencies Burnholme Health & Wellbeing Campus Capital Programme Executive July 2015 https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=88 40&Ver=4 ## Link To Paper If It Has Been To Another Member Meeting (E.G. Executive, Council, A Scrutiny Committee) Executive October 2015 - Grove House and Oakhaven Older Persons' Homes https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=88 42&Ver=4 Executive May 2016 - Delivery of Community Facilities at the Burnholme Health & Wellbeing Campus http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=8884& Ver=4 Executive July 2016 Demonstrating Progress on the Older Persons Accommodation Programme https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 03&Ver=4 Executive November 2016 (Willow house OPH) http://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MI d=9307&Ver=4 Executive December 2016 - Older Persons' Accommodation Programme Update / Burnholme Health & Wellbeing Campus: Key Decisions to further progress this development / Lowfield Green Development: Moving forward to deliver a care home, health facility and housing / Haxby Hall Older Persons' Home: A Sustainable Future https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 08&Ver=4 Executive Feb 2017 - Sale of Land at Fordlands Road as Part of the Older Persons' Accommodation Programme https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 10&Ver=4 Executive March 2017 - Oakhaven Extra Care Facility: the sale of land to facilitate the development https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 11&Ver=4 Executive March 2017 - Burnholme: the sale of land to facilitate the development of a Care Home; agreement to management arrangements for the Community & Library facilities; disposal of the Tang Hall Library site https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 11&Ver=4 Executive August 2017 - Investment in New Extra Care Accommodation for Older People at Marjorie Waite Court Following the Closure of Burton Stone Lane Community Centre https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 190&Ver=4 Executive August 2017 - A Further Phase of the Older Persons' Accommodation Programme Deciding the Future of Woolnough House Older Persons' Home . https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 190&Ver=4 Executive September 2017 - Demonstrating Delivery of the Older Persons' Accommodation Programme https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 191&Ver=4 Executive October 2017 - Disposal of Willow House, Walmgate, York https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 192&Ver=4 Executive December 2017 - A Further Phase of the Older Persons' Accommodation Programme: Deciding the Future of Windsor House Older Persons' Home https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 194&Ver=4 Executive January 2018 - Securing a Sustainable Future for Haxby Hall Older Persons' Home https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 195&Ver=4 Executive February 2018 - Disposal of Willow House http://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=101 96&Ver=4 Executive March 2018 - Investment at Lincoln Court to Create an Independent Living with Support Facility http://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=101 89&Ver=4 Executive April 2018 - Deciding the Future of Morrell House Older Persons Home http://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=101 97&Ver=4 Executive July 2018 - Delivering Improved Sports and Active Leisure Facilities at Burnholme https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 470&Ver=4 Executive September 2018 - Demonstrating Delivery of the Older Persons' Accommodation Programme and Preparing for Further Action https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 472&Ver=4 Executive November 2018 - A Further Phase https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 474&Ver=4 Executive March 2019 - Investment in the Redevelopment of Lincoln Independent Living Scheme https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11 469&Ver=4 Executive January 2020 - The Transfer and Transformation of Haxby Hall Care Home (by way of long lease) and associated land transactions. https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11 115&Ver=4 Executive March 2020 - Lowfield Green: Responding to Older Persons' Accommodation Needs. https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11 117&Ver=4 ## Project Title York Central Reporting period April 2020 Description York Central is a key strategic development site for economic growth and housing delivery for the city. The majority of the land is in the ownership of Network Rail and Homes England. CYC have a role to play in de-risking the site and accelerating delivery with public sector partners. In recent months, the site and the opportunity it presents have been positioned at all levels of Government as a priority site for support to enable delivery of locally-led regeneration and development schemes. The capacity for the site to contribute to the achievement of the local plan housing targets is also a key consideration. Overall status this period (Apr) Overall status previous period (Mar) | | | | | | Financial | Non | Tasks | | | |--------------------------------------------------------------------------|--------------------------------------------------------------------------|---------|-------|-----------|--------------|-----------|----------|-------|--------| | | Scope | Quality | Costs | Resources | Benefits | Financial | & | Risks | Issues | | | | | | | | | | | | | Benefits | | | | | | | | | | | | | | | | | | | | | | Milestones | | | | | | | | | | | | | | | | | | | | | | Apr | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | Mar | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | Tasks | | | | | | | | | | | & | | | | | | | | | | | - | | | | | | | | | | | | The programme is driven by partner organisational delivery | | | | | | | | | | imperatives and funding availability. The programme indicates | | | | | | | | | | | that milestones are achievable but there is very little float/ scope for | | | | | | | | | | | slippage and the project is complex with many communities of | | | | | | | | | | | interest. | | | | | | | | | | | | | | | | | | | | | | Milestones | | | | | | | | | | | Status | | | | | | | | | | | - | | | | | | | | | | | | The project remains on target to deliver infrastructure works to funding | | | | | | | | | | deadlines and housing/economic benefits to City. | | | | | | | | | | | | | | | | | | | | | | Explanation | | | | | | | | | | | | | | | | | | | | | | - | | | | | | | | | | | | City of York Council and WYCA have released additional funding | | | | | | | | | | whilst the HIF announcement is awaited, to support scheme off plot | | | | | | | | | | | infrastructure detailed design and Reserved Matters Planning | | | | | | | | | | | Application. | | | | | | | | | | | | | | | | | | | | | | Risks | | | | | | | | | | | Status | | | | | | | | | | | Explanation | | | | | | | | | | | Risks associated with the project are complex and interdependent. Active | | | | | | | | | | | risk management is ongoing. | | | | | | | | | | | | | | | | | | | | | | Issues | | | | | | | | | | | Status | | | | | | | | | | | Explanation | | | | | | | | | | | Planning RMA submission March 2020, Partnership Agreement to be | | | | | | | | | | | signed, S106 to be signed, and HIF funding awaited. | | | | | | | | | |  The Outline Planning Application was approved by Planning Committee in March 2019. The Reserved Matters Application for phase 1 off plot infrastructure is being prepared and will be submitted in March 2020.  Public Engagement on the RMA commenced in February 2020.  John Sisk Ltd have been appointed as infrastructure delivery partner for Phase 1 Infrastructure, they have reported on Buildability issues and these have been approved by Board for development into the Stage 4 Design.  The WY+TF Full Business Case has been conditionally approved by WYCA.  The Budget in March 2020 announced funding for York Central, the conditions on the Award are awaited. Once received we will review the discharging of them.  RMA Planning Application for Infrastructure to be submitted in April 2020.  Stage 4 Detailed Design progressing to enable Pricing of Design. Reports to York Central government structures and the Executive. Exec member Cllr Keith Aspen Neil Ferris - Corporate Director of Economy and Place Director responsible Dependencies Local Plan Policy, Economic Strategy, City Transport Policy and external funding bids. Executive December 2015 - York Central and Access Project http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=8844& Ver=4 Executive July 2016 - York Central http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=9303& Ver=4 Link to paper if it has been to another member meeting (e.g. executive, council, a scrutiny committee) Executive November 2016 Consultation on access options / Third party acquisitions http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=9307& Ver=4 Executive July 2017: Project and Partnership Update http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10188 &Ver=4 Executive November 2017 - Preferred Access Route and Preparation for Planning http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10193 &Ver=4 Executive March 2018 - York Central Access Construction http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10189 &Ver=4 Executive June 2018 - Masterplan and Partnership Agreement http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10469 &Ver=4 Decision Session August 2018 - York Central Design Guidelines http://modgov.york.gov.uk/ieListDocuments.aspx?CId=875&MID=10847 #AI49619 Executive August 2018 York Central Update - Western Access http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10471 &Ver=4 Executive November 2018 - York Central Enterprise Zone investment Case http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10474 &Ver=4 Executive January 2019 York Central Partnership Legal Agreement http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10476 &Ver=4 Executive July 2019 - York Central Partnership Update http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11107 &Ver=4 Executive October 2019 - Update http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11111 &Ver=4 ## Project Title Castle Gateway Reporting Period April 2020 Description City of York Council (CYC) are one of the principal land owners in the area around Piccadilly, the Eye of York, St George's Field and the Foss Basin. This area is being referred to as the "Castle Gateway" and many parts of the area are underused, semi derelict or of poor quality. Many of the properties are for sale or owned by investors and there is a risk that the area will continue to be blighted or that important sites will be developed in a piecemeal manner. The area is urgently in need of a fresh vision to improve the locality and create a socially and economically sustainable future. As the principal landowner, CYC will be instrumental in delivering a joined-up regeneration of the area which will maximise social and economic benefits for the City. | Overall status this period (Apr) | | Overall status previous period (Mar) | |--------------------------------------------------------------------------------|-------|-----------------------------------------| | | | | | Financial | Non | Tasks | | | Scope | Quality | | | | | | Benefits | | | | | | | | Milestones | | | | | | | | Apr | | | | | | | | | | | | Mar | | | | | | | | | | | | | | | | Costs | | | | Status | | | | Explanation | | | | The Executive approved a further budget of £2.15m to take the project | | | | through to the next decision point at the end of 2020. The project remains | | | | within that budget but it should be noted that the budget was predicated | | | | on the anticipated delivery timescales which may be impacted by covid19 | | | | leading to an increase in overheads and huge uncertainty as to | | | | the impact on future build costs. | | | | | | | | Financial | | | | Benefits | | | | Status | | | | Explanation | | | | A GVA assessment of the proposed masterplan has been undertaken by | | | | WYCA. They assess the GVA benefits of the proposals to be £360m for | | | | the Leeds City Region. However, realising these benefits is dependent on | | | | the successful delivery of the whole masterplan which will require | | | | significant investment from the council and other public bodies. | | | | Tasks & | | | | Milestones | | | | Status | | | | The report to Executive in January 2020 represented a key milestone in | | | | delivery and provided a new series of milestones and targets. However, | | | | all of these will need to be reviewed in light of the impact of covid19. | | | | Explanation | | | | | | | | Risks Status | | | | Explanation | | | | This is a complex project to deliver an ambitious masterplan, and as such | | | | it has significant risks to its delivery. Whilst mitigation and monitoring of | | | | risks is being undertaken, the project is likely to remain at risk throughout | | | | delivery. | | | | Issues | | | | Status | | | | Explanation | | | | | | | | Issues remain under review. | | | | | | | ## Current Status Covid19 - Due To The Impact Of Covid19, Corporate Decisions On Council Priorities Through The Response Phase And The Redeployment Of Many Of The Major Projects and Regeneration Team in to critical services, a number of work streams in the delivery of this project have currently paused. Delivery strategy - The procurement of construction partners for phase one was due to commence in April. However, a pause has been put on all non-essential procurement at a corporate level. An assessment of the impact of this on project delivery and a decision as to how to proceed will be taken this month. A further report is still intended to be brought back to Executive in the summer of 2020, setting out the proposed delivery model for 17-21 Piccadilly, and the business case and funding strategy for phase two of the masterplan - the new public realm to replace Castle Car Park. However, this will remain under review based on the ongoing impact of covid19. Castle Mills and St George's Field - The planning applications remain on course to be considered in May, subject to decisions as to how and when planning committees can proceed under the current covid19 restrictions. West Yorkshire Transport Fund - work in progressing the funding bid to outline and full business case stages will continue to be led by the council's consultant's WSP wherever possible. Castle Gateway events - a lease has been agreed for the Cbeebies roadshow to take place on Castle Car Park in September 2020. However, this will again be reviewed in light of the ongoing impact of covid19. St George's Field and Castle Mills - Officers will continue to respond to any comments or objections relating to the planning applications and will work with planning officers to resolve any issues to ensure the successful achievement of planning permission. Phase one delivery - a decision will be taken as to how to proceed with the procurement of contractors in light of covid19. 17-21 Piccadilly - the RIBA stage 2 design work will commence to ascertain the development capacity of the site and allow a decision as to whether the council should proceed with development or dispose to the market to deliver. This will largely be architect led and won't impact on the emergency response to covid19. Reports to The Executive sponsor for the Castle Gateway is the Leader of the Council in his remit as Executive Member for Finance and Performance. The Executive have approved a whole series of recommendations over the last three years to advance the project, with delivery of these being the responsibility of the Castle Gateway Working Group. This working group was established in January 2017 and serves as the project board and meets on a monthly basis. It is chaired by the Director for Economy and Place, and the wider interests of the council are represented by the Assistant Directors for Regeneration and Asset Management; Planning and Sustainable Development; and Transport, Highways and the Environment. The group also has Heads of Service for legal, finance and property. The working group is the key interface point with wider stakeholders, with the project manager and Assistant Director for Regeneration and Asset Management chairing the Castle Gateway Advisory Group (which consists of key stakeholders and principal custodians of the city) and the My Castle Gateway public engagement partnership. The interests of the formal partnership with York Museums Trust will also be represented by the same individuals and outcomes and decisions fed back in to the working group. The Castle Gateway project manager has defined expenditure levels under the Council's Contract Procedure Rules. Any decisions that are outside the remit of previous recommendations from the Executive are taken to the appropriate decision making route as set out by the council's governance and decision making framework. Dependent on the nature and scope of the issue this may be an officer decision, Executive Member decision, or require a full Executive decision. Exec member Cllr Nigel Ayre Neil Ferris - Corporate Director of Economy and Place Director responsible Dependencies Local Plan Policy, City Transport Policy Executive October 2015 - York's Southern Gateway http://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=884 2&Ver=4 ## Link To Paper If It Has Been To Another member meeting Executive November 2016 - Land Assets on Piccadilly https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 07&Ver=4 Executive January 2017 - Update York Castle Gateway https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 09&Ver=4 Executive August 2017 - Proposed Temporary Use of Part of Castle Car Park https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 190&Ver=4 Executive April 2018 - Castle Gateway Masterplan http://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=101 97&Ver=4 Executive October 2018 - Proposed Temporary Uses of Part of Castle Car Park https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 473&Ver=4 Executive October 2019 - Update http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11111 &Ver=4 Executive January 2020 - Castle Gateway Phase One Delivery Strategy https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11 115&Ver=4 ## Project Title Local Plan Reporting Period April 2020 Description The 'Local Plan' is a citywide plan which sets the overall planning vision and the spatial land use strategy for the city. It provides a portfolio of both housing and employments sites for at least a 15 year period and will set the Green Belt boundaries for York. In addition it incorporates both policies and approaches to set the context for development management decisions. Effectively, it sets out the opportunities and policies on what will or will not be permitted and where, including new homes and businesses. The Local Plan must be accompanied by an infrastructure delivery plan setting out the Council's approach to strategic infrastructure and its funding. All housing and employments sites included must be viable and deliverable this is directly linked to future approaches to planning gain i.e. CiL and S106. In response to both the Council resolution in autumn 2014, and the changed national and local context, officers have initiated or a series of work streams to inform the next stages of plan production. This relates to housing need, economic growth and the related need for employment land, and detailed site assessments. The production of the plan has to be in accordance with statute and national guidance. This includes a legal requirement to work with neighbouring authorities. It also means that the plan must be subject to Sustainability and Environmental Assessments. It will also ultimately be subject to an independent examination by a government inspector. | Overall status this period (Apr) | | Overall status previous period (Mar) | |--------------------------------------------------------------------------|-------|-----------------------------------------| | | | | | Financial | Non | Tasks | | | Scope | Quality | | | | | | Benefits | | | | | | | | Milestones | | | | | | | | Apr | | | | | | | | | | | | Mar | | | | | | | | | | | | Scope | | | | Status | | | | Take the Local Plan through examination in public (EIP) and to adoption | | | | as statutory development plan for York. | | | | Explanation | | | | Costs | | | | Status | | | | | | | | Cost associated with EIP, modifications consultation and adoption. | | | | Explanation | | | | Tasks & | | | | Milestones | | | | Status | | | | Appointed planning inspectors are undertaking an independent | | | | examination of York's Local Plan. Initial hearing sessions took place at | | | | York Racecourse from 10th to 18th December 2019. | | | | Explanation | | | ## Risks Status Risks associated with examination of Local Plan by Planning Inspectorate. ## Explanation Current Status Appointed planning inspectors have completed phase 1 of the examination of York's Local Plan. The initial hearing sessions took place at York Racecourse from 10th to 18th December. More information about the hearings is available to view at: www.york.gov.uk/localplanexamination The Local Plan sets strategic priorities for the whole city and forms the basis for planning decisions; it must be reviewed at regular intervals to be kept up to date. The first phase hearing sessions covered the strategic principal matters identified by the inspectors including:  legal compliance  housing need and  the York Green Belt. The inspectors took into account the comments submitted to-date, as far as they related to soundness considerations such as whether the plan is justified, effective and consistent with national policy. The Forward Planning Team are currently completing a number of 'Homework' items requested by the inspectors' for their consideration in conjunction with the Phase 1 hearing sessions. Following the submission of all of the required 'homework' items discussed in the Phase 1 hearing sessions the Inspector has confirmed they will issue the Council with an interim Inspectors report. This is anticipated in May 2020. Further phase 2 hearing sessions on the remainder of the Plan will then be requested by the Inspector but the timing of these is dependent on the outcome of the phase 1 Inspectors report. Reports to Executive, Local Plan Working Group Exec member Cllr. Keith Aspden, Cllr Andrew Waller and Cllr Nigel Ayre Neil Ferris - Corporate Director of Economy and Place Director responsible Dependencies Deliverability of York Central Executive July 2015 https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=88 40&Ver=4 Link to paper if it has been to another member meeting Executive June 2016 City of York Local Plan - Preferred Sites Consultation http://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=919 1&Ver=4 Executive December 2016 - Update on Preferred Sites Consultation and Next Steps https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 08&Ver=4 Executive January 2017 - Update on Local plan https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 09&Ver=4 Executive July 2017 https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 188&Ver=4 Local Plan Working Group January 2018 http://democracy.york.gov.uk/documents/s120857/LP%20LPWG%20FI NAL%20REPORT.pdf Executive January 2018 - Update https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 195&Ver=4 Executive May 2018 City of York Local Plan - Submission https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 198&Ver=4 Executive September 2018 Supplementary Planning Documents to support the emerging York Local Plan https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 472&Ver=4 Executive March 2019 - Update https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 479&Ver=4 Project title The Guildhall Reporting period April 2020 Description City of York Council vacated the Guildhall in April 2013, moving to West Offices as part of the Admin Accommodation programme, in order to make approx. £1m pa savings. An evaluation of potential future uses had already been undertaken, and following further feasibility work and review a decision on the Future of the complex was taken by Executive in October 2015. Approval was granted for detailed project development work to secure the future of the Guildhall as a serviced office venue; with virtual office and business club facilities, maximising the benefits of the different spaces within the complex, its heritage appeal, and also ensuring ongoing council use and public access in a mixed use development. Overall status this period (Apr) Overall status previous period (Mar) | | | | | | Financial | Non | Tasks | | | |---------------------------------------------------------------------------|-------|---------|-------|-----------|--------------|-----------|----------|-------|--------| | | Scope | Quality | Costs | Resources | Benefits | Financial | & | Risks | Issues | | | | | | | | | | | | | Benefits | | | | | | | | | | | | | | | | | | | | | | Milestones | | | | | | | | | | | | | | | | | | | | | | Apr | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | Mar | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | Costs Status | | | | | | | | | | | Explanation | | | | | | | | | | | The cost report tabled at the board meeting held on the 30th of March | | | | | | | | | | | 2020 highlighted budget pressure, as a result of significant contingency | | | | | | | | | | | expenditure. However, this is based on a number of assumptions / | | | | | | | | | | | estimates requiring validation. | | | | | | | | | | | Resources | | | | | | | | | | | Status | | | | | | | | | | | Explanation | | | | | | | | | | | Site is currently advancing as planned however we may face delay in the | | | | | | | | | | | near future as the contractor is reporting that their supply chain is | | | | | | | | | | | becoming fragile due to staffing difficulties and forced closures. | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |  | | | | | | | | | | | | | | | | | | | | | | A collaborative risk workshop has been undertaken and a revised risk | | | | | | | | | | | register has been agreed. | | | | | | | | | | | Risks Status | | | | | | | | | | | Explanation | | | | | | | | | | |  | | | | | | | | | | | | | | | | | | | | | | The river conditions posed a high level of risk for crane erection, the | | | | | | | | | | | levels are less critical for daily use of the river hence the lowering of | | | | | | | | | | | the risk to amber. | | | | | | | | | | |  | | | | | | | | | | | | | | | | | | | | | | The impact of Covid 19 remains unclear although the site remains | | | | | | | | | | | open at this time. | | | | | | | | | | | Issues | | | | | | | | | | | Status | | | | | | | | | | |  | | | | | | | | | | | | | | | | | | | | | | Supply chain is reporting difficulties in certain areas full list in | | | | | | | | | | | Resources field. | | | | | | | | | | | Explanation | | | | | | | | | | |  | | | | | | | | | | | | | | | | | | | | | | Site will need to respond to Construction Industry Guidance re social | | | | | | | | | | | distancing. | | | | | | | | | | ## Current Status Statutory Consents / Approvals  Executive approval February 2019 to advance to the construction stage.  Planning and LBC approvals granted 16 Feb 17.  Executive approval for scheme delivery 16 Mar 2017.  Full Council approval of budget requirement 30 Mar 2017.  Grant Agreement letter signed with WYCA 7 Apr 2017 securing £2.347m of LGF funding from LCR LEP to support project delivery. ## Project Progress Construction Commenced On The 16Th Of September 2019. Future Outlook.  Demolition of the North Annexe  Reconstruction of the South Range Superstructure. Reports to The Guildhall board reports to Economy and Place DMT and PM updates Executive member and Executive when required for updates and approvals. Exec member Cllr Nigel Ayre Neil Ferris - Corporate Director of Economy and Place Director responsible Dependencies Local plan Executive October 2015 - The Future of York's Guildhall & Riverside http://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=884 2&Ver=4 Scrutiny - 13 June 2016 http://modgov.york.gov.uk/ieListDocuments.aspx?CId=144&MId=9420& Ver=4 Link to paper if it has been to another member meeting (e.g. executive, council, a scrutiny committee) Exec July 2016 - Detailed Designs & Business Case http://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=930 3&Ver=4 Executive March 2017 - The Development of the Guildhall Complex https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 11&Ver=4 Executive May 2018: The Development of the Guildhall Complex https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 198&Ver=4 Executive February 2019: Redevelopment Tender Evaluation & Project Business Plan Appraisal https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11 007&Ver=4 ## Project Title Asc - Future Focus Reporting Period April 2020 Description Demand for Adult Social Care rises each year. People are living longer into old age requiring support, there are more people living longer with complex long term conditions and there are increasing numbers of young adults in transition to adult services with complex needs. This increased demand for services coincides with significant financial pressure arising from reduced Local Authority funding, legislative changes driven by the Care Act and an increased public expectation of Adult Social Care and rightly an expectation of high quality, personalised and flexible support for those who are eligible for care. The goal of health and care services is to help older, vulnerable or disabled adults who have ongoing support needs to live well and have a good life. A "good life" means living independently at home wherever possible, with opportunities to spend time with other people and to do things which are meaningful to that individual. Current ways of supporting adults do not consistently result in everyone achieving all of their goals and living well where they want to live. People and families are not always helped enough to look after themselves and each other. Services can be overly paternalistic and lack the choice and control that services users rightly demand. Social care is often a vital part of enabling people to live independent lives but it is far from being the only component to enable people to live fulfilled lives. We must be ready to have different conversations which take full account people's assets, strengths, knowledge and skills to build and harness the contributions of people, their personal networks, social capital and their local communities. This will support greater wellbeing and independence. The nature and scale of these challenges requires a fundamental shift in how Adult Social Care is delivered to ensure financial sustainability and to help those with social care needs, their families and carers have a better quality of life. There is an emerging consensus that community based models of social work based on Asset Based Conversations that will support a collaborative approach alongside communities, families and carers are the most effective way to approach the challenges outlined above. A review of national best practice and emerging evidence to identify the elements of such approaches that are likely to be of key importance for any operating model that seeks achieve both improved lives and financial sustainability for Adult Social Care. To be successful this will entail: Changing culture and reducing bureaucracy, with an emphasis on having deeper and more specific conversations based upon what people, their families and carers want in terms of their outcomes; Focussing on maximising the Assets, Skills Knowledge and Strengths of individuals and their communities in maintaining health, wellbeing and independence and thereby helping people develop and maintain skills that will maximise their independence in the long term; Reaching people earlier and being more accessible in local communities; Helping people access community solutions and improve their connections with others to reduce isolation and loneliness; Emphasising the importance of being highly responsive when people are in crisis and developing a plan that helps them to regain as much independence as possible; Making the best use of digital and technological solutions to support employees to be more effective and efficient in their work, and help people lead independent lives. Working closely with Community and Health Partners to make best use of resources and ensure that people receive the right care, in the right place at the right time. Overall status this period (Apr) Completed Overall status previous period (Mar) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Apr Mar Scope Status Explanation Programme deliverables have remained within scope remain within acceptable levels. NB: the additional items below which have used programme resource will move into BAU processes post 1st April 2020. a. At the request of the Assistant Director, work will begin with LD team on reviewing readiness for an outcomes strength based review process. b. At the request of the Assistant Director, work will begin with Preparation for Adulthood. Quality Status Explanation Project deliverables completed. Benefits Realisation has moved to business as usual. Costs Status Explanation Project has closed. Resources Status Explanation The team has been flexibly resourced throughout the programme. Project resource has moved to business as usual with wider focus on improvement and realisation of benefits. Non Financial Status Explanation - Detailed analysis of time spent on non-value added processing in Assessment and Care management suggest there remains opportunities to achieve efficiency and time equivalent savings through reducing hand offs and paperwork within the processes. - Paperwork and remote working benefits achieved. Hand offs / waiting lists were on target pre-covid. Tasks & Milestones Status Explanation Project complete. Risks Status Explanation Risks appropriately managed via AMT and regular team meetings with AD and staff. Issues Status Explanation Project closed. Outstanding issues moved to BAU. Remaining detailed issues have changed in light of Covid systems response.  The project now moved to business as usual.  Benefits realisation work has begun through a Strength Based / Holistic review of all cases.  Resources have been agreed to manage ongoing requirements and benefits post project.  The project has moved to business as usual. Reports to The Programme uses existing Management Structures in the HHASC Directorate and uses DMT as its Programme Board. Exec member Cllr. Carol Runciman Sharon Houlden: Corporate Director of Health, Housing and Adult Social Care Director responsible Dependencies Market development, Comprehensive Information, Advice and Guidance for ASC Link to paper if Executive Sept 2016 - Progress toward a new Operating Model for Adult Social Care http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=9305& Ver=4 Additional Adult Social care Support and Resources Executive May 2018 http://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10198&Ve r=4 it has been to another member meeting (e.g. executive, council, a scrutiny committee) ## Project Title Outer Ring Road (A1237) Reporting Period April 2020 Description This project combines the previously separate schemes - YORR roundabout upgrades & YORR dualling (phase 1). This project has already delivered an upgrade of the Wetherby Road roundabout in 2018/19 to the new standard 3 lane approaches and 2 lane exits on the A1237. This project will continue by upgrading the stretch of the A1237 to dual carriageway standard between the A19 junction and Little Hopgrove junction, including the upgrade of the 5 roundabouts on this stretch to the standard already set by the Wetherby Road upgrade. This project will increase the capacity of the ring road, particularly of the roundabouts being upgraded, to reduce orbital and radial journey times. The A1237 roundabout at Great North Way will also be improved as part of this project (although this lies outside the stretch which is to be dualled). Overall status this period (Apr) Overall status previous period (Mar) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Apr Mar Tasks & Milestones Status The combined scheme is now being addressed in various disciplines however there is slight slippage on the programme presented in autumn 2019. Explanation Risk Status Risks are being monitored daily. Explanation Issues Status Explanation The project is to be amalgamated with the proposals for dualling the A1237. This issue is currently being addressed by the project team to approach the scheme as a single entity and bring together the component parts in the next period. 1. Ensuring that all environmental surveys are complete and within date. 2. Continuing negotiations with landowners to attempt to purchase land. 3. A new procurement strategy has been developed and will be presented to Councillors, although there is currently some uncertainty about the timing due to Covid 19. 4. Discussions continue with funding partners (WYCA & DfT) to find a coordinated process for scheme governance. 5. Preparing a public engagement strategy to present to Councillors. 6. Undertaking usage surveys of Public Rights of Way (PROW). ## Future Outlook Planned Work For April 2020: 1. Draft all necessary reports to ensure a swift recommencement of business following the Covid19 virus. 2. Consider structural design issues across the scheme. 3. Progress bridge design details to present to Network Rail. 4. Rearrange meetings with utility companies following Covid19. 5. Continue to attempt to make land purchase. 6. Prepare documentation to appoint designer. Reports to Project reports into the Transport board, Project Board and Lead Members Board Exec member Cllr Andy D'Agorne Director responsible Neil Ferris - Corporate Director of Economy and Place Dependencies LTP4, Local plan Executive West Yorkshire Transport Fund - 24 November 2016 http://democracy.york.gov.uk/documents/s110381/WYTF%20Exec %20Nov%202016%20v5.pdf Link to paper if it has been to another member meeting (e.g. executive, council, a scrutiny committee) Executive July 2017 - Proposed York Outer Ring Road Improvements / Approach to Deliver https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId =10188&Ver=4 Executive December 2018 A1237 Outer Ring Road - Dualling Update https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId =10475&Ver=4 Executive September 2019 York Outer Ring Road Improvements Update https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId =11109&Ver=4 Executive February 2020 - Dualling from A19 Rawcliffe to A64 Hopgrove https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId =11116&Ver=4 ## Project Title Housing Delivery Programme Reporting Period April 2020 Description The accelerated delivery of mixed tenure housing across multiple sites in the city. Overall status this period (Apr) Overall status previous period (Mar) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Apr Mar Financial Status Explanation High level financial modelling has been undertaken to inform the delivery programme. Risks remain around build costs for the remainder of the programme as well as sales receipts from open market and shared ownership homes. To be reviewed following Covid-19. Non Financial Status Commitment to deliver added social value through the Housing Delivery Programme. This needs to be embedded into all design and construction work and the sales and lettings process. Explanation Risks Status Explanation Detailed risk register has been formulated to identify all key risks, assign responsibilities and determine potential mitigation measures. ## Current Status Lowfield  Construction work is continuing, piling for phases 1, 2 & 3 is complete and substructure work is commencing. Brickwork to phase 1 progressing on schedule.  The site team have employed new ways of working to ensure social distancing guidance can be met in Covid-19 crisis. ## Burnholme  Stage B design work has been completed and is currently under review by the project team.  An online design consultation is being run through Survey Monkey and the CYC website.  A cost review is currently being conducted before the scheme progresses into the next stage before planning. ## Duncombe Barracks  Design work complete to end of Stage B.  Various consultation events and meetings held both with internal CYC staff and residents and neighbours to the site.  Overwhelmingly positive response to latest design work. ## Ordnance Lane  Design work is progressing well - now in Stage B of design work and have undertaken 3 separate engagement events which were well attended and well received. ## Future Outlook Lowfield  Continue to progress infrastructure works (drainage, road formations), substructures and superstructures (phase 1 & 2 of site). ## Burnholme  Design will proceed into Stage 3 (preparing planning application).  In the coming month the designs will be taken to the next level of detail with a focus on materiality and building methodology. The team will continue to work to select the best structural type for quality and cost for achieving Passivhaus. Discussions with various council departments will also take place around the proposed planning submission, including developer contributions from the scheme. ## Duncombe  Complete cost appraisal and ensure financial viability of the project.  Commission Stage C design work.  Review outstanding survey work. ## Ordnance Lane  Developing the brief for the older person's living offer with stakeholders. This could include an intergenerational living arrangement.  Review outstanding survey work.  Meeting with the highways and drainage team to discuss and refine these strategies. Reports to Project team consisting of officers at the council who will advise on specialisms such as legal, housing, finance, and procurement. This project team feeds into the Housing Delivery Programme Board, which consists of senior officers and managers. The board guides decisions shaping the programme, setting objectives, scope, and timelines for projects. The board reports into the HCA as part of the partnership arrangement as well as One Public Estate. When milestones are met the programme will report into 'Capital and Asset Board' and 'Health, Housing and Adult Social Care' and 'Employment and Place' Management Teams for coordination and major project issues. Decisions taken by the Council Management Team followed by Executive. Exec member Cllr. Denise Craghill Director responsible Sharon Houlden: Corporate Director of Health, Housing and Adult Social Care Dependencies None March 2017 Executive Meeting https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=93 11&Ver=4 December 2017 Executive Meeting - Delivering Health and Wellbeing facilities for York - Establishing a Delivery Model and the Scope of the Programme Link to paper if it has been to another member meeting (e.g. executive, council, a scrutiny committee) - Delivering the Lowfield Scheme https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 194&Ver=4 July 2018 Executive Meeting - Proposals https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 470&Ver=4 October 2018 Executive Meeting - Duncombe Barracks, Burton Stone Lane https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 473&Ver=4 January 2019 Executive Meeting- Building More Homes for York - removal of the HRA borrowing cap https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 476&Ver=4 September 2019 Executive Meeting - Housing Delivery Programme Update https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11109& Ver=4 ## Project Title Centre Of Excellence Reporting Period April 2020 Description City of York Council with its partners are planning to: a. Deliver a feasibility study to explore the opportunities and benefits of building a Specialist Disabled Children Short Break Facility in York. b. To expand the Family Intensive Rapid Support Team (FIRST) to incorporate a therapeutic short break residential element and to explore the opportunities and benefits of increasing the service offer to neighbouring Local Authorities across the region. The project is part of the wider development of services for disabled children and young people across the city and provides the council with an opportunity to:  Invest capital in developing a 'Disability Centre of Excellence' which has the potential to be a leader in innovative practice both regionally and nationally.  Make York Home for more disabled children and young people by reducing out of Area placements.  Develop and invest in service provision in order to generate future savings and income generating potential.  Deliver better outcomes for disabled children and young people including those with the most complex needs. FIRST is a specialist Clinical Psychology led service that supports families with children/ young people who have a learning disability, autism and the most complex behavioural needs. FIRST provides intensive assessment and intervention for children and their family at the point of potential placement breakdown. The proposed Specialist Disabled Children Short Break Facility would potentially incorporate and replace the short break residential provision currently provided at The Glen and Glen House. Overall status this period (Apr) Overall status previous period (Mar) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Apr Mar  Contractor has ceased work on site. Advisers have advised of "furloughed" resource. Resource Status Explanation  NHS second contribution to funding has been delayed due to first fix not having been completed. Reflected in valuation, so no immediate impact on CYC.  Alternative Drainage solution has resulted in contractor extension of time Tasks & Milestones  Mitigation measures will be put in place to reduce 5 week delay throughout programme Status Explanation  Project estimated completion date has been updated to reflect anticipated opening of new service  Significant delay due to Coronavirus pandemic is envisaged, as yet unquantified Risks Status Explanation Significant risk to programme due to Coronavirus pandemic. Issues Status Explanation Coronavirus pandemic ## Current Status Finance  Client contingency is being monitored closely to ensure risk items and provisional sums remain within contingency budget.  There is an agreed payments schedule, linked to build milestones to draw down NHSE Transforming Care Capital Grant. ## Risks  Substation risk has been closed. Legal agreement between all parties has been resolved and planning application is agreed.  There is certainty to drainage risk. Additional costs have been agreed and plans put in place to mitigate the programme delays.  Ground risks highly unlikely to materialise.  Delay due to cessation of work on construction site due to health & safety concerns relating to Coronavirus pandemic. ## **Programme**  Project end date has been updated to reflect finish when new service is open.  Push to mitigate delay to programme caused by drainage redesign, all other elements of programme are on or ahead of schedule.  Substructure; steel frame system installed; underfloor heating and floor screed in place; roof sealed early March.  Extension of Time due to Force Majeure, as yet unquantified. ## Communication And Engagement  First brick was laid by children who will use the new centre.  Regular residents newsletter agreed and circulated.  Email address promoted for public to contact the project team. ## School Playing Fields  Development of the school playing fields at the back of the school as a mitigation measure for playing fields used at the front has been completed on time and budget. ## Legal  All outstanding legal issues have been agreed. ## Governance  Risks and decisions are being monitored, recorded and agreed through quarterly Project Board.  System established for decisions to be made outside of meetings. While the construction work is postponed, we will maintain regular update communication and will progress with any outstanding design matters in order to ensure that, on recommencement, there can be no further delay to completion. Reports to  The project is accountable to a Project Board chaired by Amanda Hatton - Director CEC.  The project Board contains representation from Children's Social Care, Health, Education, Adult Services and Finance.  The project Board is accountable to CEC DMT chaired by Amanda Hatton, Director of Children, Education and Communities.  The project Sponsor is Amanda Hatton. Exec member Cllr Ian Cuthbertson Director responsible Amanda Hatton - Corporate Director of Children, Education and Communities Dependencies None Executive August 2017 - Re-Commissioning a Short Break Service for Adults with a Learning Disability based at Flaxman Avenue, York https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 190&Ver=4 Executive January 2018 Develop a Centre of Excellence for Disabled Children and their Families in York Link to paper if it has been to another member meeting (e.g. executive, council, a scrutiny committee) https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10 195&Ver=4 Executive April 2018 - Revised Recommendation in Relation to the Capital Budget http://democracy.york.gov.uk/documents/s122950/Centre%20of%20Ex cellence%20for%20Disabled%20Children%20Executive%20Paper%20 April%202018%20Final.pdf ## Project Title Provision Of School Places Reporting Period April 2020 Description The need to provide sufficient school places for current and future residents is a key statutory duty of CYC and will build an educational infrastructure for the city by forecasting likely demand and supply of school places over the medium term (until 2022/23). The aims of this project are to identify where and when additional school places will be required, and work with central government and the school community to provide places in good or outstanding schools. CYC is provided with some 'Basic Need' funding from central government for this purpose and will need to ensure that this and other sources of funding are used to best effect in those areas of greatest need, and to ensure that all educational provision is sustainable in the longer term, working with the school community. The project represents a significant priority for City of York council in delivering educational opportunities for residents. Overall status this period (Apr) Overall status previous period (Mar) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Apr Mar Cost Status Explanation Future Basic Need funding is likely to be very limited and housing developer contributions may not meet the expected requirements for educational infrastructure across all sites. This is being addressed through the Local Plan required infrastructure process, but these requirements exceed any current capital for the costs. ## Current Status Capacity  Identification and prioritisation of schools requiring a review of net capacity has been assessed and visits have now been completed for those schools in the highest 2 priority categories, with assessments fed back to schools. Due to the current national lockdown and thanks to accurate plans being available from the recent building works, the net capacity assessment for the final school in the lowest prioritisation category has been completed as a paper exercise. Confirmation of the accuracy of this net capacity assessment will be achieved by visiting the school once restrictions are lifted. ## Communication  There has been continued communication with developers of some proposed and forthcoming housing sites this period, and with those officers overseeing the draft Local Plan and future infrastructure plan for the city.  Communication is also ongoing to discuss solutions to address the pressures around secondary school place requirements in the south east of the city and put plans in place.  Communication continues around plans to increase secondary school places in the west of the city.  Although outside the scope of this project, construction work has now started in the east of the city to increase the number of secondary school places available.  The current national situation could impact on the speed at which all the above plans can be rolled out and a risk assessment examining this is being compiled.  Communication has taken place this month with a number of primary schools and MATs to discuss the implication of the newly released forecasts and 2020 reception round admissions data on their schools. This also included looking at primary in-year transfer issues in the south east of the city.  Communication is taking place within the team and across departments to investigate the risks associated with the national lockdown on the capital maintenance programme and the knock on effects on providing school places. ## Data Modelling  Formal sign off of the annual SCAP process has not yet been received and is expected later in the year.  Work continues to improve the forecasting process.  The January census data has now been mapped to the catchment areas in both the primary and secondary forecasting models. ## Forecasting  Both primary and secondary forecasts for 2020 have been produced and the forecasts and associated primary and secondary planning area action plans are now available on YorkEducation. ## Policy  The review of the S106 Policy is under way. Work has been completed to give an indication of what the actual primary and secondary pupil yield has been at a number of larger housing developments built in the last 20 years in the City of York. Work has also been completed to give an indication as to the expected pupil yield from these new housing developments for pupils requiring specialist education provision. Liaison with other departments within the Council is now taking place to look at the viability of adjusting pupil yield and the potential impact on other departments.  The Capital Programme for 2020/21 has now been approved.  The admission arrangements for the school year 2021/22 have now been reported to the Executive, the determination notice published and liaison with other admission authorities completed. The main focus of this period: ## Capacity  Following the initial submission of the annual 'SCAP' return, await and respond to any further queries from Department for Education. This process continues for 2019 in coordination with the DfE, with final submission expected to take place imminently.  Feedback net capacity assessments for the final identified school - once a visit to site is allowed. ## Communication  Continued engagement with local schools and academy trusts to gather their views and identify any potential plans about how they could assist in providing for future need.  Continue communication regarding the planning and construction work taking place to address secondary school place requirements in the Secondary Planning Area - East York.  Continue to liaise regarding the proposal to address secondary school place requirements in the Secondary Planning Area - South East York.  Continue to move forward proposals to address the secondary school place requirements in the Secondary Planning Area - West York.  A paper will be prepared for YSAB regarding surplus primary school places in the north of the city. ## Forecasting  Develop the primary and secondary forecasting models. ## **Policy**  Continued work around a refined planning policy approach re: Housing Developer Contributions (HDCs) for current and future developers is in review with colleagues in Planning to ensure compliance with wider CYC policy and agreements re: Local Plan. ## Project Plan  Further develop, communicate and agree the project plan. Reports to Project is overseen by Children, Education and Communities Directorate Management Team and Executive Member for Children and Young People as necessary. Exec member Cllr Ian Cuthbertson Amanda Hatton - Corporate Director of Children, Education and Communities Director responsible Dependencies Local Plan Policy, Economic Strategy, City Transport Policy Link to paper if it has been to another member meeting (e.g. executive, council, a scrutiny committee) Executive February 2018 Admission arrangement for the 2019/20 school year https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=101 96&Ver=4 Executive July 2019 The Provision of School Places and Allocation of School Capital Budgets 2019-2023 to Address Secondary Place Pressures https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=111 07&Ver=4 Executive October 2019 Archbishop Holgate's School - Expansion 2020-21 https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=111 11&Ver=4 ## Project Title Housing Ict Programme Reporting Period April 2020 Description The Housing ICT Programme is a major ICT enabled business transformation and culture change programme which will deliver a new operating model and systems for the Housing and Building Services teams within the Housing Services Department. Procurement of a new ICT solution will enable customer centric, holistic services to be delivered with first point of contact resolution at a place, time and manner that suits the customer. Overall status this period (Apr) Overall status previous period (Mar) Scope Quality Costs Resources Apr Mar Quality Status Explanation  The programme has identified significant pressure against the current timeline around the quality of the programme. A full detailed review of the current programme timeline and impact assessment against the quality that the programme will deliver based on the current timeline will be completed as soon as possible.  All business requirements, ICT and BI requirements validated, signed off and ITT issued.  Due to current disruption caused by Covid-19 the costs for the programme are unknown. Cost Status Explanation  There will be a likely extension due to activity pausing on the programme and we will need to plan this when we get closer to returning to business as usual. It is likely we will have increased costs across salary, external project management and lease of the programme office at Swinegate. Resources Status Explanation All contracts and secondments for staff on the programme run to end of November 2020 and these will need to be extended if the programme resumes as normal. Tasks & Milestones Explanation All current milestones are likely to be moved and will need re-planning when we know we can call on business resource again. Risks Status Explanation Every element of the programme has an increased risk profile due to current pause of workshop activity. We are unable to mitigate a lot of these risks currently as we have paused all workshop activity with the business. Issues Status Explanation The overall cost and timeline of the programme will be increased due to the implementation pause caused by current disruption. The overall programme status has moved to red this month. | | Financial | Non | Tasks | | |------------|--------------|--------|----------|--------| | Benefits | Financial | & | Risks | Issues | | | | | | | | Benefits | | | | | | | | | | | | Milestones | | | | | | | | | | | This is to reflect the fact that, due to the Covid-19 disruption, all business implementation activity has been paused, initially until after the Easter break. This means any activity on the programme that involves subject matter experts from the business. As a result this will impact on timeline and costs for the programme. The programme team continue to use the time effectively to test the existing system configuration and progress activity that can be picked up without business representation. Following the Easter break a review will be carried out to assess if we can start to resume implementation activity or not (remote sessions using Skype). In the next month the programme will:  Continue to use programme pause effectively to review outstanding actions, catch-up and test the system  Continue to engage with all stakeholders and update them on activity  Work with our chosen supplier to keep on top of programme planning as far as possible. Reports to Programme reports to the Housing ICT Programme Board. This group is chaired by the Assistant Director of Housing with key representatives from the HHASC senior management team. The Programme Manager attends the monthly HHASC Senior Management Team (SMT) and both Housing and Building Services department team meetings to update on the programme. Exec member Cllr. Denise Craghill Sharon Houlden: Corporate Director of Health, Housing and Adult Social Care Director responsible Dependencies Digital Services Programme - for delivery of other interdependent projects and technical resources N/A Link to paper if it has been to another member meeting ## Project Title Smart Travel Evolution Programme - Step Reporting Period April 2020 Description STEP is a programme of delivery that will prepare York for the coming revolution in adoption of connected and autonomous vehicles and managing whole city mobility. The project aims to achieve this by:  Improving communications to transport infrastructure and collecting more transport data.  Building a transport data platform to assist the City to meet big data challenges and making more of this data accessible.  Improving transport modelling, that allows us to run City wide models at varying scales, in near real time. This allows us to understand the way the transport network is performing and is expected to improve our transport planning activities. Overall status this period (Apr) Overall status previous period (Mar) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Apr Mar Resources Status Internal strategic modelling resource not in place. Modeller being appointed and should be with team in 3 months. Explanation Tasks & Milestones - Due to the COVID-19 outbreak, the procurement process for the data platform will be delayed. The national lockdown on movement also means that the Classified Junction Counts (CJCs) cannot be carried out for 2020 in time for the model build and 2019 data backwards will have to be used, with the possibility for an update later. Status Explanation - The GLOSA contractor has also requested additional time for completion due to complications associated with staffing through the COVID crisis. - COVID-19 Outbreak has led to a delay in procuring the data platform, obtaining some typical traffic data and on contractor resourcing. Risks - Public Transport Fare and Patronage data required for model build but requires the bus operators to co-operate in a timely manner. Status Explanation - Internal Modelling resource required to ensure models can be adequately accepted and used going forward. - GLOSA is a project deliverable but is not deployed outside of research within the UK. Research has been carried out and solution is now identified, but it still presents a risk as it's new to UK. In the last reporting period:  GLOSA tender pre-contract meeting held with Dynniq.  Real-time Time Speed Data (RTSD) data put together with CYC traffic counters for comparing accuracy.  Data platform specification worked on further.  Draft Model Specification Report delivered to CoYC for review.  Classified Junction Counts (CJCs) planned for the end of March have been cancelled due to the COVID-19 lockdown meaning non-typical traffic would be observed. In the next reporting period:  GLOSA contract to be completed.  Draft Model Specification Report to be completed as final.  Data Platform specification to be shared with stakeholders for review. Reports to The STEP board reports in to Economy and Place DMT and PM updates executive member and Executive when required for updates and approvals. Key decisions are agreed by the Transport Board before reaching executive member or Executive. Exec member Cllr Andy D'Agorne Neil Ferris - Corporate Director of Economy and Place Director responsible Dependencies The Transport Capital Programme and TSAR Project Link to paper if it has been to another member meeting ## Project Title Flood Risk - York 5 Year Plan Reporting Period April 2020 Description CYC are working closely with the Environment Agency to deliver a range of localised improvements to the cities flood defences, this work - the York Five Year Plan - has been developed following the floods and is supported by Government investment. In addition to this we are working with the EA on a catchment scale study to identify opportunities for wider interventions across the River Ouse catchment to further reduce future flood risks into the long term. Overall status this period (Apr) Overall status previous period (Mar) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Apr Mar  The 19 flood cells have a range of challenging technical and environmental elements, the speed of delivery of the whole programme further complicates the delivery. Costs Status Explanation  Value engineering and robust challenge of all solutions is being carried out across all flood cells but delivery of the core outputs with the available funding will continue to be challenging.  Existing cells being taken to planning or where construction has commenced represent value for money and will deliver a robust set of flood risk management interventions, this is reviewed closely by the programme board and assured by the EA Large Project Review Group.  The project team are closely monitoring the available funding and its ability to deliver the programme of works across all flood cells.  CYC continue to work closely with the EA on the delivery of the York Flood Alleviation Scheme as part of the York Five Year Plan.  CYC are members of the Programme Board and EA continue to attend quarterly Executive Member for the Environment Decision Sessions and Economy & Place Overview and Scrutiny bi-annually.  19 flood cells have been identified and schemes to improve existing or build new defences are in varying stages of development in a prioritised manner across the city to deliver the projects stated required outcomes, as determined by Defra, to better protect 2000 homes and businesses in the city.  The Outline Business Case has been agreed by the EA Large Project Review Group for all 19 flood cells.  Planning applications are being submitted for a range of cells, construction has begun on two flood cells - North Street/Memorial Gardens and St Peters School. Planning permissions are being considered for Clementhorpe and Clifton Ings.  The Covid-19 response has delayed all aspects of public consultation. Pending planning decisions for the Bishopthorpe, Clementhorpe and Strensal flood storage area cells are awaiting confirmation of how they can continue.  The EA are working with all consultants and contractors to understand the impacts on the programme. Reports to The Project board sits within the Environment Agency. The Environment Agency has a formal programme board in compliance with PRINCE2 methodology, CYC are a member of the board. The lead Executive member receives a quarterly report and it is the subject of a bi-annual report to Economy and Place scrutiny committee. This approach to governance has been approved and adopted by Executive. Exec member Cllr Andrew Waller Neil Ferris - Corporate Director of Economy and Place Director responsible Dependencies None Executive February 2017: CYC Response to the Independent Flood Inquiry https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=9310& Ver=4 Link to paper if it has been to another member meeting ## Project Title City Centre Access Reporting Period April 2020 Description Project involves the feasibility and design of static and automated measures to be implemented into the area around Spurriergate, Coney Street, Parliament Street and York Racecourse to provide public protection from potential vehicle attack. The proposals follow firm Police and Counter Terror Unit advice to implement measure to protect areas of high footfall. The automated measures will retain vehicle access outside the footstreets hours and allow emergency and other urgent access during footstreets hours through a system of control by CYC. Overall status this period (Apr) Overall status previous period (Mar) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Apr Mar Scope Status Explanation Scope has been extended to include support for HVM measures for Xmas Market and Xmas Lights Switch on and this impacted on the progress of the project. Further temporary measures may be needed in 2020. Resources Status Current lack of CYC engineering support risks progress. Explanation Tasks & Milestones Work ongoing to refine programme plan. Status Explanation Risk Status Risks associated with successful implementation. Explanation Issues Status Clarity of scope of principal designer has been improved but is still an issue and timescales remain challenging. Explanation Current status  Detailed design continuing utilising trial hole information  Procedures and protocols for city centre access continue to be developed  Racecourse design completed and tender documents prepared  Impact of COVID-19 means delays to tendering, supply and completion of some tasks due to reduced availability of key stakeholders, particularly blue light services.  Detailed design continuing utilising trial hole information  Procedures and protocols for city centre access continue to be developed  Racecourse design completed and tender documents prepared  Impact of COVID-19 means delays to tendering, supply and completion of some tasks due to reduced availability of key stakeholders, particularly blue light services. Reports to Programme reports to the Transport Board and is advised by the York Counter Terrorism Working Group There is a CYC internal working group working on the detail. This group is chaired by the Assistant Director for Transport, Highways and Environment. Neil Ferris - Corporate Director of Economy and Place Exec member Cllr Andy D'Agorne Director responsible Executive February 2018: City Transport Access Measures http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10196& Ver=4 Executive September 2018: City Centre Access Update and Priority 1 Proposals http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=10472& Ver=4 Dependencies None Link to paper if it has been to another member meeting (e.g. executive, council, a scrutiny committee) Executive August 2019: City Centre Access Experimental Traffic Order Conclusion and Phase 1 Proposals http://modgov.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11108& Ver=4 Executive February 2020: Phase 1 Proposals (Update) https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=111 16&Ver=4 ## Project Title Parking Review Reporting Period April 2020 Description This project is to research, procure and implement a new parking back office system to replace the current system that is now out of date. In turn this new system will help to bring around a change in how parking is managed and how our customers interact with us by taking forward a customer self service system, such as the purchasing of parking permits and dealing with PCNs (Penalty Charge Notices). Historically there have been a number of issues relating to the delivery of the Parking Services back office system due to issues with the supplier. Motivation for this approach is also brought about by the fact that more than 25% of footfall in the customer centre is for parking related matters. This has been attributed to complex policy, under performing IT systems and associated processes and lack of available on-line services for customers. There is an opportunity to resolve a number of issues with this change project with the delivery of an ICT back office system to deliver this change and as the catalyst to support the development of a new parking strategy and technological roadmap for the next 10+ years in line with the Local Plan and Local Transport Plan 4. As part of this project the Council ICT team are looking into how this system could interface with existing CYC systems, such as FMS and CRM but looking forward, how these systems can interface with other systems such as parking machines and the wider Smart City work the Council is taking forward (STEP). Overall status this period (Apr) Overall status previous period (Mar) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Apr Mar Tasks & Milestones Status Explanation Following the configuration stages, all other stages such as user acceptance testing will likely be delayed due to Covid19 disruption. Timescales, risks and issues will be revised and key decision dates will be added. Risks Status Explanation Due to Covid19 and likely delays the project has been marked at risk. Issues Status Explanation Covid19 and will impact on the key stages of the project, such as UAT stages and ultimately implementation of the system as well as the monthly permit payment option. There will likely be a delay in the user acceptance testing and go live of the project due to the Covid19. As a result this system will not be implemented until later in 2021. Based on initial investigations there is a direct debit solution but further investigation are required and the solution may require a separate project to enable use throughout all CYC services. This project will likely be led by the Customer Services team but due to their time currently being fully focused on the Covid19 response this will be a number of months. Therefore it will be recommended that in order not to delay the go live of this system it may have to be started without a monthly payment solution. Members will be asked to accept this with a view to it being rolled out as part of a phase 2 project. Key progress from March:  Test Strategy Document signed off by CYC ICT development team and confirmed with supplier  Configuration worksheets sent to supplier for initial feedback  Meeting held with supplier on data cleansing with the outcome being the start of a data retention matrix  Change request document created for sign off at the project board  Draft Exec report started to include all changes to permits and the TRO  Dip checks meeting went ahead and questions/answers from the outcome on this were confirmed by the supplier  New handheld device identified for testing. Key progress for April:  Feedback from supplier on UAT scripts and configuration worksheets  Contract finalisation and signed  Continued exploration for offline user options and presented to board - decisions required  Progress with the updated data retention policy for PCN and permit data  Change request document including all associated costs to be reviewed at the re-scheduled board meeting  Handheld device testing against the MDM  Finalised Exec report to be submitted including all changes to permits and to the TRO  It has been accepted by the board that this project is now delayed, potentially well into 2021 due to the Covid19 disruption. Reports to The project is steered by the Parking working group and reports to the Transport Board Exec member Cllr Andy D'Agorne Neil Ferris - Corporate Director of Economy and Place Director responsible Dependencies None Executive February 2016: Parking Review https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=8846&V er=4 Link to paper if it has been to another member meeting. Executive November 2019: Parking Update https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11112& Ver=4 ## Project Title Inclusion Review Reporting Period April 2020 Description The purpose of the inclusion review will be to ensure that The Local Authority and School Community work together to maximise the opportunity for early intervention and prevention and to improve the outcomes of children and young people with special educational needs and/or disabilities (SEND). The review will examine the current configuration of services and the use of funding to support SEND to ensure that there is greater clarity and accountability around the use and impact of resources. The pressures on the High Needs funding block within the designated schools grant (DSG) means that there are accelerating financial pressures in meeting the needs of children and young people with SEND. A key purpose of the Inclusion Review is ensuring that the pressures on High Needs funding are being managed effectively whilst ensuring that the local authority is able to deliver its statutory duties articulated in the Children and Families Act, 2014 and the SEND code of practice. Overall status this period (Apr) Overall status previous period (Mar) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Apr Mar - The scope is being revisited to incorporate findings from IMPOWER and Ofsted. Scope Status Explanation - A draft written statement of action has been produced and is being reviewed by LA and CCG. Delivery of workstreams is being adversely impacted by Covid19 Quality Status - The findings from the Local Area SEND Inspection will also be aligned with the Inclusion Review through the Written Statement of Action which needs to be submitted to Ofsted by 3rd June. Explanation - Work to progress the workstreams is being impacted by Covid19. Costs - IMPOWER and the SEN transport consultant have identified areas for potential savings - these will need to be brought in to the programme and will deliver opportunities in the medium to longer term. Status Explanation - The outcomes of the SEND Inspection are likely to increase some areas of cost in the short term to ensure that actions identified in the Written Statement of Action are delivered. - The reprofiling of the Danesgate Community budget is taking place but the commissioned number will take 18 months to reduce. Resource Covid19 is potentially going to result in additional costs. Status Explanation Financial Status Explanation The work currently taking place to review panel processes and practice models will provide opportunities to reduce costs in some areas, however, Covid19 is impacting on the ability to move forward. Tasks & Milestones The progress on tasks and milestones, particularly related to the written statement of action is being adversely impacted by Covid19. Explanation Risk Status Active risk management is ongoing. Explanation Issues Status Explanation A draft written statement of action has been produced and is in the process of review and development. Establishing workstreams is being adversely impacted by Covid19.  Phase 3 of the Inclusion Review has started and a steering group appointed. The programme plan will be developed by this group using the recommendations from phase 2 of the review.  The strategic principles developed in stage 2 have been agreed and shared with the Council's Executive, Schools forum and members of the York Schools and Academies Board.  Capital works have taken place at Hob Moor Oaks primary special school (August 2018) and capital works have been agreed to support the development of the post 19 local education offer at Blueberry academy and Askham Bryan College.  Expressions of interest for secondary satellite provision have been received and a project plan is in the early stages of development.  A feasibility study is taking place with a primary school to support the development of a proposed primary ERP provision.  Preliminary work to review the Behaviour and Attendance Partnership protocols and processes is underway.  A steering group has been established to oversee the academy conversion of the Danesgate Community. This will put in place a commissioning agreement with the South Partnership Multi-Academy Trust which will define the future relationship between the local authority and Danesgate when it becomes an alternative provision academy.  Proposals about the development of alternative provision have been shared with the secondary heads forum in March 2020. Further consultation with schools has been impacted by COVID 19.  Headteacher recruitment for the Danesgate Community has been successfully completed and the new head will take up post in June 2020. The School Inclusion Adviser is supporting the Danesgate Community 2.5 days a week.  The interim financial model for Danesgate has been agreed and the commissioned number for 2020-21 has been set. Reports to CEC, DMT Exec member Cllr Ian Cuthbertson Amanda Hatton - Corporate Director of Children, Education and Communities Director responsible Dependencies None Executive November 2018: The Inclusion Review and the Special Needs Capital Grant https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=1 0474&Ver=4 Executive August 2019: Executive Report Danesgate Land Academy Conversion https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=1 1108&Ver=4 Link to paper if it has been to another member meeting (e.g. executive, council, a scrutiny committee) Executive November 2019: Millthorpe School - Enhanced Resource Provision https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=1 1112&Ver=4 ## Project Title Be Independent Reporting Period April 2020 Description Be Independent (BI) is the provider of the Council's community alarm and equipment service. This includes a 24 hour response service, assessment and installation of equipment, telecare and assistive technology services. These services play a key role in supporting better outcomes for individuals either in their own homes, supported living or in residential and nursing homes across the City. The aim is to prevent, reduce or delay the need for care, enabling people to be as independent as possible. Previously provided in-house, the service was externalised in 2014 and the Council supported the establishment of a social enterprise in the form of a Community Interest Company (CIC) to deliver the service. In June 2018 the Executive agreed to the transfer of Be Independent service back to the Council and the direct management of Health, Housing & Adult Social Care. All assets and liabilities will be transferred from Be Independent to the City of York Council and staff transfers will be agreed under TUPE. Following the transfer which was completed in August 2018, an operational review of the service has commenced to understand its core functions, purpose, strengths and areas for improvement to ensure that it is sustainable. Whilst the overarching vision for the service will be coproduced in line with the Council's vision, a 3 month IT scoping project has been commissioned to review the systems/processes currently in use as this is a key priority to move the service forward. Be Independent needs to have a robust IT infrastructure in line with CYC protocols to enhance and grow the business, and improve the customer experience of this Community Equipment & Response Service. By utilising the latest technology (GDPR compliant), workers will become agile and customers will have a seamless service from all teams including Business Support, Response, Assessment and Control Teams, where an overburden on paperwork is phased out. IT aims to integrate different software systems used for call handling, stock management and financing linked to a service manager with comprehensive performance reporting tools. Streamlining software systems and providing teams with the appropriate hardware (with internet connection) is a primary focus in order for the teams to perform efficiently and effectively. This will improve the use of resources, develop capacity and ensure a strength based approach can be implemented in the future. Overall status this period (Apr) Overall status previous period (Mar) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Apr Mar Scope Status Explanation - Due to the current COVID19 situation, staff have been mobilised with laptops to continue to work from home where possible. New business processes have been put in place to avoid social contact where possible, as well as adaptations to taking payments. A new call handling software solution will be the focus of the project moving forward to enable a fully mobile workforce. Tasks & Milestones Status - The main focus of the project is to replace the call handling system to enable a mobile workforce in line with the vision and direction of the service area, to ensure it is future proof and fit for purpose. With more in light of COVID19. Explanation - Discussions around how IoT can support early discharge / home from hospital with expected surge of COVID19 cases. - Roll out of devices for majority of staff to continue to work from home where possible. Issues Status - Issues remain under review. Explanation  Be Independent would like to move forward with a new call handling provider. ICT running through security checks and working with procurement on contract once cleared.  Wider research around how people view technology in social care, their expectations and whether they feel it can help people live more independently has been put on hold for now due to COVID19 impact.  Mosaic user access has been granted to staff to view and edit records.  "Internet of Things" proof of concepts are on hold until further notice due to COVID19 and weighing up plan of action to support customers.  Mobile workforce have been issued laptops to continue to work from home where possible, however, some requests for additional stock have been placed recently and coordinated by service desk.  Finalise contract with new call handling provider.  Begin work on migrating data, testing and implementation for new system.  Determine plan of action for IoT to support current COVID19 situation.  Support new working processes with devices in light of COVID19 situation. Reports to Head of ICT/Director level/CMT/Executive Exec member Cllr Carol Runciman Sharon Houlden - Corporate Director of Health, Housing and Adult Social Care Director responsible Dependencies None Executive June 2018 - Transfer of Be Independent to the direct management of City of York Council https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=1 0469&Ver=4 ## Link To Paper If It Has Been To Another Member Meeting Project Title Procurement Of Msa And Strategic Engagement Technology Partner - **On Hold** Reporting Period April 2020 Description To develop a specification, procure and appoint a technology provider to deliver the City of York Council's (CYC) essential managed network services arrangements (MSA) this includes connectivity, voice and data services. CYC's current MSA contract expires following an extension period, on 31 August 2020. The contract is currently worth £2million per year and the new contract is likely to run for at least a minimum of 10 years. The procurement process was approved by Executive in November 2017, and progressed proper in April 2019 after the appointment of commercial procurement partners to support internal capacity, with the view to develop an Invitation to Tender for both CYC and Harrogate Borough Council. The scope of the review then changed in July 2019 to proceed to meet CYC requirements only, due to a change in Harrogate's local circumstances. There is continuing good relationships between the two councils and a shared management team. The new provider will be a strategic technical delivery partner enabling CYC to achieve its strategy for the delivery of digital services to its residents, businesses and partners. Progress of the original project to date includes documenting the requirements of both councils and production of a draft ITT. The changing scope of the procurement has allowed a pause in proceedings to allow for the following:  A review of work done to date and a revision of the scope of the project.  Bringing the project in line with Council's All About Projects approach  Addressing of known risk as per independent legal and technical advice commissioned given the time taken to date and learning from recent procurement practice elsewhere. The aim of this revised project is to recommence the procurement with a robust approach and assurance that the Council can secure the best MSA going forward given changed scope and lessons learned. Overall status this period (Apr) Overall status previous period (Mar) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Apr Project placed on hold 24th March 2020 due to the Covid 19 Pandemic. Re-start will depend on resumption of business as usual. Reports to  Project Board chaired by a Project Sponsor and meets on a monthly basis.  Project Steering Group chaired by the Project Manager meets weekly.  Project Sponsor and Project Manager meet weekly.  Legal and Finance/Procurement are represented at both meetings at both strategic and operational levels.  Oversight is provided by the Council's Corporate Project & Programmes' manager.  Independent assurance provided by an external adviser/consultant. Exec member Cllr Nigel Ayre Ian Floyd - Deputy Chief Executive & Director of Customer & Corporate Services Director responsible Dependencies Link to paper if it has been to another member Exec Dec 2017 - Procurement of ICT Managed Services https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId= 10194&Ver=4 ## Project Title Hyperhubs Reporting Period April 2020 Description By providing Hyper Hubs at Poppleton and Monks Cross Park and Ride sites, a solar canopy would be erected over approximately 100 parking spaces, providing space for 1,400 m2 of solar panels. This canopy is an elevated structure - essentially a roof below which cars can still park - with solar panels on the top. Adjacent to the canopy, but not on land currently used for parking, there would be an energy storage facility - a battery. At each site there would also be eight charging points for electric vehicles. Electricity generated by the solar panels would be used to hyper charge vehicles plugged in to the charging points. Electricity not used immediately would be stored in the battery. When the battery is full, this electricity could be fed into the national grid. The solar canopies would use the free space immediately above the vehicles to harvest solar energy to the site. Batteries would then store the electricity, providing it either to hyper charge electric vehicles when plugged in, or feeding it into the UK electricity grid. The electric vehicle infrastructure element of the project is to purchase and install the DC 'hyper' charging points (faster than current 'rapid' charge speed points at 50kW) which will supply the energy to the vehicles. These will be installed in a Hub of eight car bays which can supply up to 150kW power output per car, with a typical charging session taking 10-20 minutes. By way of comparison, a typical home charging point takes around eight hours to charge an electric vehicle. Overall status this period (Apr) Overall status previous period (Mar) Financial Non Tasks Scope Quality Costs Resources Benefits Financial & Risks Issues Benefits Milestones Apr Mar  All future project milestones will be revised over the next month to Tasks & account for Covid-19 situation. Milestones  Our approach is to continue with desktop based work which can be Status Explanation progressed during the current movement restrictions. We will develop a robust construction plan with a flexible start date which will begin once the covid-19 situation allows. Risk Status Explanation Risks updated to reflect most significant current risks to the project.  Procurement process has been completed.  Contract awarded to EvoEnergy.  Project team and Evo Energy will produce a robust project plan which accounts for likely delays due to Coronavirus situation.  Evo Energy will begin work on desktop based activities: site layout, electrical design, DNO connection. Reports to The project will report to the Transport board. This is an internal board that is chaired by the Assistant Director for Transport, Highways and Environment. The members also include the Head of Transport, who acts as the City of York Council client for the project and the Head of Programmes, who is responsible for the delivery of projects within the Economy and Place Directorate. The Project Manager will report to the Sustainable Transport Manager (who reports to the Head of Transport) and will be held to account for delivery by the Head of Programmes, who will also provide Project assurance. Finance also are members of the board to provide any technical input. Exec member Cllr Andy D'Agorne Neil Ferris - Corporate Director of Economy and Place Director responsible Dependencies Link to paper if it has been to another member Executive March 2019 - A Sustainable Future for York with Hyper Hubs https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11469& Ver=4 Executive Sept 2019 - Reducing York's Carbon Footprint with Electric Vehicles https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11109& Ver=4 Executive March 2020 - Electric Vehicle Charging Strategy https://democracy.york.gov.uk/ieListDocuments.aspx?CId=733&MId=11117 &Ver=4

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## Dclg Salary Transparency The Department for Communities and Local Government (DCLG) has sought consent from individuals to publish the names and salaries of those staff earning a full-time salary over £60,000 (the Senior Civil Service minimum as at 31 March 2014). The Department recently published an updated Local Government Transparency Code 2014 which covers local authorities in England. The full Local Government Transparency Code 2014 can be accessed here: https://www.gov.uk/government/publications/local-government-transparencycode-2014 On the 31st March 2014, 151 Department staff were earning a full-time salary of £60,000 or higher. Please note that though all of these 151 staff have a full time salary of £60,000 or higher, some of these staff work part time and the salary they receive is adjusted accordingly. The figures quoted here all refer to the full time salaries of individuals, regardless of whether they work full time or not. The breakdown of these staff in salary bands by DCLG Group is as follows: Salary Group Salary floor ceiling Total Permanent Secretary £190,000 £194,999 1 £60,000 £64,999 12 £65,000 £69,999 12 £70,000 £74,999 9 Finance & Corporate Services £90,000 £94,999 1 £95,000 £99,999 1 £100,000 £104,999 1 £110,000 £114,999 2 Finance & Corporate Services Total 38 £60,000 £64,999 15 £65,000 £69,999 7 £70,000 £74,999 5 £85,000 £89,999 3 Localism £90,000 £94,999 2 £105,000 £109,999 1 £120,000 £124,999 1 £160,000 £164,999 1 Localism Total 35 £60,000 £64,999 26 £65,000 £69,999 18 Neighbourhoods £70,000 £74,999 8 £75,000 £79,999 2 | £80,000 | £84,999 | 3 | |---------------------------------------------------------------|------------|------| | £85,000 | £89,999 | 1 | | £90,000 | £94,999 | 3 | | £95,000 | £99,999 | 1 | | £105,000 | £109,999 | 1 | | £130,000 | £134,999 | 1 | | Neighbourhoods Total | | | | £60,000 | £64,999 | 2 | | £65,000 | £69,999 | 5 | | £70,000 | £74,999 | 2 | | £75,000 | £79,999 | 1 | | Strategy, Communication & Private Offices | | | | / Troubled Families Team / Other | | | | £80,000 | £84,999 | 1 | | £110,000 | £114,999 | 1 | | £130,000 | £134,999 | 1 | | Strategy, Communication & Private Offices / Troubled Families | | | | Team / Other Total | | | | 13 | | | | Grand Total | | | 51 DCLG staff earning a full-time salary over £60,000 consented to disclosure of their name and salary details in salary bands as follows: | Last Name | First Name | Salary floor | Salary ceiling | |--------------|---------------|-----------------|-------------------| | ALAFAT | TERRIE | £105,000 | £109,999 | | ALDRIDGE | STEPHEN | £100,000 | £104,999 | | BENIOFF | SARAH | £90,000 | £94,999 | | BOWREY | JULIAN | £70,000 | £74,999 | | BRODRICK | DAWN | £95,000 | £99,999 | | BUCHANAN | KIRSTY | £65,000 | £69,999 | | BURKITT | NICHOLAS | £60,000 | £64,999 | | CAMPBELL | ANDREW | £90,000 | £94,999 | | CARROLL | MARK | £105,000 | £109,999 | | CASEY | LOUISE | £130,000 | £134,999 | | COX | PHILIP | £90,000 | £94,999 | | DENNISON | SCOTT | £65,000 | £69,999 | | DEXTER | NICHOLAS | £70,000 | £74,999 | | DOWNIE | PAUL | £60,000 | £64,999 | | DUNCAN | GRAHAM | £65,000 | £69,999 | | EDWARDS | HELEN | £160,000 | £164,999 | | EVERTON | JANE | £70,000 | £74,999 | | FLETCHER | GRAHAM | £65,000 | £69,999 | | FOULDS | BRIAN | £65,000 | £69,999 | | HALL | ROBERT | £65,000 | £69,999 | | HILL | DAVID | £80,000 | £84,999 | | HOLLAND | PETER | £120,000 | £124,999 | | KEAN | ANDREW | £65,000 | £69,999 | |----------------------------------------------------------|-------------|------------|------------| | KERSLAKE | BOB | £190,000 | £194,999 | | KUENSSBERG | DAVID | £70,000 | £74,999 | | LEDSOME | ROBERT | £75,000 | £79,999 | | LEE | JACK | £65,000 | £69,999 | | LLEWELLYN | BENJAMIN | £65,000 | £69,999 | | LOCKHART | STEPHANIE | £60,000 | £64,999 | | MEGAINEY | CHRISTOPHER | £65,000 | £69,999 | | MOCKFORD | STUART | £65,000 | £69,999 | | MORGAN | ANDREW | £70,000 | £74,999 | | NEEDS | BRIGITTE | £60,000 | £64,999 | | NICHOLSON | GILL | £70,000 | £74,999 | | O'CONNOR | NEIL | £85,000 | £89,999 | | RANDALL | SALLY | £60,000 | £64,999 | | REED | MICHAEL | £65,000 | £69,999 | | RIDLEY | SIMON | £85,000 | £89,999 | | ROSSINGTON | DAVID | £110,000 | £114,999 | | SCATES | DARREN | £110,000 | £114,999 | | SCHOFIELD | PETER | £130,000 | £134,999 | | SHELDON | CAMILLA | £60,000 | £64,999 | | SMITH | DAVID | £70,000 | £74,999 | | STANIER | RUTH | £80,000 | £84,999 | | SWEENEY | JULIA | £80,000 | £84,999 | | TUKE | JOSEPH | £110,000 | £114,999 | | WALKER | THOMAS | £65,000 | £69,999 | | WECHSLER | THOMAS | £65,000 | £69,999 | | WHATMORE | ELIZABETH | £70,000 | £74,999 | | WHITE | PATRICK | £85,000 | £89,999 | | WILKIE | AIDAN | £70,000 | £74,999 | | | | | | |  | | | | | 33 staff did not respond. | | | | |  | | | | | 67 staff did not consent to disclosure of their details. | | | |

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National Archives - a proposed approach for sector-led improvement and development December 2011 About the LGA The Local Government Association (LGA) is here to support, promote and improve local government. Local government is facing the most radical changes, as well as the most significant opportunities, in a decade. We will fight local government's corner and support local authorities through challenging times by focusing on our top two priorities:  representing and advocating for local government and making the case for greater devolution  helping local authorities tackle their challenges and take advantage of new opportunities to deliver better value for money services. Visit www.local.gov.uk Introduction 1. This paper sets out a framework for a new sector-led improvement and development programme for local archives. 2. The LGA appreciates The National Archive (TNA) has only recently inherited wider responsibilities for the archive sector. As a result it is in the initial stages of consultation before creating a new business plan. This document aims to provide a useful tool to TNA in setting out LGA's initial thoughts on sector development and what TNA's role should be. In addition, this document suggests some first thoughts on how we can work in partnership to develop and modernise the archives sector. Proposed approach 3. The proposed approach is driven by a desire for TNA and the LGA to develop a joint vision and improvement programme for local authority archive services. It realises the critical role local authorities play in providing a modern and thriving archives service, enabling TNA to develop a key strategic partnership. 4. LGA and TNA to establish a new, forward-thinking national partnership and innovative joint improvement programme. This is to create a modern, innovative and efficient archives service, underpinned by an ambitious self-improvement programme. The LGA is to represent local authorities within TNA's decision-making structures, such as TNA's Implementation Group and provide support and advice to the Archives Sector Development team. 5. Encourage TNA and Arts Council England (ACE) to work closely together to have a single conversation. This is in order to build a coherent cultural sector, sharing innovation and best practice between and within sectors. This will also enhance opportunities for the archives sector to access funding and programmes provided by ACE, for example accessing Renaissance funding. 6. Support TNA's development with the sector of an accreditation scheme as a key self-improvement tool for the sector. TNA to work in partnership with local authorities and other sector providers to develop the accreditation scheme as a tool which will best support excellent service delivery. The LGA would welcome acting as a 'critical friend' in the development of the scheme. 7. **TNA to support local authorities to deliver their statutory duties** in relation to record management and promoting equality. The LGA will work with TNA to share good practice in effective records management. There is a real opportunity for commercialisation of public sector record management services to provide additional income. The LGA would encourage TNA to explore and promote appropriate entrepreneurial opportunities for the sector. 8. The LGA would welcome clarity from TNA on what they foresee their exact role to be and what **funding opportunities** they will be offering to local government to improve archive service delivery. 9. The LGA recognises the urgency and challenges facing the local archives sector and local authorities more generally. We would be committed to working with TNA in exploring what support can be offered to local authorities in the immediate future of 3-6 months before TNA's business plan for wider archive sector work is formalised and while local authority budgets are being finalised. Context 10. It is fundamental any programme acknowledges the new policy context we are working in, namely that:  The Government has placed a greater emphasis on localism and the 'Big Society': the need for public services to engage volunteers and community groups and to be accountable to their local communities. We recognise the experience the archives sector brings to this.  The Government has also dismantled much of the top-down performance management regime imposed upon local authorities. Local government is taking collective responsibility for its own sector-led improvement, as set out in the LGA 'Freedom to lead' document.  Local authorities are faced with significant budget reductions but there is also less ring-fencing of funds received. In the community budget areas there is greater flexibility to pool central government spending and spend it on what matters most locally.  In addition, much of the old regional architecture, such as regional development agencies (RDAs), has been abolished and there is a greater emphasis on local and sub-regional collaboration to deliver better services and make cost savings.  There is an ever-increasing appetite for accessing information digitally. Development has begun on the Government and private sector's partnership to provide broadband access to every home in UK by 2015, with 90 per cent of homes and businesses having access to super-fast broadband.  Local authorities have a statutory duty for the management of public records. Both are important, especially in relation to modernisation and digitisation of archive services.  TNA is facing significant budget pressures, coupled with wider responsibilities for the archive sector. Partnership working is vital to ensure sensible strategic decisions are made which maximise the effective distribution of limited resources.  The ACE has taken over responsibility for museums and libraries from the Museums, Libraries and Archives Council (MLA). It is important that the archives sector maintains its profile alongside these two much larger sectors and continues the vital dialogue with the museums and library sectors.  In November 2011, the LGA published 'Taking the lead: selfregulation and improvement in culture, tourism and sport'.  TNA are represented on LGA's Culture, Tourism and Sport Improvement Project Group. As a result, the sector is experiencing a fast pace of change and there is a real urgency to the challenge facing local archive services. The LGA is acting now because councils will be taking decisions over the next few months that could curtail the sector's self-improvement capacity. Key principles 11. The LGA is pleased TNA identifies that the provision of archive services varies significantly on a local scale in terms of size, budget, facilities and local profile. Therefore with TNA's support, local authorities are best placed to decide how to run their archive services providing the best service for their local community while achieving value for money. 12. LGA is broadly supportive of TNA's model for excellence for publiclyfunded archive services as set out in 'Archives for 21st century' document. Local authorities are already running innovative models for their archive services, focused on finding local solutions to meet local needs - see case studies in Annex 1. We would welcome the support TNA can offer local authorities in developing and supporting such creative thinking through initiating projects, partnership working and sharing knowledge. TNA can also procure national deals for projects especially in digitalisation resources which would bring value for money to local authorities. However, it is important such resources meet the local needs of local authorities. 13. LGA are very supportive of TNA's idea of developing bigger and better services in partnership with other local authorities and the private and charitable sector in order to achieve efficiency and value for money. In order for this to work it would need to be led by local need as there is no 'one-size-fits-all' model. LGA in partnership with MLA ran a Future Libraries Programme, which included looking at sharing backroom functions in delivering library services. It highlighted important issues to be aware of such as council's desire for their libraries to maintain their own identity and local look and feel, to the difficulties arising in decision making between two authorities of different political persuasions. The LGA would be happy to share the lessons learnt from the Future Libraries Programme and its successor, the Libraries Development Initiative, with TNA. 14. Strong political leadership is vital for local archive services to thrive. TNA and LGA will play an important role in ensuring local politicians and professional archive staff work in partnership to run resilient and efficient archive services. 15. We feel that TNA's new responsibilities create an exciting opportunity for local authorities to benefit even more from TNA's depth of knowledge and experience in this sector. With both local authorities and TNA experiencing funding cuts, the LGA feels TNA could add the most value by acting as a catalyst to maximising resources. This could be through sharing good practice, building influence across government, encouraging initiatives in the sector, and supporting local archive services to strengthen and develop. It could also include building upon TNA's existing work with local government, such as the current web archiving work. In times of austerity with differing opinions on spending priorities, TNA can play an important role on behalf of local authorities by advocating the public value of archives, such as underpinning democracy and learning. 16. Partnerships between archive services and libraries and museums offer opportunities to develop more innovative services. Therefore, it is essential that there is a joined-up conversation between TNA and ACE, whose remit now includes museums and libraries. This is especially so given that some local authorities make no distinction between their library and archive services. Furthermore, there are already some good practice and innovative models which have been born out of LGA and ACE's work on libraries which could be useful for developing archive services. 17. TNA can play a key role in improving and supporting service quality through a sector-led improvement scheme. With the wealth of knowledge and expertise TNA has in archive delivery it can recognise and promote excellence through sharing innovative ideas and best practice. We would support any useful tools TNA could equip local authorities with as part of a sector led improvement offer. TNA's archives accreditation scheme could be such a tool as councils could use it to monitor and benchmark their own performance, driving up service standards. Next steps 18. The LGA would like at an early stage to begin a conversation with TNA to establish a new, forward-thinking national partnership and discuss the ideas outlined in this document in more detail. Background Local Government's Archive Services 19. More than 130 local authorities provide archive services, local studies and local history libraries. The collections of unique records in their care document a community's identity. There are more than a million visits to local authority archives each year. Many books, magazines, plays, films, television, radio and websites rely on information from archives - much of it in the care of local authorities. Local authorities also have a legal responsibility to look after their records, charged by statute to 'make proper arrangements' for them. 20. Local authorities hold records of national and international importance. These include the official records that underpin democracy and the records of the lives of ordinary people, businesses and local life that add colour and texture to the official record. And it's not just paper and parchment. Most local authority collections contain photographs, maps, plans, prints, drawings, sound recordings, moving images, microfilm and digital records. Together these unique records provide sources of inspiration, enjoyment and learning. 21. Innovative projects, such as Hull History Centre and The Keep in East Sussex, are showing how imaginative archive services can contribute widely to the local community. This is through education, culture, health and social initiatives and they can become a high-profile point of civic pride and economic development. For more information contact: justine.wharton@local.gov.uk Appendix 1 Best practice and innovative case studies 22. In times of austerity, innovation is more important than ever. Local government has already demonstrated its commitment to TNA's goal of ensuring that services are secure, sustainable, resilient and innovative. Below are four case studies demonstrating local government's resourcefulness and innovation. Case study: Durham County Record Office - utilising volunteers Durham County Council's Record Office set up the Mining Durham's Hidden Depths project in October 2009. So far more than 100 volunteers have created 86,701 entries for an online index designed to "make County Durham's mining heritage more accessible to informal adult learners by exploiting a major archive collection of national and international significance." By the project's official end, in March 2010, more than 60,000 miner's names had already been indexed and new data made available online for people to access. A network of 106 volunteers with a wide range of ages and abilities trained in research and indexing techniques. Fifty of those people expressing an interest in continuing their voluntary work with Durham County Records Office. Case study: Centre for Buckinghamshire Studies - digitalising and inspiring new audiences At the Centre for Buckinghamshire Studies (CBS), they have been encouraging secondary schools to use their resources, especially their archives and collections. To achieve this, they have taken advantage of the availability of virtual learning software in all schools in the county. Having been inspired by a demonstration of The National Archive's 'virtual classroom', CBS used the software as an innovative and inexpensive way of bringing their archives into the classroom. The virtual classroom sessions allowed pupils and archivists to interact and discuss documents and other items stored in the CBS archives. An item would be presented onscreen for the pupils to study, while other parts of the software allowed students to hear the archivist talk about it. Students could also type questions to the archivist. While this session has been trialled in one school, the hope is to spread it out to secondary schools throughout Buckinghamshire. Case study: Somerset Heritage Centre - sharing services and a one stop access to resources including online. Somerset Heritage Centre (SHC) opened in September 2010. It marked a new beginning for the county's heritage by combining on one site Somerset's archive, museum and local studies collections and making them available in a fully modern setting. The SHC is also home to the county's Records Management, Historic Environment and Registration Services, as well as to the long-established Somerset Archaeological Society. The SHC replaces 16 former premises, including the Somerset Record Office of 1958, but has been far more than a building project. It has allowed greater cost-effectiveness through shared services, including customer service, learning and outreach, and one-stop access to resources both onsite and online (a new website is about to be launched). Financial resilience has been strengthened through agreements to supply archive and records management services to other organisations, and an audience development plan has shaped engagement with new and existing audiences as well as with volunteers. Since opening, nearly 60 volunteers have begun work on archive-related projects. Visitor numbers have also risen sharply. Together with the related project to create the Museum of Somerset (just opened), the new SHC expresses a belief that innovative delivery of archive and other heritage services has a very significant role to play in supporting local and national agendas at a time of great financial pressure. Case study: Derbyshire Record Office - Artist-in-residence to engage new audiences Derbyshire Record Office is merging with Matlock Local Studies Library to provide a one-stop-shop for local and family history research in the county. A major building project, costed at £4.2 million and entirely funded by Derbyshire County council, has begun at the Record Office to extend storage capacity and create exciting new public spaces for this purpose. An artist-in-residence has been appointed for the duration of the building project to work with staff and the community, informing the interior design, enlivening the public space with art and raising the profile of the service. The artist will particularly work with people who haven't used the service before to encourage them to feel a sense of ownership and pride, and to create a welcoming environment that continues to attract new audiences to the service. Overall, the project will nurture a culture of creativity within the Record Office and local studies team that will give them the skills and confidence to continue to engage creatively with new audiences once the project has finished. The project has already received Archive Pace Setter status, which aims to encourage innovative projects within the archive sector and promote good practice in archives as part of wider workforce development and advocacy strategies.

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## Part Two: Pottery In India And Khurja By Amitav Rath ## Table Of Contents Part 2: Pottery In India And Khurja PREFACE .................................................................................................................................................... II POTTERY IN INDIA................................................................................................................................... 1 POTTERY IN KHURJA.............................................................................................................................. 3 KHURJA....................................................................................................................................................... 3 INFRASTRUCTURE ....................................................................................................................................... 3 Transport ............................................................................................................................................... 3 Power Supply......................................................................................................................................... 4 Water Supply & Sanitation .................................................................................................................... 4 Solid Waste Management....................................................................................................................... 4 Telecom Services.................................................................................................................................... 4 Educational Facilities............................................................................................................................ 4 Healthcare Facilities ............................................................................................................................. 5 Banking.................................................................................................................................................. 5 Industrial Estates ................................................................................................................................... 5 THE HISTORY OF POTTERY IN KHURJA....................................................................................................... 6 Origins................................................................................................................................................... 6 1950s and 1960s .................................................................................................................................... 7 1970s - 1980s ........................................................................................................................................ 8 1980s-present......................................................................................................................................... 8 CURRENT STATUS OF THE POTTERY SECTOR IN KHURJA ..................................................... 11 PRODUCTS................................................................................................................................................. 11 NAME OF PRODUCT................................................................................................................................... 11 NUMBER OF OPERATING UNITS................................................................................................................. 11 MARKET.................................................................................................................................................... 12 PRODUCTION PROCESS.............................................................................................................................. 13 SOURCING RAW MATERIALS..................................................................................................................... 13 EMPLOYMENT........................................................................................................................................... 14 HEALTH ISSUES......................................................................................................................................... 16 POLLUTION AND ENVIRONMENTAL IMPACTS ............................................................................................ 17 ENERGY USE IN POTTERY................................................................................................................... 18 USE OF ELECTRICITY ................................................................................................................................ 18 ENERGY EFFICIENCY IN THE USE OF ELECTRICITY.................................................................................... 19 KILNS........................................................................................................................................................ 19 Coal...................................................................................................................................................... 21 ## Preface The main objectives of the DFID Project R7413 are to promote mechanisms to increase the adoption of energy efficient technologies and practices in the case of one small scale industry sector in India and Ghana. The sector chosen in India is the ceramic sector. The focus of the work has been in one large cluster of ceramic firms in Khurja, India. The process followed in the project has been to: - map the operational practices in a sample of units and develop working relationships with relevant stakeholders; - examine existing practices to determine possible improved practices that could be adopted including new technologies in the main energy using parts of the operations, and, - analyse the extent to which energy efficiency gains can be achieved in a manner that is also financially attractive to the firms. Finally, the intention of the project is to examine the barriers to the adoption of improved technologies and to suggest specific interventions to reduce the barriers. This is provided that the suggested improvements are found to have a sufficiently high rate of financial return, making them potentially sustainable without subsidies. This section first examines the pottery industry in India. This is followed by a more detailed examination of Khurja and its pottery industry. This includes an account of the history of the pottery industry in Khurja. The current status of the pottery sector is examined in detail, including current production levels and markets, employment levels and the environmental impacts of the industry. At the conclusion of the section, attention is given to the pattern of energy use in the pottery industry, with particular reference to kilns. The work done in India is detailed in the following sections: Part One Poverty and Energy Efficiency in Small Industries - A Review of the Issues Part Two Pottery in India and Khurja | Part Three | Some Problems and Solutions in Khurja | |---------------|--------------------------------------------------------------| | Part Four | Improvements | | Part Five | Conclusions | | Annex 1 | Survey of the Pottery Industries in India | | Annex 2 | Work Plan Followed for the Project and Project Design Issues | | Annex 3 | Availability & Prices for Various Equipment / Instruments | | Annex 4 | Pilot Questionnaire for Energy Use in Khurja Pottery Kilns | Annex 5 Details of Ceramic Fibre Insulation at Naresh Potteries Annex 6 Ceramics' Industry Pollution Regulations Annex * * Temperature Profiles for Khurja Firms Annex * * CERAM Report Annex * * Study on Energy Conservation Opportunities In Ceramic Industries Khurja PCRA 2000 The people and institutions who participated in this project and their contact details are listed below: Stephen Ward Intermediate Technology Consultants Ltd Schumacher Centre for Technology and Development Bourton Hall, Bourton-on-Dunsmore Rugby CV23 9QZ, UK Tel: +44 1788 661198 Fax: +44 1788 661105 E-mail: stephenw@itdg.org.uk Website: www.itcltd.com Mr Vhingra Petroleum Conservation Research Association (PRCRA) Northern Region 609, New Delhi House, 27, Barakhamba Road New Delhi - 110001, India Tel: 3357457, 3315879 Fax: 3320629 E-mail: pcrad@del2.vsnl.net.in Website: www.pcra.org Dr Amitav Rath Policy Research International (PRI) 6 Beechwood Avenue, Suite 14 Ottawa ON K1L 8B4, Canada Tel: +613 746 2554 Fax: +613 744 4899 E-mail: arath@pri.on.ca Website: www.pri.on.ca Dr H S Maiti, Director Central Glass & Ceramic Research Institute (CG&CRI) 196, Raja S.C. Mullick Road Calcutta 700032 India Tel: 473 5829 Fax: 033 473 0957 Email: director@cscgcri.ren.nic.in, hsm@cscgcri.ren.nic.in Shri A K Gupta, Deputy Secretary in Charge Central Glass & Ceramic Research Institute (CG&CRI), Khurja Centre G.T. Road, Khurja, 203 131, India Fax: 05738 42501 Mr B L Dhar Industrial Development Services (IDS) M-1 Kanchenjunga 18, Barakhamba Road New Delhi - 110 001, India Tel: +331 3469/ 2287/ 4714 Fax: +1 331 6470 E-mail: idsindia@satyam.net.in Website: www.industrialdevservices.com Carl Shenton CERAM Research Ltd Queens Road, Penkhull Stoke-on-Trent Staffordshire, UK Tel: +44 1782 76 4444 Fax: +44 1782 412334 Email: carl.shenton@ceram.co.uk Website: www.ceram.co.uk Dr Abeeku Brew-Hammond P.O Box 6534 Kumasi Institute of Technology and the Environment (KITE) Kumasi, Ghana Tel: +233 51 33824 Fax: +233 51 33824/26026/60232 E-mail: kite@ghana.com Website: http://linklive.net/KITE ## Pottery In India An initial survey (IDS) found information on 100 pottery manufacturing clusters in India. Many of these are small clusters and the data available on them was not very detailed. More detailed information was available on 24 clusters from fourteen different states and this is provided in see Annex 1. The Indian ceramic industry can be broadly divided into two major groups, whiteware pottery and red clay pottery (including terracotta), which are both produced in India. The products of each of these groups are listed below. Red Clay 1. Building Bricks 2. Roofing tiles 3. Utility articles such as kulhar, saucers, surahi, matka sets Whitewares 1. Cups, saucers, mugs, tea-sets 2. Stoneware kundis, jars 3. Pressed porcelain insulators and other LT and HT insulators 4. Chemical porcelain items 5. Decorative pottery items such as flower vases, toys, ash-trays 6. Fire bricks, saggars and other heat resisting items. The 24 clusters identified in the survey, including the cluster in Khurja, produce predominantly whiteware, although also some small amounts of terracotta are also produced. Terracotta tiles are popular in Southern India, while utility items made from red clay are ubiquitous in the country and tend to be made by the smallest and also more rural units. There is a new demand for high fired terracotta ware in the export markets which is being met by some larger units in Khurja. This is actually a nontraditional product in the sense the clay composition is different and the ware is fired at a much higher temperature. There by this product has a higher lustre and lower porosity. Beyond the 100 clusters identified and the 24 clusters for which data is available, there are thousands of pottery units scattered across India which have not been cited nor surveyed as part of this project. Many villages and towns have small traditional pottery units making low fired utility items. None of these have been studied here. In the 24 clusters for which more information was available, the data shows that there were 2,191 individual pottery units with estimated sales per month of 445 million Rupees or annual sales of almost 6000 million Rupees (US$150 million using an exchange rate of US$1 = 40 Rupees). The smallest cluster identified, Chinat in Uttar Pradesh, had only 6 units and estimated per monthly sales of 1.6 million Rupees. The largest cluster identified was Khurja (in Uttar Pradesh) with 491 units and annual sales of almost 2500 million Rupees. Clearly Khurja is the single most important pottery cluster in India composed of small scale units. Of the sample of 24 clusters, it is estimated that the Khurja cluster alone accounts for 25% of the manufacturing units and over 40% of the production. The industry is labour intensive. Almost 95,000 people are estimated to be employed by the 24 clusters surveyed (this is likely to be an under estimate for reasons discussed later). The above data suggests that the output to labour ratio is 60,000 Rupees (US$1,500) in the 24 clusters. The industry is also energy intensive. The firing of the clay in kilns and dryers account for most of the energy consumption. Fuel used to power the kilns includes gas, electricity, diesel oil, kerosene, coal, wood and cow dung. Of these wood and cow dung are used in smaller and rural kilns, while coal is probably the most common fuel used by the largest number of units. Electricity is rarely used because of high costs and erratic supplies due to shortages in the country. The fuel of choice is diesel oil or kerosene in the newer oil fired kilns. Gas is not common again due to supply constraints in India. But it is very likely that the availability of gas and its use will increase slowly as more natural gas pipelines are being built. Environmental problems arising from the ceramics industry in India include air pollution from combustion, coal ash disposal, effluents from the clays and possible impact on deforestation where wood is predominant. Ceramic ware is produced both for the domestic market and for export. But over all export markets are unlikely to be more than 10-15% of total production. There is increased imports of ceramics in the higher price range and the smaller units face competition from large scale manufacturers also. | Ceramics | India - SME | Khurja | India* | |---------------------|---------------|-------------|-------------| | 1 | | | | | Large Scale | | | | | UK* | | | | | 2 | | | | | Value of production | $150 million | $62 million | $230million | | Employment | 95,000 | 25,000 | 27,000 | | Output/Labour | $1,500 | $2,500 | $8,500 | * Source 1–CMIE publication on Annual Survey of Industries, 1995-1996; 2 -www.energy_efficiency.gov.uk/eebpp/eebpp-template.cfm ## Pottery In Khurja Khurja Khurja town had a population of 107,600 as at the last general census in 1991 and is currently the sixth largest town of the National Capital Region. Its present population may be estimated at around 150,000, while awaiting the results of the 2001 census. It is located in the state of Uttar Pradesh (UP) and is part of the Bulandshahr district. Khurja is around 100km from Delhi, mostly east and a little south, on the Grand Trunk Road which continues on to Kanpur, and beyond to Calcutta. It takes about 2 to 2.5 hours by road from New Delhi to Khurja. Khurja is also an important railway junction by virtue of linking Kanpur-Varanasi and Calcutta on one side, and Delhi on the other. The total area of Khurja is 549,186 hectares. Its climate is hot and dry with a maximum temperature of 48 o C and a minimum temperature of 3o C; it has an average yearly rainfall of 580 to 690 mm. Khurja is a prominent industrial and commercial town in Bulundshahr district. The two main employment and livelihood sources in Khurja are pottery and agriculture, at roughly 50% each. The pottery industry directly employs about 25,000 workers with a further 5000-7000 employed in various support services and allied activities. Other sources of employment in Khurja include trade and commerce and a very small amount of other manufacturing. ## Infrastructure Khurja is well located and overall has reasonably good infrastructure. It is accessible by road and railway, is connected to the State Electricity Grid, has sufficient water supply, a nationally and internationally connected telephone exchange, good educational facilities and 9 branches of national banks. Like many parts of India, while these connections exist, in many ways the quality of the infrastructure remains poor. It suffers from poor road condition, lack of regular power due to overall supply shortages and inadequate healthcare facilities. There are some problems with waste water drainage and considerable room for improvement in solid waste disposal. A short description of Khurja's infrastructure is provided below. ## Transport The major transportation route to Khurja is the main Grand Trunk Road. Other entry points to the town of Khurja include Delhi-Bulundshahr, Aligarh, Shikarpur, Pahasu and Jewar. There is a perception that access roads to Khurja and roads within the town need to be upgraded. Khurja railway station is an important railway junction and lies on the main Delhi-Kolkata Grand Trunk Road. The pottery units primarily use road to transport their products as the railway services are reported to be inadequate. ## Power Supply Khurja receives its power through the State Electricity Grid. The town itself has 4 electric sub-stations with a total capacity of 28 MVA; however each of the substations are overloaded by at least 25 per cent. Most of the electricity network is currently in need of repair or replacement. Due to these problems the town, including all pottery units, generally experience a shortage of power and frequent power outages. As a result numerous people, in particular commercial and industrial enterprises, resort to the use of standby diesel generators. ## Water Supply & Sanitation The water supply in Khurja is sufficient, meeting both domestic and industrial purposes. Approximately 2,880 kilo litres of water is supplied to Khurja on a daily basis. There is however an acute waste water drainage problem. The consequent water logging has lead to various water pollution problems. ## Solid Waste Management Khurja's solid waste is collected manually by hand carts and cattle drawn vehicles. Although the collected waste is disposed of in designated disposal areas, it does not undergo segregation or any other waste disposal techniques. ## Telecom Services Khurja town has a telephone exchange and is connected nationally and internationally. Internet service has recently been started in the town by a national service provider, Videsh Sanchar Nigam Ltd. (VSNL). ## Educational Facilities Educational facilities in Khurja are fairly good as can be seen below. | Education Facility | Number | |-----------------------|----------| | Technical Institute | 1 | | Degree Colleges | 2 | | Intermediate Colleges | 4 | | High Schools | 1 | | Junior High School | 12 | The technical institute provides the trained/skilled manpower to the pottery cluster. ## Healthcare Facilities Khurja town has two government hospitals with a total capacity of about 80 beds. In addition there are a few private nursing homes, one family and child welfare center and also private doctors. The existing health care facilities are grossly inadequate. For instance, less than 4% of the workers are covered under the employee health insurance scheme. ## Banking Khurja's banking needs are in principle well met by the presence of nine public sector banks in the town, two of which have more than one branch. | Name of Bank | Branches | |---------------------------|------------| | Allahabad Bank | 1 | | Central Bank | 1 | | Oriental Bank of Commerce | 3 | | Punjab National Bank | 2 | | Punjab & Sind Bank | 1 | | State Bank of India | 1 | | State Bank of Patiala | 1 | | Syndicate Bank | 1 | | Union Bank | 1 | | Total | 12 | The firms raised a number of issues related to their lack of access to bank finances. Some of the generic difficulties are connected to the bureaucratic rigidities of the banking and financial systems, and, the others are caused by the low transparency provided by SME owners with regards to their operations. Small scale units in general face difficulties in securing bank finance due to various formal procedural requirements - such as proper accounts, production statistics and other documentation - which they are often unable to fulfil. But many of these processes are necessary for any banking system and banks will always be unable to deal with borrowers who cannot provide a full and clear account. ## Industrial Estates Among the support provided to promote an efficient pottery cluster in Khurja have been the development of two industrial estates. The first is in an area of 17 acres on the Grand Trunk Road which has been developed with 18 industrial sheds and two plots. It is entirely devoted to pottery and all units are fully operational here. The second is on Junction Road and has been developed by UP Small Industry Corporation and is a little larger at 30 acres. At present 25 pottery units are operating on this site. ## The History Of Pottery In Khurja Origins There are at least two conflicting versions of the origins of the pottery-manufacturing sector in Khurja. In one version there was a historical cluster of traditional potters, who had established them selves in Khurja, several hundred years ago. In this version potters from Egypt and Syria accompanied the Afghan King Taimur Lung when he passed by Khurja on an easterly campaign 500 years ago. In another, the origins of the tradition go back to people with knowledge of pottery who had moved there during the Mughal empire. In another opposing version, there is supposedly no long historical tradition of pottery in Khurja, but the second is highly unlikely, though the extent of production was probably low. Nevertheless, in both versions of the history, the more modern phase of pottery manufacture began in the 1940s, with the establishment of a pottery factory by the UP Government in 1942. This unit was set up to meet the demand for sanitary ware, as imported supplies were disrupted by the war. A decade earlier, in the 1930s, the UP Government had appointed a Professor H N Roy - who had just returned from England with training in ceramics - to conduct trials on whiteware pottery in Khurja. He was to generate interest amongst the traditional potters in making whiteware from conventional raw materials. This first effort at providing technical support and to promote innovations among the local potters proved to be unsuccessful. The UP Government factory, set up in 1942, produced pottery for the defence department. After the war, the items under production changed. Their product quality however was so poor that demand was virtually absent and the factory was closed in 1946-47. To avert complete financial loss on the part of the government, the factory was then transformed into a Pottery Development Centre (PDC) in 1952 with a promotional role. The potters who had earlier worked in the government factory, were allowed to draw their requirements of processed raw materials from the centre and were also provided with the facility of firing their wares on payment of nominal rent in the government kilns. In the year 1946 the UP Government established the Pottery Development Office (PDO) to promote the pottery industry in Khurja and provide training to entrepreneurs and workers. The number of potters in Khurja started to increase, but slowly during the 1940s. ## 1950S And 1960S The Khurja pottery cluster experienced a stronger growth in the late 1950s and 1960s. The industry remained essentially cottage until the end of the 1950s, with there being only 3 units independent of the Pottery Development Centre (that is besides dependent potters, whose numbers are unknown, who used the common facilities provided by the PDC). The 1950s and 1960s were characterised by a number of interventions and support measures for the industry. In the early 1950s the UP Government sent its ceramics expert, Dr T N Sharma, to Japan to obtain advanced training in porcelain manufacture. and the second, was to ask the Government of India to take up collective marketing for the Khurja pottery cluster. Dr Sharma returned to Khurja in 1955 and he reported that fine porcelain could be produced in Khurja using raw materials available in India if the required equipment could be made available and the Japanese techniques for making fine porcelain were adopted. He also promoted an improved type of profile for jiggers, expanded use of setters and improved saggar designs (Sharma 1976). The request of the UP Government to the Government of India for marketing assistance resulted in the establishment of a Marketing Depot by the National Small Industries Corporation (NSIC) in late 1956 for marketing and promotional activities. The depot was able to make some contribution to increased sales, improved sale prices and it reduced internal competition amongst the pottery units which had earlier caused prices to fall rapidly (Sharma 1976). In the late 1950s and early 1960s a number of additional initiatives were also undertaken to support the pottery industry in Khurja. - In 1959-60 a design extension centre was set up as a branch of the Central Design Centre in Calcutta (the result of this initiative is unknown); - In 1961 the All India Handicrafts Board invited a German pottery expert, Mr William Mosech, to train people in the making of glazed red clay pottery and artistic pottery using common clay. Although he was reported to produce "exquisite" pottery, "no concerted efforts were made to produce red clay pottery after he left the country"1 or this effort did not get taken up by the industry; - In 1962 a High Tension Laboratory for the Testing of Insulators was established to support the industry in getting their electrical insulators tested and certified locally. The Laboratory activities were integrated with the role of the PDO. Two experts visited the laboratory under the UN Technical Assistance Scheme and assisted in developing testing protocol and the production of insulators. By 1965-66 there was a total of 160 pottery units operating in Khurja. Of these 88 were independent units with their own firing facilities, and the other 72 units relied on the common facilities of the PDC. During this period and continuing on to the late 1980s all coal supply was controlled by the government. So all units were dependant on quotas for coal and these and the supplies were arranged by the PDO. ## 1970S - 1980S During the 1970s, after the nationalisation of banks in the country, government policy mandated the liberalisation of industrial loans to smaller enterprises in India. With this opening of access to larger financial resources, a large number of entrepreneurs with no previous background in the ceramics industry began entering the industry. They set up larger units (though still in the small scale sector, but larger than had been common earlier) between 1973-75 and again in 1979-82. In this period the growth of units was predominantly in the form of independent units and their number rose to 271. Besides these there was some growth of the units depending on the PDC's facilities and these rose to only 126 units. It is reported that the PDC was increasingly inefficient and was slowly loosing the support of the pottery units. The figures above suggest that those who could afford to invest the higher amounts of capital increasingly decided to avoid the PDC. With increasing losses, in 1982, the UP government transferred the common facilities it had provided to dependent potters to manufacture their goods, to the UP Small Industrial Corporation (UPSIC). The UPSIC attempted to run the facilities on a more commercially sound basis and made various new investments in equipment. But it was soon running into a competitive relationship with the private units and was unable to either provide support or competition. The losses quickly mounted and the facilities were completely closed down within a few years, by the mid-1980s. Since that time they remain closed and standing idle, a monument to industrial archaeology. Many commissions have been appointed subsequently but no resolution of the issues have taken place in over 15 years. ## 1980S-Present From the mid-1980s the Khurja pottery cluster started to witness higher growth rates. Production has increased rapidly in the past 15 years from 63.3 million Rupees in 1986- 87 to between 1600-2500 million Rupees in 1999-2000. Since 1995 there has been a steady growth in the installation of oil fired shuttle and tunnel kilns. Prior to this only coal-based downdraft kilns had been used for firing wares in Khurja. This development will be discussed in more detail in the energy consumption section below. | Year | No. of Units | Production (Rs Mn) | |-----------|----------------|----------------------| | 1946-47 | 8 | 0.03 | | 1956-57 | 37 | 0.2 | | 1966-67 | 162 | 1.7 | | 1976-77 | 255 | 9.4 | | 1986-87 | 397 | 63 | | 1996-97 | 491 | 840 | | 1999-2000 | 491 | 1600-2500 | Source: RITES 1992 and PDC Note: The numbers that are quoted in the official figures of firms and narratives of the industry often diverge by 10-20%. The production figures are likely to have higher margins of error. But we believe they represent the overall picture. The growth of the number of operating units in Khurja is shown above. The graph suggests that there was a period of relatively slow growth in the number of units in the first decade. The next four decades saw almost an uniform rate of growth of around 12- 14 new units per year until the early 1990s. since then the number of units has remained stagnant. The graph below shows that the total value of production was on the other hand growing at exponential rates. It can be presumed that over time each unit continued to expand its output. It should be noted that the above numbers in Rupees are not deflated for inflation which has averaged at around 10% per year and to that extent provide an inflated picture of the true growth rate in Khurja. ## Current Status Of The Pottery Sector In Khurja Products The main items produced by independent pottery units in Khurja are listed in the table below, in conjunction with the number of units manufacturing each type of product and the respective production value. Chiefly whiteware is produced in Khurja, however there is also a small amount of high fired terracotta being produced for export markets. Most pottery units in Khurja manufacture crockery (stoneware), HT/LT insulators and decorative wares (stoneware). There are only a few specialized units that manufacture sanitary wares, bone china and chemical porcelain. Manufactured and their Production in 1996-97 | Name of Product | Number of Units | Production (Mn Rs) | |---------------------|-------------------|----------------------| | Crockery wares | 273 | 437 | | Art Wares | 65 | 92 | | Electrical Goods | 103 | 227 | | Scientific Goods | 6 | 17 | | Sanitary Wares | 2 | 8 | | Bone China Crockery | 8 | 25 | | Electronics | 4 | 5 | | Ceramic Jars | 3 | 5 | | Refractories | 3 | 3 | | Grinding Valves | 2 | 2 | | Ceramic Tiles | 2 | 2 | | Others (grinding, | | | | decoration) | | | | 20 | 17 | | | Total | 491 | 840 | Source: PDC ## Number Of Operating Units The latest information available from the PDO, KPMA and CGRI, indicates that there are 491 (independent) pottery units registered with the PDO. While not all of them are operating the number of operating units is not known exactly. In addition to the 491 independent units, there are around 150 dependent units of which, only around 60 units are currently operational. Again while the details on these are not available, the responses during interviews suggested that most of these are not doing too well as they do not have any captive raw material processing or firing facilities and were earlier relying on the PDC. They procure body and glaze in readymade form and make greenware in their units; they rent kiln space from other units. It is estimated that all units in Khurja produced around 2500 million Rupees worth of ceramics in 1999-2000 (PDO). The majority of the 491 units are traditional units. Almost all are at least ten years or older. They always started with low capital investments and use basic and old technologies. There are now about 130 modern units that have invested in shuttle and tunnel kilns moving away from the older coal fired down draft kilns. ## Market Khurja's pottery products are sold all over India and also exported. Within India products are sold directly and also indirectly through middlemen, shopkeepers and large godown owners. In our survey units ranged from those with 100% direct sales to the market to others who sold everything through traders. There are about 23 export oriented pottery units in Khurja. Export clients include countries such as the United Kingdom, USA, Australia, New Zealand, United Arab Emirates etc. The major export items are ceramic artware, insulators and scientific porcelain. Historically Khurja's export levels have been low due to the cluster's inability to meet the stringent quality requirements of export clients. In 1999-2000, exports were valued at 148.2 million Rupees, representing between 6-10% of aggregate production. This proportion is reasonably typical, although exports have on occasion represented up to 15 per cent of Khurja's aggregate ceramics production. Approximately one-third of exports are sold directly by manufacturing units located in the cluster and two thirds are through intermediary market agents (see Table 2.2). Major direct exporters include Dadoo Industries, SR Potteries, Darshan Ceramics and Silico Chemico. | Year | Direct Exports | Indirect Exports | Total Exports | |-----------|------------------|--------------------|-----------------| | (Rs Mns) | (Rs Mns) | | | | (Rs Mns) | | | | | 1997-98 | 30 | 60 | 90 | | 1998-99 | 37.5 | 82.5 | 120 | | 1999-2000 | 48 | 100.2 | 148.2 | Source: TERI 2001 ## Production Process There are three broad steps in manufacturing ceramics: preparation of the raw materials, preparation of the greenware and firing. 1. Clay is ground and mixed in a mixer. The clay is then mixed with water and made workable. 2. Clay is poured into moulds, extra material is cleaned or trimmed. Additional parts such as handles added if required. Additional forming processes such as turning and throwing are listed in the table below. | Inputs | Process & Description | Outputs | |----------------------------------|----------------------------|---------------------| | Casting slip | | | | Casting | | | | - pouring of slips into moulds | | | | Final shaped | | | | moulds | greenware (unfired) | | | Plastic clay | | | | Jiggering | | | | - forming of flatware using | | | | Final shaped | | | | rotating wheel and formers | greenware (unfired) | | | Jolleying | | | | - as above but to make hollow | | | | ware (bowls, jugs, planters etc) | | | | Leatherhard clay | | | | Turning | | | | - similar process to a lathe for | | | | Final shaped | | | | forming cylinder profiles | greenware (unfired) | | | Plastic clay | | | | Throwing | | | | - hand forming using potter's | | | | Final shaped | | | | wheel | greenware (unfired) | | | Pressing | | | | - forming of shapes using | | | | Plastic clay | Final shaped | | | moulds | moulds and hydraulic press | greenware (unfired) | 3. The greenware is loaded onto trays and then placed in kilns. Terracotta and earthenware is fired immediately whilst porcelain and some other products are first glazed and then fired. ## Sourcing Raw Materials Surprisingly, given the amount of raw materials required, none of the raw materials required for making pottery are available locally in Khurja. So why Khurja became a home for the largest pottery cluster is a little bit of mystery but it suggests that the earlier historical developments were more than sufficient to provide the necessary impetus to the growth of this cluster in Khurja. It is quite likely that with the growth of the industry after the initial government support, after a point in time, its size provided economies of clusters which together with relatively close access to metropolitan markets, could over come the disadvantage of raw materials. Raw materials are thus procured through local agents in Khurja, of which there are about 25. The sources of the various clay raw materials are shown in Table 2.6 below. In addition to these, there are other raw materials and also chemicals that are used in the glazes such as zinc oxide, zirconia, barium carbonate, chromium oxide and soda feldspar. A few pottery units are sufficiently large and financially strong, so as to procure the raw material directly from places like Rajasthan, Delhi, Ahmedabad, Bikaner, Bihar etc. and certain chemicals from Agra, and as such do not have to deal with intermediary traders. | Raw Material | Source | |--------------------|-----------------------------------------------| | China clay | Rajasthan, Gujarat, Bihar, Calcutta, Delhi | | Plastic ball clay | Bikaner (Rajasthan), Chandia (Madhya Pradesh) | | Quartz | Jaipur, Udaipur, Ajmer, Alwar | | Potash feldspar | Jaipur, Udaipur, Ajmer, Rajasthan | | Fire clays | Delhi | | Bikaner clay | Ahmendabad | | Kundan clay | Kerela | | Source: RITES 1992 | | ## Employment The ceramic industry is highly labour intensive, requiring both skilled, semi-skilled and unskilled labour at every stage of production. The minimum number of workers in a unit in Khurja ranges from about 7 to 10, and the maximum reported is around 30 to 40. An independent unit whose production is one ton per day, or 300MT per annum, will need about 40 to 50 workers. Many units are larger than the above and in fact require up to 300 workers. The firms have several incentives to report fewer workers than the actual numbers. As the numbers of workers go up the firms have to provide more benefits, compy with stricter labour laws and so on. The workers are further grouped into smaller numbers of "permanent" and larger numbers of "temporary or contract " labour for legal reasons. According to the statistical information available from the PDO, the current pottery manufacturing workforce at Khurja is around 15,000 (Table 2.7). This figure however is based on unit-wise information provided by the units themselves, and as a result has a major downward bias. A more realistic estimate of the current deployment of workforce with pottery units at Khurja, based on a number of interviews, is placed at around 25,000. The breakdown of labour between skilled, semi-skilled and unskilled categories can be seen in the table below. About eighty per cent of these 25,000 workers are migrants from Bihar, West Bengal and Nepal. The output to labour ratio in Khurja is around 100,000 Rupees (US$2,500). This is in comparison to the average output to labour ratio in the 24 clusters reported on earlier, where the ratio is much lower at 60,000 Rupees. This confirms the higher capital inputs used at Khurja compared to the average Indian small scale pottery manufacture. Category Official Employment (Nos.) Actual (est.) Employment (Nos.) Skilled 8,000 10,000 Semi-skilled 5,000 5,000 Unskilled 2,000 10,000 Total 15,000 25,000 The estimates in the table above were prepared through informal discussions with a number of stakeholders in the industry in Khurja. There is a much larger discrepancy in the official numbers as compared to our estimated above for unskilled workers. We believe that this is because most of them are hired as "contract" labour and not as permanent employees. But many more of the skilled and semiskilled workers are required on a long term basis and are so categorised as employees. In addition to direct employment of workforce by the pottery industry, a total of around 3,000 persons are engaged in various support services and allied activities; a broadbreak up of these can be seen in the table below. Assuming a similar underestimation of the workforce in this category as per those in direct employment, we could easily estimate the actual number of people indirectly employed by the pottery industry to be between 5,000–7,000. | Activity | No. of Units / | |------------------------------------|------------------| | Establishments | | | Average | | | Employment per Unit | | | Estimated Total | | | Employment | | | Body-mix making | 15 | | Raw-material dealers | 25 | | Transfer decoration units | 30 | | Packaging material industry | 4 | | Jute rope making units | 3 | | Gunny bag making units | 20 | | Pottery machinery manufacturers | 10 | | Spares & tool dealers | 15 | | Transporters | 40 | | Transfer paper manufacturers | 4 | | Khurja pottery wholesalers | 100 | | Khurja pottery retailers | 50 | | Labour for raw material handling / | | | movement | | | 25 | 6 | | Total | 2970 | Thus while we could collect the above figures, we believe that they suffer from some underestimation as well. Hence our estimate of total direct and indirect employment in Khurja is between 30,000 and 35,000. ## Health Issues With respect to health issues, only about 1000 workers or about 4 percent of Khurja pottery industry workforce are covered by Employees State Insurance Scheme (ESI). Under this scheme, they are entitled to free access to the medical facilities at the ESI Hospital. No specific occupational diseases are associated with the Khurja pottery industry. An informal survey of private doctors found some suggestion of skin problems such as eczema amongst workers arising from the prolonged handling of clay and other materials such as glazes. Amongst the general Khurja population, the incidence of respiratory diseases such as asthma and bronchitis is somewhat higher than other populations. This is due to air pollution caused predominantly by the burning of coal (in downdraft kilns). ## Pollution And Environmental Impacts Policies and regulations regarding pollution in India are formulated by the Central Pollution Control Board (CPCB). Part of their duties include prescribing, at the national level, the Minimum Acceptable Standards (MINAS) regarding pollution for various industries, including ceramics. Each state then has a pollution control board, which is responsible for the enforcement of the CPCB's policies, regulations and standards. The state pollution control boards are allowed to specify higher standards than the MINAS for their particular state or special areas within the state but are not supposed to lower them. In Uttar Pradesh, there are two zones which have special and stricter regulations - the Doon Valley (Dehradun) and Agra Trapezium. However, the Khurja pottery cluster does not fall within either of these two special zones and as a result is subject to the MINAS as developed by the CPCB for the ceramics industry. The regulations come under the Environment (Protection) Rules" of 1986. These MINAS are implemented by the Uttar Pradesh State Pollution Control Board (UP SPCB). The major environmental problems arising from the pottery industry in Khurja are air pollution due to coal firing, the disposal of coal ash and effluent problems arising from the process of wet grinding. The UP SPCB has been aware of the significant, adverse environmental impacts generated by coal based down draft kilns for a number of years and has been asking the pottery units to take appropriate measures to rectify the problem. The main measure recommended is to build new and higher chimneys for coal fired kilns. In meetings between the KPMA and the UP SPCB over the past few years the former has pleaded for leniency in the enforcement of MINAS. The KPMA have argued that the pollution control equipment required to meet MINAS were beyond the technical capability and financial means of the pottery units. The UP SPCB has tended to be sympathetic towards the KPMA's requests, acknowledging the poor financial position of a number of the pottery units in Khurja. It has offered a "relief period" where it does not implement the MINAS to give units time to make modifications. Although in 1997 it did issue notifications to two units to cease their operations. The UP SPCB is not pressing for compliance on the coal fired kilns as it believes that with the strong trend away from coal to diesel, the problems caused by coal firing will disappear. Hence remedial steps to improve the coal fired kilns, which are any way on their way out, would not be economically justified. ## Energy Use In Pottery In general the energy efficiency of many industrial operations in India are poor compared to world averages. The efficiency of SMEs is also generally expected to be lower than that of more sophisticated larger units with better equipment and management. According to a study by Dalal Consultants, the energy used in the small scale Indian glass industry average for pot furnace performance (MkJ/MT of glass draw) is more than 4 times higher than the national benchmark and more than 6 times higher than the international benchmark. Some units consume over 11 times more energy than the international benchmark. The highly energy intensive ceramics industry would be expected to follow a similar trend. The major consumers of energy in the production process are kilns and dryers; together they usually constitute more than 70% of an entire pottery unit's energy consumption (see Table 2.9 below). In Khurja however, little use is made of dryers, which pushes the kiln's (or kilns') energy usage alone up to 80% of total energy usage. % consumption Stage of production With drying Without drying process Processing of raw materials 5-6 20 Fabrication of pieces 8-10 Drying processes 20-25 80 Firing operation 60-65 Source: Technology Evaluation In Ceramics Industry The remaining 20-30% of energy is accounted for by the processing of raw materials and the fabrication of greenware described in the earlier table and below. ## Use Of Electricity Electricity is used in the Khurja pottery units in the following ways: - pulverizers (ball mills, jaw crushers); - slip preparation (blunders, fitler press, pug mill, agitators); - pumps; - motors; - compressors; - fans and blowers; - electrical testing; - blowers and fuel pumps on shuttle and tunnel kilns (electrically operated); - lighting etc. Whilst electricity does not represent a large proportion of a pottery unit's total energy use, it is still requisite in the production process. The various problems associated with electricity supply in Khurja mentioned earlier such as frequent outages and unannounced load shedding significantly disrupt production cycles. The extent of this varies considerably between units, with a few little affected. Except for those few, all other units use standby diesel generators to produce electricity when the supply from the grid is not available. ## Energy Efficiency In The Use Of Electricity Energy efficiency in the use of electricity is not accorded a high priority by Khurja pottery units since it represents a relatively small proportion of total of energy consumption and due to more general time and resource constraints. Nevertheless considerable opportunities to improve the efficiency with which electricity is used exist. These are mainly through: - power factor correction and load factor improvement; - optimum loading of pulverisers (that is, jaw crushers and ball mills) - replacement of v-belts with modern flat belts; - energy efficient lighting such as replacing incandescent lamps with fluorescent tubes; - conducting cleaning and spray glazing with compressors at reduced pressures. ## Kilns A number of different kilns exist for use in the pottery industry in India and they can be classified and/or examined in a number of different ways. For example, whether they are muffle, semi-muffle or direct fired kilns, based on the nature of contact between the flame and the ware. The kiln may operate on a batch or a continuous production cycle. The kiln may use different types of energy. In Khurja three types of kilns are used: down-draft kilns, shuttle kilns and tunnel kilns. Diesel-fueled shuttle and tunnel kilns were first introduced in the early 1990s. Despite being late entrants, they are increasingly popular due to various operational advantages (discussed further below) as Table 2.10 illustrates. There are currently between 100 to 130 diesel fired, tunnel or shuttle kilns with a number being added currently. The type of kilns being used by each of the firms surveyed is shown in the Table 2.11. | Year | Shuttle kilns | Tunnel kilns | Total | |-----------|-----------------|----------------|---------| | 1995 | 5 | | | | 1997 | 15 | | | | 1999 | 30 | 20 | 50 | | 2000 | 50 | 50 | 100 | | 2001 ( | | | | | estimate) | | | | | 70 | 60 | 130 | | All down-draft kilns in Khurja are coal fired (although in other parts of India smaller units often use wood and cow dung). The shuttle and tunnel kilns in Khurja presently run on diesel oil. There are a small number of electric kilns. However, they are not used due to the higher unit cost of electricity as compared to other fuels such as diesel, and the highly irregular supply. Only one company has been experimenting with a tunnel kiln using LPG. Unfortunately for them the pressure of the LPG cylinders they use has been too low to achieve the high temperatures required. There is however a possibility that piped natural gas may become available in the near future or the next few years. The energy efficiency of kilns is defined as the heat used or required to fire the ceramic product divided by the total heat supplied to the kiln. The energy cost of kilns typically ranges from a low of 22% to a high of 35% of the sales value of production. Firm No. Coal Down Draft Electrical Shuttle (diesel) Tunnel (diesel) TOTAL IN USE 1 Not in use 3 (not in use) 3 3 6 2 - - 1 - 1 3 1 - - - 1 4 3 - - - 3 5 - - 1 1 2 6 1 - - - 1 7 - - 1 - 1 8 - - 1 1 2 9 2 - - - 2 10 1 - - 1 2 11 1 - - - 1 12 - - 2 - 2 13 - - - 2 2 14 2 - - - 2 15 No captive kiln capacity 16 Not in use - 1 1 being installed 1 17 No captive kiln capacity, rents facilities available at another unit. 18 1 - 1 - 2 TOTAL IN USE 12 0 11 8 31 ## Coal Coal is made available to the pottery units in Khurja through a system of coal quotas and supplied through various collieries. The UP State Government allocates a coal quota for each pottery unit on the basis of its installed production capacity, which is reviewed annually, and the PDO is responsible for its administration. Most units however do not receive the full amount of coal allocated to them under the quota and are thus forced to purchase additional coal from the open market, which tends to be of an inferior quality. Until recently there was a subsidy for coal which probably increased the disincentives to SMMEs to be efficient. Coal is discussed further in later sections. ## References Agrawal, G.C., "Status Report on Glass and Ceramic Industries in Uttar Pradesh" (undated, estimate 1970s). Khuntia, S. and Murty, J.S., "Coal Fired Pottery Kiln - A Boon for Potters", Regional Research Laboratory (C.S.I.R.), Bhubaneswar - 751013 Pottery Development Office (Khurja). 1999. Demand Study and Industrial Profile – Development and Possibility for Pottery Industry (Pottery Industry Khurha). Sharma, Dr T. N., "Let Us Also Turn Our Common Clay Into Gold" (undated, estimate 1970s). Sharma, Dr T.N., "Khurja Pottery Industry - Its Growth and Development", reproduced from the author's paper, published in the transactions of Indian Ceramic Society, Vol.XXXVII, No.5, 1976. Technology Evaluation in Ceramics Industry, A Report Prepared Under Technology Absorption and Adaptation Scheme, Government of India, Department of Scientific & Industrial Research, Ministry of Science and Technology, December 1991. TERI 2001, Diagnostic study for the development of pottery industry cluster at Khurja in Uttar Pradesh, Final, 2001, Tata Energy Research Institute (TERI Project Report No.2000CR61), New Delhi. RITES India, *Infrastructure Survey of Khurja*, undated (estimate 1992). U.P. Industrial Consultants Ltd. 1998. Brief Survey Report of Potteries, Glass, Leather and Brassware (Under Technology Mission Program).

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Du 24 au 25 Vendemiaire an 14 De midy a 6 heure A 2 heure il a pleut le temps orageux le vent a l'ouest joly frais l'air venteux au soleil couché encorre un grain du cote de l'ouest vent et [pluiese] l'ennemis prenent le large de 6 heure a minuit le temps s'est un peu adoucy, mais il s'est [formé] toujours de gros nuage au tour du ciel orageux le vent toujour a l'ouest frais, a 11 heure la pleuye a recommance de minuit a 4 heure du matin Le restant de la nuit le vent a la meme partie A 2 heure la pleuye à récommencé elle a durait Jusqu'a 4 heure le temps constament orageux De 4h a 8 heure au jour le temps couver tous autour de l'horizon levent constamment a l'ouest frais, le temps s'est un peu eclairci au milieu du ciel on n'a peut apercevoir l'ennemis de la tette du mat il parait qui devoit avoir pris la bordée vers le detroit, raport au temps orageux et couvert auJ hui, nous avont decouvert 5 voile don't deux a toute vue ver le sud et 3 assépret De 8 heure a midy Dans le courant de la matinee le temps s'est eclairci le vent a l'ouest joly frais l'air beau, le general a été a bord du formidable Du 25 au 26 Vendemiaire an 14 De midy à 6 heure Tems clair et chaud, joly brise d'OSO, l'ennemi au large et rien de nouveaux dans l'armée, le ciel s'est couver au tour de l'horizon deux frégattes ennemi etoient en panne pres la ville et plusieurs autre voilles atoute vue. l'amiral Villeneuve a quite le bord du V[aisse]au l'indontable a 5 heure du soir, le partent de lapres diné meme vent et meme temps De 6 heure a minuit Tems clair et presque calme pendant tout le quart de minuit à 4 heure Tems clair de partout, et calme pendant tout le quart de quatre à huit Tems clair et calme, a 5 heure avons fais branlebas de propreté à 7 heure ½ le general a mis ses voiles au sec, ainsi que nous et plusieurs autres batiments de l'armée, l'ennemi a paru [pau] dans le quart au nombre de cinq voiles, et point de mouvement dans la rade. De huit heure a midi Tems clair, chaud et calme presque tout le quart, a 9 heure ½ avons battu la generale, mis tout le monde a son poste et avons fait l'exercice en même tems jusqu'a 11 heure ¼, pendant tout le quart l'ennemi a été en vue et au nombre de cinq voiles pendant le quart le v[aisse]au le rayo a été occupé a faire derrapé ses ancres pas dautres mouvements dans l'armée. De huit heure a midi Tems Clair, Chaud et calme Presque toutle quart, a 9h ½ avons battu la generale, mis tout le monde a Son poste, et avons fait l'Exercice en même tems jusqu'a 11h1/4, pendant tout le quart l'ennemi a été en vue Et au nombre de cinq voiles pendant le quart le Vau le rayo a été occupé a faire derrapé ses ancres pas d'autres mouvements dans larmée De midy a 6 heure Levent d'ouest petit temps beau clair de tout Cotés, a 5 heure le General a appellé a l'ordre tous les batiment de l'armée un moment après de nous des affourcher et d'appeller a bord tous les Gents de l'Equipage lEnnemis paréssoient au nombre de quatre fregattes et un Goilete a 1 leie de laville Restant al'ouest, le vent constamment a la meme partie temps beau et Clair, a 5 H[eure] 1/2 ordre d'embarquer les Chaloupes et de désaffourchier De 6 heure a minuit a 11 heure ½ il est venue une Embarcation du Bord du Général nous ordonne de lever l'ancre du SE et rester par celle du N.O. à la meme heure signal de Virer à prie, fait de Suite virer l'ancre du SE. Et Etants a prie nous avons Envoyé une Embarcation à Bord de la Ste Trinidad pour lui demander quelle ancre elle levait la premiere elle nous a répondu que c'Etait celle du NO et quensuitte il Viendrait sur son SE. Cette manoeuvre nous a oblige de rester à pie, ne pouvant d'Esaffourcher sans tomber sur ce V[aisse]au. Le courant Etant fort et le vent au NNE. De minuit a 4 heure du matin nous avons reste dans la meme position le restant de la nuit le vent au NNE petit temps [?] De 4 h[eur]e a 8 h[eur]e a 5 heure nous avons vire [?] de l'ancre d'affourche a 4 heure le General a signalé d'appareiller sans autres Signeaux les v[aiss]eaux a la tete en Commencoient à [?] sans voile L'ennemi paraissant au nombre de 6 voiles aussitot qu'ils vu nous Metre sous voile ils ont tiré de Coups de canon pour anoncer A leur armeée notre? Départ le vent au NNE ?Par risee temp [?] Suite du 26 au 27 Vendemiaire an 14 De 8 heure a midy Nous attendions notre tours pour mettre sous voiles mais temps a Reste Calme plate la marée contre nous Ceux qui Etoient sous voiles ne faisoient aucun chemin, le General nous appellé a l'ordre s'etoit pour de malades l'ennemis a pris la fuite En tirant toujour de Coupes de Canons par intervale a 11 heure nous avons apellé une Embarquation du Fougeux et de l'aigle pour de malade venant du Vaisseau du G[eneral] a 11 heure ½ le vent s'est declare au SO petit temps bien clair de tous Cotés et tres Cheau Du 27 au 28 Vendemiaire an 14 De midy a 6 heure Plusieurs Vaisseaux et fregattes ont passé la ville ils faisoient de petite Bordée pour nous attendre Comme le vent s'est Etably a l'ouest joly frais a 4 heure le General a fait signal au Vaisseaux dessous le vent de metre sous voiles nous Etions Presque tous en mouvement l'un pour alonger d'anord ay?ez la autre a matu sans voiles , le General nous a appellés plusieurs fois a l'ordre, la p[remiè]re fois pour des malades, le 2[iè]me fois pour deux beuf encore que le Second Canot a trené abord, le temps bien clair, l'ennemis nous observe toujours, mais de tres loins, oblige par nos freg[attes] qu'elles etoient de bord. a 5 ½ heure le Cannot Major nous a aporte Du pain frais. a la meme le General a fait signale au Batiments sous voiles de mouiller De 6 heure a minuit Levent varians' au NNOetNO, joly frais temps beau un Bateau du pay nous a apporté du pain frais, a 8 heure a debordé le vent venant en diminuant et varians toujours ver le nord, petit Presque calme Suite du 27 au 28 vendemiaire an 14 De minuit a 4 heure du matin Le Restant de la nuit Calme quelques petit Risée du Cote du SE le temps Couver tout au tour de l'horizon De 4 heure a 8 heure le vent S'est dessivé au SE variant vers le Sud temps Couver de tout Cotes au Jour l'ennemi En observation parissaient aux nombre de 6 Voiles, mais tres éloignees, a 6 heure ½ Le General a fait signal a toute l'armée d'appareiller Sans autre signeax a 7 heure ½ le Signal de Bralabas du Combat, nous avons virés apie tout-apres Et fais D'eraper de Suite mis sans voiler les huniers et les peroquetr[page torn] Et fait Route pour sortir du port a 8 heure nous avons Etaient tous Souvoile a la Reservee du V[aiss]eau le Rayo Espagnole une de fregattes quelle Chassé En avant a tire sa bordee sans pouv[page torn] distinguer le Resultat de cette famée precipitée. De 8 heure a midiy a 8 heure ½ nous avons Été endessous ?en ?debord De porquer, le pilot Du pay nous a lessé l'air orageu Couver de tous Cotés le vent au Sud frais nous avons vire le perroquets singlant a l'ouest du Compas la mer Etait Calme le General n'ayant Signaleés aucun ordre de Bataille a 9 heure 1/2 dans le moment d'un grain de pluies le vent ?pesible le General du manoir a fait Signal d'un homme à la mer il afais tous le mouvement nécéssaire tous a Été Envain l'homme à Eté perdu Comme nous Étions par les eau du General nous avons apercu un Chapeau et Etoit a presumer qui Etait au malheureux, l'amiral a Signaler a la meme heure atoute l'armée de prendre un Ris a Chaque hunier Ensuite Raliement absolu a 10 heure le Rayo paressait sortir de la bay la pte du Canal nous Restoit au SE1/4 E distant deux laix environ a 11h le vent à passéi au SO par un Grains pluyer et vent nous avons pris EnCore deux Ris aux huniers Signalé par le General Du 28 a Midy au 29 a Midy an 14 Vendemiare De midy a 6 heure Une Courvette americaine nous a passé Bien pres apparence qu'elle avoit Été visité par les observateurs a 1 h[eu]re le General à signalé de forcer de voiles de Raliement General et de marcher Sur trois Colonnes a 2 heure le Colonne ont Été formée le temps s'est Eclairci le vent a passé a l'Oues maniable nous avons largues Deux Bris a 3 heure le General à signalé de virer de bord vent arrire tous a la fois, et tenir le vent les Genereaux ont pris le Centre des ? Colonnes a 3h[eure]1/2 Releve la terre de Cadiz a l'E ¼ dE Distant 5 leiex Environ, nous avion quatre Batiments Ennemis alarière vers le SO, on afais pluseur Signeaux au soleil Couché l'air venteux l'horizon Brumeuze De 6 heure a minuit a 8h1/2 dusoir après avoir vu faire divers signaux àl'Ennemi avons laissez arrivé pour former la ligne de bataille et avons Eté occupé Toute la nuit à cette manoeuvre laroute pendant le quart avalu le SO1/4 S 3o O sur laquelle avons Couru 11 1/4m Milles, Et le vent à la partie d'ONO petit frais 29o au 30 De minuit a 4 heure l'ennemis nous restoit au vent il a fais pluseu Signaux, nous Etions bien Rulée mes sans ordre sur plusier fois En panne sous la voilure des hunier voile d'atay l'e foch [fait], plusieur V[aiss]eux nous ont passé pres nous fairearrère ?Ruperri qui ne Gouveron pas ?Guarerros le vent petit du ONO temps clair. Suite du 28 au 29 Vendemiaire an 14 Le Restant de la nuit le vent petit temps Calme sans les huniers et la peroquet L'ennemi fais toujours quelque Signeaux. de 4 h a 8h dumatin a 6h[eure]1/2 avons relevé la terre supposé etre celle de Cadiz à SE et a toute vue au lever du Soleil nous avons apercu 31 voilles tant gros que petit a 7 heure le General a fait Signal de former en ligne de Bataille naturelle l'ennemis venaient sur nous indepandant le vent d'ouet petit a peinne nous pouvira Gourné De 8 heures a Midy fait ?Deffle Route pour nous metre en ligne car en panne nous pouvions Gouverner De 8heures a Midy a 9 heure ordre a l'armée de virer de bor ?lauf par ?l'auf tous ala fois, après nous pouvions Gouverner l'enemis venoient toujours sur nous vent arrière mais sans ordre, [illegible crossed out] a Cause du Calme Cependant il nous approchent toujours, l'ennemi s'est Devisé en deux Colonnes, une venait prendre la Queues de notre armée et l'autre la tette, le vent toujours petit sans pouvoir nous metre En ordre Du 29 au 30 Vendemiaire De midi a 6h a 1 heure le Centre de l'armée a Commancé le feux le temps couver tout autour de l'horizon le Vent toujours pas Régle Babord meme sous les hunier[page torn] a 1h[eure] ¼ la tette a Comancé mais nous Étions trop Eloignes, a 1h[eure] ½ toute l'armée a fait feux a la meme heure nous avons Comancé apercu un Veasseux a trois ponts dematé du ?mat d'hune du peroque de fougier, un moment après d'eaux V[aisseau] a trois ponts on de mattu de tous mats le Bu[centau]re a demate du Grand mat et du mat de peroque de fouge a 2h ½ le General demanoir a fait signal aux V[aisse]aus de la tette de virer de bord toute l'armee Englaise ? donne au Centre il y avais si peu de vent quand virant de bord nous nous sommes a la D[page torn] avec l'intrepide mais Rien ne Etais En depannage que la pat de bord de beaupres a trois heurs la Trenité a dematu de tous mats le B[ucentau]re a vu subis du meme sort Suite du 29 au 30 vendemiaire Et suite de midy a 6h a 3 heure heure (sic) le mat de notre peroquet devint Coupe a 4 heure nous avons racommence le feux a 41/2 heure un V[aiss]eu apris feux ne ?sachant de quelle nation nous lavons fait anglais Deux v[aiss]eu anglais Ses Sont aborde en meme temps, nous nous ?Bations sans ordre le deux v[aiss]eux dit aborde ont Etoient dematé au meme moment de l'abordage nous avons Réconnu 15V[aiss]eu de demates Compris un Brulé a 5 heure le Combat a finis, a 5 heure ½ le soleil couche Relévé le Cape Trafelgare a l'Est 4o S Distant 6 a 7 leiu, a 6heure Du Soir le Vaisseau qui Brulé à terminé l'Explosion le General deManoir nous a signalait de suivre sa manoeuvre trébord ?amasse sous la voilure des huniers les basse voile et le Grand peroque temps Bien couvert le vent a l'ouest De 6h[eure] a minuit Tribord arriere sous toute voile le vent a Cours varians vers le SO petit, Belle mer temps Couver mais l'air beau a minui viré de bord vent devans par ordre du General dumanoir qui nous avoient fait passé lavoir d'imiter se manoeuvre, nous etion quatre V[aiss]eux separé de l'armée De minuit à 4 heure après avoir viré de bord, avont ?amurré la grande voile, bordé perroquets et Cacatoix pour nous aproché de general a 1h ½ avont cargué, elerer, perroquets Et ?Cacatoix et la grand voile sur des Cargues ET/puis [nousavons?] dome [douze?] maintenu avec cette voilure aux aproche du general le tems couvert et el vent joly frais Suite 29 au 30 Vendemiaire De 4 heure du matin a 8 a 6 heure du matin Releve la terre du Cap Espartel la plus sud au ESE5o distant 10 l le vent decide au SSO et SO joly frai temps couver a 6 heure du matin pris deux ris au petit hunier a Cause que le mat d'hune Etoit avarié [?avancé] a 6 heure ½ apercu De la tette du mat 27 voilles ver le NE et une ver le SO pris deux ris auperoque de fougue signal toutes les avances que nous avions fait au Combas du General le temps pluvier toujours comme le vent frais a la meme portee Babord [illegible] voiles hunier de 8 heure a midy le tems à la pluie, avec le vent au SSO a 10 heure avons été a poupe du formidable et nous avons Conservé Ce poste pendant tous le quart avec nos basses voiles et huniers a 11 /12 nous avons pris un riz Par ordre du general, dans lemême temps il a signalé le Nor[d?page torn] nous avons presume qu'il voulait dire de faire route au nord Excerpt 7-8brumaire de 8h a midi a 8h ¾ le general ayant cassé sa vergue du grand hunier nous a obligé de diminuer de voile, le tems couvert et orgeux, de grains par intervalle Par cette manoeuvre nous avons passer a poupe du Geneal lequel nous a demandé si nous avions un pilote de la Coste Occidentalle ce que nous n'avions pas… Du 8 au 9 Brumaire an 14 de Midy a 6 heure a 1 heure le Ducquetrouin a signalé une voile au NNE dessuite le General nous afais signal de le chasser, mis toute reste dehors et fait Route sur lui a 2 heure nous avons été [?] a portée de la vais[seau], mis en panne sur babord Et lavon allé d'EN faire autant mis layalle a la mer et lavons visité, ledit s'appelle le ondermerning Cap[itai]ne Robert Graf du port de 120 Titai venant de sud en en prusse, menquan depuis 7 semenes, alland a la Guadeloupe [illeg] chargé de charbon, de terre l[?iqueuese] et du Cte. marchan il nous a dit avoir rencontré sur le Cap finistère 3 V[aiss]eaux des ligne anglais et un brig allant vers le SO depuis 15 jours, temps brumeux sous toute voile pour suivre le General, a 6 heure Rendu compte de […] Du 11 au 12 Brumaire an 14 de midi a 6h A midy et demi le general nous a donné ordre de chasser un Batiment qui nous restait a l'ESE qui Cetait une fregatte de suite nous avons force de voiles, et lavant Chassée Elle a restee ½ heure a travers en faisant de signaux a 1h Elle a laissé arrive et allait vent arrière Comme nous; a 2h[eure]1/2 le general nous a demandé par un signal si nous gagnions le batiment, nous lui avont repondu qu'oui un instant après avons decouvert une autre voile à l'ENE qui allait tribord arrière,a 3h[eure]1/2 le general nous a signale ralliement general; dans le même tems avons diminuer de voiles et Coté pr aCoster le general, même moment où on a apercu la terre du Cap Finistere au SSE, a 4h le genera nous a signalé de passer a poupe a 5h avons eté a poupe du general, lequel nous adit qu'il avait conclu d'aller reconnaitre le Cap Priol que pendant la nuit arriverait d'1/4 de bien faire attention à sa Manoeuvre et de le suivre et obser[ver] la route des V[aiss]aux qui nous suivait. De 6 heure a minuit Donné Connaissance ay Ducquetrouin de l'ordre qui nous avoit donné le General de Bouche sidessu nous avons a la nuit aussi Reconnu que le Batiment apercu dans le jour etoient ennemi par leurs Signeaux qui s'est sont fait a tout moments du quart, il sest sont meme ?matière au notre d el[illegible] ce que nous pouvions distinguer par la clarté de la lune a 10 heure nous avons change de Route sous vent toute voile babord arriere, l'ennemis nous poursui toujours de tres prêt, temps couver et pluviers De minuit a 4h[eure] De minuit a 2h[eure] avons entendu divers Coups de Canon des ennemis qui nous poursuivaient, pendant tout le quart petite pleuie et petit vent d'Ouest Etant toujours prés du general en forçant de voiles De 4h[eure] a 8h[eure] Ballétter hauter et Basser sur tribor le vent au SO joly frais pluies pendant tous le quart Belle mer Route a l'ENE du Compas, voyant que nous mouillion moins que nos conserves avons fait passer tout l'equipage a arriere, pour voir sil y avoit quelque derangement a la Rimage Suite du 11 au 12 Brumaire de 8h a midy Le Tems Brumeuze, Belle mer, petiti vent du SO à 9 ½ la [illegible] s'est Eclaircy. dans la partie du OSO; moment où nous avons decouvert quatre voiles; a 10h[eure] on en a decouvert cinq aussi dans le SO et [?] 11 heure 8 dans le même aire de vent, nous avons toujours continuer notre route au forcaut de voiles Du 12 au 13 Brumaire an 13 L'ennemis paréssant pas nous aproches de beaucoup ils etoient aux nombre de 6 voiles nous Etions sous la voilure a nous Conformera celle du General Car' il marchoit le moins de tous nous le temps Couver l'air beau belle mer a 4 ½ le G[eneral] nous a fait signale de passer a poupe de lui, il nous a Communique ses intentions, surtout [?] si l'ennemis nous attaque dans a nuit de nous Batre en Retrete et le bons marchiere presenter le travers nous et le ducquetrouin par fois pour faciliter le mouvement [?] il nous a dit aussi que dans la nuit nous faisions Route a l'ENE du Compas et de communiquer ce qu'il et dit si dessu au Ducquetrouin il a dit plusieurs autres Choses, mais pas Consequantes de 6h a minuit Tems clair d elune, belle mer, et petite Brise de SSO, toutes voiles dehors excepté la grand voile; l'ennemi Etant toujours a la vue derriere nous De minuit a 4 heure Un Batiment de la flote Enemis paressoit nous avoir approché, les autres ne paressoient pas a toute de la nuit le temps couver au tour de l'horizon l'air beau le vent au SSE petit, sous toutes voile a la Reserve de la grande voile tribord arriere faisant porter Grand Pluies, la mer tres Belle. Suite du 12 au 13 Brumaire de 4h a 8h le tems clair, petite Brise de SSE Presque calme, a 5h avons fait le Branlebas de Combat, à 61/2heure le general a signalé de se preparer, lors qu'une fregate Ennemie avait deja tire divers Coups de Canons sur nous a 7 1/2 le general et notre Commandant Villesgris ont Couche d'attaquer lennemie dans le même tems la general a signalé au ducquaytroin de virer de Bord vent devent ce qu'on a annulé a 8 h[eure] avons Commencer le combat c'est adire une fregatte avanguard de notre ennemis nous tiraillet par intervals le V[aiss]eu le Ducquetrouin le pris a partie lui a tire quelques Coups de Canon de Retrete la flote nous aproche peu a peu, mais sans ordre De 8 heure a midy Les amarers [?] a tribord l'ennemis aussi, sans tuotes voiles levent au SE petit temps couver et frais a 8 heure et 35o nous avons commence le feux, par les Canons de Retretée, ainsi que le formidable a 9 heures ½ a viré le V[aisse]au le Scipion par ordre du General de prendre la quée et Marcher En Echiquier et donc nous avons été dessuite a 10 heure Decouvria une voile vers le nord, nous en avions 8 a notre vue 5 tres pres et trois tres aloignée en 2me fregatte nous est venue tirailler par l'arrie l'ancre de tribord une et l'autre exactement de l'arrière nous prenions de ?couter de temps en temps pour la tirer des la Baterries, a 10 heure signal aux quatre V[aiss]eux de Repeter les signaux Les V[aiss]eux Ennemis nous aproché ils Etoient a portée de Deux Coups de Canons, a 11 heure ordre a la flote de tenir le vent tribord arriere Comme nous Etions les Echiquiers nous avons été Desuite en ligne de bataille, l'ennemis etoit Presque a la portée a 11 heure ½ signal de virer la ligne à toute l'armée Du 13 Brumaire au 14 suivans an 14 a midy Signal de virer de bord par la Contre marche, les v[aisse]aux ennemis ont commencé le feux quoique les frégattes n'avoient jamais Discontinué, annulet le Signal de virer par la Contre Marché a 1 heure [a] viré de bord toute l'armée vent devant, Les Ennemis ont virés ensuite a 1h1/2 on Reçu un V[aiss]eau de Renfort ils Etoient parconSequent 4 V[aiss]eaux Et quatre fregattes Dou elle nous Bataillest sous le vent et les V[aiss]eau au vent, les feux etait tres violant a 2 heure le V[aiss]eau le Scipion a demater de sont Grand mat d'hune a 2 heure1/4 le formidable S'est Rendu a 2 heure1/2 le Scipion en a fait de même, a 3 heure nous et le ducquetroions a Eté la cloture les feux a ete tres Rapide de deux cotes nous etions tous d'egréer Enfin mats maneuvres ne tenoient que par le beau temps et la mer Calme.

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## Cascade Trail Uchafbwyntiau: Yr Afon Raeadraidd. DISGRIFIAD: Croeswch y bont a dilynwch y nodwyr ## Llwybr Y Chwarelwr Quarryman'S Trail Uchafbwyntiau: Rhaeadrau Ac Olion Y Chwarel. Mp3 Peidiwch ã mynd i mewn i unrhyw weithfeydd neu adeiladau mwyngloddio os gwelwch yn dda efallai eu bod yn anniogel. ## Cyswllt Gorsafoedd Stations Link Please do not enter any mine workings or buildings as they may be unsafe. ## Uchafbwyntiau: Golygfeydd O'R Mynyddoedd O Amgylch A Trenau Stêm. DISGRIFIAD: Dilynwch y nodwyr llwybrau coch rhwng gorsafoedd Nant Gwernol ac Abergynolwyn. Byddwch yn wyliadwrus o drenau wrth groesi'r groesfan wastad hanner fordd ar hyd y llwybr. Atgynhyrchir y map hwn o ddeunydd yr Arolwg Ordnans gyda chaniatâd Arolwg Ordnans ar ran Rheolwr Llyfrfa Ei Mawrhydi Hawlfraint y Goron. © Hawlfraint y Goron a hawliau cronfa ddata 2015 Arolwg Ordnans 100019741. 2015 This map is based upon Ordnance Survey material with the permission of Ordnance Survey on behalf of the controller of Her Majesty's Stationary Ofce © Crown copyright and database rights 2015 Ordnance Survey 100019741. 2015 lle picnic picnic area gwybodaeth information parking parcio toiledau toilets Moderate Distance: 1 miles/1.6km Time: 1 hour Climb: 100ft/30m Cymedrol Pellter: 1 milltir/1.6km Amser: 1 awr Dringo: 100tr/30m ## Highlights: The Cascading River. DESCRIPTION: From Nant Gwernol station cross the bridge and follow the yellow waymarkers upstream. Moderate with long climbs and steep descents. Strenuous Distance: 4 miles/6.4km Time: 2.5 hours Climb: 800ft/250m Anodd Pellter: 4 milltir/6.4km Amser: 2.5 awr Dringo: 800tr/250m ## Highlights: Waterfalls And Quarry Remains. DESCRIPTION: From Nant Gwernol station cross the bridge and follow the blue waymarkers upstream. Strenuous with long climbs and steep descents. Lawrlwythwch ein hap fôn clyfar PlaceTales Cymru|Wales NRW di-dâl i glywed hanes teuluoedd chwarel Abergynolwyn. Download our **free PlaceTales Cymru|Wales NRW Smartphone app** to hear the story of Abergynolwyn's quarry families. Moderate Distance: 1 mile/1.6km Time: ¾ hour Climb: 100ft/30m Cymedrol Pellter: 1 milltir/1.6km Amser: ¾ awr Dringo: 100tr/30m ## Highlights: Mountain Views And Steam Trains. DESCRIPTION: Follow the red waymarkers between Nant Gwernol and Abergynolwyn stations. Please be aware of trains when walking over the level crossing half way along the trail. caf café Pyst Marcio Llwybr Cywedol MP3 MP3 Audio Trail marker posts 1 5

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In the March Digest: - Survey of Apprenticeship Take-up in local authorities 2004 - Survey of People Management in local government 2005 - Hours and Holiday 2005 - Budget 2005: Labour Market implications Local Government Employment Digest provides information on labour market and pay and conditions issues, as well as brief negotiating reports across all local government groups, and survey results. In addition, it looks at all the latest statistics on pay and provides a round up of the state of the economy. PLEASE NOTE: From April 2005, the Digest will become an online-only publication. In order to receive a free electronic copy, please complete the sign up form at the weblink below: http://www.lg-employers.gov.uk/alert/php/action/signup_controller.php ## Contents Summary Statistics 3 ## 1 Features 1.1 Economy 6 1.2 Survey of Apprenticeship Take-up in Local Authorities 2004 8 1.3 Survey of People Management in local government 2005 12 1.4 Hours and Holiday 2005 17 1.5 Press Summary 21 1.6 Budget 2005: Labour market implications 22 ## 2 Pay And Earnings | | | |--------------------------------|-----| | 2.1 Pay Trends | 25 | | | | | 2.3 Recent Pay Settlements | 28 | | 2.4 | | | | | | Market Pay Service – Extract 5 | 29 | ## 3 Prices 3.1 Retail Price Index 35 3.2 House Price Indices 36 ## 4 Labour Market | | | 4.1 Unemployment | 37 | |-----|-----|----------------------|-------| | | | 4.2 Employment | 39 | ## 5 Local Government | | | 5.1 Local Government Datafile | 40 | |-----|-----|---------------------------------------------|-------| | | | 5.2 Employee Jobs in Local Government | | | 41 | | | | | | | 5.3 Current Position of Negotiating Groups | 44 | ## 6 Publications | | | | 6.1 Recent and Forthcoming Publications | 47 | |----|-----|-------------------------------------------|---------------------------------------------|-------| | | | 6.2 Research & Intelligence Publications | 48 | | One copy is circulated free to all local authorities in England and Wales each month. Additional copies are available on subscription to local authorities, other organisations and individuals. Back copies are available from Roopal Shah at The Employers' Organisation. Please note: authoritative information and advice on national negotiations are provided by separate pay circulars, employer information, bulletins, etc. ## Summary Statistics March 2005 Average Earnings Index (Base Rate 2000=100) Index Headline Rate* | | Jan | Dec | Nov | Jan | Dec | Nov | |----------------------------------------------------------|---------------------|-------------|--------|--------|--------|--------| | Wh. Econ. 122.8 118.6 118.9 | 4.4 | 4.4 | 4.2 | | | | | Priv. Sec. | | | | | | | | 122.9 117.7 118.1 | 4.4 | 4.3 | 4.1 | | | | | Pub. Sec. | | | | | | | | 122.7 122.2 121.9 | 4.6 | 4.7 | 4.7 | | | | | Manuf. | 117.6 117.7 116.6 | 3.2 | 3.3 | 3.1 | | | | Services | | | | | | | | 124.1 117.7 119.2 | 4.4 | 4.5 | 4.3 | | | | | Next statistics: 13 | | | | | | | | th | | | | | | | | April 2005. | | | | | | | | *Average of seasonally adjusted series over latest three | | | | | | | | months. | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | PRICES | | | | | | | | | All items | Underlying* | | | | | | | Feb | Jan | Dec | Feb | Jan | Dec | | RPI | 3.2 | 3.2 | 3.5 | 2.1 | 2.1 | 2.5 | | TPI | 3.1 | 3.1 | 3.5 | | | | | CPI | 1.6 | 1.6 | 1.6 | | | | Next statistics: 19 th April 2005. * Excludes mortgage interest. LABOUR MARKET (thousands) Nov-Jan Aug-Oct May-Jul | Unempl. UK | 1,410 | 1,388 | 1,418 | |--------------------|----------|----------|----------| | Unempl. GB* | 1,376 | 1,352 | 1,378 | | Total in empl. UK | 28,567 | 28,440 | 28,385 | | Total in empl. GB* | 27,818 | 27,700 | 27,656 | | | | | | | | Feb | Jan | Dec | | Claimant Count UK | 813.3 | 814.0 | 824.2 | | Claimant Count GB | 784.3 | 784.3 | 797.2 | * Labour Force Survey figures have been re-weighted for individual regions to take account of the 2001 Census results. AEI FORECASTS Whole economy Range Mean 2005 (I) 3.6% - 5.0% 4.3% 2005 (II) 4.0% - 4.9% 4.5% Based on 10 forecasts, source IRS. RPI FORECASTS (All items) Quarter Range Mean 2005 (I) 3.1% - 3.5% 3.3% 2005 (II) 3.0% - 3.5% 3.2% Based on 10 forecasts, source IRS. SETTLEMENTS IRS 3.3% (Whole economy median over the three months to January 2005) IDS 3.3% (Whole economy median over three months to January 2005) EEF 2.7% (Manu) (Mean in the three months to January 2005) LRD 3.5% (Whole economy median over three months to January 2005) * The CBI no longer publishes pay figures. We now quote the Engineering Employers Federation (EEF) quarterly figures for the manufacturing sector. Total Employee jobs in Local Government* - June 2004 England Wales | Education – Teachers | 515,930 | 37,313 | |-------------------------|--------------------|-----------| | Education –Others | 726,615 | 47,611 | | Social Services | 288,006 | 27,724 | | Services Direct to the | | | | Public | | | | 412,971 | 39,543 | | | Corporate Functions | 176,652 | 11,884 | | Total | 2,120,174 164,074 | | Source: Employers' Organisation Local Government Employment Survey NEGOTIATIONS – CURRENT POSITIONS Group: Teachers in Residential Establishments (E&W) Settlement: The JNC agreed that the Main and Upper Pay Scales for qualified teachers in residential social services establishments should be subject to a general increase of 2.5% from 1 April 2004, 2.5% from 1 April 2005, and a further 0.75% from 1 September 2005 to 31 August 2006. All allowances applicable to teachers in social services establishments and Heads, deputies and Assistant heads in residential special schools were increased by the same percentage amounts as were the salaries. CURRENT PAY MOVEMENTS - Ibstock Building Products- 3.25% basic pay rise (1,400 hourly paid, 400 staff). - S4C- 3.4% basic pay increase, subject to minimum rise of £500 a year (210). - Tandridge District Council- 3.1% increase (340). Note: BCC data is updated quarterly. For further information please contact: Cheryl Lloyd – Tel: 020 7296 6656 Pay Settlements, Movements & Negotiations The British Chambers of Commerce Quarterly Economic Survey- Quarter 3, 2004 ƒ **Exports**: The export market is measured by volume of sales and volume of orders. After a strong showing in quarter 1 the manufacturing sector's balance of exports showed mixed movements in quarter 2, but remained relatively strong. However in quarter 3 the proportion of manufacturing's export sales fell. Export orders fell more sharply, levelling order levels to their lowest since quarter 3 2003. The services sector showed mixed results with export sales rising slightly and orders falling slightly. ƒ **Investment**: Investment intentions are measured by investment in plant & machinery and investment in training. There was a slight dip in the balance of manufacturing and services firms that intend to invest in Q2 compared with Q1. In quarter 3 this balance turned with a doubling in the proportion of firms planning to increase investment in plant and machinery. However, the proportion of firms planning to invest in training declined slightly. ƒ Business confidence: Business confidence is a key reflector of the economic climate. Turnover confidence and profitability confidence are the two yardsticks for measuring business confidence. Both manufacturing and services saw falls in turnover confidence and profitably confidence in the second quarter while falls for services were negligible. In quarter 3 turnover confidence in manufacturing and services fell further. Turnover confidence for manufacturing was at its lowest since quarter 1, 2003. *Abbreviations* Wh. Econ. Priv. Sec. Pub. Sec. Manuf. AEI IRS IDS EO CBI EEF LRD RPI TPI S.adjusted CPI LGS Whole economy Private sector Public sector Manufacturing Average Earnings Index Industrial Relations Services Incomes Data Services Ltd Employers' Organisation Confederation of British Industry Engineering Employers Federation Labour Research Department Retail Prices Index Tax and Price Index Seasonally adjusted Consumer Price Index Local Government Services ## *Glossary* Average Earnings Index The Average Earnings Index is calculated from a monthly survey of some 9 million employees across the economy. The Survey obtains details of gross wages and salaries paid to employees and so increases in the average earnings index include increases in bonus payments, payments by results, etc. as well as increases in basic pay. 'Seasonally adjusted' average earnings adjust actual monthly earnings to eliminate the effects of annual peaks and troughs, such as traditional periods of high overtime. The headline rate of increase in average earnings, which is given in this bulletin, is the average of the seasonally adjusted increases over the latest three months. Retail Price Index The Retail Prices Index (RPI) measures the average change from month to month in the prices of goods and services purchased by the average UK household. (For further details see the Local Government Employment Digest, July 1992). Consumer Price Index CPI is based on an internationally agreed measure of inflation and contains a different basket of goods to RPI (X). The main difference is CPI excludes the costs of owner-occupied housing (building insurance, council tax) and house prices. The CPI replaces the underlying rate of inflation (RPIX) as inflationary measure to be targeted by the Bank of England. Tax and Price Index The Tax and Price Index measures the change in gross income needed for taxpayers to maintain their purchasing power. It thus allows for changes to direct taxes and employees' National Insurance Contributions, as well as changes in the Retail Prices Index. ILO Unemployment ILO unemployment is based on the international definition of unemployment, which counts as unemployed all those without works, who is seeking work and are available to start work. Claimant Count The claimant count measure of unemployment is an administrative count of those eligible to receive unemployment-related benefits. utility bills whilst global competition has prevented consumer prices rising in the shortterm. OPEC's attempts to increase the production of oil by agreeing to an increase of 500,000 barrels per day appear to have had no effect on reducing the price of oil. It appears that increases in production are being more than matched by increases in demand. Cold weather across the Northern hemisphere and robust economic growth in China and the US have pushed up demand. The impact of the $50 barrel of oil has hit capital and intermediate goods producers who have passed on the costs to producers of consumer goods who will have to eventually pass on the costs to consumers. In addition to increased utility bills, British Airways announced a fuel surcharge last week of £26 on long-haul flights and £14 on short-haul flights. It remains to be seen if oil prices will drop before manufacturers will raise their prices. Inflationary pressures - from labour A longer-term threat to inflation could come from the continuing tightness in the labour market. Levels of employment are at a 34 year high (28.52 million) and the CBI believes that attempts to raise employment further might create upward pressure on earnings growth due to an insufficient supply of labour. The CBI also refer to the continuing skills gap in the economy stating that unfilled job vacancies have increased from 606,500 in January 2004 to 652,300 in January 2005. The releasing of new workers into the labour market (either through greater migration and/or by re-employing those currently not working) may lessen the pressure here but the CBI believes that skill shortages will become more acute over the next two years. Economy Interest rates have remained at 4.75% following the MPC meeting on 9 th/10 th March and it seems more likely that any rate rise will occur after rather than before the election. The CBI believes that there is a growing inflationary pressure from the high price of oil and an ever-tightening labour market. Housing market data has failed to lift the gloom. The impact of the Budget on the labour markets is assessed in a separate article in Features 1.6. Interest rates - Remain at 4.75% The decision to hold interest rates at 4.75% was favoured by seven of the nine members of the Monetary Policy Committee (MPC). Two members voted for a rise of 0.25% in the base rate. The MPC appear to be unsure of the strength of the economy and in particular the level of consumer spending. Mervyn King (Governor) has acknowledged that the committee are nervous about consumer spending but retail data seems to be providing little clarity. Consumer spending in January had grown by £2.3bn and credit, overdraft, card purchases and bank loans grew by 46% in January to a seven month high of £2.29bn. However, more recent data from the British Retail Consortium would appear to show that the rate of growth in consumer spending is tailing off. Moreover, the CBI believes that the continuing high cost of oil has yet to be passed onto the prices of consumer goods. If and when these costs are transferred, consumer spending is likely to fall anyway. Rachel Lomax of the MPC has hinted that the likelihood of an interest rate rise before the election was slim. Inflationary pressures - from oil The CBI are claiming that inflationary pressures are building and they predict that the CPI will rise to 1.8% by the end of 2005 and then go beyond 2% by the second half of 2006. The source of this belief is the persistently high price of crude oil. The price of Brent crude is 51% higher in February 2005 than in January 2004 and ONS data has shown that producer input costs have risen by 9.5% over the year to January. So far, consumers have only seen the impact of this at the petrol pump and through increased with the BBA reporting a 43% drop to 31,285 from 54,443 a year earlier, the biggest drop on record. Perhaps fuelling this drop in prices is a growing supply of housing due to the rising number of unsold properties. The Royal Institute of Chartered Surveyors state that the number of unsold properties is at it's highest since March 2003. Both the National Association of Estate Agents and the investment bank Lehman Brothers have argued that they believe the housing market is currently overvalued between 10% & 20%. The raising of stamp duty from £60,000 to £120,000 is likely to have a limited impact on the housing market but should enable those outside the South of England to make their first purchase more easily. Nick Shasha Housing - slump continues The Nationwide have put a brave face on their recent housing data that shows that annual housing price inflation has fallen back into the single-digits for the first time in four years. (falling from 10.2% to 7.9%). Picked up more by the media has been the monthly price change, (which is inherently more volatile) which has moved from a growth of 0.5% in February to a decline of 0.6% in March, the largest monthly decline in the Nationwide index since 1995. The Nationwide group economist Alex Bannister has responded by saying that "the data confirms our view that the market is experiencing a soft landing." Other sources of data convey a more negative picture. Both the Bank of England and the British Bankers Association (BBA) have reported large falls in mortgage approvals 33.0% (1,745 Apprentices) of the total (grossed) number of Apprentices were engaged with metropolitan districts, compared with 26.9% of the total local government workforce. Local education authorities, shire counties and unitaries each accounted for around 15% of the total number of Apprentices. Apprentices were concentrated in authorities in the North East, North West and Yorkshire and Humberside, accounting for 49.4% of the total Apprentices, compared with 33% of the total local government workforce. Distribution of Apprentices Authorities engaged almost double the amount of Apprentices (64.7%) than Advanced Apprentices (35.3%). Almost one-fifth of Apprentices were engaged in direct services. Around 17% were engaged in Education and across a number of departments. The Business and Administration framework was the most widely adopted (46.0%), followed by Construction (20.9%) and Early Years and Education (11.4 %) Less than half of the 160 authorities currently engaged with Apprentices were approved training providers/centres for Apprentices. The proportion was higher for local education authorities (87.0%) and London Boroughs (66.7%). Shire districts (13.8%) were the only authority type to fall below the all respondent average. Characteristics of Apprentices Just under two-thirds of the Apprentices for whom information on age was given had Survey of Apprenticeship Take-up in Local Authorities 2004 The Research and Intelligence (R&I) section of the Employers' Organisation for local government, in partnership with the Department for Education and Skills (DfES), conducted the Survey of Apprenticeship Take-up in Local Authorities 2004. It was a followup to the 2000 survey and was designed to establish how local government's involvement in the Apprenticeship scheme has progressed. Background The need to recruit and train young people within local government, especially in hard-tofill occupational areas and against the background of an ageing workforce, is a main theme within the Local Government Pay and Workforce Strategy. The survey was conducted between October and December 2004 with 387 local authorities, 31 combined fire authorities and 149 local education authorities, which were surveyed separately to their corporate counterparts. Responses were obtained from 52.5% of local authorities, 34% of local education authorities and 32.3% of combined fire authorities. Throughout the survey the term Apprentices has been used both as a reference to apprentices in general and as the Level 2 Apprenticeship. For clarification Table 1 should be used. Key Findings Authorities Involvement in the Apprenticeship Programme Over half of respondents had at least one Apprentice (60.6%). A further 21.6% had taken on Apprentices in the past but had no apprentices at the time of the survey, and 17.8% have never had any Apprentices. All responding metropolitan districts were currently engaged with Apprentices. Conversely, less than half of fire authorities (40.0%) were or had been involved. Number of Apprentices In Winter 2004, just under 5300 Apprentices were engaged with local authorities in England. The number of Apprentices in local government has risen by 22.2% since winter 2000. started their Apprenticeship when they were 16 or 17 (64.8%). Over one sixth of apprentices were aged 18 (18.0%) and onetenth were aged 20 or more (9.9%) when they began their Apprenticeship. Just over half of Apprentices were male (52.7%). The proportion was significantly larger for fire authorities (80.0%) but much smaller for local education authorities (22.7%). 11.3% of Apprentices were from minority ethnic origins. Of the ethnic minorities, Asian or Asian British accounted for the highest proportion (5.2%). London boroughs had higher proportions, with ethnic minorities accounting for 57.9% of Apprentices engaged within London boroughs. 2.5% of all apprentices engaged with local authorities had some form of long-term illness, health problem or disability, which limits their work or daily activities. Attitudes towards the Apprenticeship Programme The reason authorities cited as being the most important for their decision to implement Apprentices was the "opportunity for young people to achieve recognised national qualifications". This was followed closely by the "opportunity to provide young people with the appropriate range of skills". "Opportunity to access government funding" was given as the least important. The most significant perceived benefit of the Apprenticeship initiative was "to be recognised as a responsible employer taking action for the future". All authorities, whatever their current involvement with the scheme, considered "bureaucracy/paperwork" and "the amount of time needed to implement and deliver the programme" as the major drawbacks to the scheme. Future Involvement with Apprentices The future of the Apprenticeship initiative in local government looks very positive. Only 9 authorities (3.6% of responding authorities) indicated a possible decrease in numbers and 134 (53.6% of responding authorities) forecasted numbers increasing. This survey highlights both the real and potential benefits of using Apprenticeships as a tool for recruiting and developing younger workers. An ageing workforce (only 8% are aged 24 or under) shows the increasing needs of the sector to promote itself as an employer of choice. Whilst the survey shows strong take-up in the traditional Apprenticeship areas of Business Administration and Construction (which account for 70.6% of all local authority Apprentices) an increasingly wide choice of frameworks are becoming available. New opportunities range from generic frameworks such as the Advanced Apprenticeship in Management, to the development of new frameworks to cover specific skills shortage areas such as Public Protection (involving environmental health and trading standards). Certainly the creation and application of Adult Apprenticeships, aimed at those aged 22 or over, would offer a new development opportunity to large parts of the local government workforce. Authorities that use Apprentices find them advantageous and see their involvement increasing. The role of Apprentices in a wider capacity-building strategy can be found in one typical comment: "They have proved a very beneficial method of introducing young people into the organisation who have subsequently developed and moved into more senior and specialist roles e.g. planners, land charges officers and customer services supervisors." Authorities also see benefits of Apprentices in promoting diversity, succession planning and talent management. This survey shows what is being achieved, and highlights the benefits of engaging an Apprentice. It should serve as a basis for further Apprenticeship involvement over the next few years. A copy of the executive summary will be sent to all local authorities in England For further information please contact: Martin Stein at the Employers' Organisation, Layden House, 76-86 Turnmill Street, London EC1M 5LG, Tel: 020 7296 6676; Fax: 020 7296 6660; Email: martin.stein@lg-employers.gov.uk; or Ben Hickman at the Employers' Organisation, Layden House, 76-86 Turnmill Street, London EC1M 5LG,, Tel: 020 7296 6171; Fax: 020 7296 6660; Email: ben.hickman@lg-employers.gov.uk. Apprenticeships Young Apprentices 14-16 frameworks currently under development Apprentices 16-18 Level 2 frameworks Advanced Apprentices 18-25 Level 3 frameworks Adult Apprentices 22+ frameworks currently under development Survey of Apprenticeship Take-up in Local Authorities 2004: Key Findings Involvement with Apprentices Authorities that are training (Proportion of Respondents) **(Proportion of Respondents)** Currently Involved 60.6% Proportion with Apprentices 41.3 Involved in the Past 21.6% 65.7 Never been Involved 17.8% Proportion of Total Apprentices engaged with these Authorities Number of Apprentices (Grossed) Intentions Regarding Future Numbers Apprentices 3426 **(Proportion of Respondents)** Advanced Apprentices 1871 Increasing 53.8 Total Apprentices 5297 Decreasing 3.6% Staying the Same 42.6 Involvement by Function (Top five (Proportion of Apprentices) Reasons for Implementation Direct Services/DLO/DSO 19.4% Most Important Across a Number of Departments 17.3% Education 17.2% Opportunity for young people to achieve recognised national qualifications Social Services 9.4% Corporate Services 7.3% Opportunity to provide young people with appropriate Least Important Involvement by Framework (Top Implementing youth employment strategy (Proportion of Apprentices) Business Administration 46.0% Opportunity to access government funding to subsidise training costs Construction 20.9% Early Years & Education 11.4% Benefits of Apprenticeship Scheme Customer Services 3.0% Most Significant Health & Social Care 2.5% To develop/enhance the organisation's reputation for developing employees and their careers Characteristics of Apprentices (Proportion of Apprentices) To be recognised as a responsible employer taking action for the future Gender Least Significant Male 52.7% Female 47.3% To recruit local people who understand local circumstances Ethnicity To access government funding to subsidise White 88.7% training costs Minority Ethnic Origins 11.3% Age Distribution **Problems with Apprenticeship Scheme** 16 39.5% Most Significant 17 25.3% 18 18.0% Amount of time needed to implement and deliver the 19 7.3% Bureaucracy / paperwork 20+ 9.9% Least Significant Long-term illness/disability 2.5% Difficulty in delivering underpinning knowledge requirements Lack of support from local LSC represented on the SMT by the head of the corporate management function (described above) and just over a third (35.7%) of SMT's had people management included within another senior manager's portfolio of responsibility. 1 in 10 councils with no HR member More than two-thirds (71.6%) of respondents have people management represented by one elected member of the council. Just over a tenth (11.8%) have no direct representation of people management on the council and another tenth (10.1%) have people management shared as a responsibility by more than one elected member. A centralised HR function - the way forward? Three-fifths (62.4%) of respondents deliver people management to the rest of their authority using a centralised model which EO has defined as: 'the majority of HR activities are undertaken by a central HR team, whilst administrative elements take place within individual business units'. HR claims strategic partner role In 2003 the Chartered Institute of Personnel and Development (CIPD) undertook a survey of corporate HR functions, entitled 'Where we are, where we're heading', with the aim of identifying the ability of HR functions to develop and evolve to meet increasingly strategic business needs. To facilitate comparisons with the CIPD survey results the following question classifies the roles of HR functions into four distinct groups, as identified by Dave Ulrich in his formative book 'Human Resource Champions'. Survey of People Management in Local Government 2005 This is a preliminary report of key findings emerging from the survey, further analyses (based upon the final response) including some additional data areas and further data comparisons will be provided in the full survey report (please see contact names listed at the end of the report). This will include organisational structure; nature of service arrangements; time spent on HR activities; development of people strategy; people management ethos; and e-HR facilities available to staff. All respondents will be provided with full confidential feedback listings in spring 2005. Findings Nearly half of councils covered 44.1% of all local authorities in England provided a response to the survey of people management, sent out in January 2005 by the Employers' Organisation for local government. More detailed breakdowns of response by English region and type of authority are given in Table 1. The response was even across all Comprehensive Performance Assessment categories (poor-excellent), illustrating no imbalance in response toward any particular category. HR replaces personnel More than half of all authorities (59.4%) call their corporate people management function 'Human Resources' and a third use the title 'Personnel'. Who is leading on HR? One half (50.3%) of the most senior posts responsible for people management within local authorities report directly to the Chief Executive. A further 45% have one level of seniority between themselves and the Chief Executive. Commonly used titles for this post are 'Head of Human Resources' (32.9%), 'Head of Personnel' (15.9%) and a variety of titles including 'Assistant Chief Executive', 'Assistant Director, Human Resources' and broader titles such as 'Head of Organisational Development' and 'Head of People and Performance'. Around a seventh (14.0%) of respondents reported that people management was not directly represented on their Senior Management Team (SMT). Just under half (46.2%) had people management More than two-thirds (67.5%) of respondents described the main role of the authority's corporate people management function as 'Strategic Partner' ('A partner with senior and line managers in strategy design and execution facilitating the translation of business strategy into action'). This compares favourably with CIPD's finding that 33% of their 1,188 respondents considered themselves to be 'Strategic Partners' whilst 56% wished to become 'Strategic Partners'. Is HR adequately resourced? Grossed figures show that there are a total of 13,669 staff working in the direct provision of people management for 50% or more of their time in local authorities in England. Of these almost half (7,446) are based in corporate departments, and just over and under a seventh each (2,197, 1,944 and 1,740) are specifically based in Education, Social Services and 'other departments serving the public' respectively. Each year the EO conducts the Local Government Employment Survey (LGES) which gathers total workforce figures for all local government. Based upon the LGES June 2004 grossed figures (adjusted to demonstrate full-time equivalence) we have produced Table 2 which shows the ratios of people management staff to all local government staff within each type of local authority. Overall there are 106 local government employees to every one member of people management staff. This compares favourably with the IRS Employment Review Benchmark 2005 finding of 109 employees to 1 HR officer nationally across sectors. Our findings challenge the IRS' statement that "Public sector organisations also tend to have relatively large HR departments for the number of staff they oversee". Councils lead the way on the development of people strategies Most responding authorities (83.3%) reported that they had a people strategy in place for the whole of the authority. 4.8% had a strategy in place for part of the authority and just over a tenth (11.9%) had no people strategy in place. The IRS found that only 53% of manufacturers and 44% of private services sector companies had HR strategies in place. Councils report use of people measures Almost all (91.8%) authorities were using 'hard' (quantifiable and process) methods to evaluate people management regarding sickness absence. The other areas of people management commonly evaluated using 'hard' measures included: recruitment & retention (by four-fifths); training and development of managers (by just under twothirds) and training and development of nonmanagers (also by just under two-thirds). Whilst 'soft' evaluation measures were often used in addition to 'hard' evaluation methods most commonly 'soft' evaluation measures were used for work-life balance issues (by more than two-thirds, 69.6% of respondents). eHR strong in traditional people management jobs Most of the authorities who responded to the survey (88% and 81.9% respectively) reported that they used electronic HR (eHR) systems in order to provide payroll and absence management services to the whole or part of the authority. Just over two-thirds (71.7%) were using eHR for recruitment and retention and half were using eHR to provide skills and development services. Around twofifths of respondents were using eHR for other activities including: reward/pay management; performance management/appraisal; health and safety; workforce planning and equality and diversity. | No. of | Response | Response | |-----------|-------------|-------------| For further information please contact: Tracey Connage at the Employers' Organisation, Layden House, 76-86 Turnmill Street, London EC1M 5LG, Tel: 020 7296 6198; or Email: tracey.connage@lg-employers.gov.uk Or Ben Hickman at the Employers' Organisation, Layden House, 76-86 Turnmill Street, London EC1M 5LG,, Tel: 020 7296 6171; or Email: ben.hickman@lg-employers.gov.uk Or Kate Crofts at the Employers' Organisation, Layden House, 76-86 Turnmill Street, London EC1M 5LG,, Tel: 020 7296 6642; or Email: kate.crofts@lg-employers.gov.uk English Region | returns | rate | |--------------------|--------------| | | | | Type of Authority | No. of | | returns | rate | | received | received | | East Midlands | 27 | | East of | | | England | 26 | | | Metropolitan | | districts | | | 11 | 30.6% | | London | 16 | | North East | 6 | | North West | 18 | | South East | 28 | | South West | 21 | | West | | | Midlands | 14 | | | | | | | | Yorkshire and | | | Humberside | 12 | | | | | All LAs in England | 171 | | | Total | Total | Ratio of PM | |--------------------|---------------|---------------|----------------| | Type of Authority | (grossed FTE) | (grossed FTE) | staff to LG | | PM staff | LG staff | staff | | | Shire Districts | 1,607 | 119,939 | 1:61 | | Metropolitan | | | | | Districts | | | | | 3,074 | 411,932 | 1:130 | | | Shire Counties | 4,115 | 537,607 | 1:135 | | England Unitaries | | | | | 2,247 | 285,010 | 1:107 | | | London Boroughs | 1,959 | 198,522 | 1:95 | | All LAs in England | | | | | 13,669* | 1,553,009 | 1:106 | | *Total grossed FTE is greater than sum of departments as more information was available regarding total PM staff. ## Survey Of People Management In Local Government 2005 Preliminary Key Facts - England BASE for percentages (all respondents) =157 authorities in England (40%). PM = people management LA = local authority Title of corporate PM function Human resources 59.4 Personnel 31.2 Other 7.6 People management 1.2 No corporate/central people management Department 0.6 Title of head of PM Head of human resources 32.9 Other (inc. Asst. Chief Executive & Asst. Director) 31.8 Head of personnel 15.9 Human resources manager 6.5 Personnel manager 4.7 Director of human resources 2.9 Chief human resources officer 1.8 Chief personnel officer 2.9 Director of personnel 0.6 Representation of PM on senior mgt. team by head of PM 46.2 within other senior manager's portfolio of responsibility 35.7 not directly represented 14.0 other 4.1 Representation of people management by elected members within one member's portfolio of responsibility 71.6 not directly represented 11.8 within more than one member's portfolio of responsibility 10.1 other 6.5 Model of delivery of PM centralised 62.4 decentralised 12.9 account management 1.2 shared service 10.0 outsourced 0.6 integrated 1.7 other model of PM service delivery 11.2 Role of the PM function (using Ulrich's descriptors 1) strategic partner 67.5 administrative expert 9.2 employee champion 4.9 change agent 18.4 ## Survey Of People Management In Local Government 2005 Preliminary Key Facts - England BASE for percentages (all respondents) =157 authorities in England (40%). PM = people management LA = local authority PM staff numbers | total (grossed FTE) PM staff in local govt. in England | 13,669 | |---------------------------------------------------------------------------------|-----------| | total (grossed FTE) PM staff in corporate departments | 7,446 | | total (grossed FTE) PM staff in other departments | 1,740 | | total (grossed FTE) PM staff in education (schools = 1,591 + non-schools = 606) | 2197 | | total (grossed FTE) PM staff in social services | 1,944 | | mean ratio of local govt. staff (FTE) to PM staff | 1:106 | | People strategy | | | | | | people strategy in place for whole authority | 83.3 | | people strategy in place for part of authority | 4.8 | | no people strategy in place | 11.9 | | LAs using "hard" (quantifiable and process) methods to evaluate PM regarding: | | | | | | sickness absence management | 91.8 | | improved recruitment & retention policies | 80.1 | | training & development of managers | 62.0 | | training & development of non-managers | 60.8 | | improving internal communications | 40.9 | | development of top leadership | 36.8 | | work-life balance issues | 31.6 | | team-based working | 14.0 | | LAs using "soft" (qualitative) methods to evaluate PM regarding: | | | | | | work-life balance issues | 69.6 | | training & development of managers | 67.8 | | development of top leadership | 64.9 | | improving internal communications | 61.4 | | training & development of non-managers | 55.6 | | improved recruitment & retention policies | 35.7 | | team-based working | 33.9 | | sickness absence management | 18.1 | | Whole or part of LAs using eHR to conduct: | | | | | | payroll | 88.0 | | absence management | 81.9 | | recruitment and retention | 71.7 | | skills and development | 51.2 | | performance management / appraisal | 47.0 | | reward/pay management (inc. job evaluation/grading) | 46.4 | | health and safety | 41.6 | | equality and diversity | 42.2 | | workforce planning | 40.4 | | other | 2.4 | agreement of 1997. When this has been rolled out to all authorities, greater harmonisation in hours worked is likely to occur. Teachers From September 2004 teachers in England will be limited in the number of hours that they can be required to cover for an absent colleague. This is in addition to a new workload agreement which, according to IDS is designed to free teachers from some administrative tasks. NHS The standard weekly hours for all full time NHS staff will be 37.5 hours (excluding meal breaks) under the Agenda for Change agreement. Civil Service Harmonisation of working hours is also occurring in the Civil Service with many agencies having achieved 30 days leave as standard, irrespective of grade. Holiday entitlement Unlike weekly working hours, the difference between manual and non-manual holiday entitlement is very small. Table 2 shows that the most common number of annual leave entitlement for organisations included in the IDS database is 25 days. The average number holidays overall is 24.6 days, and the average number of holidays for manual and nonmanual workers is 23.9 days and 24.7 days respectively. The lowest number of holiday entitlement days is 21.6 days in hotels and leisure; this is followed by 22.9 days in construction and retail. For many organisations the basic holiday entitlement is boosted by service Hours and Holiday 2005 This article looks at the key findings from the IDS Study 784 on Hours and Holidays and the IRS Employment Review 817, which also features data on holidays. IDS report the average full time working week is 37.2 hours and the average basic annual leave entitlement is 24.6 days whilst the IRS report that basic leave entitlement is 24.7 days. Findings from IDS - A survey of 484 organisations Basic Working Hours Table 1 based on an analysis published by IDS shows that there are still large differences in the number of working hours between manual and non-manual workers. Manual employees still tend to be more likely to work weeks in excess of 37 hrs per week than nonmanual workers. 45% of manual workers have a basic working week of 39 hours or more (compared with 11% of those in non-manual agreements). Conversely, 40% of those in non-manual agreements have a basic week of 36 hours or under (against 10% of manuals). There is also a difference in the number of hours worked in different sectors. The lowest average basic weekly working hours are 35.2, found for those working in the finance sector, a mainly non-manual sector. The longest weekly working hours were recorded in agriculture and forestry (38.8), mining and quarrying and textiles (38.7) and clothing and footwear (38.4). IDS report that there has been an ongoing move to harmonise manual and non-manual working conditions, including the number of working hours. Two-thirds of harmonised agreements have a basic working week of 37 to 37.75 hours. Hours in the public sector Local Government According to IDS from the 1st of April 2004, local government staff in London previously on the manual workers grading structure saw the introduction of a standard 36-hour week under the terms of the single status Union membership The IRS also show that leave entitlement tends to be higher amongst those organisations that have union membership (26.1 days) compared to non-union organisations (22.7 days). Unions tend to be more prevalent in larger public sector organisations where leave levels are often historically higher than the private sector but it seems possible that union membership has had a positive impact on increasing holiday entitlement. Levels of holiday by size of organisation and sector Table 3 shows that organisational size across industry appears to have little or no impact on levels of holiday entitlement. The largest variance is for organisations that have 1-249 employees and those that have 1000+ employees. Here the level of holiday entitlement is 24 and 25 days respectively (at both the mean and median). Larger organisations may tend to offer a very marginal increase in holiday levels. Much greater variances are found by sector. The largest difference is for the public sector and private services where the level of holiday entitlement is 27.1 and 22.7 days respectively (at the mean). The public sector and private manufacturing sector also have a much wider variance of holiday on offer (between 18.4 and 46. 3 and 18.2 and 45.8 respectively) than in the private services sector (between 17.4 and 28). Despite these differences, median leave entitlement is between 22.8 and 25 days for all types of sector. Roopal Shah/Nick Shasha related leave. IDS reveal that the highest number of average holiday entitlement days is in the mining and quarrying sector at 26.5 days, followed by 26.1 days in the energy and water sector. Interestingly, the IDS survey mentions that almost 6% of the organisations have a form of buying and selling holiday. This is usually part of a wider flexible benefits scheme. Findings from IRS Employment Review 817 - A survey of 161 organisations Similarities The IRS survey on annual leave reports back many similar findings to the IDS survey with little variation in the levels of holiday offered over the last year and an average entitlement of 24.7 days, compared to 24.6 days in the IDS survey. In addition, the IRS report that differences in holiday entitlements between manual and non-manual workers have largely disappeared. Most notable in this respect is Local Government where the Single Status agreement appears to have "all but wiped out the gap". Comparisons with other countries The IRS state that whilst levels of holiday in the UK are far above those offered in the US (that has an average of 9.8 days) they are still below those offered in much of Western Europe. Workers in the Netherlands have an average of 31.4 days, Germany an average of 29.2 and Italy an average of 28. Additional leave One trend that the survey reveals is that offering additional days leave is becoming less popular. 18 months ago the survey showed that 66% of participants offered this whilst the most recent survey shows this has dropped to 61%. It's unclear if this is a result of harmonisation or another trend. ## Range of basic weekly working hours Basic hours Manual Non-manual Harmonised* Under 35 1.1% 0.3% - 35 5.6% 27.4% 8.5% 35.25 – 35.75 0.4% 0.3% 2.6% 36 3.3% 11.9% 3.9% 36.25 – 36.75 4.1% 6.3% 1.3% 37 14.1% 19.0% 39.2% 37.25 – 37.75 13.3% 20.2% 26.8% 38 10.7% 3.0% 2.6% 38.25 – 38.75 1.9% 0.9% 1.3% 39 – 39.75 31.1% 6.8% 11.1% 40 11.5% 3.3% 2.0% Over 40 3.0% 0.6% 0.7% *Where all employees have the same basic hours Source: IDS hours and holidays database Range of basic holiday entitlement Basic holiday Manual Non-manual Harmonised* 20/20.5 5.9% 8.3% 3.1% 21 10.4% 6.8% 1.3% 22/22.5 12.2% 13.7% 3.1% 23 6.3% 6.8% 3.8% 24/24.5 7.2% 6.3% 5.0% 25/25.5 41.6% 39.6% 60.6% 26 11.8% 10.4% 10.0% 27/27.5 1.4% 3.6% 5.0% 28 2.3% 1.8% 5.6% 29 0.5% 0.9% - 30 0.5% 1.2% 2.5% Over 30 - 0.6% - *Where all employees have the same basic hours Source: IDS hours and holiday database Weighted average of basic holiday allowance across all groups – by organisation size | | No. of days | No. of employees | No. of organisations | |-----------------|----------------|---------------------|-------------------------| | Mean | Median | Minimum | Maximum | | 1-249 employees | 65 | 24.0 | 24.0 | | 250-999 | | | | | employees | | | | | 48 | 24.2 | 24.5 | 18.2 | | 1000+ employees | 32 | 25.0 | 25.0 | | Total | 145 | 24.3 | 24.5 | Source: IRS Employment Review 817 Weighted average of basic holiday allowance across all groups – by broad sector | | No. of days | Broad sector | No. of organisations | |------------------|----------------|-----------------|-------------------------| | Mean | Median | Minimum | Maximum | | Public sector | 32 | 27.1 | 25.0 | | Private manuf. | 54 | 24.4 | 25.0 | | Private services | 58 | 22.7 | 22.8 | | Total | 144 | 24.3 | 24.7 | Source: IRS Employment Review 817 A complete report of the IDS Hours and Holidays 2004, IDS HR Studies 784, can be obtained by contacting IDS Customer services on 020 7324 2599, 77 Bastwick Street, London, EC1V 3TT, or visiting their website: www.incomesdata.co.uk. IRS Employment Review 817 can be obtained through IRS, 2 Addiscombe Road, Croydon, Surrey, CR9 5AF. Customer Services: 020 8662 2000. Website: www.irsemploymentreview.com For more information about this article please contact Roopal Shah on 020 7296 6510 or via e-mail at roopal.shah@lg-employers.gov.uk or Nick Shasha on 020 7296 6765 or via e-mail at nick.shasha@lg-employers.gov.uk the only option for women who are raising children. She pointed to companies in the financial sector, including the nationwide building society, who are offering increased flexible working arrangements for women with childcare responsibilities. 35 - hour week under threat By Jon Henley, The Guardian, 1 st February 2005, P13. The 1998 law passed under the then Socialist Government in France, reducing working hours to 35 hours per week, is under threat of being dismantled this week by the current French Government. Under new proposals, workers will be allowed to work up to 48 hours per week. The Labour Relations minister, Gerard Larcher insisted the new proposals offered more freedoms for workers who want to work more hours, not an eradication of the previous law altogether. A CGT spokesman, Bernard Thibault argues however that it is an illusion to think employees will be able to choose their hours as they wish, stating all the power will be transferred to the employer if the new proposals become part of the statute. Jon Henley illustrates a conflict of interest within the French workforce, using two recent polls on the new proposed law. One shows 77% want to maintain the 35-hour week, but another shows 52% of white-collar employees and 1in3 blue-collar workers would like the option of working longer hours. One of the motives behind the new proposals, as highlighted by Jon Henley, may be the increased waiting lists within France's public sector, and the constraints put on businesses unable to increase their productivity. Press Summary This section in the Digest aims to provide an overview of recent stories that have featured in the national press that are likely to have a direct impact upon local government. Poor careers advice hits women in pay packet. By Jonathan Moules, The Financial Times, 3 rd February 2005, Pg 6. A variety of Gender bias and equality within employment has been uncovered by The Equal Opportunities commission (EOC) who have said that male part-time workers have earned 40 percent more then their female counterparts over the past 30 years. Caroline Slocock, the commission's chief executive told delegates from the Dept of Trade and Industry that gender bias starts off early in a woman's career, through lack of sufficient information when they originally choose their career path. Lack of flexible working arrangements in traditionally male-orientated jobs such as engineering, plumbing and construction have hindered woman's progression, she added. And an EOC survey of 1000 Women showed two-thirds would have re-considered their career path if they had been given the right information earlier. Ms Slocock said that with the oversupply of females taking part time work to fit around their childcare responsibilities, wages were subsequently being lowered. Jonathan Moules points to the Netherlands, as an example of a country with more enlightened attitudes to women in work. Companies assess the separation of part-time and fulltime work less critically, and the Government has a more profound support for women with childcare responsibility. Glenda Stone, Chief Executive of Aurora, a women's networking business argues that due to a lack of flexible working opportunities within many companies, part-time working is Budget 2005: The implications for the labour market and local government In the last budget before the general election, Gordon Brown delivered what many would describe as a fiscally balanced Budget. Bringing corporation tax payments forward and clamping down on tax avoidance will fund £2bn worth of tax cuts. Whilst there were no great giveaways, there was financial help for pensioners and a range of other initiatives designed to enhance the skills of the younger members of the labour market. The article finishes with an analysis of the Hampton review and considers it's potential upon local government. Introduction Most of the main proposals in this Budget appear to have little direct impact upon local government or the labour force. However, a closer look at the detail reveals that subtle changes to the labour market are likely to occur and that the thrust of modernisation and efficiency drives espoused in the last Budget are to continue. Moreover, the provisions for pensioners and increases in childcare payments could encourage these groups to participate more actively in the labour market. Pensioners Although the state pension has only been raised by the rate of inflation, pensioners benefit from a one-off £200 council tax refund, extension of free bus travel, increases to the pension credit system and the abolishing of hotel charges by the NHS. The council tax refund is a one-off whilst the effectiveness of the pension credit increases will depend on them being properly promoted and efficiently administered, criticisms which are currently levied at the system. Perhaps of most value to pensioners is the extension of free bus travel that will benefit those in England (Wales and Scotland already offer free bus travel). Free travel for pensioners could encourage them back into the labour market especially into part-time work as commuting costs may have taken a significant chunk out of their part-time earnings. It could be an effective way of mobilising this part of the labour market. Although there are restrictions on peak-time travel, the fact that pensioners may seek a return to part-time work could mean they have more flexibility to work non-peak hours. Education/Apprenticeships At the other end of the age range, measures were introduced to improve skill levels and training. A £9.4bn re-building programme is to develop primary schools and enable them to open from 8am to 6pm. The chancellor also said it was the government's aim that all children start their education in an early years setting at the age of three. This could have implications for the supply of teaching staff and support staff depending on how these measures are developed. A greater supply of part-time workers may be required to allow an expansion in the opening hours of schools. The increased funding and incentives to stay in education for those aged over 16 are likely to have a more immediate impact upon the labour market. One pilot scheme will offer financial support to 16 and 17 year olds who are not in education, training or employment in return for a commitment to move towards formal learning. Another will be a "learning agreement" for all 16 and 17 year olds in work with no training, developing the statutory right to time off to study or train. Both of these policies may take some young people out of the labour market but with the aim that skill levels are improved. To back these initiatives, there will also be an increase in the number of apprenticeship schemes on offer to 300,000 by 2008. Low income families and childcare A greater impact on the labour market is likely to come through the extension to childcare payments through the tax credit system that was announced in the pre-budget report in November. From April, the cost of childcare eligible for payments rises from £135 to £175 for a family with one child and from £200 to £300 for a family with two. This should lead to a greater use of childcare facilities enabling more parents to participate more actively in the labour market. Moreover, from 2006, the ceiling on household earnings for those receiving this allowance rises from £42,000 to £59,000. Low-income families are to receive up to £1bn over the next three years. These groups will receive extra money through the tax credit system providing their incomes are less than £22,000. By making childcare more affordable this could increase labour market participation. Lone parents are also likely to find it easier to re-enter the labour market as a pilot scheme that boosts their salaries by as much as £40 a week (to a maximum of £2,000) is to be expanded beyond its current usage in London, Bradford and Edinburgh. The scheme relates to their first year of work. Relocation of Civil service jobs A more measurable impact on local labour markets is likely to come from the fact that even more Civil service jobs are to be moved from London. DEFRA will be moving 300 staff from London to Yorkshire; the Department for Culture, Media and Sport will move 600 posts to Birmingham and Newcastle and the Foreign Office is also to shift 450 jobs to Milton Keynes. These moves may be good news for the economic vitality of the areas concerned, but could add pressure in local labour markets for administrative staff in particular. Stamp Duty and Taxation Unlikely to have any impact on London and the South-East, the doubling of the Stamp Duty exemption may go some way to reinvigorating the housing market in the North of England and will free up to 300,000 homebuyers from the duty each year. Regulatory services - perspective from the Hampton Review In a move to create a more open, transparent and robust regulatory system and develop a streamlined approach to regulation inspection activity, over the next four years, the government (after considering the Hampton Review) will seek to merge 31 national regulators into seven (thematic) bodies, establishing a joined up approach to the delivery of regulatory services in the public sector. Single agency "strategic" approach Amongst these, a single consumer and trading standards agency is proposed, incorporating the work of four existing regulators and co-ordinating the work on consumer protection and trading standards on a national stage. This body would have lead policy responsibility for TS nationally and help LAs co-ordinate their regulatory services and drive through a risk based approach to inspection activity. Partnership approach The review also endorsed a suggestion put forward by The Local Government Association, for the creation of a national group which would complement the work of the agency by sharing burdens and coordinate work on local regulation. Made up of various national bodies, the proposed National Regulatory Forum main remit would be to: • improve the coordination of local and national regulatory services; • secure agreement on common services, or central communication strategies, to be provided centrally or regionally; and • agree risk assessment arrangements, and monitor the extent to which local authority regulators apply them Impact upon LA regulatory services Although at this stage it cannot be stated for certain how the recommendations from the review (if followed through) will impact upon EH and TS staff , the review does concede that the merger (as outlined above) will affect a "significant number of local authority staff". In addition, it is likely that the move towards and focus on advice/business compliance (as a result of more effective inspection arrangements and freeing up of resources) may require a shift to new working practices and re-skilling in some areas of regulatory work Nick Shasha ## Pay Trends According to Incomes Data Services (IDS) their initial estimate for the median settlement for the three months to January 2005 of 3.2% has nudged up to 3.3%. The TUC report that in 2004 UK employees did unpaid overtime worth £23bn. Personneltoday report that according to Lloyds TSB's Business in Britain survey, skills shortages in the UK are at a 12- year peak. Settlement levels IDS report that for the three months to January 2005 the pay settlement level is 3.3% This is based on 108 settlements. According to IRS pay settlements in the private sector are also at 3.3%, for the three months to the end of January. Pay settlements in the public sector however remain stable at 3%. In the public sector pay reviews for doctors, teachers, prison officers and the armed forces, are set to be between 2.5% and 3% from April 2005. As part of the second stage in a three year deal local government employees are due to receive a 2.95% rise in April. For the three months to the end of February the median pay settlement in manufacturing was 2.7%, according to manufacturing and engineering organisation, EEF. This is based on settlements for over 350 manufacturers. Unpaid overtime worth £4,650 According to research carried out by the Trade Union Congress (TUC), in 2004 employers saved themselves £23 billion through employees working extra hours with no pay. Employees in London put in the longest hours. They put in an extra 7 hours and 54 minutes each week, which is just under an extra 8 hour day. The TUC claims that if employees in London were paid for these extra hours they would have earned an extra £7,008 a year. Employees in Wales worked an average of 7 hours and 42 minutes of unpaid overtime per week in 2004, worth £4,320. Employees in the South West worked the least number of average unpaid overtime hours per week at 6 hours 30 minutes, worth, £3,768. Brendan Barber, TUC General Secretary said, "We're not saying that we should turn into a nation of clock-watchers. Most people do not mind putting in some extra time when there's a crisis or an expected rush. But too many workplaces have come to depend on very long hours. They get taken for granted and staff have to do even more if there is an unexpected rush. "Worst of all is that many long hour workplaces are inefficient and unproductive. People are putting in the long hours to make up for poor organisation and planning in the workplace." Skills shortages IRS report findings from a salary survey carried out by recruitment group Angela Mortimer. They report that the demand for staff is at its highest in 4 years, but that salaries have not matched this. The reports key findings show that the salaries for employees working in London are significantly higher compared to those working in the Midlands. For example, a team secretary working in the commerce and industry sector in London can expect a salary between £23,000 and £27,000 pa, whilst the same role in the Midlands might only expect between £13,000 and £16,000. The report also shows that whilst there is a great demand for HR generalists, those available for work at a junior level often lack experience. Business in Britain Survey Personneltoday.com also reveal similar skills shortages from the Business in Britain survey. women said lack of training was the reason they moved to their next job. Only 3% of men said this was the reason they moved jobs. The survey revealed that men were more salary focused, and felt moving on to a job with a higher salary was the most effective form of moving up the career ladder. Roopal Shah 52% of British companies have over the past 12 months faced difficulties in recruiting skilled staff. 62% of companies in the East Midlands are experiencing a shortage of candidates with skills for jobs and 28% of businesses have reported problems finding unskilled staff. Women value training opportunities over salary Results from a survey carried out by career advice firm Hobsons show that 21% of Full details of Pay settlements and IDS pay databank can be found in IDS Pay Report 924, 77 Bastwick Street, London, EC1V 3TT, Tel: 020 7250 3434, website www.incomesdata.co.uk IRS Employment Review 819 features the latest data on pay settlements, for a complete report on skills shorts and unpaid overtime please visit, www.irsonline.co.uk. IRS, 2 Addiscombe Road, Croydon, Surrey, CR9 5AF. Tel: 020 8686 9141. For the complete articles on skills shortages and women value training opportunities over salary please visit www.personneltoday.com Full details of unpaid overtime and a regional breakdown can be found at www.tuc.org.uk Average Earnings Index The headline rate of average earnings growth has increased to 4.4% in January. The rates of earnings growth in the private and public sectors were 4.4% and 4.6% respectively. Earnings growth in the services has decreased to 4.4% and decreased to 3.2% in the manufacturing sector. Wages and salaries per unit output in the whole economy for the third quarter of 2004 showed a 1.0% increase on the same quarter a year ago. In manufacturing, wages and salaries per unit output have decreased by 1.2% over the last year. Whole economy Private sector Public sector Index* Headline rate< Index* Headline rate< Index* Headline rate< 2004 Mar 115.3 5.1 114.7 5.4 118.3 4.3 Apr 115.6 4.2 115.0 4.3 118.5 4.3 May 115.8 4.3 115.1 4.3 119.0 4.3 June 116.1 4.2 115.3 4.2 119.8 4.4 July 116.3 3.8 115.5 3.7 119.9 4.2 Aug 116.9 3.8 116.0 3.7 120.7 4.2 Sep 117.3 3.8 116.3 3.7 121.2 4.2 Oct 117.8 4.1 117.0 4.0 121.6 4.6 Nov 118.9 4.2 118.1 4.1 121.9 4.7 Dec 118.6 4.4 117.7 4.3 122.2 4.7 2005 Jan 122.8 4.4 122.9 4.4 122.7 4.6 **Base Rate- 2000=100* < The headline rate is the average of annual change in the seasonally adjusted series over the last 3 months Ten independent forecasts for whole economy average earnings for the first quarter of 2005 range between 3.6 % and 5.0%, and have a mean of 4.3%. 2005 Qtr 1 2005 Qtr 2 2005 Qtr 3 2005 Qtr 4 Upper range 5.0% 4.9% 4.9% 4.8% Mean 4.3% 4.5% 4.5% 4.5% Lower range 3.6% 4.0% 4.1% 4.2% Source: Industrial Relations Services ## Recent Pay Settlements | Group | | Progress | Effective | |-----------------------------------|-------------------|-------------------------------|--------------| | Date | | | | | Changes to | | | | | conditions of | | | | | service | | | | | | | | | | Public sector | | | | | | | | | | | | | | | | | | | | | | | | | Rother District Council | | 3% increase | | | 01.09.04 | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | Private sector | | | | | | | | | | | | | | | | | | | | 01.01.05 | | | | | Kodak | | 2.5% | rise | | production, clerical, technical | | | | | and secretarial staff. | | | | | 01.01.05 | | | | | Alcan Primary Metal- | | | | | Europe | | | | | | 3% rise, the 2 | | | | nd | | | | | year of a 3- | | | | | year | pay | deal | for | | employees. | | | | | | | | | | 01.01.05 | | | | | LG Philips Displays | | 3.4% rise for manuals and | | | staff at Durham (720), a 5.4% | | | | | rise for production supervisors. | | | | | | | | | Market Pay Service – Extract 5 Over the last year, we have been processing salary data from the LG Jobs & jobsgopublic websites in order to create a database on a range of key jobs. It is hoped that this will assist authorities by providing a reliable and timely source of compensation data for a number of core roles across the broad range of jobs that authorities offer. From Extract 4 onwards, we have also included data from the Sector1 website which can be accessed at www.sector1.net**. This will enhance our coverage of roles in the North-East.** Defining the jobs There are hundreds of different occupations within local government. We decided to concentrate on a selection of around 50, covering managerial, professional, administrative and manual roles. Many of these are jobs for which we frequently receive requests for pay data. The source which we use provides data on around 10,000 different jobs every quarter. This is a substantial sample, but two limitations of the data should be emphasised. The first is that the jobs can only be grouped according to title. We all know that this can sometimes be misleading: What one council calls an "administration officer" may be doing a different job to someone with the same title in another authority. Similarly, different councils use different titles for what is essentially the same job. To help address these problems we have reviewed the jobs carefully discarding those which look clearly out of line with others of the same title. Then we have grouped jobs with similar titles where pay levels are also similar. For instance, for the Health & Safety group of jobs we combined the following roles; Health & Safety Adviser, Health & Safety Officers and Health & Safety Managers. Similar breakdowns were made where applicable for all the other roles covered by the survey and a complete copy of all roles included, (by any group) can be obtained by calling Nick Shasha on 020 7296 6765. We can provide you with data for specific job titles within the broader group. We always use medians rather than means as a measure of average to minimise the effects of more extreme values. The second problem is that some regions, notably the North East and Wales, are poorly represented within the dataset. We are considering drawing in data from other sources to help remedy this. Sample sizes: In order to ensure that the data are as accurate as they can be, only jobs or groups showing 20 or more responses have been fully included in the analysis. Regional analysis: We have collected data from all the 10 standard regions. Where sample sizes are reliable this should indicate any regional differences and which local authorities may need to consider when researching market rates of pay. Two new services: In addition to publishing quarterly data in the Digest, we will also be offering local authorities the opportunity to call a member of the Pay research team to find out in more detail about the data behind the Market Pay Service. Where possible, we will give more detail about the composition of any regional data and provide an analysis of the data, taking seniority of the role into account. The data we collect is filtered using the terms trainee, junior, deputy or assistant to identify junior roles and supervisor, senior or principal for senior roles. In order to check if there is sufficient data to analyse by seniority, please call Nick Shasha on 020 7296 6765. It should be noted however that in many cases, sample sizes will become less reliable if the seniority analysis is used. Caution: Caution should be used when interpreting the results from the Market Pay Survey as there are a number of factors that may ultimately affect the rates of pay shown in the tables in Section 2 of the Digest. These are: - Size of sample - The location of jobs (we know that labour market pressures vary within as well as between regions) - Seniority analysis is not given in the Digest data On that last point, authorities should be aware that the data given in the Digest isn't broken down by levels of seniority and represents all the data for junior, standard and senior roles combined. In some cases where the group is large enough we do print separate data – for example for accounting assistants. In other instances, (for example planning officers and information officers) the data relate only to those described as "officers". However, the data should be viewed as a useful indicator of current market rates for specific groups of jobs. We are happy to answer enquiries for more precise data for specific job levels. Updating of new data: The data from LG Jobs is updated on a quarterly basis and the next batch of data will therefore be published in the November copy of the Digest. Other EO data: The EO also collects data for some of the job groups listed here through it's own surveys. We have recently covered a number of the social care and public protection jobs, for example. Where we have another source which will help answer a particular enquiry we will of course use it. Definitions: Group: This refers to which group of jobs the data relates to – please see table below for group title. Region: EE = East of England, EM = East Midlands, L = London, NE = North East, NW = North West, SE = South East, SW = South West, W = Wales, WM = West Midlands, YH = Yorkshire & Humberside Median Min: This is the median minimum salary from the given sample. The median is used instead of the mean as it gives us a more reliable indicator of what the typical salary for a given role is. It is calculated by distributing all the salaries from lowest to highest and choosing the salary that sits in the middle of this range. Median Max: This is the median maximum salary from the given sample. Count: This is the number of individuals that were matched to this role. A minimum of 20 is required in order to produce an analysis. Groups covered (jobs in Italics aren't covered by this Extract) 1 Accountant 20 Committee Officer 39 Legal Assistant 2 Accountancy Assistant 21 Conservation Officer 40 Leisure Assistant 3 Administrator 22 Contracts 41 Librarian 4 Admin Officer 23 Contract Manager 42 HR Assistant 5 Clerk 24 Customer Services Adviser 43 Planning Officer 6 Admin/WP 25 Development Control 44 Plumbers 7 Auditor 26 Economic Development Officer 45 Policy 8 Building Control Officer 27 Education Officer 46 Receptionist 9 Car Park Officer 28 Education Welfare 47 Research Officer 10 Care Manager 29 Enforcement Officer 48 Residential Care Assistant 11 Care Assistant 30 Environmental Health Officer 49 Residential Care Officer 12 Care Officer 31 Finance Assistant 50 Residential Carer - Nights 13 Care Assistant - Nights 32 Accountancy Officer 51 PA 14 Catering Assistant 33 Finance Manager 52 Secretary 15 Caretaker 34 Health & Safety Officer 53 Solicitor 16 Cleaner 35 Highways Officer 54 Classroom Assistant 17 Clerical Assistant 36 Benefits Officer 55 Tenant Participation Officer 18 Clerical Officer 37 Housing Officer 56 Training Assistant 19 Committee Administrator 38 Information Officer 57 Waste Management Officer ## Group Region Group Region Max Count Median Min Median 1 All 27,600 31,800 273 4 All 14,800 16,600 620 1 EM 24,700 29,100 26 4 EM 14,000 16,500 45 1 L 33,600 37,100 83 4 L 19,800 21,400 151 1 SE 28,500 32,900 33 4 NE 14,000 14,900 26 1 WM 25,200 29,800 21 4 NW 13,800 14,800 29 1 Y&H 23,400 27,400 21 4 SE 14,600 17,100 123 2 All 14,800 18,600 129 4 SW 13,700 15,400 25 2 WM 14,800 18,600 24 4 WM 14,800 16,500 41 2 Y&H 13,600 17,000 29 4 Y&H 14,800 16,500 124 3 All 13,600 14,900 2743 5 All 12,700 13,700 161 3 EE 13,200 14,500 169 5 NE 12,700 13,300 26 3 EM 13,600 14,500 427 5 SW 11,000 13,100 22 3 L 17,200 19,400 318 5 Y&H 10,600 14,500 43 3 NE 13,100 14,500 135 6 All 12,700 13,400 318 3 NW 12,700 14,500 65 6 EM 10,300 13,300 74 3 SE 14,000 15,600 621 6 NE 12,700 13,700 25 3 SW 13,600 14,500 150 6 WM 12,700 13,400 118 3 W 14,000 16,500 69 6 Y&H 11,600 13,300 58 3 WM 13,600 16,500 175 7 All 24,000 29,800 158 3 Y&H 13,100 14,500 457 7 L 27,500 33,100 34 Median Min Median Max Count | Group Region | Max | Count | |------------------|--------|----------------| | Median | | | | Min | | | | Median | | | | Group Region | | | | 7 | SE | 25,200 30,600 | | 8 | All | 22,700 28,000 | | 8 | EE | 22,700 27,800 | | 8 | L | 30,300 35,600 | | 8 | NE | 21,900 26,600 | | 8 | NW | 20,500 26,600 | | 8 | SE | 22,000 30,000 | | 8 | SW | 22,000 26,600 | | 8 | Y&H | 18,300 24,700 | | 9 | All | 14,000 16,500 | | 9 | SE | 14,600 17,400 | | 10 | All | 21,000 27,600 | | 10 | EM | 19,800 27,400 | | 10 | L | 23,700 29,800 | | 10 | SE | 21,300 28,100 | | 10 | SW | 20,500 25,900 | | 10 | Y&H | 25,900 28,300 | | 11 | All | 5.86 | | 11 | EE | 5.87 | | 11 | EM | 5.70 | | 11 | L | 7.67 | | 11 | NE | 5.89 | | 11 | SE | 6.59 | | 11 | SW | 6.61 | | 11 | W | 5.71 | | 11 | WM | 5.71 | | 11 | Y&H | 5.86 | | 12 | All | 15,900 18,600 | | 12 | SE | 15,900 19,700 | | 12 | Y&H | 16,400 19,400 | | 13 | All | 5.88 | | 13 | EM | 5.88 | | 13 | WM | 5.88 | | 13 | Y&H | 5.86 | | 14 | All | 5.33 | | 14 | EE | 5.45 | | 14 | EM | 5.31 | | 14 | SE | 5.90 | | 14 | Y&H | 5.31 | | 15 | All | 11,300 11,600 | | 15 | EM | 11,000 11,600 | | 15 | L | 15,400 15,500 | | 15 | SE | 12,500 14,300 | Median Min Median Max Count | Max | Count | |---------------|----------| | | | | Group Region | | | Median | | | Min | | | Median | | | Group Region | | | 25 | Y&H | | 26 | All | | 27 | All | | 28 | All | | 28 | L | | 28 | SE | | 29 | All | | 29 | Y&H | | 30 | All | | 30 | L | | 30 | NE | | 30 | NW | | 30 | SE | | 30 | Y&H | | 31 | All | | 31 | EM | | 31 | L | | 31 | NE | | 31 | SE | | 31 | WM | | 31 | Y&H | | 32 | All | | 32 | L | | 32 | SE | | 32 | Y&H | | 33 | All | | 33 | L | | 34 | All | | 34 | L | | 36 | All | | 36 | EE | | 36 | EM | | 36 | L | | 36 | NE | | 36 | NW | | 36 | SE | | 36 | Y&H | | 37 | All | | 37 | EE | | 37 | L | | 37 | SE | | 37 | SW | | 37 | Y&H | | 38 | All | Median Min Median Max Count Median Group Region Max Count Min Median Max Count Median Min Median Group Region 46 WM 12,700 13,400 21 52 EM 13,600 14,500 32 46 Y&H 10,900 13,300 71 52 L 16,700 18,500 37 47 All 20,400 22,600 83 52 SE 15,200 17,200 80 47 L 21,400 24,600 23 52 WM 14,800 16,500 40 47 SE 20,200 22,000 25 52 Y&H 13,600 14,900 33 48 All 14,200 17,400 34 53 All 29,800 33,600 217 49 All 16,900 19,200 84 53 L 32,200 37,400 46 49 Y&H 17,400 19,100 38 53 SE 28,500 34,100 47 51 All 17,000 19,700 279 55 All 20,900 22,600 22 51 EM 15,000 17,000 20 56 All 21,300 23,400 138 51 L 24,100 24,900 73 56 SE 23,400 26,900 27 51 SE 17,400 20,000 49 56 Y&H 17,400 20,500 23 51 Y&H 14,800 18,600 32 57 All 21,900 25,500 55 52 All 14,500 16,500 288 Retail Price Index The annual change in the Consumer prices index for February 2005 was 1.6%. The February 2005 all items headline RPI was 3.2%, higher than in February 2004. The underlying index (excluding mortgage interest) remained at 2.1%. The annual change in the tax price index, which includes the effects of changes to direct taxation and National Insurance, was 3.1 %. Over the same period RPIY, which measures inflation excluding the effect of indirect taxes as well as mortgage interest payments, stayed at 2.0%. Producer Prices Index (output) PPI Consumer Prices Index CPI (headline-all items) RPI Underlying Index (exc. mortgage interest payments) RPIX Annual Annual Annual Index Annual % % Index Jan Index Jan change change % change 2000= 100 % change Index 1996 =100 1987= 100 1987= 100 2004 Mar 110.6 1.1 184.6 2.6 182.5 2.1 102.3 1.6 Apr 111.0 1.2 185.7 2.5 183.6 2.0 102.7 1.4 May 111.4 1.5 186.5 2.8 184.3 2.3 103.5 2.5 June 111.3 1.6 186.8 3.0 184.2 2.3 103.6 2.6 July 111.0 1.4 186.8 3.0 183.8 2.2 104.8 2.6 Aug 111.3 1.3 187.4 3.2 184.3 2.2 104.2 2.8 Sep 111.4 1.1 188.1 3.1 184.7 1.9 104.5 3.1 Oct 111.7 1.2 188.6 3.3 185.1 2.1 105.2 3.5 Nov 111.9 1.5 189.0 3.4 185.4 2.2 105.3 3.5 Dec 112.5 1.6 189.9 3.5 186.4 2.5 104.9 2.9 2005 Jan 111.9 1.6 188.9 3.2 185.2 2.1 104.8 2.6 Feb 112.2 1.6 189.6 3.2 185.9 2.1 105.2 2.8 Ten independent forecasts of inflation for the first quarter of 2005 range between 3.1% and 3.5%, and have a mean of 3.3%. 2005 Qtr 1 2005 Qtr 2 2005 Qtr 3 2005 Qtr 4 Upper range 3.5% 3.5% 3.2% 3.0% Mean 3.3% 3.2% 2.8% 2.6% Lower range 3.1% 3.0% 2.7% 2.3% Source: Industrial Relations Services | ODPM monthly | Halifax | Halifax monthly | |------------------------------------------------|-----------|-------------------| | | | | | Table 3.2.1: Percentage change in house prices | | | | Annual | | | | Mar - | | | | 04 | | | | Apr - | | | | 04 | | | | May | | | | -04 | | | | Jun - | | | | 04 | | | | Jul - | | | | 04 | | | | Aug- | | | | 04 | | | | Sep- | | | | 04 | | | | Oct - | | | | 04 | | | | Nov | | | | – 04 | | | | Dec | | | | – 04 | | | | Jan | | | | 05 | | | | Feb - | | | | 05 | | | | FT | 15.5 | 16.7 | | ODPM | 7.0 | 9.6 | | Halifax | 18.5 | 19.1 | | Monthly | | | | | | | | FT | 1.1 | 0.9 | | ODPM | 0.1 | 4.5 | | Halifax | 2.2 | 1.8 | How house price inflation is measured. There are a number of indices which measure UK house price inflation. Each index provides a different perspective, at different times, of the huge and diverse housing market. Each helps to contribute, alongside the other indices, to an understanding of price movements in the market. Halifax index – Views of what is happening in their segment of the mortgage market, at the offer stage, are seen through the Halifax House price Index. The Halifax index is based on some 14% of mortgages made nationally. The data is adjusted for seasonal variations and the mix of properties sold in any particular period. ODPM index – The ODPM provides a view of mortgage **completions**, using some 20% of mortgages. These figures are mix-adjusted but not seasonally adjusted. FT index – The FT index is based on Land Registry data. Because the Land Registry publishes data per quarter the FT index uses forecasting and revises and updates its statistics with Land Registry results as they are released, normally around the end of the relevant quarter. By adopting this approach the FT index aims to aid significant timeliness to the Land Registry data. ILO unemployment ILO unemployment over the November to January 2005 quarter stood at 1,376,000 or 4.7% of the economically active population in Great Britain, a decrease of 23,000 over the same quarter a year ago. Breaking the figures down by gender shows that ILO unemployment levels are higher for men (802,000 or 5.1%) than for women (574,000 or 4.3%). Total ILO unemployment figures are higher than claimant count figures, mainly due to higher estimates of female unemployment. Great Britain (thousands) seasonally adjusted Total Men Women | | No. | Rate ‡ | No. | Rate ‡ | No. | Rate ‡ | |--------------|--------|-----------|---------|-----------|---------|-----------| | | | | | | | | | Nov-Jan 2003 | 1,431 | 5.0 | 847 | 5.4 | 584 | 4.5 | | Nov-Jan 2004 | 1,399 | 4.8 | 833 | 5.3 | 566 | 4.3 | | Feb-Apr 2004 | 1,394 | 4.8 | 814 | 5.2 | 580 | 4.4 | | May-Jul 2004 | 1,378 | 4.7 | 801 | 5.1 | 577 | 4.3 | | Aug-Oct 2004 | 1,352 | 4.7 | 774 | 4.9 | 577 | 4.3 | | Nov-Jan 2005 | 1,376 | 4.7 | 802 | 5.1 | 574 | 4.3 | * ILO unemployment counts as unemployed all those without work, who is actively seeking work and is available for work. Levels and rates are those aged 16 and over. ‡ ILO unemployment rate is the number of ILO unemployed as a percentage of economically active people. Source: Office for National Statistics The graph below shows the ILO Unemployment rate of the economically active population in Great Britain has remained the same since the May to July 2004 quarter. Figure 4.1.1: ILO unemployment rate Claimant count unemployment Claimants count unemployment remained the same over the month. Great Britain (thousands) seasonally adjusted Total Men Women No. Rate ‡ No. Rate ‡ No. Rate ‡ 2004 Feb 852.3 2.9 636.0 4.0 216.3 1.6 Mar 849.7 2.9 633.5 4.0 216.2 1.6 Apr 844.2 2.8 630.9 4.0 213.3 1.6 May 830.3 2.7 618.5 3.8 211.8 1.5 June 820.1 2.7 610.8 3.7 209.3 1.5 July 806.0 2.7 601.7 3.7 204.3 1.5 Aug 800.8 2.6 596.9 3.6 203.9 1.5 Sep 804.3 2.7 598.9 3.7 205.4 1.5 Oct 806.9 2.7 600.6 3.7 206.3 1.5 Nov 803.5 2.7 596.4 3.6 207.1 1.5 Dec 797.2 2.6 590.8 3.6 206.4 1.5 2005 Jan 784.3 2.6 580.2 3.5 204.1 1.5 Feb 784.3 2.6 580.6 3.5 203.7 1.5 ‡ The rate is the number of claimant unemployed as a percentage of the total workforce. Source: Office for National Statistics Claimant count, February 2005 Regional unemployment Claimant count rates range from 1.5% in the South East to 3.8% in the North East. ILO rates are lowest in the South West (3.6%) and highest in London (7.0%) (thousands) seasonally adjusted ILO unemployment November - January 2005 No. Rate No. Rate North East 65 5.5 43.7 3.8 North West & Merseyside 151 4.5 93.5 2.7 Yorkshire & the Humber 109 4.4 69.4 2.8 East Midlands 90 4.2 49.7 2.4 West Midlands 126 4.8 83.6 3.1 East 113 4.0 54.7 2.0 London 264 7.0 158.7 3.4 South East 161 3.8 67.0 1.5 South West 92 3.6 40.0 1.6 Wales 57 4.1 38.4 2.9 Scotland 147 5.7 85.6 3.3 Great Britain 1,376 4.7 784.3 2.6 Source: Office for National Statistics Employment The number of people in employment in the United Kingdom, using the LFS definition, increased by 127,000 between November to January 2005 compared with the previous quarter. During this period male employment increased by 63,000 and female full time employment increased by 111,000. Female part-time employment decreased by 46,000. Looking at figures over the year from November to January 2005 shows that employment increased by 220,000. Male employment over the year increased by 139,000, and female full time employment increased by 222,000. Female part-time employment decreased by 142,000. United Kingdom (thousands) seasonally adjusted Total Men Women | | | | |--------------|-----------|--------| | Full-time | Part-time | | | | | | | Nov-Jan 2003 | 28,067 | 15,208 | | Nov-Jan 2004 | 28,347 | 15,302 | | Feb-Apr 2004 | 28,382 | 15,338 | | May-Jul 2004 | 28,385 | 15,347 | | Aug-Oct 2004 | 28,440 | 15,378 | | Nov-Jan 2005 | 28,567 | 15,441 | * The LFS definition of employment covers those who did any paid work (even as little as one hour) in the week prior to the survey interview, and those who have a job, which they are temporarily away from. Source: Office for National Statistics As the graph below shows the LFS employment rate has risen to 60.2% of all economically active people aged 16 and over. ## Local Government Datafile Profiles Of Local Government Workforce And The Wider Economy, Autumn 2004 (Percentage Distributions) Local Government (%) Whole Economy (%) Age 16-24 7 16 25-39 30 36 40-49 31 24 50 plus 32 24 Gender Male 28 51 Female 72 49 Ethnicity White 93.3 92.1 Mixed 0.6 0.7 Asian 2.9 3.7 Black 2.4 2.2 Chinese 0.2 0.4 Other 0.5 0.9 Job type Permanent 91 94 Temporary 9 6 Type of temporary work Seasonal 0.1 0.4 Fixed contract/task 6.0 2.6 Agency 0.8 1.1 Casual 1.1 1.2 Other 1.0 0.7 Job-related training Any in 3 months 37 30 Any in 4 weeks 19 17 Long-term health problem Yes 25 22 No 75 78 Source: Labour Force Survey, September – November 2004 Note: Figures are for England and Wales only Whole economy figures are for employees only Local government figures exclude teachers, firefighters and police, but will include some elements beyond the LGS group, for example chief officers and craft workers Since this is a sample survey percentages are rounded to the nearest whole number. For ethnicity and types of temporary work first decimal place is given to provide more detail, but care should be taken in interpreting small differences. As percentages are rounded they do not necessarily add to 100. service but was unable to explain why this has occurred, or said that the 2003 figures were wrong but could not provide correct figures. The change figures for the remaining authorities were then grossed up (separately for each type of authority) to provide estimates relating to all authorities. Each figure presented in tables 5.2.5 and 5.2.6 are rounded to the nearest thousand to reflect their approximate nature. Please note that numbers may not add precisely to column and row totals because of rounding. Employee Jobs in Local Government, June 2004 The tables that follow show the provisional key results of the Employers Organisation's Local Government Employment Survey (LGES) for June 2004. A full report on the LGES 2004 was published in the November 2004 Digest. We must emphasise that the estimates of change (Tables 5.25 and 5.2.6) should be handled with caution. We have made considerable efforts, with the help of authorities, to check figures for 2003 as well as 2004. In constructing an estimate of change we have had to reach judgements on whether to include or exclude figures for particular authorities. Some data had to be excluded, usually where an authority reported substantial change in numbers for a particular Male Female | | Full-time | Part-time | Full-time | Part-time | |------------------------|--------------|--------------|--------------|--------------| | Total | | | | | | | | | | | | | | | | | | Counties | 107015 | 46251 | 213319 | 416031 | | Metropolitan districts | 119372 | 28706 | 173779 | 224019 | | English unitaries | 73800 | 26673 | 113756 | 180677 | | London boroughs | 58759 | 13439 | 91458 | 89338 | | Welsh unitaries | 35600 | 11696 | 49504 | 67274 | | Shire districts | 57880 | 11090 | 40990 | 33823 | | | | | | | | Total | 452425 | 137855 | 682805 | 1011162 | Table 5.2.2: Employee jobs in local government as at June 2004 by region Male Female Full-time Part-time Full-time Part-time Total South East 50254 17268 89638 141744 298904 North West 64187 18165 97702 130854 310908 Yorkshire and the Humberside 52727 13703 69039 119998 255467 London 58759 13439 91458 89338 252994 West Midlands 45996 15756 77249 116113 255115 South West 38559 14385 55766 101193 209905 East Midlands 37270 12999 53868 92788 196926 North East 33772 7662 41806 51740 134980 East 35302 12781 56774 100119 204975 England 416825 126159 633301 943888 2120174 Wales 35600 11696 49504 67274 164074 Total 452425 137855 682805 1011162 2284248 Table 5.2.3: Employee jobs in local government In England as at June 2004 by function Male Female Full-time Part-time Full-time Part-time Total Education – teachers 105340 23066 249168 138355 515930 Education – other employees 46921 47541 123137 509016 726615 Services direct to the public 165106 34283 86792 126791 412971 Social services 37547 13103 106495 130862 288006 Corporate functions 61911 8166 67709 38865 176652 Total 416825 126159 633301 943888 2120174 Male Female Fulltime Part-time Full-time Part-time Total Education – teachers 8085 2364 17414 9450 37313 Education – other employees 3078 3074 10910 30548 47611 Services direct to the public 17014 4507 7074 10949 39543 Social services 2990 1380 9260 14094 27724 Corporate functions 4433 371 4846 2234 11884 Total 35600 11696 49504 67274 164074 Male Female | | Full-time | Part- | |-----------------------------------------------------------------------|--------------|---------| | time | | | | Full-time | Part- | | | time | | | | Total | | | | | | | | | | | | Counties | 1000 | 1000 | | Met districts | 0 | 0 | | English unitaries | -1000 | 0 | | London boroughs | 0 | -1000 | | Welsh unitaries | 0 | 1000 | | Shire districts | 0 | 0 | | Total | | | | -1000 | 1000 | 11000 | | | | | | Table 5.2.6: Change in numbers employed by function, June 2003 - 2004 | | | | | | | | | Male | Female | | | Full-time | Part- | | time | | | | Full-time | Part- | | | time | | | | Total | | | | | | | | | | | | Education – teachers | -2000 | 0 | | Education – other | | | | employees | | | | 2000 | 1000 | 8000 | | Services direct to the | | | | public | | | | -4000 | -1000 | -2000 | | Social services | 0 | 0 | | Corporate functions | 3000 | 0 | | | | | Aggregate figures for each authority type broken down by function are available on the EO website at www.lg-employers.gov.uk. Total figures broken down by gender and full-time/part-time status for each authority on a named basis will be sent to all local authorities' Heads of Personnel, and are available to others on request. Authorities can also request employment figures by function for other authorities of the same type or within the same region. For further information please contact Roopal Shah (020-7296-6510, roopal.shah@lgemployers.gov.uk). Current Position of Negotiating Groups at 31/3/05 This summary of the pay negotiations across local government is provided for brief, background information only. On no account should it be used as authorisation of any changes in pay and conditions. The dates of the "next meetings" refer to known, planned meetings of the employers and/or both sides of a negotiating body. There is no implication that the meetings listed are necessarily discussing annual pay increases. Advice and detailed information to non-local authority bodies may be provided on a separate subscription. Please note that the contact names are for the use of local authorities only. Local Government Negotiating Groups Effective Date | | |---------| | 1/04/04 | Local Government Services (E&W) (Former APT&C and Manual employees) Contact: Harry Honnor Tel: 020 7296 6826 E-mail: harry.honnor@lg-employers.gov.uk Settlement: An equal increase on all spinal column points to cover the period to April 2007: 1 Apr 04 – 2.75%; 1 Apr 05 – 2.95%; 1 Apr 06 – 2.95% or the rate of RPI increase for October 2005, whichever is the higher. The pay settlement is at the upper limit of what councils could afford to pay but is attached to a six point reform plan. This includes completion of local pay reviews in all authorities by 31 st March 2007. For further details go to: http://www.lg-employers.gov.uk/press/2004_news/lgc_14_07.html 1/7/02 Chief Executives (E&W) Contact: Debbie Carvalho Tel: 020 7296 6762 E-mail: debbie.carvalho@lg-employers.gov.uk Claim: Negotiations are currently in progress. Chief Officers (E&W) Contact: Debbie Carvalho Tel: 020 7296 6762 E-mail: debbie.carvalho@lg-employers.gov.uk Claim: Trade unions are currently consulting with their members. In outline the officers side are seeking: a substantial increase on all salary points and associated allowances; increases to paid maternity leave; and urgent completion of investigation into the effects of new political structures on CO's posts - agreed as part of the 2002/03 settlement. Local Authority Craft and Associated Employees (E&W) Employees: 41,000 Contact: Harry Honnor Tel: 020 7296 6826 E-mail: harry.honnor@lg-employers.gov.uk Employers Revised Offer: Agreement has now been reached on a threeyear pay increase in the following three stages covering the period to 31 March 2007: 1 April 2004 – 2.75% 1 April 2005 – 2.95% 1 April 2006 – 2.95%* (or RPI at October 2005, whichever is the greater) *Given that the rates of pay and allowances applicable from 1 April 2006 Local Authority Craft and Associated Employees (E&W) - Cont'd may be subject to the RPI figure at October 2005, those rates will be published nearer that time. Agreement has now been reached on a threeyear pay increase for tools allowances, together with the maximum liability for insurance purposes, in the following three stages covering the period to 31 March 2007: 1 April 2004 – 100% (based on Tools Allowances & Insurance rates at 31 March 2004) 1 April 2005 – a further 33% (also based on Tools Allowances & Insurance rates at 31 March 2004) 1 April 2006 – 2.95% (or RPI at October 2005, whichever is the greater) (based on Tools Allowances & Insurance rates at 31 March 2006) 1/4/04 to 31/8/06 Education Primary and Secondary Teachers (E&W) Contact: Andy Inett Tel: 020 7296 6725 E-mail: andy.inett@lg-employers.gov.uk Settlement: an increase of 2.5% from 1 April 2004, 2.5% from 1 April 2005 and a further 0.75% from 1 September to 31 August 2006 in the values of: the main pay scale and upper pay scale for qualified teachers; the pay spine for leadership groups; the pay spine for Advanced Skills Teachers; and the pay scale for unqualified teachers. 01/4/04 to 31/8/06 Teachers in Residential Establishments (E&W) Contact: Andy Inett Tel: 020 7296 6725 E-mail: andy.inett@lg-employers.gov.uk Settlement: The JNC agreed that the Main and Upper Pay Scales for qualified teachers in residential social services establishments should be subject to a general increase of 2.5% from 1 April 2004, 2.5% from 1 April 2005, and a further 0.75% from 1 September 2005 to 31 August 2006. All allowances applicable to teachers in social services establishments and Heads, deputies and Assistant heads in residential special schools were increased by the same percentage amounts as were the salaries. Youth & Community Workers (E&W) Employees estimated at between 30,000-35,000 Contact: James Mensah Tel: 020 7296 6727 E-mail: james.mensah@lg-employers.gov.uk Settlement. 2 year settlement: 1 st year – 2.75% from 1 st September 2004 to 31 st August 2005. 2 nd year – 2.95% from 1 st September 2005 to 31 st August 2006. There has also been an agreement to: Set up a JNC Advanced Practitioner Grade (Apg) Working Group to develop proposals for an APG for JNC Youth and Community Workers, work towards an implementation deadline of 1 September 2005. Soulbury Committee (E&W) Advisors / Psychologists / Youth Service Employees: 6,792 as at March 1 st 2002 Contact: Andy Inett Tel: 020 7296 6725 E-mail: andy.inett@lg-employers.gov.uk Settlement: 3 year settlement : 1 st year- a 2.75% increase on all salary points from 1 September 2004; rising to 2.95% from 1 April 2005 (based on 31 August 2004 figures) 2 nd year- a 2.95% increase on all salary points from 1 September 2005 3 rd year- a 2.95% increase on all salary points from 1 September 2006 or the RPI rate for April 2006 if higher. ## Police And Fire 1/11/02 Firefighters (UK) Contact: Gill Gittins Tel: 020 7296 6723 E-mail: gill.gittins@lg-employers.gov.uk Firefighters: 56,547 including 17,882 Retained firefighters Settlement date: 1 st July 2005. settlement to be reached by use of an agreed formula. 1/1/03 Chief Fire Officers (UK) Contact: Gill Gittins Tel: 020 7296 6723 E-mail: gill.gittins@lg-employers.gov.uk Settlement: Annual settlement date is 1 st January. Negotiations ## Police And Fire - Cont-D Incorporating A Review Of The Terms And Conditions Of Employment Of Principal Fire Officers Are Currently Taking Place. Police 1/9/04 Police Federated Ranks (UK) Employees: 148,000 Federated Rank Officers. Contact: Graham Baird Tel: 020 7296 6722 E-mail: graham.baird@lg-employers.gov.uk Settlement: Police Negotiating Board agreed a 3% uplift from 1 st Sept 04. 1/9/04 Police Staff (E&W) Employees: 66,000 Contact: Graham Baird Tel: 020 7296 6722 E-mail: graham.baird@lg-employers.gov.uk Settlement: The Police Staff Council (Eng & Wales) have agreed to increase pay and standby allowance by 3% with effect from 1 st Sept 04. Recent & Forthcoming Publications - **Are you getting the most from the EO?** The EO offers a wide range of services to local authorities in all areas related to people-led improvement. We can offer you everything from free telephone advice to improvement tool kits, and consultancy work. To find out exactly how we can help your authority, please go to: http://www.lg-employers.gov.uk/about/order_booklet.html to order a copy of our new Corporate guide. - **Just out of reach**- The recent equal pay award at North Cumbria Acute Hospitals NHS Trust, which could lead to wage increases for thousands of female health workers, provides a glimmer of hope in an otherwise gloomy landscape (People Management 10 th March 2005, page 26. ISSN 1358 6297. Call CIPD 020 8971 9000 or www.peoplemanagement.co.uk) - **Burden of proof**- HR is responsible for both giving and receiving employee references. But in today's litigious society, how much information can you safely include? (People Management 24 th February 2005, page 30. ISSN 1358 6297. Call CIPD 020 8971 9000 or www.peoplemanagement.co.uk) - **Outside chance**- Too many companies leave recruitment processes to chance, gambling on the probability of hiring the right candidate. Surely a systematic business approach would be a better alternative? (People Management 10 th March 2005, page 38. ISSN 1358 6297. Call CIPD 020 8971 9000 or www.peoplemanagement.co.uk) - Survey- **Money talks: annual leave (2)** (IRS Employment Review 819 ISSN 1358-2216, available on subscription from Industrial Relations Services Ltd., tel. 020 8662 2000, website: www.irsemploymentreview.com/). - **Feature– From brick walls to firewalls: developing skills agreements** (IRS Employment Review 817 ISSN 1358-2216, available on subscription from Industrial Relations Services Ltd., tel. 020 8662 2000, website: www.irsemploymentreview.com/). - **Labour Market Trends March 2005 -** features this month include: - Labour market participation: the influence of social capital (Subscription enquiries for Labour Market Trends to: Subscriptions Department, The Stationery Office Publications Centre, PO BOX 276, London SW8 5DT, 020 7873 8499). Research & Intelligence Publications Councillors Surveys: Exit Survey of Local authority councillors in England 2003 Survey of newly elected Local authority councillors in England 2003 Second National census of Local authority councillors in England and Wales 2001 Link to all 3: http://www.lg-employers.gov.uk/diversity/councillors/index.html Recruitment and Retention Teacher Resignation and Recruitment Report No. 33, Main Report 2002 http://www.lg-employers.gov.uk/documents/publications/r&i/trr02.doc Local Government Recruitment and Retention Survey 2004 http://www.lg-employers.gov.uk/publications/fullpublications/randr.html Sickness Absence Surveys Local Government Sickness Absence Levels 2003/2004 http://www.lg-employers.gov.uk/publications/fullpublications/lgsa2000.html Local Government Sickness Absence Management Survey 2003 http://www.lg-employers.gov.uk/publications/fullpublications/lgsas.html Report on Sickness Absence Levels and Management 2004 http://www.lg-employers.gov.uk/health/manage/index.html Social Services Sickness Absence Survey 2001-2 http://www.lg-employers.gov.uk/publications/fullpublications/sssa.html Social Services: Social Services Workforce Survey Report No. 33, Main Report 2003 (http://www.lg-employers.gov.uk/recruit/workforce_surveys/social.html) Other Surveys: Care sector NVQ Take-up Survey 2003 http://www.lg-employers.gov.uk/recruit/workforce_surveys/shcwg/doing.html Quarterly Monitoring of Care Sector NVQs/SVQs - July - September 2004 http://www.lgemployers.gov.uk/recruit/workforce_surveys/shcwg/doing.html People Skills Scoreboard Survey 2004 http://www.lg-employers.gov.uk/skills/people/pss.html Local Government Employment Survey (Figures by Function) 2004 http://www.lg-employers.gov.uk/conditions/surveys/index.html Single Status/Local Pay Reviews survey Autumn 2004 http://www.lg-employers.gov.uk/conditions/lgs/index.html For details of the publications please go the listed web addresses or contact Roopal Shah, telephone 020-7296-6510 or visit our website at www.lg-employers.gov.uk Subject Month Page | | | | |------------------------------------------------------------------|--------------|-------| | Sickness Absence | | | | Absence policies and absence levels: is there a correlation? | August 04 | 13-16 | | Managing Sickness Absence in the public sector | December 04 | 7-8 | | Sickness absence levels and causes survey 2003/2004 | December 04 | 13-15 | | Sickness Absence in Shire Districts- data from the BVPI | January 05 | 11-13 | | Causes of sickness absence amongst larger authorities in England | | | | and Wales | | | | February 05 | 11-14 | | | | | | | | | | | | | | | Local Government Pay and Workforce | | | | | | | | | | | | The gender pay gap– levels, causes and strategy | April 04 | 9-12 | | Single Status Pay Survey – June 2003 | May 04 | 7-10 | | Flexible working – Methods and case studies | June 04 | 11-14 | | Key findings from the Social Services Workforce Survey 2003 | July 04 | 7-10 | | JNC Survey of Chief Executives and Chief Officers | October 04 | 10-11 | | Local Government Employment Survey 2004 | November 04 | 10-11 | | Market Pay Survey - Extract 4 | November 04 | 16 | | Single Status progress and pay levels from the IDS local | | | | Government pay benchmarking survey and EO surveys | | | | February 05 | 8-10 | | | | | | | External Economy Pay | | | | | | | | | | | | Graduate Employment Market | March 04 | 6-7 | | Managing Labour Turnover | March 04 | 8-9 | | Budget 2004 – Labour Market Implications | March 04 | 10-11 | | Hours and holidays 2003/2004 | April 04 | 7-8 | | Flexible working in the UK – Data from social trends | June 04 | 7-10 | | A Zonal Approach to pay modelling | July 04 | 11-13 | | National Management Salary Survey 2004 | October 04 | 12-14 | | Pay and Conditions in Call Centres 2004 - IDS | November 04 | 7-9 | | | | | | Training | | | | | | | | | | | | Summary of key data from the 2003 survey of care sector NVQ | | | | centres in England, Wales and Northern Ireland | | | | August 04 | 6-9 | | | Skills base in the planning system – Executive Summary | December 04 | 9-12 | | People Skills Scoreboard 2004 | February 05 | 15-18 | | | | | | Other Labour Market Issues | | | | | | | | | | | | Ageing and Gender: diversity and change | May 04 | 11-13 | | Recruitment hotspots – a critique of solutions | May 04 | 14-16 | | Summary of teacher resignation and recruitment 2003 | August 04 | 10-12 | | Internet Recruitment: benefits and approaches | September 04 | 6-9 | | The challenge of succession planning in Local Government | September 04 | | | 10-13 | | | | Recruitment and Retention Survey 2004 | October 04 | 6-9 | | Clerical operative report 2005 | January 05 | 8-10 | | | | | The Employers' Organisation is an agency of the Local Government Association (LGA). We are the representative voice of local authority employers and help councils to maximise the capacity and performance of their employees and improve services. We provide strategic direction, advice, intelligence and support on all pay and workforce issues such as: pay and conditions, skills development, diversity, pensions and employment law. The Research & Intelligence unit focuses specifically on: - surveys and research on a range of employment issues to inform the national pay and conditions negotiations and also to meet the information requirements of the Local Government Association, Government Departments and other commissioning organisations. For further information, please contact: The Employers' Organisation, Layden House, 76-86 Turnmill Street, London EC1M 5LG. Telephone 020 7296 6600 Fax 020 7296 6660 www.lg-employers.gov.uk Enquiries to R&I: Executive Editor Nick Shasha Tel: 020 7296 6765 nick.shasha@lg-employers.gov.uk Editor Roopal Shah Tel: 020 7296 6510 roopal.shah@lg-employers.gov.uk ## Number 336 March 2005- Issn 0957-512X

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## Legal Aid Statistics Quarterly, England And Wales, October To December 2017 Main Points Crime Lower workload down 5% compared to the This continues the gradual downward trend of recent years. Expenditure on completed work was also down by 5%. same quarter last year Crown Court completed workload down 6% compared to the same quarter last year Expenditure on completed work has remained at the same level over this period. New orders for legal representation in the Crown Court continue to decline. 1% fewer legal help new The volume of completed claims also decreased, by 9%, and expenditure fell by 10%. matter starts than in the same period of 2016 Mediation Information and Assessment Meetings were 12% lower than in Mediation starts between October and December 2017 were down by 15% and currently stand at around 1,500, the lowest quarterly number of starts since the implementation of the LASPO Act. the same quarter of 2016 20% more certificates completed for public Expenditure on completed work in this category, which already accounts for more than half the total cost of civil legal aid, rose by 14% (£14m). family law than in the same quarter last year 709 applications for Exceptional Case This is the highest number of applications received in one quarter since the scheme began in April 2013 and a 60% increase from the same quarter last year. Funding received in the last quarter This edition comprises the first release of official statistics for the three-month period from October to December 2017 and the latest statement of all figures for previous periods. For more detailed commentary, and statistics on legal aid providers, Central Funds, appealing legal aid decisions and legal aid in the higher courts, please refer to the annual publication. For technical detail, please refer to the User guide to legal aid statistics. We have changed how our quarterly bulletins look, and would welcome any feedback using this quick survey. For other feedback related to the content of this publication, please let us know at statistics@legalaid.gsi.gov.uk ## Things You Need To Know These symbols are used throughout this release to navigate to other documents of interest: To understand trends in legal aid as a whole, it is best to begin by looking at annual expenditure figures and then look at trends in both workload and expenditure for each category of legal aid. Summarising activity across the legal aid system meaningfully within a single number is difficult because of the diversity of services included, from quicker, lowercost provision like pre-charge advice to representation in a complex, high-cost court case. Expenditure on legal aid is measured differently for different purposes. A measure that is best for analysing the costs of different services, for example, may not be practical for managing budgets or payments. The three most often-used measures, shown in Fig. 1, are: - Closed-case expenditure is the measure used for expenditure figures throughout these legal aid statistics. It represents the total value of payments made to legal aid providers in relation to pieces of work that are completed in the period. This basis is comparable to volumes of completed work to which it relates, and to the same fine level of detail. This does not include income received or expenditure in relation to debt write-offs. - The government **budgeting** measure known as RDEL (Resource Departmental Expenditure Limits) is the main measure used by government to control current spending, both to set budgets for future years and report on how much has been spent. It represents the value of work carried out in the period better than the closed-case measure but cannot be broken down to such a fine level of detail. This measure does incorporate income and expenditure in relation to debt. - Figure 1 shows this budgeting measure both in **nominal** and **real terms**. 'Nominal terms' means not adjusted for inflation; 'real terms' means adjusted for inflation to make the value of spending in previous years directly comparable with the specified year. These measures show a large reduction in legal aid expenditure from around 2010-11, which are mostly due to changes to the scope of civil legal aid introduced by the Legal Aid, Sentencing and Punishment of Offenders (LASPO) Act from 2013-14, reductions in criminal legal aid workloads and reductions in the fees payable to legal aid providers. 1.1 and 4.1 ## 1. Criminal Legal Aid Main Point Workload and expenditure fell in most areas of criminal legal aid between October and December 2017 and the same period of the previous year. Criminal legal aid can be categorised into Crime Lower and Crime Higher. Crime Lower work includes police station advice, magistrates' court and prison law. Crime Higher covers work in the Crown and Higher Courts. | Workload | Expenditure | |----------------------------------|--------------------| | (% change compared | (% change compared | | Claim category | | | to the same quarter | to the previous | | last year) | quarter last year) | | Police station advice | | | 150,000 ( | | | 4 | | | % | | | ↓ | | | ) | £31m ( | | 4 | | | % | | | ↓ | | | ) | | | Magistrates' courts* | | | 72,000 ( | | | 9 | | | % | | | ↓ | | | ) | £30m ( | | 9 | | | % | | | ↓ | | | ) | | | Crime Lower | | | Crime | | | 227,000 ( | | | 5 | | | % | | | ↓ | | | ) | | | Advice & assistance on appeals | | | 306 ( | | | 17 | | | % | | | ↓ | | | ) | £0.5m ( | | 11 | | | % | | | ↑ | | | ) | | | £66m ( | | | 5 | | | % | | | ↓ | | | ) | | | Workload | | | Prison Law | | | 5,000 ( | | | 2 | | | % | | | ↑ | | | ) | £4m ( | | 16 | | | % | | | ↑ | | | ) | | | 275,000 (5% | | | ↓ | | | ) | | | Civil work associated with crime | | | 42 ( | | | 9 | | | % | | | ↓ | | | ) | £0.02m ( | | 19 | | | % | | | ↑ | | | ) | | | Expenditure | | | Solicitor fee scheme | | | 24,000 ( | | | 7 | | | % | | | ↓ | | | ) | £84m ( | | 1 | | | % | | | ↑ | | | ) | | | Crime Higher | | | £209m ( | | | 2 | | | % | | | ↓ | | | ) | | | 48,000 ( | | | 6 | | | % | | | ↓ | | | ) | | | Advocate fee scheme | | | 24,000 ( | | | 4 | | | % | | | ↓ | | | ) | £53m ( | | 2 | | | % | | | ↓ | | | ) | | | £143m ( | | | 0 | | | % | | | ↔ | | | ) | | | High Cost crime cases | | | 9 ( | | | 25 | | | % | | | ↓ | | | ) | £6m ( | | 12 | | | % | | | ↓ | | | ) | | | | | *includes court duty solicitor sessions and virtual courts Note: Advice and assistance on appeals and civil work associated with crime are excluded from these figures. Although Crown Court work comprises a relatively small portion of criminal legal aid in terms of volume, it consistently accounts for more than two-thirds of all criminal legal aid expenditure. Conversely, advice relating to the police station makes up the largest portion of workload but a much smaller proportion of expenditure. ## Police Station Advice Tables 2.1 And 2.2 This category made up two thirds of the Crime Lower workload between October and December 2017 but just less than half of the expenditure. The workload in this period has fallen compared to the previous year, down by 5%. This continues the downward trend of the last three years, although this trend has not been as steep as the decline for Crime Lower as a whole, or overall figures from the Crime Survey for England and Wales1. The majority of the police station advice workload, 86% in October to December 2017, consists of suspects receiving legal help with a solicitor in attendance at the police station, with the rest mainly consisting of legal advice over the telephone. ## Applications And Grants For Representation In The Criminal Courts Tables 3.1 and 3.2 While figures should be interpreted with caution as they may be revised in subsequent quarters as cases move into the Crown Court, the number of orders granted for legallyaided representation in the **magistrates' court** fell by 8% in this quarter when compared to the same quarter of the previous year. This continues the downward trend of the last 3 years, which has been largely driven by Summary Only cases. The overall number of receipts in the magistrates' court2 (including those not involving legal aid) was 5% down over the same period. The proportion of these applications that are granted remains stable at around 95%. Orders granted for legally-aided representation in the **Crown Court** were also down, by 5% this quarter compared to last year, and this was mirrored by a 6% decrease in total Crown Court receipts2. Within this, orders relating to Either Way offences fell by 11%, while those relating to Indictable offences decreased by 2%. The proportion of Crown Court applications granted remains at almost 100%. ## Magistrates' Court Completed Work Tables 2.1 and 2.2 Legally-aided **representation in the magistrates' court** comprised almost one-third of the workload and just under half of expenditure in Crime Lower between October and December 2017. The volume of completed work in the magistrates' court fell 9% this quarter when compared to the same period of the previous year. Expenditure also fell by 9% (£3m). ## Crown Court Completed Work Tables 4.1 - 4.3 Volumes of cases completed in the Crown Court have declined over recent years but more gradually than new orders, due to longer-running cases still awaiting trial. Completed work volumes within the **litigator (solicitor) fee scheme** were 7% lower in October and December 2017 than in the same period of the previous year, driven mainly by a 13% fall in cases in which the defendant pleads guilty at their earliest opportunity in the Crown Court. This may be due to procedural reforms in the court system, with more defendants pleading earlier at the magistrates' court. In the **advocate fee scheme** there was a 4% fall compared to the same period last year; again, the largest fall was in the guilty plea category. Figures for expenditure on work completed in the Crown Court should be interpreted with caution as they may be revised in subsequent quarters as claims are assessed further on appeal and further payments added to the value of some completed claims. In the litigator fee scheme, expenditure was 1% higher in October to December 2017 than in the same period of the previous year. In the advocate fee scheme, the value of payments was 2% lower than in the same period of the previous year. ## Very High-Cost Cases In The Crown Court (Vhccs) As announced in the previous edition, we have changed our methodology for statistics on VHCCs so that they now report volumes and expenditure on a closed-case basis. This makes them more directly comparable with the statistics for other legal aid work in the Crown Court and elsewhere, and enables expenditure on the litigator and advocate work in VHCCs to be shown separately. More information on this change can be found in the Revisions section of the User guide to legal aid statistics. VHCCs are those Crown Court cases which, if the case were to proceed to trial, would likely last more than 60 days. These cases can span several years and, while they may involve small numbers of defendants, the associated expenditure is high in comparison. The threshold for cases to be handled as VHCCs has changed over time. Before 2008, an expected trial length of more than 25 days would bring a case into the scheme; in July 2010 this was raised to 40 days, before being raised to the current 60 days in October 2011. These changes have reduced the volume of cases handled as VHCCs over this period. As the left-hand chart of Figure 4 shows, the volume of VHCC starts fell quite rapidly in response to these changes, while completions declined more gradually due to the duration of these cases. Ten years ago, there were around 500 starts and completions each year; this fell by around half once the first change was implemented. The subsequent increase to the current 60-day level further reduced the workload to around 50 starts each year. The right-hand chart in Figure 4 presents expenditure on VHCCs on the closed-case basis, which shows the amount paid over the lifetime of a contract. For comparison, expenditure on the previous methodology, which shows the total payments made in the period for work on both closed and ongoing contracts (the 'cash' basis) is also shown. While the workload comprises a tiny proportion of legal aid in the Crown Court overall, the VHCC scheme currently represents around 4% of the cost, down from around 15% ten years ago. There were 9 defendants represented in the VHCC contracts that concluded in the October to December quarter 2017. Expenditure on this work over the duration of the contracts (i.e. on the closed-case basis) was £5.9 million. ## Tables 2.1 And 2.2 Prison Law Workload this quarter increased by 2% compared with the same period in the previous year, driven by an increase in advocacy at parole board hearings (up 15%). This category currently makes up just over one-third of prison law workload, but a much larger proportion of costs (74%). Expenditure on prison law rose by 16% over the same period, with all the increase due to the parole board rise. Despite these increases, prison law work comprised 2% of the volume and 2% of expenditure of total criminal legal aid work in October and December 2017; unchanged from previous years. ## 2. Civil Legal Aid Main Point There were 709 applications for ECF received between October and December 2017. This is the highest number of applications received in one quarter since the scheme began in April 2013 and a 60% increase from the same quarter last year. | Workload | Expenditure | |-------------------|---------------------| | (% change | (% change | | compared to the | compared to the | | same quarter last | same quarter last | | year) | year) | | Family | Family Public | | 11 | | | % | | | ↑ | | | ) | £115m ( | | 13 | | | % | | | ↑ | | | ) | | | Civil | | | 31,000 ( | | | 4 | | | % | | | ↑ | | | ) | | | Family Private | 9,000 ( | | 8 | | | % | | | ↓ | | | ) | £24m ( | | 0% | | | ↔ | | | ) | | | £139m ( | | | 11% | | | ↑ | ) | | Workload 64,000 | Mediation and MIAMS | | * | | | 4,000 | | | (13 | | | % | | | ↓ | | | ) | £1m ( | | 12 | | | % | | | ↓ | | | ) | | | ( | | | 2% | | | ↓ | | | ) | | | Immigration | 10,000 ( | | 9 | | | % | | | ↓ | | | ) | £9m ( | | 12% | | | ↓ | | | ) | | | Non-Family | | | Mental Health | 9,000 ( | | 2% | | | ↓ | | | ) | £10m ( | | 5% | | | ↑ | | | ) | | | Expenditure £172m | | | Housing | 11,000 ( | | 9 | | | % | | | ↓ | | | ) | £7m ( | | 4% | | | ↑ | | | ) | | | 33,000 ( | | | 6 | | | % | | | ↓ | | | ) | | | £33m ( | | | 10% | | | ↓ | | | ) | | | ( | | | 6% | | | ↑ | | | ) | | | Other Non-Family | 3,000 ( | | 3 | | | % | | | ↓ | | | ) | £6m ( | | 35% | | | ↓ | | | ) | | * Not included in family total ## Tables 5.1 - 5.3 Legal Help And Controlled Legal Representation In the last quarter, there were 1% fewer legal help new matter starts than in the same period of 2016. The volume of completed claims decreased by 9% and expenditure by 10% in October to December 2017 compared to the same period in 2016 (figure 6). The implementation of the LASPO Act in April 2013 resulted in large reductions in legal help workload, with the overall trend falling to less than one-third of pre-LASPO levels. ## Family Legal Help In October to December 2017 family legal help starts increased by 2% compared to the same quarter last year. There were decreases in completed claims (16%) and expenditure (13%). There was a steep decline in new matters started immediately following the implementation of the LASPO Act in April 2013, with a more gradual decline over the last 2 to 3 years. In **family mediation**, Mediation Information and Assessment Meetings (MIAMs) were down by 12% in the last quarter compared to the previous year and currently stand at around a third of pre-LASPO levels. Mediation starts between October and December 2017 were down by 15% and currently stand at around 1,500, the lowest quarterly number of starts since the implementation of the LASPO Act. ## Non-Family Legal Help And Controlled Legal Representation Legal help and controlled legal representation makes up over 95% of both **immigration** and mental health cases. Controlled legal representation relates to representation at tribunal and so is often longer and more costly than legal help but, as with legal help, the decision on whether to grant legal aid is delegated to providers. The LASPO Act made changes to the scope of legal aid for immigration law, and the areas that remain in scope consist largely of asylum-related work. Having fallen by 40% over the 5 years to 2013-14, new matter starts in immigration stood 10% lower in the October to December 2017 quarter than in the same quarter of the previous year. Completed claims in immigration were down by 14% in the last quarter compared to the previous year and expenditure was also down by 14%. Within mental health most funding is spent on providing assistance to sectioned clients appealing the terms of their detention before a mental health tribunal. Mental health new matter starts fell 2% when comparing the latest quarter to the previous year. Completed claims fell by 6% and expenditure fell by 7% over the same period. Over 80% of **housing** work volume is made up of legal help. The volume of this work halved between July to September 2012 and April to June 2013. The trend then fluctuated for around 18 months but has been gradually falling since 2014. In October to December 2017 there was a 3% increase in housing work starts compared to the same quarter the previous year. There was no change in completed claims and a 3% decrease in expenditure. ## Civil Representation The number of civil representation certificates granted in the last quarter was up 5% compared to the same period of the previous year. The number of certificates completed increased by 16%, and the associated expenditure increased by 9% in the same period. Civil representation workloads fell following the implementation of the LASPO Act in April 2013 but by a smaller proportion than legal help and controlled legal representation. ## Family Civil Representation Certificates granted for family work increased by 5% in October to December 2017 compared to the previous year. There was an increase in certificates completed (17%) compared to the same quarter the previous year, however there has been a small fall compared to July to September 2017. The associated expenditure follows a similar pattern (11% increase compared to the same quarter the previous year and a 1% decrease compared to the previous quarter). This increase was largely due to **public family law**, which makes up around three quarters of family workload and over 80% of family expenditure. Certificates completed in public family law have fallen slightly after the peak in April to June 2017. In October to December 2017, applications for civil representation in private family law supported by **evidence of domestic abuse** increased by 3% compared to the same period of the previous year. The number granted also increased (up 4%) compared to the same period of 2016. The proportion of applications granted remained steady at around 70% from the inception of this type of application until the end of 2015, before increasing to around 80%. In the latest quarter it was 78%. ## Non-Family Civil Representation Non-family certificates completed make up just over 10% of the total civil representation workload and expenditure. There are only a small number of **immigration** and mental health cases in civil representation as most work in these areas consists of controlled legal representation. The majority of the certificates completed in this category are for **housing** work. There has been a gradual decline in housing certificates completed and in expenditure on this category since 2014, but in the latest period there were 8% more than in the same period of the previous year. ## Judicial Reviews Of all civil representation applications granted, around 3,000 a year relate to judicial review. The number granted in October to December 2017 was 10% higher than in the same quarter in 2016. A third of judicial reviews were for immigration cases and another third were for public law. ## Exceptional Case Funding (Ecf) There were 709 applications for ECF received from October to December 2017. This is the highest number of applications received in a single quarter since the scheme began in April 2013 and a 60% increase from the same quarter last year. 602 (85%) of these were new applications. Of the 709 ECF applications received between October and December 2017, 90% (635) had been determined by the LAA as of 20 February 2018. 54% (343) of these were granted, 26% (167) were refused and 17% (107) rejected (see figure 8). Among the ECF applications received between October and December 2017, immigration (60%), inquest (16%), and family (15%) remained the most requested categories of law (figure 8). The increase in ECF applications over the last two years is driven by an increase in immigration applications. ## 3. Further Information This publication presents quarterly data trends. For figures published annually, including those on providers of legal aid, appealing legal aid decisions, Central Funds, butterfly charts and legal aid in the higher courts, please refer to our **annual publication**. ## Accompanying Files As well as this bulletin, the following products are published as part of this release: - Tables: A set of tables, which give further detail and full timeseries for each area. - More detailed data: A detailed file to allow detailed analysis provided in both .csv (comma separated values) and .ods (OpenDocument Spreadsheet) formats - Data visualisation tool: A web-based tool allowing the user to view and customize charts and tables based on the published statistics. - Index of data in Legal aid statistics: An index to the more detailed data published in the .csv and .ods files, lists of available data from Legal Aid systems and guidance on how to work with the more detailed data using pivot tables. - User Guide to legal aid statistics: This provides comprehensive information about data sources and quality as well as key legislative changes. ## National Statistics Status National Statistics status means that official statistics meet the highest standards of trustworthiness, quality and public value. All official statistics should comply with all aspects of the Code of Practice for Official Statistics. They are awarded National Statistics status following an assessment by the Authority's regulatory arm. The Authority considers whether the statistics meet the highest standards of Code compliance, including the value they add to public decisions and debate. It is the Ministry of Justice's responsibility to maintain compliance with the standards expected for National Statistics. If we become concerned about whether these statistics are still meeting the appropriate standards, we will discuss any concerns with the Authority promptly. National Statistics status can be removed at any point when the highest standards are not maintained, and reinstated when standards are restored. ## Contact Press enquiries should be directed to the Ministry of Justice press office: Tel: 020 3334 3536 Email: newsdesk@justice.gsi.gov.uk Other enquiries about these statistics should be directed to the Justice Statistics Analytical Services division of the Ministry of Justice: Richard Field, Head of legal aid statistics Ministry of Justice, 7th Floor, 102 Petty France, London, SW1H 9AJ Email: statistics@legalaid.gsi.gov.uk Tel: 07469 579 287 ## Next Update: 28 June 2018 © Crown copyright Produced by the Ministry of Justice Alternative formats are available on request from statistics.enquiries@justice.gsi.gov.uk

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NORTHAMPTON BOROUGH COUNCIL HEAD OF PLANNING, TRANSPORTATION AND REGENERATION PLANNING COMMITTEE - 15 OCTOBER 2003 Application No: N/2003/1059 Location : Land/garages at Elizabeth Street Proposal : Demolition of 3 no. garages/stores and the erection of a single dwelling with integral garage Officer : Mrs Rita Bovey Recommendations: REFUSAL for the following reason: The proposed development, by reason of its position, height and massing, would appear overbearing and unduly dominant when seen from the rear of the properties at nos. 72 to 78 Lower Thrift Street and would result in the loss of outlook and openness from those properties. It is considered that the development would have a seriously detrimental effect upon the residential amenities of the occupiers at nos. 72 to 78 Lower Thrift Street for these reasons contrary to Policies H6, H19 and E20 of the Northampton Local Plan. Site Description and History: The application site is located on the east side of Elizabeth Street immediately adjoining the rear gardens of the properties along Lower Thrift Street. It contains a block of three lock-up garages. The proposal relates to the demolition of the garages and erection of a twostorey dwelling house with an integral garage. The proposed dwelling, with a height of 4.7 metres to the eaves level and 6.3 metres to the ridge, will front directly onto Elizabeth Street. Apart from three velux rooflights, no other window openings have been proposed at the side and rear elevations of the proposed dwelling. The applicant's agent has submitted a letter to support the application proposal (as appended to the report). Planning Policy: Northampton Local Plan Policies H6, H19 and E20. PPG3 (Housing). Consultations: Environmental Health - no objections. Representations: Thrifts Streets Residents Association - object to the proposal; do not object in principle to the idea of redevelopment of brownfield land in the area but should not include land that is or was previously the back gardens of Victorian housing; the overall nature and character of the proposed building is not compatible with and does not match the existing character of the wider area; the proposed dwelling is too close to houses and gardens of nos.70-80 Lower Thrift Street, the east facing windows in the upper storey will directly overlook these properties severely reducing their privacy and introducing an unreasonable level of intrusion; the new dwelling will significantly reduce the light and visual amenity of the houses on Lower Thrift Street; the dwelling is designed for single occupancy, as have a number of other units approved in the area in recent times, concerned that this trend will cause long term changes in the population structure and balance, with a decrease in the numbers of properties in family use. Also objected to the increase of housing density and traffic in the area. 72 Lower Thrift Street - object to the application; the proposed building will block off light to the house and garden; the proposed building, with only skylights in the roof, is unsightly; the two storey wall at the end of the gardens of 72 to 78 Lower Thrift Street would block these properties in like prison walls. 74 Lower Thrift Street - object to the application; the proposed building will enclose the top of the gardens of 72 to 78 Lower Thrift Street, together with the existing exterior walls of the R.A.O.B. Club at no.70 and the old bake house at no.80, the four gardens will be turned into a brick built compound. The outlook and the value of the property will be affected. 78 Lower Thrift Street - strongly object to the application; the new house would overlook gardens and invading on privacy; the building would create more shade in the garden and residents would have to look at a brick wall at the rear of the houses. Parking around the rear would be made more difficult, parents dropping off children for the school would have limited parking from the Elizabeth Street entrance meaning they would take up parking in Lower Thrift Street. Also objected to the noise and dirt resulting from the building works. Appraisal: The properties at nos. 72 to 78 Lower Thrift Street are currently bounded by the two relatively substantial brick built outriggers at nos. 70 and 80 on both sides. The rear elevation of the proposed dwelling, because of its height and design, would have an enclosing effect and create an overbearing and dominant effect upon these houses and gardens. Notwithstanding the advice contained in PPG3 (Housing) regarding infill dwellings in existing urban areas, the proposal is considered unacceptable and would detract from the living conditions currently enjoyed by the occupiers of those properties.

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HMRC takes the security of personal information very seriously. About the risks The main risks associated with using email that concern HMRC are:  confidentiality/privacy - there is a risk that emails sent over the internet may be intercepted  confirming your identity - it is crucial that we only communicate with established contacts at their correct email addresses  there is no guarantee that an email received over an insecure network, like the internet, has not been altered during transit  attachments could contain a virus or malicious code How we can reduce the risks We will desensitise information, for example by only quoting part of any unique reference numbers. We can also use encryption. We are happy to discuss how you may do the same but still provide the information we need. If you don't want to use email You may prefer that we don't respond to your enquiry by email, for example because other people have access to your email account. If so, we are happy to respond by an alternative method. We will agree this with you either by telephone, fax or in writing via post. If you do want to use email If you would like me to respond to your query by email, we will need you to confirm in writing by post, email or fax:  that you understand and accept the risks of using email  that you are content for financial information to be sent by email  that attachments can be used ## Contacting You Direct If You Would Like Us To Contact You Direct, We Will Need You To Confirm:  the names and email addresses of staff within your organisation with whom we may correspond by email  that you have ensured that your spam filters are not set to reject and/or automatically delete HMRC emails Contacting your agent If you would like us to contact authorised representatives of your organisation's agents, we will need you to confirm their names and email addresses. How we use your agreement Your confirmation will be held on file and will apply to future email correspondence. We will review the agreement at regular intervals to ensure there are no changes. If we receive email from someone we don't recognise If we receive email contact from someone we don't recognise from the information you gave us, we will verify the position with you before responding. Opting out You may opt out of using email at any time by letting us know. More information For more information on HMRC's privacy policy, visit http://www.hmrc.gov.uk/about/privacy.htm If you do want to use email to correspond with the HMRC VCRT, please confirm in writing by post, email or fax. You may find the following template helpful: I………………………………………………………………………………………………(Name) Of……………………………………………………………………………………………(Company Name) ………………………………………………………………………………………………(Company Address) ………………………………………………………………………………………………. Confirm that I have read the above guidance and:  I would like HMRC Venture Capital Reliefs Team to respond to my queries by email  I understand and accept the risks of using email.  I am content for financial information to be sent by email  I confirm that attachments can be used  I confirm that I have ensured that my organisation's spam filters are not set to reject and/or automatically delete HMRC emails The names and email addresses of staff within my organisation with whom the HMRC VCRT may correspond by email are as follows: Name Email address ……………………………………………………………………………………………………………………. ………………………………………………………………………………………………………….………… ……………………………………………………………………………………………………………….…… I also confirm that I am happy for HMRC VCRT to correspond by email with my authorised representatives of my organisation's agents, whose names and addresses are: Name Email address ………………………………………………………………………………………………………..…………. ……………………………………………………………………………………..……………………………. ………………………… (Signature) ………………………… (Date) ………………………… (Capacity in which signed, *for example Director, Officer of the Company*) ………………………… (Organisation Name) Your confirmation will be held on file with HMRC VCRT and will apply to future email correspondence with HMRC VCRT. HMRC VCRT will review the agreement at regular intervals to ensure there are no changes required.

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## Recommendation 1 The Ministry of Justice (MoJ) should ensure that it has established clear and integrated goals for knowledge and information management. Progress update - May 2017 Ref Status Priority High/Med/Low Target Completion Date H In progress 1.1 Completing work on the Knowledge and Information Management (KIM) Strategy and ensuring this is signed off at a senior level End Mar 2017 1.2 H End Mar 2017 Getting senior support for the strategy - for example, asking the Permanent Secretary to provide a foreword 1.3 M Ongoing In Continuing to liaise with Digital Technology to ensure that KIM and digital strategies are aligned progress 1.4 M Including deliverables from the strategy in the KIM and Records Management Service (RMS) business plans End Mar 2017 1.5 M End Jun 2017 Ensuring that there is a process for reporting on implementation to the senior team and an opportunity for the team to scrutinise progress, via the SIRO Board ## Recommendation 2 Moj Should Actively Work To Improve Its Culture Of Knowledge, Information And Records Management. Progress update - May 2017 Ref 2.1 Senior staff actively supporting and promoting KIM activities - for example by providing a foreword for the KIM Strategy, speaking at KIM events or blogging 2.2 Ensuring that the Knowledge & Information Management (KIM) Champion role is not delegated below Senior Civil Service (SCS) level 2.3 KIM Champions proactively promoting messages around knowledge, information and records management and ensuring that staff are complying with policy 2.4 Including more detail in the Information Management Policy on specific responsibilities of staff at all levels, but particularly middle management 2.5 Providing a method of monitoring compliance with information and records management policy using a maturity model and introducing an element of competition between business areas (see also recommendation 5) Increasing focus on knowledge transfer in the coming months because of the Voluntary Exit Status Priority High/Med/Low Target Completion Date M Ongoing M Ongoing M Ongoing M End Mar 2017 End Jun 2017 M 30 Sept 2.6 Scheme L 2016 Complete 2.7 H Ongoing Maintaining improvements in FOI performance and updating its publication scheme 2.8 M Ongoing Continuing to proactively identify information that can be published and improving its openness score by publishing datasets in a more usable format. ## Recommendation 3 Moj Should Continue To Embed Its Process For Information Asset Management And Information Risk. Progress update - May 2017 Ref Status Priority High/Med/Low Target Completion Date M Ongoing 3.1 Continuing to improve understanding of information assets through guidance, training and responsible roles such as Information Asset Owners (IAO) and Information Assurance Leads (IA Leads) 3.2 M Ongoing Increasing awareness of the existence and purpose of the various roles, such as IAOs, IA Leads and Information Assurance Co-ordinators, through communications, guidance and training 3.3 June 2017 H Reviewing and potentially streamlining the number of roles involved in the assurance process as part of a wider review of security and information governance which is planned in response to the Transforming Government Security review 3.4 L June 2017 Ensuring that there is no conflict of interest when staff carry out dual roles such as group level Senior Information Risk Owner (SIRO) and IAO 3.5 H Oct Closed 2016 Including risks around cyber security on the SIRO Board Risk Register or elsewhere in MoJ's risk framework and ensuring that it reflects the impact of IT change 3.6 Including mitigating actions on the role of KIM Champions and in promoting policy and compliance. Recommendation 4 MoJ should continue to ensure that it has a technology environment that supports the management, protection and exploitation of information and that this is used effectively by staff. Progress update - May 2017 Ref 4.1 Addressing the risk of staff not using Just Store (the replacement for the TRIM electronic records management system) through training, guidance and highlighting benefits of use to staff 4.2 Continuing to work collaboratively with Digital Technology, in particular on work around Just Store, Microsoft Office 365 and future plans for shared drives 4.3 Ensuring that roll-out of Microsoft Office 365 does not undermine use of Just Store through communications, policy, guidance and training Examining the experience of the Houses of M End Jun 2017 Status Priority High/Med/Low Target Completion Date H End Feb 2017 H In End 2017 progress H Mar2017 | In | M | End | |--------------------------------------------------------|----------|---------| | 2016 | progress | | | 4.4 | | | | Parliament in rolling out Microsoft Office 365 and in | | | | working to address the issues | | | | | | | | 4.5 | M | April | | 2017 | | | | As part of considerations around the future | | | | approach to shared drives, MoJ ensuring that work | | | | is included to make information held there more | | | | discoverable as well as considering how it will better | | | | control access | | | | | | | | 4.6 | H | | | Restricting access to shared drives once Just Store | | | | has been rolled out to maximise its use | | | | Sep | | | | 2017 | | | | | | | | 4.7 | M | End Mar | | 2017 | | | | Exploring the work that the Department for Business | | | | Innovation and Skills (now known as Department for | | | | Business, Energy & Industrial Strategy) has done on | | | | moving away from shared drives | | | | | | | | 4.8 | H | | | Encouraging staff to save emails of value into | | | | corporate systems | | | | Mar | | | | 2017 | | | | | | | | 4.9 | H | Ongoing | | Putting plans in place to dispose from Enterprise | | | | Vault (bearing in mind the requirements of the | | | | Independent Inquiry into Child Sexual Abuse) and | | | | draw on the experience of Welsh Government | | | | | | | | 4.9a | M | End Mar | | 2017 | | | | KIM Champions and Information Managers | | | | encouraging staff to follow policy around email and | | | | personal drives, and ensuring that they do so | | | | | | | | 4.9b | M | In | | Ensuring that Information Managers have the right | | | | skills to support staff in the move to Just Store | | | | Mar | | | | 2017 | progress | | | 4.9c | | | | M | End Mar | | | 2017 | | | | Updating the Information Management Policy and | | | | other policy and guidance to reflect the roll-out to | | | | Just Store | | | | 4.9d | | | | L | Ongoing | | | Reminding staff of what-to-keep policy and related | | | | guidance. | | | | | | | ## Recommendation 5 Moj Should Explore How It Can Better Monitor Compliance With Knowledge And Information Management Policy. Progress update - May 2017 Ref 5.1 Exploring the work that Home Office and HMT Treasury have done to monitor compliance through their One3M and the Knowledge Management Benchmarking processes considering how Information Managers and KIM Champions can play a role in any compliance monitoring process. 5.2 Drawing up a maturity model and developing a process to monitor business areas against this 5.3 Considering how Information Managers and KIM Champions can play a role in any compliance monitoring process. Status Priority High/Med/Low Target Completion Date End Jun L 2017 End Jun L 2017 End Jun L 2017 ## Recommendation 6 Moj Should Build On The Good Work It Has Already Done In Developing A Successful Approach To The Appraisal, Selection, Sensitivity Review And Transfer Of Its Paper And Digital Records. Progress update - May 2017 Ref Status Priority High/Med/Low Target Completion Date L End 2017 6.1 Exploring ways of speeding up the process of paper review, using macro methods where possible, in order to keep pace with the transition to the 20-year rule 6.2 M End 2017 Developing a process for appraisal, selection, sensitivity review and transfer of digital records on the shared drives 6.3 L End 2017 Using the experience of developing a process for the appraisal and selection of records on TRIM (MoJ's electronic records management system) to inform work on shared drives Applying disposal to the shared drives 6.4 M End 2017 6.5 M Ongoing Continuing to participate in the work that The National Archives and other departments are doing in this area | | | | | |----------------------------------------------------------|-----|-----|-----| | 6.6 | L | End | | | Considering the possibility of joining with other | | | | | departments to share a solution for sensitivity review | | | | | 2017 | | | | | | | | | | 6.7 | M | Dec | | | 2016 | | | | | Acquiring DROID (The National Archives' file profiling | | | | | tool) to help gain an overview of the information on the | | | | | shared drives and to enable digital transfer. | | | | | | | | |

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# Monthly Report: Surveillance Project Sb4008 Ifng Tests For Bovine Tuberculosis (Tc0651 And Tc0751) Number 152 # Report Period 1St - 30Th April 2019 ## Operational Notes On Terminology, Definitions, Re-Test And Re-Samples Test Outcomes: - "Samples" refers to an individual tube of blood taken from an individual animal which is subsequently submitted for testing. It is generally assumed that the number of samples and the number of animals are analogous as any duplicate sample blood tube from the same animal will not be tested. However, minor discrepancies may occur where the same animal is tested more than once due to a request for a resample or the animal is tested twice under different categories (for example, as a PAR-RAPID and then as part of a PAR-HERD-S). - "Submissions" refers to an individual batch or set of samples received for testing. Submissions may comprise 1 or more samples (for example, if an entire herd is being tested it is usually sent as 1 submission). It is generally assumed that the number of submissions and the number of herds are analogous. - Retests are samples where the first ELISA assay fails and the same sample is retested on a new ELISA plate. Each sample can be retested only once. A retest is not a reportable test outcome. - Resamples are where a sample has been retested and failed a second time, so that the lab requests a new sample. This is a reportable test outcome. - Rejects are samples that are not tested by the lab for one of the following reasons: blood collected into wrong type of vacutainer, samples that have not been maintained at the appropriate temperature range (22±5C), unlabelled samples, broken or cracked tubes, blood that is extensively clotted (small clots are OK), samples received after 4pm on the day after sample collection. Such samples are reported separately in the tables and in figure 5. - POS (pokeweed mitogen) is a sample positive control reagent which provides a measure of the quality/viability of the blood sample. A POS fail (< 0.45 optical density reading) may indicate compromised blood quality as a result of collection/transportation conditions or due the animal having an unusually low/suppressed cellular immune response. - NEG (no-antigen control) is a sample negative control which provides a measure of the background antigen-independent IFN- responses. A NEG fail (> 0.3 optical density reading) may indicate a laboratory procedures problem (normally resolved during re-test) or that an animal has unusually high background levels of IFN-g. ## Test Criteria | Submission Reason | Explanation | |-----------------------------------------------------|----------------------| | Possible Herd Slaughter | | | (PAR-HERD-S) | | | Parallel interferon-gamma blood testing of skin | | | test negative cattle to inform whole or partial | | | herd slaughters decisions | | | Parallel blood testing of skin test-negative cattle | | | in persistently infected herds that have failed to | | | resolve by repeated short-interval skin testing | | | and fulfill a minimum of biosecurity standards. | | | Persistent TB breakdowns | | | (OTF status withdrawn) | | | (PAR-P-CONF) N.B. | | | PAR-PERSIS from 1st April | | | 2017 | | | Parallel - Low Incidence | | | (PAR-LOW-IN) N.B. | | | PAR-NEW-IN from 1st April | | | 2017 | | | Parallel blood testing to maximise the | | | probability of removing all infected cattle in a | | | new herd breakdown as soon as possible after | | | confirmation of TB. | | | Rapid Testing of twice IR's | | | (PAR-RAPID) | | | Parallel blood testing of two-times IRs identified | | | under the severe interpretation of the skin test | | | used in Wales. | | | PAR-CUL-N | | | Parallel blood testing to maximise the | | | probability of removing all infected cattle in a | | | new breakdown as soon as possible after | | | confirmation of TB where herd is situated in | | | badger control areas of England that have | | | completed at least 2 effective culls. | | | PAR-CUL-P | | | Parallel blood testing to maximise the | | | probability of removing all infected cattle in a | | | persistent confirmed breakdown where herd is | | | situated within badger control areas of England | | | that have completed at least 2 effective culls | | | Parallel Other | | | (PAR-OTHER) | | | Other parallel blood testing not covered in any | | | of the other scenarios | | | NO (APHA discretion) | | | 'NSR' Herds (SER-NSR) | | | Modified serial blood testing of individual skin | | | test reactors and/or IRs in unconfirmed TB | | | breakdown herds to clarify their infection status | | | where there is evidence of non-specific | | | sensitisation to bovine tuberculin (the | | | "non-specific reactor" procedure) | | | Suspected Fraud | | | (SER-FRAUD) | | | Modified serial blood test of suspected | | | fraudulent reactors to the skin test (animals with | | | abnormal skin swellings), in confirmed or | | | unconfirmed TB incidents. | | | Serial Other | | | (SER-OTHER) | | | Serial test - other reasons | NO (APHA Discretion) | | SER-FLEXI | | | Extended blood test to provide flexible test | | | readout in a confirmed M. bovis-infected herd | | | where Johne's (M. a. paratuberculosis) infection | | | or vaccination is suspected to be interferring | | | with M. bovis infection detection | | | YES, if APHA are | | | contemplating a herd | | | slaughter | | | NO (APHA discretion) | | | YES in Area of Low | | | Incidence | | | YES (Wales only) | | | YES (in eligible badger | | | control areas of England) | | | NO (APHA discretion) | | | NO (APHA discretion) | | | NO (APHA discretion to | | | firm up or rule out any | | | suspicion of fraud and | | | support any | | | investigations) | | | NO (APHA discretion) | | ## Table 1. Monthly Totals For April 2019 | % | Total 2019 | % | |-------------------------|--------------------------|----------| | Num | | | | samples | | | | April 2019 | | | | Submissions | 269 | 1193 | | Samples | Total (%) | 30298 | | England | 23776 | 78.47 % | | Wales | 6522 | 21.53 % | | Scotland | 366 | 0.32 % | | Parallel Tests | PAR-CUL-N | 5965 | | PAR-CUL-P | 199 | 0.66 % | | PAR-HERD-S | 412 | 1.36 % | | PAR-NEW-IN | 15543 | 51.30 % | | PAR-OTHER | 47 | 0.16 % | | PAR-PERSIS | 6785 | 22.39 % | | PAR-RAPID | 70 | 0.23 % | | Total(% of all samples) | 29021 | 95.79 % | | Serial/Extended Tests | SER-FLEXI | 1276 | | SER-FRAUD | 0 | 0.00 % | | SER-NSR | 1 | 0.00 % | | SER-OTHER | 0 | 0.00 % | | Total(% of all samples) | 1277 | 4.21 % | | Total | 30298 | 100.00 % | | Retests | Total (% of all samples) | 1897 | | England | 1432 | 4.73 % | | Wales | 465 | 1.53 % | | Scotland | 20 | 0.02 % | | Resamples | Total (% of all samples) | 1511 | | England | 1139 | 3.76 % | | Wales | 372 | 1.23 % | | Scotland | 17 | 0.01 % | | Rejects | Total (% of all samples) | 316 | | England | 264 | 0.87 % | | Wales | 52 | 0.17 % | | Scotland | 0 | 0.00 % | PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other | PAR-CUL-N | 5965 | 19.7 % | |-------------|--------|----------| | PAR-CUL-P | 199 | 0.7 % | | PAR-HERD-S | 412 | 1.4 % | | PAR-NEW-IN | 15543 | 51.3 % | | PAR-OTHER | 47 | 0.2 % | | PAR-PERSIS | 6785 | 22.4 % | | PAR-RAPID | 70 | 0.2 % | | SER-FLEXI | 1276 | 4.2 % | | SER-NSR | 1 | 0.0 % | | Total | 30298 | 100.00 % | submitted by County ## Table 2A. Summary By County For April 2019 | Country | County | |-----------------|----------------| | Submission | | | Reasons* | | | No. | | | subs | | | Samples | Gamma Positive | | n | % of total | | England - HRA | Avon | | Corn & Scilly | PAR-CUL-N | | PAR-PERSIS | 4 | | Devon | PAR-CUL-N | | PAR-CUL-P | 3 | | PAR-OTHER | 2 | | PAR-PERSIS | 3 | | Dorset | PAR-CUL-N | | PAR-CUL-P | 1 | | PAR-NEW-IN | 1 | | SER-FLEXI | 1 | | Gloucs | PAR-CUL-N | | PAR-CUL-P | 1 | | Heref | PAR-PERSIS | | Shropshire | PAR-CUL-P | | PAR-PERSIS | 1 | | SER-FLEXI | 3 | | Somerset excl N | PAR-CUL-N | | PAR-PERSIS | 3 | | Staffs | PAR-PERSIS | | Wiltshire | PAR-CUL-N | | England - Edge | Berks | | PAR-PERSIS | 2 | | Bucks | PAR-NEW-IN | | Cheshire | PAR-NEW-IN | | PAR-PERSIS | 1 | * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other | Country | County | |-----------------|----------------| | Submission | | | Reasons* | | | No. | | | subs | | | Samples | Gamma Positive | | n | % of total | | Derbyshire | PAR-NEW-IN | | E Sussex | PAR-NEW-IN | | Hampshire | PAR-NEW-IN | | SER-NSR | 1 | | Leics & Rut | PAR-NEW-IN | | Northants | PAR-NEW-IN | | Notts | PAR-NEW-IN | | Oxon | PAR-NEW-IN | | Warks | PAR-NEW-IN | | England - LRA | Cambs | | Cumbria | PAR-NEW-IN | | Essex | PAR-NEW-IN | | Gr Manchester | PAR-NEW-IN | | Herts | PAR-NEW-IN | | Lancashire | PAR-NEW-IN | | Lincs | PAR-NEW-IN | | N Yorks | SER-FLEXI | | England | | | 187 | 23776 | | Wales - High TB | Carms | | PAR-PERSIS | 3 | | PAR-RAPID | 3 | | SER-FLEXI | 2 | | Ceredigion | PAR-HERD-S | | PAR-NEW-IN | 1 | | PAR-PERSIS | 1 | | PAR-RAPID | 1 | | SER-FLEXI | 1 | | Gwent | PAR-HERD-S | * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other | Country | County | |-------------------------|----------------| | Submission | | | Reasons* | | | No. | | | subs | | | Samples | Gamma Positive | | n | % of total | | PAR-RAPID | 3 | | Pembs | PAR-HERD-S | | PAR-PERSIS | 15 | | PAR-RAPID | 5 | | SER-FLEXI | 4 | | Powys | PAR-HERD-S | | PAR-NEW-IN | 2 | | PAR-PERSIS | 4 | | PAR-RAPID | 7 | | SER-FLEXI | 1 | | S Wales | PAR-OTHER | | PAR-PERSIS | 1 | | SER-FLEXI | 1 | | Wales - Intermediate TB | Carms | | PAR-PERSIS | 1 | | PAR-RAPID | 1 | | NE Wales | PAR-NEW-IN | | PAR-RAPID | 1 | | SER-FLEXI | 1 | | Powys | PAR-NEW-IN | | S Glamorgan | PAR-RAPID | | Wales | | | 82 | 6522 | | Grand Total | Sum: | *For test criteria please refer to Operational notes. * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other ## Table 2B. Summary By County For 2019 | Country | County | |---------------|----------------| | Submission | | | Reasons* | | | No. | | | subs | | | Samples | Gamma Positive | | n | % of total | | England - HRA | Avon | | SER-FRAUD | 1 | | Corn & Scilly | PAR-CUL-N | | PAR-CUL-P | 4 | | PAR-PERSIS | 10 | | SER-FLEXI | 2 | | Devon | PAR-CUL-N | | PAR-CUL-P | 17 | | PAR-NEW-IN | 3 | | PAR-OTHER | 5 | | PAR-PERSIS | 15 | | SER-FLEXI | 4 | | Dorset | PAR-CUL-N | | PAR-CUL-P | 6 | | PAR-NEW-IN | 1 | | SER-FLEXI | 1 | | Gloucs | PAR-CUL-N | | PAR-CUL-P | 3 | | Heref | PAR-CUL-N | | PAR-CUL-P | 1 | | PAR-PERSIS | 9 | | Shropshire | PAR-CUL-P | | PAR-NEW-IN | 1 | | PAR-OTHER | 4 | | PAR-PERSIS | 5 | | SER-FLEXI | 3 | * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other | Country | County | |-----------------|----------------| | Submission | | | Reasons* | | | No. | | | subs | | | Samples | Gamma Positive | | n | % of total | | Somerset excl N | PAR-CUL-N | | PAR-OTHER | 2 | | PAR-PERSIS | 3 | | Staffs | PAR-PERSIS | | Wiltshire | PAR-CUL-N | | PAR-CUL-P | 3 | | PAR-NEW-IN | 1 | | PAR-OTHER | 1 | | PAR-PERSIS | 1 | | SER-FLEXI | 1 | | England - Edge | Berks | | PAR-PERSIS | 3 | | Bucks | PAR-NEW-IN | | Cheshire | PAR-CUL-N | | PAR-NEW-IN | 97 | | PAR-PERSIS | 3 | | Derbyshire | PAR-NEW-IN | | E Sussex | PAR-NEW-IN | | Hampshire | PAR-NEW-IN | | SER-NSR | 2 | | Leics & Rut | PAR-NEW-IN | | Northants | PAR-NEW-IN | | Notts | PAR-NEW-IN | | Oxon | PAR-NEW-IN | | Warks | PAR-NEW-IN | | PAR-PERSIS | 2 | | England - LRA | Cambs | | Cumbria | PAR-NEW-IN | * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other | Country | County | |-----------------|----------------| | Submission | | | Reasons* | | | No. | | | subs | | | Samples | Gamma Positive | | n | % of total | | Essex | PAR-NEW-IN | | Gr Manchester | PAR-NEW-IN | | Herts | PAR-NEW-IN | | I of Wight | PAR-NEW-IN | | Lancashire | PAR-NEW-IN | | Lincs | PAR-NEW-IN | | N Yorks | PAR-NEW-IN | | SER-FLEXI | 1 | | S Yorks | PAR-NEW-IN | | England | | | 718 | 91395 | | Wales - High TB | Carms | | PAR-NEW-IN | 1 | | PAR-OTHER | 4 | | PAR-PERSIS | 36 | | PAR-RAPID | 30 | | SER-FLEXI | 17 | | Ceredigion | PAR-HERD-S | | PAR-NEW-IN | 1 | | PAR-OTHER | 1 | | PAR-PERSIS | 9 | | PAR-RAPID | 15 | | SER-FLEXI | 2 | | Gwent | PAR-HERD-S | | PAR-PERSIS | 8 | | PAR-RAPID | 17 | | Pembrokeshire | PAR-RAPID | | Pembs | PAR-HERD-S | | PAR-OTHER | 10 | * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other | Country | County | |-------------------------|----------------| | Submission | | | Reasons* | | | No. | | | subs | | | Samples | Gamma Positive | | n | % of total | | PAR-PERSIS | 40 | | PAR-RAPID | 47 | | SER-FLEXI | 9 | | Powys | PAR-HERD-S | | PAR-NEW-IN | 7 | | PAR-PERSIS | 13 | | PAR-RAPID | 26 | | SER-FLEXI | 3 | | S Wales | PAR-HERD-S | | PAR-OTHER | 1 | | PAR-PERSIS | 2 | | SER-FLEXI | 2 | | W Glamorgan | PAR-HERD-S | | PAR-PERSIS | 1 | | PAR-RAPID | 1 | | Wales - Intermediate TB | Carms | | PAR-PERSIS | 1 | | PAR-RAPID | 2 | | Ceredigion | PAR-HERD-S | | PAR-OTHER | 1 | | NE Wales | PAR-NEW-IN | | PAR-OTHER | 2 | | PAR-PERSIS | 1 | | PAR-RAPID | 8 | | SER-FLEXI | 19 | | Powys | PAR-NEW-IN | | S Glamorgan | PAR-RAPID | | W Glamorgan | PAR-HERD-S | * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. ## Par-Herd-S: Potential Herd Slaughter, Par-P-Conf (Par-Persis From 1 April 2017): Persistent Tb Breakdown Otfw, Par-Low-In (Par-New-In From 1 April 2017): Parallel Low Incidence, Par-Rapid: Rapid Testing Of Twice Irs, Par-Cul-N: New Infection In Cull Area, Par-Cul-P: Persistent Infection In Cull Area, Par-Other: Parallel Other, Ser-Flexi: Flexible Extended Test In Confirmed Herds With Concurrent Johne'S Infection/Vaccination, Ser-Nsr: Serial Non-Specific Reactor, Ser-Fraud: Serial Potential Fraud, Ser-Other: Serial Other Table 2B. Summary By County For 2019 Cont. | Country | County | |---------------------|----------------| | Submission | | | Reasons* | | | No. | | | subs | | | Samples | Gamma Positive | | n | % of total | | PAR-OTHER | 1 | | PAR-RAPID | 1 | | Wales - Low TB | Gwynedd | | NE Wales | PAR-NEW-IN | | Wales | | | 472 | 23718 | | Scotland - Scotland | Ayrshire | | Scotland | | | 3 | 366 | | Grand Total | Sum: | *For test criteria please refer to Operational notes. * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. ## Par-Herd-S: Potential Herd Slaughter, Par-P-Conf (Par-Persis From 1 April 2017): Persistent Tb Breakdown Otfw, Par-Low-In (Par-New-In From 1 April 2017): Parallel Low Incidence, Par-Rapid: Rapid Testing Of Twice Irs, Par-Cul-N: New Infection In Cull Area, Par-Cul-P: Persistent Infection In Cull Area, Par-Other: Parallel Other, Ser-Flexi: Flexible Extended Test In Confirmed Herds With Concurrent Johne'S Infection/Vaccination, Ser-Nsr: Serial Non-Specific Reactor, Ser-Fraud: Serial Potential Fraud, Ser-Other: Serial Other Table 3A. Summary Of Ifn Gamma Results By Country And Protocol April 2019 | Country | Protocol | |-----------------|--------------| | No | | | submissions | Samples | | n | % of total n | | England | Parallel | | Serial/Extended | 6 | | Total | 187 | | Scotland | Parallel | | Serial/Extended | 0 | | Total | 0 | | Wales | Parallel | | Serial/Extended | 10 | | Total | 82 | | GB | Parallel | | Serial/Extended | 16 | | Total | 269 | | 187.00 | | | 82.00 | | * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. ## Table 3B. Summary Of Ifn Gamma Results By Country And Protocol (Total 2019) | Country | Protocol | |-----------------|--------------| | No | | | submissions | Samples | | n | % of total n | | England | Parallel | | Serial/Extended | 15 | | Total | 718 | | Scotland | Parallel | | Serial/Extended | 0 | | Total | 3 | | Wales | Parallel | | Serial/Extended | 52 | | Total | 472 | | GB | Parallel | | Serial/Extended | 67 | | Total | 1193 115479 | | 718.00 | | | 472.00 | | | 3.00 | | * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. Submission Reason No submissions Samples Gamma Positive Gamma Negatives Retest Resample Reject n % of total n % n % n % n % n % GB Extended Flexible IFN-GAMMA test 15 1276 4.2% 49 3.8% 1176 92.2% 61 4.8 % 49 3.8 % 2 0.2 % Parallel - Herd or Group Slaughter 10 412 1.4% 21 5.1% 362 87.9% 40 9.7 % 29 7.0 % 0 Parallel New Infection 109 15543 51.3% 538 3.5% 14181 91.2% 969 6.2 % 768 4.9 % 56 0.4 % Parallel - new infection cull area 55 5965 19.7% 277 4.6% 5279 88.5% 358 6.0 % 278 4.7 % 131 2.2 % Parallel - Other 4 47 0.2% 5 10.6% 40 85.1% 2 4.3 % 2 4.3 % 0 Parallel Persistent Infection 47 6785 22.4% 217 3.2% 6082 89.6% 448 6.6 % 369 5.4 % 119 1.8 % Parallel - persistent infection cull area 6 199 0.7% 14 7.0% 169 84.9% 17 8.5 % 16 8.0 % 0 Parallel - Rapid Testing Two-times IRs 22 70 0.2% 12 17.1% 50 71.4% 2 2.9 % 0 8 11.4 % Serial - Suspected NSR Herd 1 1 0.0% 0 0.0 % 1 100.0% 0 0 0 Total 269 30298 100.0% 1133 3.7% 27340 90.2% 1897 6.3 % 1511 5.0 % 316 1.0 % England - HRA Extended Flexible IFN-GAMMA test 4 639 2.1% 24 3.8% 583 91.2% 40 6.3 % 32 5.0 % 0 Parallel New Infection 1 23 0.1% 1 4.3% 17 73.9% 5 21.7 % 5 21.7 % 0 Parallel - new infection cull area 55 5965 19.7% 277 4.6% 5279 88.5% 358 6.0 % 278 4.7 % 131 2.2 % Parallel - Other 2 28 0.1% 3 10.7% 23 82.1% 2 7.1 % 2 7.1 % 0 Parallel Persistent Infection 19 2773 9.2% 120 4.3% 2391 86.2% 176 6.3 % 144 5.2 % 118 4.3 % Parallel - persistent infection cull area 6 199 0.7% 14 7.0% 169 84.9% 17 8.5 % 16 8.0 % 0 England - HRA 87 9627 31.8% 439 4.6% 8462 87.9% 598 6.2 % 477 5.0 % 249 2.6 % England - Edge Parallel New Infection 79 11539 38.1% 387 3.4% 10631 92.1% 647 5.6 % 506 4.4 % 15 0.1 % Parallel Persistent Infection 3 324 1.1% 2 0.6% 317 97.8% 6 1.9 % 5 1.5 % 0 Serial - Suspected NSR Herd 1 1 0.0% 0 0.0 % 1 100.0% 0 0 0 England - Edge 83 11864 39.2% 389 3.3% 10949 92.3% 653 5.5 % 511 4.3 % 15 0.1 % England - LRA Extended Flexible IFN-GAMMA test 1 49 0.2% 1 2.0% 47 95.9% 3 6.1 % 1 2.0 % 0 Parallel New Infection 16 2236 7.4% 89 4.0% 1997 89.3% 178 8.0 % 150 6.7 % 0 England - LRA 17 2285 7.5% 90 3.9% 2044 89.5% 181 7.9 % 151 6.6 % 0 Wales - High TB Extended Flexible IFN-GAMMA test 9 571 1.9% 24 4.2% 532 93.2% 15 2.6 % 13 2.3 % 2 0.4 % Parallel - Herd or Group Slaughter 10 412 1.4% 21 5.1% 362 87.9% 40 9.7 % 29 7.0 % 0 Parallel New Infection 3 288 1.0% 13 4.5% 265 92.0% 10 3.5 % 10 3.5 % 0 Parallel - Other 1 11 0.0% 0 0.0 % 11 100.0% 0 0 0 Parallel Persistent Infection 24 3573 11.8% 83 2.3% 3274 91.6% 263 7.4 % 217 6.1 % 1 0.0 % Parallel - Rapid Testing Two-times IRs 19 57 0.2% 8 14.0% 41 71.9% 2 3.5 % 0 8 14.0 % Wales - High TB 66 4912 16.2% 149 3.0% 4485 91.3% 330 6.7 % 269 5.5 % 11 0.2 % Wales - Intermediate TB Extended Flexible IFN-GAMMA test 1 17 0.1% 0 0.0 % 14 82.4% 3 17.6 % 3 17.6 % 0 Parallel New Infection 10 1457 4.8% 48 3.3% 1271 87.2% 129 8.9 % 97 6.7 % 41 2.8 % Parallel - Other 1 8 0.0% 2 25.0% 6 75.0% 0 0 0 Parallel Persistent Infection 1 115 0.4% 12 10.4% 100 87.0% 3 2.6 % 3 2.6 % 0 Parallel - Rapid Testing Two-times IRs 3 13 0.0% 4 30.8% 9 69.2% 0 0 0 Wales - Intermediate TB 16 1610 5.3% 66 4.1% 1400 87.0% 135 8.4 % 103 6.4 % 41 2.5 % Submission Reason No submissions Samples Gamma Positive Gamma Negatives Retest Resample Reject n % of total n % n % n % n % n % GB Extended Flexible IFN-GAMMA test 64 2706 2.3% 186 6.9% 2299 85.0% 161 5.9 % 121 4.5 % 100 3.7 % Parallel - Herd or Group Slaughter 72 2941 2.5% 212 7.2% 2507 85.2% 260 8.8 % 218 7.4 % 5 0.2 % Parallel New Infection 492 58328 50.5% 2392 4.1% 51647 88.5% 4226 7.2 % 3500 6.0 % 789 1.4 % Parallel - new infection cull area 171 20692 17.9% 1161 5.6% 18010 87.0% 1411 6.8 % 1158 5.6 % 363 1.8 % Parallel - Other 36 2460 2.1% 193 7.8% 2071 84.2% 188 7.6 % 154 6.3 % 42 1.7 % Parallel Persistent Infection 171 20470 17.7% 1157 5.7% 17900 87.4% 1437 7.0 % 1176 5.7 % 240 1.2 % Parallel - persistent infection cull area 35 7375 6.4% 445 6.0% 6495 88.1% 511 6.9 % 428 5.8 % 7 0.1 % Parallel - Rapid Testing Two-times IRs 149 490 0.4% 123 25.1% 310 63.3% 41 8.4 % 31 6.3 % 26 5.3 % Serial - Anomalous Reaction 1 9 0.0% 0 0.0 % 9 100.0% 0 0 0 Serial - Suspected NSR Herd 2 8 0.0% 0 0.0 % 8 100.0% 0 0 0 Total 1193 115479 100.0% 5869 5.1% 101256 87.7% 8235 7.1 % 6786 5.9 % 1572 1.4 % England - HRA Extended Flexible IFN-GAMMA test 11 968 0.8% 60 6.2% 824 85.1% 63 6.5 % 39 4.0 % 45 4.6 % Parallel New Infection 6 814 0.7% 108 13.3% 617 75.8% 109 13.4 % 89 10.9 % 0 Parallel - new infection cull area 170 20432 17.7% 1142 5.6% 17781 87.0% 1399 6.8 % 1146 5.6 % 363 1.8 % Parallel - Other 12 834 0.7% 77 9.2% 663 79.5% 61 7.3 % 52 6.2 % 42 5.0 % Parallel Persistent Infection 52 7165 6.2% 545 7.6% 5957 83.1% 542 7.6 % 443 6.2 % 221 3.1 % Parallel - persistent infection cull area 35 7375 6.4% 445 6.0% 6495 88.1% 511 6.9 % 428 5.8 % 7 0.1 % Serial - Anomalous Reaction 1 9 0.0% 0 0.0 % 9 100.0% 0 0 0 England - Edge Parallel New Infection 384 48617 42.1% 1956 4.0% 43138 88.7% 3436 7.1 % 2840 5.8 % 683 1.4 % Parallel - new infection cull area 1 260 0.2% 19 7.3% 229 88.1% 12 4.6 % 12 4.6 % 0 Parallel Persistent Infection 8 837 0.7% 17 2.0% 791 94.5% 33 3.9 % 29 3.5 % 0 Serial - Suspected NSR Herd 2 8 0.0% 0 0.0 % 8 100.0% 0 0 0 England - LRA Extended Flexible IFN-GAMMA test 1 49 0.0% 1 2.0% 47 95.9% 3 6.1 % 1 2.0 % 0 Parallel New Infection 35 4027 3.5% 149 3.7% 3553 88.2% 337 8.4 % 287 7.1 % 38 0.9 % England 718 91395 79.1% 4519 4.9% 80112 87.7% 6506 7.1 % 5366 5.9 % 1399 1.5 % Wales - High TB Extended Flexible IFN-GAMMA test 33 1127 1.0% 71 6.3% 1001 88.8% 61 5.4 % 53 4.7 % 2 0.2 % ## Table 4B. Summaryof Ifn Gamma Results By Submission Reason (Total 2019) Cont. Parallel - Herd or Group Slaughter 68 2915 2.5% 209 7.2% 2494 85.6% 250 8.6 % 208 7.1 % 5 0.2 % Parallel New Infection 9 441 0.4% 37 8.4% 379 85.9% 27 6.1 % 25 5.7 % 0 Parallel - Other 16 1386 1.2% 75 5.4% 1230 88.7% 103 7.4 % 81 5.8 % 0 Parallel Persistent Infection 109 12347 10.7% 583 4.7% 11046 89.5% 859 7.0 % 701 5.7 % 19 0.2 % Parallel - Rapid Testing Two-times IRs 137 447 0.4% 114 25.5% 277 62.0% 40 8.9 % 30 6.7 % 26 5.8 % Wales - Intermediate TB Extended Flexible IFN-GAMMA test 19 562 0.5% 54 9.6% 427 76.0% 34 6.0 % 28 5.0 % 53 9.4 % Parallel - Herd or Group Slaughter 4 26 0.0% 3 11.5% 13 50.0% 10 38.5 % 10 38.5 % 0 Parallel New Infection 43 3851 3.3% 130 3.4% 3432 89.1% 289 7.5 % 237 6.2 % 52 1.4 % Parallel - Other 8 240 0.2% 41 17.1% 178 74.2% 24 10.0 % 21 8.8 % 0 Parallel Persistent Infection 2 121 0.1% 12 9.9% 106 87.6% 3 2.5 % 3 2.5 % 0 Parallel - Rapid Testing Two-times IRs 12 43 0.0% 9 20.9% 33 76.7% 1 2.3 % 1 2.3 % 0 Wales - Low TB Parallel New Infection 12 212 0.2% 8 3.8% 183 86.3% 8 3.8 % 5 2.4 % 16 7.5 % Wales 472 23718 20.5% 1346 5.7% 20799 87.7% 1709 7.2 % 1403 5.9 % 173 0.7 % Scotland - Scotland Parallel New Infection 3 366 0.3% 4 1.1% 345 94.3% 20 5.5 % 17 4.6 % 0 Scotland 3 366 0.3% 4 1.1% 345 94.3% 20 5.5 % 17 4.6 % 0 | Year | Month | |--------------|---------| | Herds | | | sampled | | | Samples | | | tested | | | IFNg+ | | | samples | | | Wrong | | | Eartags | | | VL No | | | Cult | | | Herds | | | with | | | positives | | | No PM | | | No | | | Cult | | | No PM | | | Cult | | | Pend | | | No PM | | | Cult | | | Neg | | | No PM | | | Cult | | | Mb | | | VL | | | Cult | | | Neg | | | VL | | | Cult | | | Pend | | | VL | | | Cult | | | Mb | | | VL | | | Cult | | | Other | | | NVL | | | No | | | Cult | | | NVL | | | Cult | | | Pend | | | NVL | | | Cult | | | Neg | | | NVL | | | Cult | | | Mb | | | NVL | | | Cult | | | Other | | | No | | | PM | | | Cult | | | Other | | | 2018 | May | | June | 187 | | July | 207 | | August | 228 | | September | 216 | | October | 274 | | November | 282 | | December | 228 | | 2019 | January | | February | 320 | | March | 315 | | April | 269 | | Totals (last | | | 12 months) | | | 3065 | 290687 | Country Herds sampled Samples tested IFNg+ samples VL No Cult Herds with positives No PM No Cult No PM Cult Pend No PM Cult Neg No PM Cult Mb VL Cult Neg VL Cult Pend VL Cult Mb VL Cult Other NVL No Cult NVL Cult Pend NVL Cult Neg NVL Cult Mb NVL Cult Other No PM Cult Other England 1757 227265 1198 10769 549 0 0 0 0 815 12 7 35 6 8784 4 80 1 3 Scotland 17 1354 11 51 0 0 0 0 0 0 0 1 0 0 47 3 0 0 0 Wales 1291 62068 655 3369 92 0 0 0 0 161 5 1 22 5 2284 137 479 2 31 Totals 3065 290687 1864 14189 641 0 0 0 0 976 17 9 57 11 11115 144 559 3 34 *Includes all animals with IFNg test negative, resample and reject outcomes | | County | %Resampled %Retested | |---------------|----------|------------------------| | Avon | 2.22 % | 2.84 % | | Berks | 5.32 % | 6.38 % | | Bucks | 7.06 % | 5.37 % | | Cambs | 7.27 % | 10.91 % | | Carms | 4.10 % | 5.51 % | | Ceredigion | 2.70 % | 3.70 % | | Cheshire | 3.63 % | 5.05 % | | Corn & Scilly | 4.66 % | 6.48 % | | Cumbria | 12.64 % | 14.08 % | | Derbyshire | 7.03 % | 7.67 % | | Devon | 4.58 % | 5.89 % | | Dorset | 5.06 % | 6.64 % | | Essex | 2.17 % | 2.17 % | | E Sussex | 3.18 % | 3.18 % | | Gloucs | 9.06 % | 10.24 % | | Gr Manchester | 40.00 % | 53.33 % | | Gwent | 9.80 % | 9.80 % | | Hampshire | 5.45 % | 6.52 % | | Heref | 6.86 % | 8.52 % | | Herts | 6.68 % | 8.04 % | | Lancashire | 3.57 % | 4.76 % | | Leics & Rut | 3.69 % | 5.13 % | | Lincs | 3.95 % | 4.68 % | | NE Wales | 6.96 % | 9.58 % | |------------|----------|----------| | Northants | 5.99 % | 7.89 % | |-----------------|----------|----------| | Notts | 9.09 % | 9.09 % | | N Yorks | 2.04 % | 6.12 % | | Oxon | 4.99 % | 5.91 % | | Pembs | 6.46 % | 7.70 % | | Powys | 6.42 % | 7.53 % | | S Glamorgan | | | | Shropshire | 5.60 % | 6.72 % | | Somerset excl N | 4.49 % | 5.49 % | | Staffs | 25.81 % | 29.03 % | | S Wales | 5.00 % | 5.00 % | | Warks | 4.34 % | 5.67 % | |-----------|----------|----------| | Wiltshire | 4.77 % | 5.42 % | Country No. animals No of IFHg+ animals % Positive animals No. samples No of IFHg+ samples England 23352 916 3.9% 23776 918 3.9% Wales 6513 215 3.3% 6522 215 3.3% GB 29865 1131 3.8% 30298 1133 3.7% Country No. animals No of IFHg+ animals % Positive animals No. samples No of IFHg+ samples England 14120 750 5.3% 14251 750 5.3% Wales 5538 162 2.9% 6195 162 2.6% Scotland 71 41 57.7% 71 41 57.7% GB 19729 953 4.8% 20517 953 4.6% Country No. animals No of IFHg+ animals % Positive animals No. samples No of IFHg+ samples England 86644 4517 5.2% 91395 4519 4.9% Wales 22256 1346 6.0% 23718 1346 5.7% Scotland 366 4 1.1% 366 4 1.1% GB 109266 5867 5.4% 115479 5869 5.1% Country No. animals No of IFHg+ animals % Positive animals No. samples No of IFHg+ samples England 53944 3370 6.2% 57768 3370 5.8% Wales 17758 846 4.8% 19257 846 4.4% Scotland 1167 134 11.5% 1253 134 10.7% GB 72868 4350 6.0% 78278 4350 5.6% % Positive samples % Positive samples % Positive samples % Positive samples * Test type Num Submissions Num Samples Num Positives Private % Positive Total 0 0 0 Isle of Man SER-IOM 1 1 0 0 | % Positive | * Test type | |---------------------|---------------| | Num | | | Submissions | | | Num | | | Samples | | | Num | | | Positives | | | Private | | | Gloucestershire | PRV-SP | | Somerset excl North | PRV-SE | | Wiltshire | PRV-SP | | Worcestershire | SER-OTHER | | Total | | | 7 | | | 53 | | | 15 | 28.30 % | | Isle of Man | SER-IOM | *SER-IOM: Serial High Specificity test - Isle of Man; PRV-SE: Private High Sensitivity test - England; PRV-SP: Private High Specificity test - England | | Test | County | Num Submissions | Num Samples Tested | Num Positive Samples % Positive | |---------------|------------------|----------|-------------------|----------------------|-----------------------------------| | TC0077 | North East Wales | 3 | 110 | 23 | 20.9% | | Pembrokeshire | 1 | 32 | 1 | 3.1% | | | South Wales | 1 | 112 | 12 | 10.7% | | | TC0077 | Sum: | 254 | 36 | 14.2 % | | | | Test | County | Num Submissions | Num Samples Tested | Num Positive Samples % Positive | |------------------|-----------------|----------|-------------------|----------------------|-----------------------------------| | TC0077 | Carmarthenshire | 2 | 125 | 4 | 3.2% | | North East Wales | 11 | 383 | 63 | 16.4% | | | Pembrokeshire | 2 | 64 | 1 | 1.6% | | | South Wales | 2 | 118 | 13 | 11.0% | | | TC0077 | Sum: | 690 | 81 | 11.7 % | |

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# Monthly Report: Surveillance Project Sb4008 Ifng Tests For Bovine Tuberculosis (Tc0651 And Tc0751) Number 147 # Report Period 1St - 30Th November 2018 ## Operational Notes On Terminology, Definitions, Re-Test And Re-Samples Test Outcomes: - "Samples" refers to an individual tube of blood taken from an individual animal which is subsequently submitted for testing. It is generally assumed that the number of samples and the number of animals are analogous as any duplicate sample blood tube from the same animal will not be tested. However, minor discrepancies may occur where the same animal is tested more than once due to a request for a resample or the animal is tested twice under different categories (for example, as a PAR-RAPID and then as part of a PAR-HERD-S). - "Submissions" refers to an individual batch or set of samples received for testing. Submissions may comprise 1 or more samples (for example, if an entire herd is being tested it is usually sent as 1 submission). It is generally assumed that the number of submissions and the number of herds are analogous. - Retests are samples where the first ELISA assay fails and the same sample is retested on a new ELISA plate. Each sample can be retested only once. A retest is not a reportable test outcome. - Resamples are where a sample has been retested and failed a second time, so that the lab requests a new sample. This is a reportable test outcome. - Rejects are samples that are not tested by the lab for one of the following reasons: blood collected into wrong type of vacutainer, samples that have not been maintained at the appropriate temperature range (22±5C), unlabelled samples, broken or cracked tubes, blood that is extensively clotted (small clots are OK), samples received after 4pm on the day after sample collection. Such samples are reported separately in the tables and in figure 5. - POS (pokeweed mitogen) is a sample positive control reagent which provides a measure of the quality/viability of the blood sample. A POS fail (< 0.45 optical density reading) may indicate compromised blood quality as a result of collection/transportation conditions or due the animal having an unusually low/suppressed cellular immune response. - NEG (no-antigen control) is a sample negative control which provides a measure of the background antigen-independent IFN- responses. A NEG fail (> 0.3 optical density reading) may indicate a laboratory procedures problem (normally resolved during re-test) or that an animal has unusually high background levels of IFN-g. ## Test Criteria | Submission Reason | Explanation | |-----------------------------------------------------|----------------------| | Possible Herd Slaughter | | | (PAR-HERD-S) | | | Parallel interferon-gamma blood testing of skin | | | test negative cattle to inform whole or partial | | | herd slaughters decisions | | | Parallel blood testing of skin test-negative cattle | | | in persistently infected herds that have failed to | | | resolve by repeated short-interval skin testing | | | and fulfill a minimum of biosecurity standards. | | | Persistent TB breakdowns | | | (OTF status withdrawn) | | | (PAR-P-CONF) N.B. | | | PAR-PERSIS from 1st April | | | 2017 | | | Parallel - Low Incidence | | | (PAR-LOW-IN) N.B. | | | PAR-NEW-IN from 1st April | | | 2017 | | | Parallel blood testing to maximise the | | | probability of removing all infected cattle in a | | | new herd breakdown as soon as possible after | | | confirmation of TB. | | | Rapid Testing of twice IR's | | | (PAR-RAPID) | | | Parallel blood testing of two-times IRs identified | | | under the severe interpretation of the skin test | | | used in Wales. | | | PAR-CUL-N | | | Parallel blood testing to maximise the | | | probability of removing all infected cattle in a | | | new breakdown as soon as possible after | | | confirmation of TB where herd is situated in | | | badger control areas of England that have | | | completed at least 2 effective culls. | | | PAR-CUL-P | | | Parallel blood testing to maximise the | | | probability of removing all infected cattle in a | | | persistent confirmed breakdown where herd is | | | situated within badger control areas of England | | | that have completed at least 2 effective culls | | | Parallel Other | | | (PAR-OTHER) | | | Other parallel blood testing not covered in any | | | of the other scenarios | | | NO (APHA discretion) | | | 'NSR' Herds (SER-NSR) | | | Modified serial blood testing of individual skin | | | test reactors and/or IRs in unconfirmed TB | | | breakdown herds to clarify their infection status | | | where there is evidence of non-specific | | | sensitisation to bovine tuberculin (the | | | "non-specific reactor" procedure) | | | Suspected Fraud | | | (SER-FRAUD) | | | Modified serial blood test of suspected | | | fraudulent reactors to the skin test (animals with | | | abnormal skin swellings), in confirmed or | | | unconfirmed TB incidents. | | | Serial Other | | | (SER-OTHER) | | | Serial test - other reasons | NO (APHA Discretion) | | SER-FLEXI | | | Extended blood test to provide flexible test | | | readout in a confirmed M. bovis-infected herd | | | where Johne's (M. a. paratuberculosis) infection | | | or vaccination is suspected to be interferring | | | with M. bovis infection detection | | | YES, if APHA are | | | contemplating a herd | | | slaughter | | | NO (APHA discretion) | | | YES in Area of Low | | | Incidence | | | YES (Wales only) | | | YES (in eligible badger | | | control areas of England) | | | NO (APHA discretion) | | | NO (APHA discretion) | | | NO (APHA discretion to | | | firm up or rule out any | | | suspicion of fraud and | | | support any | | | investigations) | | | NO (APHA discretion) | | | % | Total 2018 | % | |-------------------------|--------------------------|----------| | Num | | | | samples | | | | November | | | | 2018 | | | | Submissions | 282 | 2441 | | Samples | Total (%) | 24570 | | England | 18356 | 74.71 % | | Wales | 6214 | 25.29 % | | Scotland | 2241 | 0.97 % | | Parallel Tests | PAR-CUL-N | 4069 | | PAR-CUL-P | 131 | 0.53 % | | PAR-HERD-S | 805 | 3.28 % | | PAR-NEW-IN | 10843 | 44.13 % | | PAR-OTHER | 1421 | 5.78 % | | PAR-PERSIS | 6047 | 24.61 % | | PAR-RAPID | 192 | 0.78 % | | Total(% of all samples) | 23508 | 95.68 % | | Serial/Extended Tests | SER-FLEXI | 1062 | | SER-FRAUD | 0 | 0.00 % | | SER-NSR | 0 | 0.00 % | | SER-OTHER | 0 | 0.00 % | | Total(% of all samples) | 1062 | 4.32 % | | Total | 24570 | 100.00 % | | Retests | Total (% of all samples) | 2538 | | England | 1992 | 8.11 % | | Wales | 546 | 2.22 % | | Scotland | 201 | 0.09 % | | Resamples | Total (% of all samples) | 1626 | | England | 1264 | 5.14 % | | Wales | 362 | 1.47 % | | Scotland | 139 | 0.06 % | | Rejects | Total (% of all samples) | 320 | | England | 249 | 1.01 % | | Wales | 71 | 0.29 % | | Scotland | 0 | 0.00 % | PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other | PAR-CUL-N | 4069 | 16.6 % | |-------------|--------|----------| | PAR-CUL-P | 131 | 0.5 % | | PAR-HERD-S | 805 | 3.3 % | | PAR-NEW-IN | 10843 | 44.1 % | | PAR-OTHER | 1421 | 5.8 % | | PAR-PERSIS | 6047 | 24.6 % | | PAR-RAPID | 192 | 0.8 % | | SER-FLEXI | 1062 | 4.3 % | | Total | 24570 | 100.00 % | Breakdown of Samples submitted by County | Country | County | |----------------|----------------| | Submission | | | Reasons* | | | No. | | | subs | | | Samples | Gamma Positive | | n | % of total | | England - HRA | Corn & Scilly | | Devon | PAR-CUL-N | | PAR-OTHER | 1 | | PAR-PERSIS | 1 | | Dorset | PAR-CUL-N | | PAR-PERSIS | 5 | | Gloucs | PAR-CUL-N | | PAR-PERSIS | 1 | | Heref | PAR-CUL-N | | Shropshire | PAR-NEW-IN | | PAR-OTHER | 1 | | PAR-PERSIS | 1 | | Somerset | PAR-CUL-P | | PAR-OTHER | 1 | | Staffs | SER-FLEXI | | Wiltshire | PAR-NEW-IN | | PAR-OTHER | 3 | | PAR-PERSIS | 1 | | SER-FLEXI | 4 | | England - Edge | Cheshire | | Derbyshire | PAR-NEW-IN | | E Sussex | PAR-NEW-IN | | PAR-PERSIS | 2 | | Leics & Rut | PAR-NEW-IN | | PAR-OTHER | 2 | | Notts | PAR-NEW-IN | | Oxon | PAR-NEW-IN | | PAR-PERSIS | 6 | * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other ## Table 2A. Summary By County For November 2018 Cont. | Country | County | |-------------------------|----------------| | Submission | | | Reasons* | | | No. | | | subs | | | Samples | Gamma Positive | | n | % of total | | Warks | PAR-NEW-IN | | England - LRA | Cumbria | | PAR-OTHER | 3 | | Isle of wight | PAR-NEW-IN | | Lincs | PAR-NEW-IN | | England | | | 159 | 18356 | | Wales - High TB | Carms | | PAR-OTHER | 1 | | PAR-PERSIS | 10 | | PAR-RAPID | 7 | | SER-FLEXI | 2 | | Ceredigion | PAR-PERSIS | | PAR-RAPID | 4 | | SER-FLEXI | 2 | | Gwent | PAR-PERSIS | | PAR-RAPID | 5 | | Pembs | PAR-HERD-S | | PAR-OTHER | 1 | | PAR-PERSIS | 10 | | PAR-RAPID | 12 | | SER-FLEXI | 5 | | Powys | PAR-HERD-S | | PAR-PERSIS | 5 | | PAR-RAPID | 4 | | S Wales | PAR-PERSIS | | Wales - Intermediate TB | Carms | | PAR-PERSIS | 1 | | PAR-RAPID | 2 | * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other ## Table 2A. Summary By County For November 2018 Cont. | Country | County | |----------------|----------------| | Submission | | | Reasons* | | | No. | | | subs | | | Samples | Gamma Positive | | n | % of total | | Ceredigion | PAR-HERD-S | | PAR-RAPID | 2 | | SER-FLEXI | 1 | | NE Wales | PAR-NEW-IN | | PAR-PERSIS | 2 | | PAR-RAPID | 1 | | SER-FLEXI | 5 | | Powys | PAR-RAPID | | Shropshire | PAR-NEW-IN | | W Glamorgan | PAR-OTHER | | Wales - Low TB | Gwynedd | | NE Wales | PAR-NEW-IN | | Wales | | | 123 | 6214 | | Grand Total | Sum: | *For test criteria please refer to Operational notes. * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other | Country | County | |---------------|----------------| | Submission | | | Reasons* | | | No. | | | subs | | | Samples | Gamma Positive | | n | % of total | | England - HRA | Avon | | PAR-PERSIS | 8 | | SER-FLEXI | 2 | | SER-FRAUD | 1 | | Corn & Scilly | PAR-CUL-N | | PAR-CUL-P | 1 | | PAR-NEW-IN | 1 | | PAR-OTHER | 3 | | PAR-PERSIS | 22 | | SER-FLEXI | 9 | | Devon | PAR-CUL-N | | PAR-CUL-P | 18 | | PAR-NEW-IN | 9 | | PAR-OTHER | 6 | | PAR-PERSIS | 35 | | SER-FLEXI | 14 | | Dorset | PAR-CUL-N | | PAR-CUL-P | 1 | | PAR-NEW-IN | 2 | | PAR-OTHER | 2 | | PAR-PERSIS | 18 | | SER-FLEXI | 1 | | Gloucs | PAR-CUL-N | | PAR-CUL-P | 9 | | PAR-NEW-IN | 2 | | PAR-OTHER | 2 | | PAR-PERSIS | 5 | | SER-FLEXI | 5 | * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other ## Table 2B. Summary By County For 2018 Cont. | Country | County | |----------------|----------------| | Submission | | | Reasons* | | | No. | | | subs | | | Samples | Gamma Positive | | n | % of total | | Heref | PAR-CUL-N | | PAR-CUL-P | 2 | | PAR-NEW-IN | 3 | | PAR-PERSIS | 4 | | SER-FLEXI | 2 | | SER-FRAUD | 2 | | Shropshire | PAR-NEW-IN | | PAR-OTHER | 8 | | PAR-PERSIS | 13 | | Somerset | PAR-CUL-N | | PAR-CUL-P | 4 | | PAR-NEW-IN | 1 | | PAR-OTHER | 6 | | PAR-PERSIS | 21 | | Staffs | PAR-PERSIS | | SER-FLEXI | 4 | | Wiltshire | PAR-NEW-IN | | PAR-OTHER | 5 | | PAR-PERSIS | 12 | | SER-FLEXI | 6 | | SER-FRAUD | 2 | | W Midlands | PAR-PERSIS | | SER-FRAUD | 3 | | England - Edge | Berks | | PAR-PERSIS | 6 | | Bucks | PAR-NEW-IN | | Cheshire | PAR-NEW-IN | | PAR-PERSIS | 10 | * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other | Country | County | |---------------|----------------| | Submission | | | Reasons* | | | No. | | | subs | | | Samples | Gamma Positive | | n | % of total | | Derbyshire | PAR-NEW-IN | | E Sussex | PAR-NEW-IN | | PAR-PERSIS | 2 | | Hampshire | PAR-NEW-IN | | PAR-OTHER | 1 | | PAR-PERSIS | 1 | | SER-NSR | 3 | | Leics & Rut | PAR-NEW-IN | | PAR-OTHER | 2 | | SER-NSR | 1 | | Northants | PAR-NEW-IN | | Notts | PAR-NEW-IN | | PAR-OTHER | 1 | | Oxon | PAR-NEW-IN | | PAR-PERSIS | 14 | | Warks | PAR-NEW-IN | | PAR-PERSIS | 2 | | England - LRA | Beds | | Cumbria | PAR-NEW-IN | | PAR-OTHER | 3 | | PAR-PERSIS | 1 | | Essex | PAR-NEW-IN | | Herts | PAR-NEW-IN | | Humberside | PAR-NEW-IN | | Isle of wight | PAR-NEW-IN | | Kent | PAR-NEW-IN | | Lincs | PAR-NEW-IN | | Merseyside | PAR-NEW-IN | * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other ## Table 2B. Summary By County For 2018 Cont. | Country | County | |-----------------|----------------| | Submission | | | Reasons* | | | No. | | | subs | | | Samples | Gamma Positive | | n | % of total | | Norfolk | PAR-NEW-IN | | N Yorks | PAR-NEW-IN | | S Yorks | PAR-NEW-IN | | W Sussex | PAR-NEW-IN | | PAR-PERSIS | 2 | | England | | | 1347 | 178364 | | Wales - High TB | Carms | | PAR-OTHER | 7 | | PAR-PERSIS | 52 | | PAR-RAPID | 92 | | SER-FLEXI | 12 | | Ceredigion | PAR-HERD-S | | PAR-OTHER | 1 | | PAR-PERSIS | 17 | | PAR-RAPID | 32 | | SER-FLEXI | 10 | | Gwent | PAR-HERD-S | | PAR-NEW-IN | 2 | | PAR-OTHER | 2 | | PAR-PERSIS | 38 | | PAR-RAPID | 37 | | SER-FLEXI | 6 | | Pembrokshire | PAR-OTHER | | Pembs | PAR-HERD-S | | PAR-OTHER | 5 | | PAR-PERSIS | 87 | | PAR-RAPID | 133 | | SER-FLEXI | 29 | * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. ## Par-Herd-S: Potential Herd Slaughter, Par-P-Conf (Par-Persis From 1 April 2017): Persistent Tb Breakdown Otfw, Par-Low-In (Par-New-In From 1 April 2017): Parallel Low Incidence, Par-Rapid: Rapid Testing Of Twice Irs, Par-Cul-N: New Infection In Cull Area, Par-Cul-P: Persistent Infection In Cull Area, Par-Other: Parallel Other, Ser-Flexi: Flexible Extended Test In Confirmed Herds With Concurrent Johne'S Infection/Vaccination, Ser-Nsr: Serial Non-Specific Reactor, Ser-Fraud: Serial Potential Fraud, Ser-Other: Serial Other Table 2B. Summary By County For 2018 Cont. | Country | County | |-------------------------|----------------| | Submission | | | Reasons* | | | No. | | | subs | | | Samples | Gamma Positive | | n | % of total | | SER-FRAUD | 2 | | Powys | PAR-HERD-S | | PAR-NEW-IN | 22 | | PAR-OTHER | 5 | | PAR-PERSIS | 48 | | PAR-RAPID | 35 | | SER-FLEXI | 6 | | S Wales | PAR-PERSIS | | PAR-RAPID | 3 | | W Glamorgan | PAR-RAPID | | Wales - Intermediate TB | Carms | | PAR-PERSIS | 2 | | PAR-RAPID | 4 | | Ceredigion | PAR-HERD-S | | PAR-NEW-IN | 1 | | PAR-PERSIS | 3 | | PAR-RAPID | 21 | | SER-FLEXI | 5 | | Mid glamorgan | PAR-PERSIS | | NE Wales | PAR-HERD-S | | PAR-NEW-IN | 124 | | PAR-PERSIS | 3 | | PAR-RAPID | 10 | | SER-FLEXI | 9 | | Powys | PAR-HERD-S | | PAR-NEW-IN | 8 | | PAR-RAPID | 3 | | Shropshire | PAR-NEW-IN | * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. ## Par-Herd-S: Potential Herd Slaughter, Par-P-Conf (Par-Persis From 1 April 2017): Persistent Tb Breakdown Otfw, Par-Low-In (Par-New-In From 1 April 2017): Parallel Low Incidence, Par-Rapid: Rapid Testing Of Twice Irs, Par-Cul-N: New Infection In Cull Area, Par-Cul-P: Persistent Infection In Cull Area, Par-Other: Parallel Other, Ser-Flexi: Flexible Extended Test In Confirmed Herds With Concurrent Johne'S Infection/Vaccination, Ser-Nsr: Serial Non-Specific Reactor, Ser-Fraud: Serial Potential Fraud, Ser-Other: Serial Other Table 2B. Summary By County For 2018 Cont. | Country | County | |---------------------|----------------| | Submission | | | Reasons* | | | No. | | | subs | | | Samples | Gamma Positive | | n | % of total | | W Glamorgan | PAR-OTHER | | SER-FLEXI | 2 | | Wales - Low TB | Gwynedd | | PAR-RAPID | 1 | | NE Wales | PAR-NEW-IN | | PAR-OTHER | 1 | | PAR-PERSIS | 1 | | PAR-RAPID | 3 | | SER-FLEXI | 2 | | Wales | | | 1063 | 51327 | | Scotland - Scotland | Aberdeenshire | | Argyll & Bute | PAR-NEW-IN | | SER-FLEXI | 1 | | Ayrshire | PAR-NEW-IN | | PAR-OTHER | 1 | | Perthshire | PAR-NEW-IN | | West lothian | PAR-NEW-IN | | Wigtown | PAR-NEW-IN | | Scotland | | | 31 | 2241 | | Grand Total | Sum: | *For test criteria please refer to Operational notes. * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. ## Of Twice Irs, Par-Cul-N: New Infection In Cull Area, Par-Cul-P: Persistent Infection In Cull Area, Par-Other: Parallel Other, Ser-Flexi: Flexible Extended Test In Confirmed Herds With Concurrent Johne'S Infection/Vaccination, Ser-Nsr: Serial Non-Specific Reactor, Ser-Fraud: Serial Potential Fraud, Ser-Other: Serial Other Table 3A. Summary Of Ifn Gamma Results By Country And Protocol November 2018 | Country | Protocol | |-----------------|--------------| | No | | | submissions | Samples | | n | % of total n | | England | Parallel | | Serial/Extended | 6 | | Total | 159 | | Scotland | Parallel | | Serial/Extended | 0 | | Total | 0 | | Wales | Parallel | | Serial/Extended | 15 | | Total | 123 | | GB | Parallel | | Serial/Extended | 21 | | Total | 282 | | 159.00 | | | 123.00 | | * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. ## Table 3B. Summary Of Ifn Gamma Results By Country And Protocol (Total 2018) | Country | Protocol | |-----------------|--------------| | No | | | submissions | Samples | | n | % of total n | | England | Parallel | | Serial/Extended | 55 | | Total | 1347 178364 | | Scotland | Parallel | | Serial/Extended | 1 | | Total | 31 | | Wales | Parallel | | Serial/Extended | 83 | | Total | 1063 | | GB | Parallel | | Serial/Extended | 139 | | Total | 2441 231932 | ####### ####### 31.00 * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. Submission Reason No submissions Samples Gamma Positive Gamma Negatives Retest Resample Reject n % of total n % n % n % n % n % GB Extended Flexible IFN-GAMMA test 21 1062 4.3% 127 12.0% 823 77.5% 161 15.2 % 110 10.4 % 2 0.2 % Parallel - Herd or Group Slaughter 17 805 3.3% 67 8.3% 682 84.7% 76 9.4 % 53 6.6 % 3 0.4 % Parallel New Infection 105 10843 44.1% 491 4.5% 9278 85.6% 1197 11.0 % 811 7.5 % 263 2.4 % Parallel - new infection cull area 34 4069 16.6% 281 6.9% 3587 88.2% 345 8.5 % 182 4.5 % 19 0.5 % Parallel - Other 16 1421 5.8% 102 7.2% 1215 85.5% 142 10.0 % 86 6.1 % 18 1.3 % Parallel Persistent Infection 48 6047 24.6% 440 7.3% 5221 86.3% 571 9.4 % 371 6.1 % 15 0.2 % Parallel - persistent infection cull area 3 131 0.5% 13 9.9% 113 86.3% 31 23.7 % 5 3.8 % 0 Parallel - Rapid Testing Two-times IRs 38 192 0.8% 59 30.7% 125 65.1% 15 7.8 % 8 4.2 % 0 Total 282 24570 100.0% 1580 6.4% 21044 85.6% 2538 10.3 % 1626 6.6 % 320 1.3 % England - HRA Extended Flexible IFN-GAMMA test 6 674 2.7% 76 11.3% 509 75.5% 131 19.4 % 88 13.1 % 1 0.1 % Parallel New Infection 3 64 0.3% 1 1.6% 60 93.8% 3 4.7 % 3 4.7 % 0 Parallel - new infection cull area 34 4069 16.6% 281 6.9% 3587 88.2% 345 8.5 % 182 4.5 % 19 0.5 % Parallel - Other 6 838 3.4% 45 5.4% 748 89.3% 72 8.6 % 28 3.3 % 17 2.0 % Parallel Persistent Infection 9 2667 10.9% 161 6.0% 2367 88.8% 223 8.4 % 134 5.0 % 5 0.2 % Parallel - persistent infection cull area 3 131 0.5% 13 9.9% 113 86.3% 31 23.7 % 5 3.8 % 0 England - HRA 61 8443 34.4% 577 6.8% 7384 87.5% 805 9.5 % 440 5.2 % 42 0.5 % England - Edge Parallel New Infection 76 6641 27.0% 310 4.7% 5739 86.4% 808 12.2 % 585 8.8 % 7 0.1 % Parallel - Other 2 27 0.1% 1 3.7% 26 96.3% 1 3.7 % 0 0 Parallel Persistent Infection 8 569 2.3% 43 7.6% 495 87.0% 55 9.7 % 31 5.4 % 0 England - Edge 86 7237 29.5% 354 4.9% 6260 86.5% 864 11.9 % 616 8.5 % 7 0.1 % England - LRA Parallel New Infection 9 2400 9.8% 117 4.9% 1916 79.8% 273 11.4 % 167 7.0 % 200 8.3 % Parallel - Other 3 276 1.1% 30 10.9% 205 74.3% 50 18.1 % 41 14.9 % 0 England - LRA 12 2676 10.9% 147 5.5% 2121 79.3% 323 12.1 % 208 7.8 % 200 7.5 % Wales - High TB Extended Flexible IFN-GAMMA test 9 223 0.9% 37 16.6% 177 79.4% 15 6.7 % 8 3.6 % 1 0.4 % Parallel - Herd or Group Slaughter 16 695 2.8% 47 6.8% 607 87.3% 59 8.5 % 39 5.6 % 2 0.3 % Parallel - Other 2 92 0.4% 10 10.9% 77 83.7% 5 5.4 % 5 5.4 % 0 Parallel Persistent Infection 28 2523 10.3% 189 7.5% 2140 84.8% 268 10.6 % 184 7.3 % 10 0.4 % Parallel - Rapid Testing Two-times IRs 32 162 0.7% 54 33.3% 104 64.2% 10 6.2 % 4 2.5 % 0 Wales - High TB 87 3695 15.0% 337 9.1% 3105 84.0% 357 9.7 % 240 6.5 % 13 0.4 % Wales - Intermediate TB Extended Flexible IFN-GAMMA test 6 165 0.7% 14 8.5% 137 83.0% 15 9.1 % 14 8.5 % 0 Parallel - Herd or Group Slaughter 1 110 0.4% 20 18.2% 75 68.2% 17 15.5 % 14 12.7 % 1 0.9 % Parallel New Infection 10 646 2.6% 20 3.1% 599 92.7% 49 7.6 % 25 3.9 % 2 0.3 % Parallel - Other 3 188 0.8% 16 8.5% 159 84.6% 14 7.4 % 12 6.4 % 1 0.5 % Parallel Persistent Infection 3 288 1.2% 47 16.3% 219 76.0% 25 8.7 % 22 7.6 % 0 Parallel - Rapid Testing Two-times IRs 6 30 0.1% 5 16.7% 21 70.0% 5 16.7 % 4 13.3 % 0 Wales - Intermediate TB 29 1427 5.8% 122 8.5% 1210 84.8% 125 8.8 % 91 6.4 % 4 0.3 % Wales - Low TB Parallel New Infection 7 1092 4.4% 43 3.9% 964 88.3% 64 5.9 % 31 2.8 % 54 4.9 % Wales - Low TB 7 1092 4.4% 43 3.9% 964 88.3% 64 5.9 % 31 2.8 % 54 4.9 % ## Table 4B. Summary Of Ifn Gamma Results By Submission Reason (Total 2018) Submission Reason No submissions Samples Gamma Positive Gamma Negatives Retest Resample Reject n % of total n % n % n % n % n % GB Extended Flexible IFN-GAMMA test 125 8863 3.8% 687 7.8% 7584 85.6% 765 8.6 % 506 5.7 % 86 1.0 % Parallel - Herd or Group Slaughter 106 6501 2.8% 291 4.5% 5393 83.0% 620 9.5 % 444 6.8 % 373 5.7 % Parallel New Infection 1044 120352 51.9% 4609 3.8% 107924 89.7% 10342 8.6 % 7096 5.9 % 723 0.6 % Parallel - new infection cull area 238 28707 12.4% 1610 5.6% 25362 88.3% 2385 8.3 % 1549 5.4 % 186 0.6 % Parallel - Other 67 4006 1.7% 327 8.2% 3358 83.8% 289 7.2 % 194 4.8 % 127 3.2 % Parallel Persistent Infection 436 55411 23.9% 3157 5.7% 48601 87.7% 4258 7.7 % 3036 5.5 % 617 1.1 % Parallel - persistent infection cull area 35 6286 2.7% 352 5.6% 5541 88.1% 450 7.2 % 293 4.7 % 100 1.6 % Parallel - Rapid Testing Two-times IRs 376 1507 0.6% 338 22.4% 1065 70.7% 98 6.5 % 73 4.8 % 31 2.1 % Serial - Anomalous Reaction 10 270 0.1% 58 21.5% 204 75.6% 13 4.8 % 8 3.0 % 0 Serial - Suspected NSR Herd 4 29 0.0% 0 0.0 % 29 100.0% 0 0 0 Total 2441 231932 100.0% 11429 4.9% 205061 88.4% 19220 8.3 % 13199 5.7 % 2243 1.0 % England - HRA Extended Flexible IFN-GAMMA test 43 6550 2.8% 517 7.9% 5699 87.0% 522 8.0 % 321 4.9 % 13 0.2 % Parallel New Infection 22 2742 1.2% 158 5.8% 2406 87.7% 248 9.0 % 166 6.1 % 12 0.4 % Parallel - new infection cull area 238 28707 12.4% 1610 5.6% 25362 88.3% 2385 8.3 % 1549 5.4 % 186 0.6 % Parallel - Other 33 3153 1.4% 206 6.5% 2691 85.3% 210 6.7 % 130 4.1 % 126 4.0 % Parallel Persistent Infection 142 29519 12.7% 1733 5.9% 26300 89.1% 2066 7.0 % 1425 4.8 % 61 0.2 % Parallel - persistent infection cull area 35 6286 2.7% 352 5.6% 5541 88.1% 450 7.2 % 293 4.7 % 100 1.6 % Serial - Anomalous Reaction 8 170 0.1% 3 1.8% 159 93.5% 12 7.1 % 8 4.7 % 0 England - Edge Parallel New Infection 687 84291 36.3% 3474 4.1% 75591 89.7% 7328 8.7 % 4993 5.9 % 233 0.3 % Parallel - Other 4 29 0.0% 1 3.4% 27 93.1% 2 6.9 % 1 3.4 % 0 Parallel Persistent Infection 35 4577 2.0% 253 5.5% 3903 85.3% 389 8.5 % 319 7.0 % 102 2.2 % Serial - Suspected NSR Herd 4 29 0.0% 0 0.0 % 29 100.0% 0 0 0 England - LRA Parallel New Infection 90 11408 4.9% 442 3.9% 10051 88.1% 1053 9.2 % 712 6.2 % 203 1.8 % Parallel - Other 3 276 0.1% 30 10.9% 205 74.3% 50 18.1 % 41 14.9 % 0 Parallel Persistent Infection 3 627 0.3% 17 2.7% 581 92.7% 33 5.3 % 29 4.6 % 0 England 1347 178364 76.9% 8796 4.9% 158545 88.9% 14748 8.3 % 9987 5.6 % 1036 0.6 % ## Table 4B. Summaryof Ifn Gamma Results By Submission Reason (Total 2018) Cont. Wales - High TB Extended Flexible IFN-GAMMA test 63 1888 0.8% 145 7.7% 1513 80.1% 211 11.2 % 157 8.3 % 73 3.9 % Parallel - Herd or Group Slaughter 95 5482 2.4% 265 4.8% 4583 83.6% 383 7.0 % 263 4.8 % 371 6.8 % Parallel New Infection 24 869 0.4% 21 2.4% 810 93.2% 52 6.0 % 36 4.1 % 2 0.2 % Parallel - Other 21 301 0.1% 29 9.6% 262 87.0% 12 4.0 % 10 3.3 % 0 Parallel Persistent Infection 245 20027 8.6% 1079 5.4% 17302 86.4% 1680 8.4 % 1192 6.0 % 454 2.3 % Parallel - Rapid Testing Two-times IRs 334 1337 0.6% 302 22.6% 939 70.2% 89 6.7 % 66 4.9 % 30 2.2 % Serial - Anomalous Reaction 2 100 0.0% 55 55.0% 45 45.0% 1 1.0 % 0 0 Wales - Intermediate TB Extended Flexible IFN-GAMMA test 16 369 0.2% 24 6.5% 319 86.4% 29 7.9 % 26 7.0 % 0 Parallel - Herd or Group Slaughter 11 1019 0.4% 26 2.6% 810 79.5% 237 23.3 % 181 17.8 % 2 0.2 % Parallel New Infection 136 12467 5.4% 230 1.8% 11480 92.1% 965 7.7 % 697 5.6 % 60 0.5 % Parallel - Other 4 199 0.1% 21 10.6% 165 82.9% 14 7.0 % 12 6.0 % 1 0.5 % Parallel Persistent Infection 10 656 0.3% 75 11.4% 513 78.2% 87 13.3 % 68 10.4 % 0 Parallel - Rapid Testing Two-times IRs 38 155 0.1% 34 21.9% 113 72.9% 9 5.8 % 7 4.5 % 1 0.6 % Wales - Low TB Extended Flexible IFN-GAMMA test 2 46 0.0% 0 0.0 % 45 97.8% 2 4.3 % 1 2.2 % 0 Parallel New Infection 56 6390 2.8% 143 2.2% 5680 88.9% 497 7.8 % 354 5.5 % 213 3.3 % Parallel - Other 1 2 0.0% 1 50.0% 1 50.0% 0 0 0 Parallel Persistent Infection 1 5 0.0% 0 0.0 % 2 40.0% 3 60.0 % 3 60.0 % 0 Parallel - Rapid Testing Two-times IRs 4 15 0.0% 2 13.3% 13 86.7% 0 0 0 Wales 1063 51327 22.1% 2452 4.8% 44595 86.9% 4271 8.3 % 3073 6.0 % 1207 2.4 % Scotland - Scotland Extended Flexible IFN-GAMMA test 1 10 0.0% 1 10.0% 8 80.0% 1 10.0 % 1 10.0 % 0 Parallel New Infection 29 2185 0.9% 141 6.5% 1906 87.2% 199 9.1 % 138 6.3 % 0 Parallel - Other 1 46 0.0% 39 84.8% 7 15.2% 1 2.2 % 0 0 Scotland 31 2241 1.0% 181 8.1% 1921 85.7% 201 9.0 % 139 6.2 % 0 | Year | Month | |--------------|----------| | Herds | | | sampled | | | Samples | | | tested | | | IFNg+ | | | samples | | | Wrong | | | Eartags | | | VL No | | | Cult | | | Herds | | | with | | | positives | | | No PM | | | No | | | Cult | | | No PM | | | Cult | | | Pend | | | No PM | | | Cult | | | Neg | | | No PM | | | Cult | | | Mb | | | VL | | | Cult | | | Neg | | | VL | | | Cult | | | Pend | | | VL | | | Cult | | | Mb | | | VL | | | Cult | | | Other | | | NVL | | | No | | | Cult | | | NVL | | | Cult | | | Pend | | | NVL | | | Cult | | | Neg | | | NVL | | | Cult | | | Mb | | | NVL | | | Cult | | | Other | | | No | | | PM | | | Cult | | | Other | | | 2017 | December | | 2018 | January | | February | 206 | | March | 189 | | April | 195 | | May | 250 | | June | 187 | | July | 207 | | August | 228 | | September | 216 | | October | 274 | | November | 282 | | Totals (last | | | 12 months) | | | 2555 | 241410 | Country Herds sampled Samples tested IFNg+ samples VL No Cult Herds with positives No PM No Cult No PM Cult Pend No PM Cult Neg No PM Cult Mb VL Cult Neg VL Cult Pend VL Cult Mb VL Cult Other NVL No Cult NVL Cult Pend NVL Cult Neg NVL Cult Mb NVL Cult Other No PM Cult Other England 1393 185563 966 9240 491 0 0 0 0 769 16 11 26 0 7644 20 41 1 2 Scotland 33 2727 22 240 30 0 0 0 0 25 4 0 0 8 105 0 37 0 27 Wales 1129 53120 573 2617 250 0 0 0 0 109 8 2 18 2 1625 114 382 4 11 Totals 2555 241410 1561 12097 771 0 0 0 0 903 28 13 44 10 9374 134 460 5 40 *Includes all animals with IFNg test negative, resample and reject outcomes County %Resampled %Retested | Carms | 7.70 % | 11.40 % | |---------------|----------|-----------| | Ceredigion | 9.09 % | 10.96 % | | Cheshire | 9.56 % | 12.51 % | | Corn & Scilly | 4.63 % | 8.26 % | | Cumbria | 8.64 % | 13.52 % | | Derbyshire | 8.47 % | 14.16 % | | Devon | 3.27 % | 9.80 % | | Dorset | 4.21 % | 6.92 % | | E Sussex | 10.88 % | 15.09 % | | Gloucs | 13.48 % | 18.09 % | | Gwent | 9.38 % | 9.38 % | | Gwynedd | 2.32 % | 5.70 % | | Heref | 6.25 % | 8.33 % | | Isle of wight | 3.42 % | 5.38 % | | Leics & Rut | 1.89 % | 7.55 % | | Lincs | 7.02 % | 8.77 % | | NE Wales | 4.31 % | 6.82 % | | Notts | 40.00 % | 40.00 % | | Oxon | 7.86 % | 10.61 % | | Pembs | 4.74 % | 7.24 % | | Powys | 9.32 % | 11.18 % | | Shropshire | 7.66 % | 16.86 % | | Somerset | 3.42 % | 21.23 % | | Staffs | 15.47 % | 23.02 % | |-------------|-----------|-----------| | S Wales | | | | Warks | 6.33 % | 8.65 % | | W Glamorgan | 5.71 % | 5.71 % | | Wiltshire | 3.37 % | 7.49 % | Country No. animals No of IFHg+ animals % Positive animals No. samples No of IFHg+ samples England 17996 1078 6.0% 18356 1078 5.9% Wales 6081 502 8.3% 6214 502 8.1% GB 24076 1580 6.6% 24570 1580 6.4% Country No. animals No of IFHg+ animals % Positive animals No. samples No of IFHg+ samples England 8519 666 7.8% 8696 666 7.7% Wales 1592 183 11.5% 1615 183 11.3% Scotland 342 112 32.7% 355 112 31.5% GB 10453 961 9.2% 10666 961 9.0% Country No. animals No of IFHg+ animals % Positive animals No. samples No of IFHg+ samples England 154045 8796 5.7% 178364 8796 4.9% Wales 44614 2443 5.5% 51327 2452 4.8% Scotland 2080 181 8.7% 2241 181 8.1% GB 200719 11420 5.7% 231932 11429 4.9% Country No. animals No of IFHg+ animals % Positive animals No. samples No of IFHg+ samples England 72323 4650 6.4% 91330 4650 5.1% Wales 30793 2149 7.0% 33867 2149 6.3% Scotland 2707 169 6.2% 2781 169 6.1% GB 105820 6968 6.6% 127978 6968 5.4% % Positive samples % Positive samples % Positive samples % Positive samples * Test type Num Submissions Num Samples Num Positives Cheshire PRV-SP 1 1 0 Hampshire PRV-SP 1 3 0 West Sussex PRV-SP 1 1 0 Total 3 5 0 * Test type Num Submissions Berkshire PRV-SP 1 2 0 Buckinghamshire PRV-SE 1 1 0 Cheshire PRV-SP 3 3 1 33.33 % Cornwall and Isles of Scilly PRV-SE 1 3 0 PRV-SP 1 1 0 Devon PRV-SE 1 2 1 50.00 % PRV-SP 1 2 0 Dorset PRV-SE 4 25 6 24.00 % PRV-SP 1 1 0 East Sussex PRV-SE 1 1 0 PRV-SP 1 1 0 Hampshire PRV-SE 2 6 1 16.67 % PRV-SP 1 3 0 Northern Somerset & South Glou PRV-SE 2 46 8 17.39 % Oxfordshire PRV-SE 1 38 4 10.53 % Somerset excl North PRV-SE 3 46 3 6.52 % PRV-SP 1 1 0 Suffolk PRV-SP 2 11 0 West Sussex PRV-SP 1 1 0 Total 29 194 24 12.37 % Isle of Man SER-IOM 16 49 1 2.04 % *SER-IOM: Serial High Specificity test - Isle of Man; PRV-SE: Private High Sensitivity test - England; PRV-SP: Private High Specificity test - England Private % Positive % Positive Num Samples Num Positives Private | | Test | County | Num Submissions | Num Samples Tested | Num Positive Samples % Positive | |------------------|-----------------|----------|-------------------|----------------------|-----------------------------------| | TC0077 | Carmarthenshire | 1 | 12 | 1 | 8.3 % | | North East Wales | 2 | 66 | 4 | 6.1 % | | | Powys | 1 | 16 | 1 | 6.3 % | | | TC0077 | Sum: | 94 | 6 | 6.4 % | | | | Test | County | Num Submissions | Num Samples Tested | Num Positive Samples % Positive | |------------------|-----------------|----------|-------------------|----------------------|-----------------------------------| | TC0077 | Argyll and Bute | 1 | 3 | 3 | 100.0 % | | Carmarthenshire | 3 | 182 | 5 | 2.7 % | | | Ceredigion | 1 | 85 | 4 | 4.7 % | | | North East Wales | 2 | 66 | 4 | 6.1 % | | | Pembrokeshire | 3 | 201 | 10 | 5.0 % | | | Powys | 2 | 361 | 4 | 1.1 % | | | South Wales | 5 | 199 | 17 | 8.5 % | | | TC0077 | Sum: | 1,097 | 47 | 4.3 % | |

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BIS ATTENDANCE MANAGEMENT Equality Impact Analysis FEBRUARY 2014 ## Contents BIS ATTENDANCE MANAGEMENT ............................................................................................... 1 Contents .......................................................................................................................................... 2 Introduction..................................................................................................................................... 3 Scope of this assessment.............................................................................................................. 3 Brief outline of the policy............................................................................................................... 4 Main differences between the new policy and the legacy policies ............................................ 5 Consultation and involvement....................................................................................................... 6 Impact of the Attendance Management policy............................................................................. 6 Age................................................................................................................................................ 7 Disability........................................................................................................................................ 8 Race.............................................................................................................................................. 8 Gender Reassignment .................................................................................................................. 9 Marriage and Civil Partnership...................................................................................................... 9 Pregnancy and Maternity .............................................................................................................. 9 Religion or Belief........................................................................................................................... 9 Sex (Gender)............................................................................................................................... 10 Sexual Orientation....................................................................................................................... 10 Monitoring and Evaluation........................................................................................................... 11 Next Steps ..................................................................................................................................... 11 Contact Details.............................................................................................................................. 11 ANNEX A: Workforce Diversity Data........................................................................................... 12 Diversity data for total staff in BIS:.......................................................................................... 12 ## Introduction BIS has carried out an equality analysis as part of the introduction of the new Attendance Management policy, which is being implemented from November 2013 onwards, assessing the proposals in line with the current public sector equality duties. This process will help to ensure that:  the Department complies with its duties under the Equality Act 2010 to: o eliminate unlawful discrimination, harassment, victimisation and any other conduct prohibited by the Act from its strategies policies and services o advance equality of opportunity and foster good relations between people who share a particular protected characteristic and people who do not share it  due regard is given to equality in decision making and subsequent processes ## Scope Of This Assessment The equality impact assessment will show how BIS has demonstrated it has paid due regard when developing new policies or processes to protected characteristics. These are; race, disability, gender, age, gender reassignment, sexual orientation, pregnancy and maternity, religion or belief and marriage and civil partnerships (in terms of eliminating unlawful discrimination only). ## Brief Outline Of The Policy The objectives of the Attendance Management policy are to:  set out a clear end to end process from reporting sickness to managing unsatisfactory attendance so that: o attendance is managed fairly and effectively in a clear and transparent way and o action is taken in a supportive and sensitive way when health and wellbeing are at risk or when absence levels are unsatisfactory  promote a culture where employees feel valued, supported and committed to the business and their colleagues  place the focus of attendance discussions on what the employee can do rather than what they cannot, enabling them to remain at work wherever possible instead of taking sickness absence  clarify individual roles and responsibilities  improve line manager capability and confidence to enable them to consistently and effectively manage sickness absence  allow employees a reasonable length of time and help to improve their attendance  bring consistency by having a single BIS policy where currently we have 2 legacy policies which treat people differently dependent on their terms and conditions of employment  allow flexibility in considering action based on individual circumstances The proposed policy will affect all employees within the department. ## Main Differences Between The New Policy And The Legacy Policies | New Policy | |-----------------------------------------| | Separate policies (in different areas | | of the Intranet) for managing | | sickness and separate for managing | | unsatisfactory attendance | | One end to end process for sickness | | management and unsatisfactory | | attendance, with all supporting | | documents on one Intranet page | | Ex DIUS 14 days in a rolling 12 | | month period | | One set of simplified trigger points | | (the point when absence becomes | | unsatisfactory) of: | | Ex Berr: | | 14 days or, | | 14 days of self-certificated absence in | | the preceding 12 months. | | 7 spells of absence in a rolling 12 | | month period | | 22 days total absence (self- | | certificated or certificated) in the | | preceding 12 months. | | 7 or more separate occasions (self- | | certificated or certificated) in the | | preceding 12 months. | | 42 days total absence in the | | preceding 24 months. | | 60 days total absence in the | | preceding 36 months. | | Structured keep in touch process for | | continuous absence | | No structured approach to keeping in | | touch for continuous absence | | Hospital appointments treated as | | sickness absence. | | All day hospital appointments (where | | an employee otherwise fit for work) | | treated as special leave with pay, | | part day as flexi leave | | | All other aspects of the new policy compared with legacy policies can be considered the same or comparable. ## Consultation And Involvement CSEP developed the end to end process and their consultation and involvement as part of this development phase is captured in the CSEP high level EIA (July 2012). The HR policy team have led the implementation of the CSEP policy in BIS. HR Business Advisers have presented the views of case practitioners. The policy team has been involved in cross-government workshops to ensure consistency of approach with other departments where appropriate. The policy team has engaged with CSEP to develop products and documents, and seek clarifications. DTUS has been consulted while developing the policy. TUS and the diversity networks will be consulted about the equality impact assessment and this document will be updated accordingly. Supplementary BIS policies on Disability Leave, Stress management and Injury leave have been drafted to replace legacy policies and to complement the new Attendance Management policy, DAG and DTUS has been consulted on the Disability Leave policy (this was not a new policy but a refresh of existing policy). DTUS have been consulted on the Injury Leave policy (this was not a new policy but a refresh of existing policy). DTUS are being consulted on the stress management policy. We will also consult DAG on this. ## Impact Of The Attendance Management Policy Workforce diversity data has been included at Annex A. The new Attendance Management policy will apply to all staff. To ensure that the process is free from discrimination there will be;  Clear intranet guidance and supporting documents available to all employees  A transparent decision making and appeals process  Up-skilling workshops for HR Business Partners and line managers  Central collation of MI and scrutiny of data Having considered the policy before, and throughout, its development, BIS does not anticipate any negative impact on the protected characteristic groups set out below: ## Age BIS data on sickness absence does mirror the general Civil Service trend in that older workers tend to take more sickness absence than younger workers and it tends to be slightly longer term. | SUMMARY | AWDL | |-------------|---------| | TOTAL | | | STAFF | | | YEARS | | | DAYS | | | LOST | | | (SHORT | | | TERM) | | | DAYS | | | LOST | | | (LONG | | | TERM) | | | TOTAL STAFF | | | EMPLOYED IN | | | PERIOD | | | (HEADCOUNT) | | | TOTAL STAFF | | | EMPLOYED IN | | | PERIOD WITH | | | NO ABSENCE | | | (HEADCOUNT) | | | % | | | STAFF | | | WITH | | | NO | | | SICK | | | LEAVE | | | TOTAL | | | DAYS | | | LOST | | | (12 | | | month | | | period) | | | AGE | | | 16-24 | 26 | | 25-29 | 240 | | 30-34 | 618 | | 35-39 | 569 | | 40-44 | 934 | | 45-49 | 1538 | | 50-54 | 1058 | | 55-59 | 853 | | 60-64 | 280 | | 65+ | 173 | | Unknown | 0 | | TOTAL | 6289 | ## In terms of age breakdown of the department BIS tends to have a slightly lower percentage of staff in the 50-59 year old bracket and a slightly higher percentage in the under 40s age groups than the civil service as a whole. The new policy will help managers manage sickness absence in a fairer and consistent manner and encourages an approach which focuses on supporting employees to remain at work where possible and back to work as soon as they are able through the use of reasonable adjustments or temporary adaptations. Flexibility in the policy allows managers discretion in how to handle unsatisfactory attendance depending on circumstances. Therefore introduction of the policy should not have a detrimental effect on older workers. BIS will assess the impact of the policy and procedure on older workers following implementation. ## Disability BIS has the following arrangements in place to support the management of sickness absence for disabled staff:  Disability leave policy  Flexitime working and special leave policies which allow paid credit for hospital treatment and doctors appointments  Guidance on making temporary adaptations and reasonable adjustments (including adjustments to trigger points) for disabled employees  Guidance on planning for a return to work  Refreshed guidance on stress management ## The policy highlights a manager's responsibility to take reasonable adjustments into account throughout the Attendance Management procedures. Flexibility in the policy allows managers discretion in how to handle unsatisfactory attendance depending on circumstances. Therefore introduction of the policy should not have a detrimental impact on disabled employees. BIS will assess the impact of the policy and procedures on disabled employees following implementation. MI should be available through the reports from the new HR System. ## Race Although it is appreciated that some illnesses are more prevalent through genetic disposition we have no statistical evidence to suggest that race has an impact on absence levels in the department. Flexibility in the policy allows managers discretion in how to handle unsatisfactory attendance depending on circumstances. Therefore this Attendance Management policy is unlikely to have any adverse impact relating to race. BIS will assess the impact of the policy and procedures following implementation. MI should be available through the reports from the new HR System. ## Gender Reassignment Absences for gender reassignment operations and treatment are covered by the special leave with pay policy. This Attendance Management policy is therefore unlikely to have an equality impact relating to gender reassignment. ## Marriage And Civil Partnership We have no evidence to suggest that marriage or civil partner ship has an impact on sickness levels. Therefore this attendance management policy is unlikely to have any specific impact relating to marriage or civil partnership. ## Pregnancy And Maternity Pregnancy related sickness absences do not count for attendance management purposes or towards sick pay calculations, therefore we do not anticipate that the attendance management policy will have an impact on pregnancy or maternity related absence. ## Religion Or Belief We have no evidence to suggest that religion or belief has any specific impact on sickness absence levels. Therefore the attendance management policy is not likely to have an equality impact relating specifically to religion or belief. ## Sex (Gender) The gender breakdown of the department shows an almost even ratio of men to women, however sickness absence statistics from BIS show that women are more likely to take sickness absence than men. | SUMMARY | AWDL | |-------------|---------| | TOTAL | | | STAFF | | | YEARS | | | DAYS | | | LOST | | | (SHORT | | | TERM) | | | DAYS | | | LOST | | | (LONG | | | TERM) | | | TOTAL STAFF | | | EMPLOYED IN | | | PERIOD | | | (HEADCOUNT) | | | TOTAL STAFF | | | EMPLOYED IN | | | PERIOD WITH | | | NO ABSENCE | | | (HEADCOUNT) | | | % | | | STAFF | | | WITH | | | NO | | | SICK | | | LEAVE | | | TOTAL | | | DAYS | | | LOST | | | (12 | | | month | | | period) | | | GENDER | | | Male | 2412 | | Female | 3877 | | Unknown | | | TOTAL | 6289 | ## The Attendance Management policy and procedures will help managers manage sickness absence in a fairer and consistent manner and encourages an approach of working together with employees and supporting them to remain at work where possible and back to work as soon as they are able through the use of reasonable adjustments or temporary adaptations. Flexibility in the policy allows managers discretion in how to handle unsatisfactory attendance depending on circumstances. In addition the department does have a wealth of family friendly policies (flexible working, special leave, parental leave) to enable working families to manage their work-life balance. The policy encourages increased emphasis on managers and employees working together to discuss options in reducing sickness absence. Therefore the attendance management policy is not likely to have an equality impact relating specifically to gender. BIS will assess the impact of the policy on gender following its implementation. ## Sexual Orientation We have no evidence to suggest that sexual orientation has any specific impact on sickness levels. Therefore the attendance management policy is not likely to have an equality impact relating specifically to sexual orientation. ## Monitoring And Evaluation Formal evaluation of this policy will be undertaken in due course. If the MI shows that specific groups are being disadvantaged by the changes, the HR Policy team and Groups/Directorates will be responsible for ensuring that necessary adjustments resulting from local factors are undertaken. Data currently prepared for Cabinet Office on sickness absence does not include an analysis of race or disability. Date for the CO report is compiled from several separate legacy reports and it is not possible to re-interrogate this information to include race or disability. In future as we move to a new HR system we plan to include race and disability in our sickness absence analysis. ## Next Steps The equality analysis has formed part of the design of the policy and will inform the implementation and evaluation of the changes to the Attendance Management policy. ## Contact Details If you require further information, please contact: Jane Asher, HR Policy Team: jane.asher@bis.gsi.gov.uk ## Annex A: Workforce Diversity Data Diversity data for total staff in BIS BIS total staff count: 3104 | Diversity strand | | |--------------------------|--------------| | Departmental headcount | | | figure against diversity | | | strand | | | % of staff | | | Working pattern | Full time | | | | | Part time | 352 | | Gender | Male | | | | | Female | 1506 | | Age | 25 and under | | | | | 26 - 35 | 675 | | | | | 36 - 45 | 818 | | | | | 46 - 55 | 1098 | | | | | 56 - 65 | 355 | | | | | over 65 | 34 | | Disability | Yes | | | | | No | 1942 | | | | | Not declared | 972 | | Ethnicity | BME | | | | | White | 1190 | | | | | Not Declared | 1577 | | Sexual orientation | Heterosexual | | | LGB | | | Not declared | | Religion | Declared | | | | | Not declared | 2306 | © Crown copyright 2014 You may re-use this information (not including logos) free of charge in any format or medium, under the terms of the Open Government Licence. Visit www.nationalarchives.gov.uk/doc/open-government-licence, write to the Information Policy Team, The National Archives, Kew, London TW9 4DU, or email: psi@nationalarchives.gsi.gov.uk. This publication available from www.gov.uk/bis Any enquiries regarding this publication should be sent to: Department for Business, Innovation and Skills 1 Victoria Street London SW1H 0ET Tel: 020 7215 5000 If you require this publication in an alternative format, email enquiries@bis.gsi.gov.uk, or call 020 7215 5000.

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## Reducing The Spread Of Covid-19 Current R (Uk) Source: Scientific Advisory Group for Emergencies, COVID-19 Infection Survey, Office for National Statistics. Further details on data sources can be found here: https://www.gov.uk/government/collections/slides-and-datasets-toaccompany-coronavirus-press-conferences ## Testing And New Cases (Uk) Testing Includes tests carried out and posted out. Some people are tested more than once. tests as of 5 June ## Confirmed Cases Only includes cases tested positive. There are more cases than confirmed here. cases confirmed as of 5 June Source: NHS England and devolved administrations. Further details on data sources can be found here: https://www.gov.uk/government/collections/slides-and-datasets-toaccompany-coronavirus-press-conferences ## Data From Hospitals Definitions vary across the devolved administrations. See statistical notes for more information. Source: NHS England and devolved administrations. Further details on data sources can be found here: https://www.gov.uk/government/collections/slides-and-datasetsto-accompany-coronavirus-press-conferences ## People In Hospital With Covid-19 (Uk) 7,080 people are in hospital with COVID-19, down from 8,285 this time last week. Source: NHS England and devolved administrations. Further details on data sources can be found here: https://www.gov.uk/government/collections/slides-and-datasets-toaccompany-coronavirus-press-conferences ## Daily Covid-19 Deaths Confirmed With A Positive Test (Uk) The numbers presented here from the Department for Health and Social Care relate to deaths where COVID-19 was confirmed with a positive test. Weekly registered deaths from the Office for National Statistics include cases where COVID-19 is mentioned on the death certificate but was not confirmed with a test. On 22 May, ONS reported 48,106 cumulative registered deaths from COVID-19. This was 11,713 more than the DHSC figure for the same date. Source: DHSC, sourced from NHSE, PHE, devolved administrations. Further details on data sources can be found here: https://www.gov.uk/government/collections/slides-and-datasets-toaccompany-coronavirus-press-conferences ## Annex: Statistical Notes Current R (UK): R is not usually a useful measure on its own and needs to be considered alongside the number of new cases. R is the average number of secondary cases directly generated by an individual case. The R number does not estimate how many people are currently infected. R is estimated from multiple data sources, including ICU/hospital admissions, ONS/CQC death figures, behavioural contact surveys, and others. COVID-19 Infection Survey (England): The Office for National Statistics (ONS) is initially conducting a pilot survey aiming to achieve data from 10,000 households in England. All individuals aged two years and over in sampled households were invited to provide samples for testing. This means approximately 25,000 people will be involved in the pilot study. Following completion of the pilot survey, the full survey will expand the size of the sample over the next 12 months and look to cover people across all four UK nations. This study addresses an important clinical priority: finding out how many people across the UK have a COVID-19 infection at a given point in time, or at least test positive for it, either with or without symptoms; how many new cases have occurred in a given time period; and how many people are ever likely to have had the infection. It will also enable estimates of the rate of transmission of the infection, often referred to as 'R'. All estimates are subject to uncertainty, given that a sample is only part of the wider population. The 95% confidence intervals are calculated so that, if we were to repeat this study many times, with many different samples of households, then 95% of the time the confidence intervals would contain the true value that we are seeking to estimate. The estimated new COVID-19 infections per week is based on results of people tested throughout the study period, which began 26 April. Research partners at the University of Oxford and the University of Manchester use a more complex regression modelling approach to estimate the percentage of the population in England testing positive for the coronavirus by week since the start of the study (26 April). Therefore the other Infection Survey results cannot be directly compared with these infection estimates. Testing and new cases (UK) Tests: The number of tests includes; (i) tests processed through our laboratories, and (ii) tests sent to individuals at home or to satellite testing locations. Tests processed through laboratories are counted at the time of processing in the laboratory and not when they are issued to people. Tests sent to individuals at home or to satellite testing locations are counted when tests are dispatched and not at the time of processing in the laboratory. Testing under Pillar 3 has been included from 1 June. Cases: Cases are reported when lab tests are completed. This may be a few days after initial testing. Chart date corresponds to the date tests were reported as of the 24 hours before 9am that day. Only includes cases tested positive. There are more cases than confirmed here. There may be a small percentage of cases where the same person has had more than one positive test result for COVID-19. For more information please see: https://www.gov.uk/guidance/coronavirus-covid-19-information-for-the-public ## Annex: Statistical Notes Data from hospitals Estimated daily admissions with COVID-19 (UK): England data captures people admitted to hospital who already had a confirmed COVID-19 status at point of admission, and adds those who tested positive in the previous 24 hours whilst in hospital. Inpatients diagnosed with COVID-19 after admission are assumed to have been admitted on the day prior to their diagnosis. Northern Ireland data includes suspected and confirmed COVID-19 admissions by admission date. Wales data includes confirmed and suspected cases, and is the number of admissions to the hospital in the previous 24 hour period up to 9am. The status of COVID/non-COVID is as at the time of reporting not at time of admission. Data for Scotland provides the profile of admissions into hospital for patients who tested positive for COVID-19 in the 14 days prior to admission to hospital, on the day of their admission or during their stay in hospital. The data are published weekly by Public Health Scotland: https://beta.isdscotland.org/find-publications-and-data/population-health/covid-19/covid-19-statistical-report/ Ventilator beds with COVID-19 patients (UK): Reporting on bed capacity has shifted from ventilator bed capacity to the number of ventilator beds occupied with COVID- 19 patients. The data shows the overall number of Mechanical Ventilation beds that are occupied by COVID patients, by nation. This measure includes both Nightingale hospitals and Dragon's Heart/Ysbyty Calon y Ddraig field hospital. The trends in these graphs are impacted by both reserved and devolved policies. For Wales mechanical ventilator beds cover invasive ventilated beds in a critical care setting, plus those outside of a critical care environment. Scottish figures include people in ICU with confirmed or suspected COVID-19, and may include a small number of patients who are not on mechanical ventilation. England figures include the number of COVID patients in beds which are capable of delivering mechanical ventilation. Northern Ireland figures include the number of COVID patients in beds which are capable of delivering mechanical ventilation. People in hospital with COVID-19 (UK) Community hospitals are included in figures for Wales from 23 April onwards. England and Scottish data includes confirmed cases, Northern Ireland and Welsh data includes confirmed and suspected cases. Due to the way Northern Ireland report, the UK figure is calculated by taking the most recent day for Great Britain plus the previous day for Northern Ireland. National data may not be directly comparable as data about COVID-19 patients in hospitals is collected differently across nations. From 22 May, a change in reporting resulted in some patients in Wales being reclassified as COVID patients. Prior to this date, some COVID positive patients who had been in hospital for 14 days and recovered were reported as non COVID patients. Northern Ireland data were revised on 30 May to reflect a methodology change for calculating the number of COVID inpatients. Daily COVID-19 deaths confirmed with a positive test (UK) Figures on deaths relate to those who have tested positive for COVID-19. The 7-day rolling average (mean) of daily deaths is plotted on the last day of each seven day period. UK deaths are reported when paperwork is filed, rather than time of death. Deaths are reported in the 24 hours up to 5pm on the previous day. On 1 June the deaths data have been revised to include an additional 445 deaths in England from the period 26 April - 31 May. The published daily series has been revised to show when these deaths were reported. For more information please see: https://www.gov.uk/guidance/coronavirus-covid-19-information-for-the-public

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## "Self-Sufficient Local Government: 100% Business Rates Retention" A Joint Consultation Response By London Councils And The Greater London Authority About This Response 1. This is a joint response on behalf of London Councils (representing the 32 boroughs and the City of London) and the Greater London Authority (GLA). It has been agreed by the 33 Leaders of London's local authorities and the Mayor of London. 2. It firstly sets out a joint position on how we believe the reforms should be implemented in London in order to benefit not just the capital but the local government sector - and the UK economy - as a whole. This develops a set of key principles that were agreed by London Councils Leaders' Committee and the Mayor of London in June, and formally submitted to the Chancellor of the Exchequer and the Secretary of State for Communities and Local Government on 1st July. 3. **Appendix 1** then includes detailed responses to the consultation questions. Introduction 4. Since the Chancellor's announcement that local government would retain 100 per cent of business rates by 2020 in October 2015, London Government has been working collaboratively to develop a strategic pan-London response to the reforms. We welcome the consultation on the reforms to the business rates retention system required in order to make local government "self-sufficient" by 2020, and its commitment to "explore with London [along with Greater Manchester and Liverpool combined authorities] options for moving to 100% business rates retention ahead of the full roll-out of the business rate reforms." 5. London Government has long held the view that it should be granted control of a wide range of local taxes, including business rates. The re-convened London Finance Commission (reporting in autumn 2016) is likely to recommend greater fiscal devolution and tax raising powers for London. London's continued economic growth is vital to the country as a whole; maintaining that growth during a period of uncertainty in which the UK will leave the EU - and managing a rapid increase in population - will be a huge challenge. Devolving business rates (and other revenue streams) will help build a joint, city-wide approach that can incentivise, prioritise and manage the public services and infrastructure investment London needs to continue its contribution to the public life and economic success of the UK. 6. However, there are two major threats to the Government's policy objective of promoting growth and self-sufficiency: 1) the issue of business rates appeals - which is now widely recognised across the sector; and 2) the fact that there is an overall "fixed quantum" of business rates - which, as a result of its interaction with the revaluation process, distorts incentives and undermines the economic credibility of the tax. A devolved approach would give London Government the opportunity to address both issues - even without the power to increase the rates bills for individual taxpayers. 7. Furthermore, London's population will continue to grow much more rapidly than that of the rest of the country. This brings opportunities and challenges not only in the successful management of the capital's economic growth, but also in securing a sustainable financial future for its public services. In considering the future assessment of relative needs and the services to be transferred, it will be essential that any London deal secures genuinely devolved control over a level of resources sufficient to manage the financial risks involved. 8. In June 2016, London Government collectively agreed a set of principles that would inform the design of each of the key elements of a devolved business rates retention system for the capital. This response expands on those principles and sets out a clear vision for how a London business rates retention system would operate. ## Issues With The Current Local Government Finance System 9. London Government believes there are issues with the current local government finance system that must be addressed if local government is to be put on a sustainable financial footing over the long term, in a world where business rates and council tax will fund virtually all local government services from 2020. The current funding system breeds uncertainty; is too complex and lacks transparency; and is too centralised with a lack of local control. ## Uncertainty 10. London Government believes the current local government finance system does not provide local authorities with the stability needed to budget effectively over the medium to long term. We welcome the 4 year settlement which will give some degree of certainty over one element of local government funding - Revenue Support Grant (RSG) - until 2019-20, however uncertainty exists over other funding streams. Ring-fenced grants often have their own complex funding formulae that are frequently recalculated. The extent to which local authorities can benefit from Council Tax varies widely because of historic decisions and out of date valuations. And, most importantly, the level of retained business rates varies across the country and bears little correlation with economic growth. The four year settlement sets out targets for retained business rates - but there is no guarantee local authorities will meet them, in large part due to the impact of business rates appeals, and the failure of the current retention system to incentivise growth. 11. The uncertainty caused by business rates appeals is the biggest issue government must resolve with the current retention scheme. It disproportionately affects London boroughs, which receive more appeals, and where appeals are generally of higher value and take longer to clear than elsewhere. The aggregate provision for appeals across all 33 London billing authorities as at 31 March 2016 exceeds £925 million. The current backlog of appeals on the 2010 rating list in London is proportionately much higher than the rest of the country and progress on reducing this backlog also appears to have been much slower in the capital particularly in central London. 12. The unpredictability of appeals meant the Government underestimated the call on the safety net in the first three years of the retention system. As a consequence, an additional £195 million was top-sliced nationally from RSG: funding that would otherwise have benefited all authorities. The GLA incurred a deficit against its baseline of £120 million in the first two years of the scheme due to the impact of provisions for appeals but was ineligible for a safety net payment. 13. More broadly, the 50 per cent scheme has failed to incentivise growth sufficiently. Analysis of publicly available data on business rates confirms this - with negative growth in the first three years of the system despite strong economic growth across London. Aside from the uncertainty caused by appeals, the growth incentive is weak for several reasons:  the 50 per cent growth retention rate is too low (we believe should have been 100 per cent from outset);  there is a levy on disproportionate growth for tariff authorities;  the definition of growth only applies to physical rather than revaluation growth - this makes it difficult for local authorities in built-up areas, like London, to benefit financially from the current system any additional physical growth often requires the demolition of existing buildings first; and  growth is lost when the system is reset, which acts as a disincentive for developments as the "cliff edge" of the reset draws closer. ## Transparency And Complexity 14. Uncertainty is compounded by the second main issue with the local government finance system: its sheer complexity, which leads to a real (and perceived) lack of transparency. 15. This begins with the Spending Review process whereby HM Treasury agrees departmental spending allocations behind closed doors, and DCLG is left with a Departmental Expenditure Limit from which RSG is calculated. Existing funding burdens, such as pressures caused by people with No Recourse to Public Funds or those claiming Council Tax Support, are reportedly taken into account when agreeing the overall funding control total for the DCLG (and thereby the overall level of RSG), however, it is not clear how. 16. The needs assessment which drove the original funding baselines in the business rates retention system, and to a large extent the distribution of RSG, is incredibly complex and opaque making the original funding distribution at the start of the current retention system difficult to understand. By seeking to account for differences between such a diverse range of organisations, with budgets ranging from £2 million to well over £1 billion, the current needs assessment has evolved to be unavoidably complex. This has resulted in different parts of the sector being forced into competition to argue for the factors that matter most to their areas. 17. Continual tweaking of the methodology for calculating RSG has meant that changes to the distribution of funding since 2013-14 have often been difficult to understand. "Rolling in" certain grants and responsibilities (such as Council Tax Support and Local Welfare Provision), while keeping others as visible lines within RSG, has further added to the confusion, impeding the ability of local authorities to understand whether there is a fair level of funding for the services they are required to deliver. The confusion over the calculation of the "transition grant" in the 2016-17 LGF Settlement is the latest example of how this lack of transparency permits central manipulation without appropriate accountability. 18. Finally, the business rates retention scheme architecture is too complex. The scheme was supposed to be simpler than the previous system of formula grant and specific grants. Due to the fact that it is a partial retention system involving different shares for different tiers of government, there are complex accounting arrangements and there have been a growing number of reliefs with differing qualification criteria often requiring compensation via section 31 grant the system has become increasingly opaque and difficult to understand even for Finance professionals. In addition because there is an overly complex way of forecasting and accounting for appeals, this has resulted in a scheme in which it is difficult to assess accurately whether there has been growth against a baseline or not, let alone one in which business rates growth follows wider economic growth. ## Lack Of Local Control 19. The third main issue with the current system of local government finance is that there is too much central control by government. London Government believes that decisions over funding of, and expenditure on, local public services should be taken as close as possible to the tiers of government delivering those services. The current finance system remains overly-centralised. Compared with other developed countries, the UK is an outlier in the level of tax raised and spent locally1. 20. Ring-fencing certain government departments, while others bear greater proportionate cuts, has an impact in funding available to local authorities. This not only impacts on the overall level of core funding, but affects the way in which local government is able to use its financial resources. Despite government attempts to rationalise grant funding streams following the 2010 Spending Review, there has been a gradual increase in the number of ring-fenced and targeted grants. These often have their own complex formulae, such as the Public Health Grant, which have their own bureaucratic and timeconsuming machinery to administer. 21. In addition, there are many services that local government has a statutory duty to deliver, but is required to charge for at a level determined by central government rather than local councillors. The result is that there are a number of services which leave councils with an overall net deficit each year. We believe the government should reduce the number of nationally set charges; make locally determined charges the norm; allow local authorities to recover full costs, even for charges set at the national level; and remove central controls on planning application fees, building control charges, land searches and licencing fees. 22. Finally, there has been too much central control over council tax which has restricted long term sustainable financial planning. Apart from business rate supplements which are also levied by local authorities, it is the only tax that requires a referendum to increase tax rates above a threshold and reinforces central control over local government. The current council tax system also means local government has little freedom and flexibility to fund existing unfunded burdens, like NRPF, or underfunded services, like Temporary Accommodation, or services that see a sudden large increase in demand because it has limited fiscal options. We believe that local government should be permitted greater control over the funding of the services it delivers - this would not only ensure local public services are adequately funded but would, ultimately, strengthen local democratic accountability. ## Rationale For A London Retention System 23. London Government believes an effective local government finance system must address these issues. We believe the best solution for London - and for the country as a whole - would be to establish a devolved business rates retention system run by London Government with only minimal ongoing input from central government. Successful, self-reliant local government will help drive economic success as well as providing effective and responsive public services. 24. London drives economic growth of the whole country; has a unique property tax base; and has some unique public service pressures because of its population density, demographic profile and levels of migration. London's circumstances may, therefore, require different solutions to other parts of the country in implementing 100 per cent business rates retention. ## London'S Economy Economic Argument 1) Allowing London Control Over Business Rates Will Encourage Wider Economic Growth For London And Therefore The Rest Of The Uk Economy. 25. London's role as a financial and business centre has helped it lead the economic recovery. It is a centre for high productivity growth industries, such as professional and financial services, and the information and communications sector. London's international competitiveness in these markets is evidenced by the significant level of service exports (over £100 billion) that it achieves and its trade surplus with the rest of the world. This economic activity results in significant fiscal surpluses to the country as a whole. 26. London generates significant levels of taxation, contributing £140 billion (over 20 per cent) of the UK's tax revenues in 2014-152, well in excess of the public expenditure devoted to London (£95 billion), leaving a net fiscal contribution of £45 billion3. 27. London is a global city competing with other global cities. Maintaining London's international competitiveness, particularly once the UK leave the European Union, is therefore crucial to economic activity and the fiscal stability of the country as a whole. The nature of many of the businesses in London is such that if they were to look to relocate elsewhere the choice would be another international city rather than another city or location in the UK. It is therefore in the best interests of the whole country for London's economy to remain strong. 28. London Government believes that a locally controlled business rates system for London would help deliver this, ensuring greater economic growth for London as a whole than one in which the parameters were controlled by central government. Freedom and flexibility to design a more responsive and sustainable business rates system in London, alongside other property taxes, will not only benefit public services in London but will encourage wider economic growth that will benefit whole UK economy. 29. Arguments in favour of re-balancing the economy by enhancing one area at the expense of others are misleading. Economic growth is not a zero sum game. Rather, London must be given the tools to unlock even greater growth for the rest of the country. The Crossrail project (for which almost a third of the funding comes from a supplement on business rates) for example, is forecast to add an estimated £42 billion to the UK economy. Its supply chain has supported the equivalent of around 55,000 jobs across the country with two thirds of its suppliers being located outside London - the majority of which are SMEs. 30. It should be noted that London's economy is interlinked with the greater South East and that business rates growth depends, to some extent, on housing and transporting that workforce. Any significant devolution of business rates to the capital therefore would require a recognition of this by London's leaders and ongoing dialogue with areas outside of the capital. ## Economic Argument 2) Decoupling London'S Rates System From The Rest Of The Country Would Prevent The Perverse Impact Of London'S Property Market Holding Down Values (And Rates Yields) In The Rest Of The Country. 31. London accounted for 42 per cent of the national growth in RV in 2010: a trend that has persisted since the late 1990s. Chart 1 below shows that London as a region has consistently experienced far greater revaluation growth than other regions in the last 18 years. It is likely that this will continue for the 2017 revaluation with rating agents forecasting a significant increase in London (possibly over £1 billion) but with rateable values expected to drop overall in England. If London's business rates yield did rise by £1 billion in 2017, rates yield in the rest of the country would reduce by that amount (around 2 per cent). 32. If these trends continue, under the current valuation system and assuming the current 5 year revaluations continue, we estimate that by 2040 almost 60% of all business rates income will be generated in London - double the current proportion. This is, arguably unsustainable, as an ever increasing proportion of the national business yield will come from a, relatively, small number of properties in central London, thereby increasing the exposure of the entire country's business rates values to the volatility of that unique property market. 33. In addition, with the incidence of business rates likely to continue to fall on an increasingly small number of London businesses, the risk of these businesses appealing their rates valuations - and the consequential impact on the entire system of those appeals - becomes larger, further adding to the unsustainability of the current system. ## Chart 1 - Rateable Value By Region - 1998-99 To 2016-17 Source: VOA 34. Under the current system of revaluation, London's disproportionately high valuation growth leads to a corresponding reduction in business rates payable elsewhere in the country at each revaluation. When business rates were only used to fund local government indirectly, the distributional effect of revaluations had no impact on councils. Under a national retention system, however, a relative increase in London's rateable values would lead to an increase in London's aggregate tariff and a corresponding reduction in the growth rewards and incentives available to the rest of the country. 35. This is exemplified by looking at what the impact of 2010 revaluation would have been had London boroughs been taken out of the system. The overall national average growth in RV was 21% across England; this included an increase of 34% for London's RV. Excluding London, the average growth across England was 16%. The resultant impact of London's disproportionate growth was that 70 local authorities, whose growth was between 16% and 21%, saw their gross yield of rates decline when, had London been excluded, their rateable value and, therefore gross yield, would have grown. Table 1 below shows that London's disproportionate growth held the multiplier down by around 2p, saving ratepayers outside London a collective £633 million. London boroughs included Total RV (£m) 40,270 40,270 0 Total Gross rates (£m) 16,390 17,023 633 Multiplier (£) 0.407 0.423 0.016 No. of LAs increasing gross yield: 117 187 70 No. of LAs decreasing gross yield: 176 106 -70 Source: London Councils' analysis of DCLG data 36. Table 2 below shows the impact at the regional level. Rather than reducing by £294 million the overall business rates yield would have been £339 million higher (a net difference of £633 million or 3.9 per cent). Each region would have benefitted by 3.9 per cent compared with what actually happened in 2010-11, with the South East and North West standing to gain the most in net terms (as a result of their higher starting base position). Actual values Values if London had 2009-10 Change in (£m) 2010-11 gross rates (£m) Rest of England 16,684 16,390 -294 17,023 339 633 North East 835 855 20 888 53 33 North West 2,673 2,671 -2 2,775 101 103 Yorks & Humber 1,899 1,911 12 1,985 86 74 East Midlands 1,568 1,426 -142 1,482 -87 55 West Midlands 2,088 1,971 -116 2,047 -40 76 East of England 2,268 2,248 -20 2,335 67 87 South East 3,552 3,416 -136 3,548 -4 132 South West 1,800 1,889 89 1,962 162 73 Source: London Councils modelling based on VOA data 37. This shows how the current relative system of valuation, whereby London's underlying economic growth continues to outstrip the rest of the country, has the perverse effect of keeping rate payers' bills lower (and therefore local authority business rates yields lower) in the rest of the country. If the same happens in 2017 (as is likely), business rates baselines will fall around the country outside London - ultimately making those local authorities more reliant on top-up grant, less selfsufficient and less able to benefit from growth in their areas. This clearly undermines the government's policy aim of using business rate retention to incentivise growth across the country as a whole. London boroughs excluded Difference been excluded Net difference Change in 2010-11 gross rates (£m) 38. London Government believes the tax base should be allowed to rise or fall in response to changes in the economy rather than to fit a pre-defined total. Whether local government then chooses to maximise income against that tax base, or to cut rates as RV rises, should be a matter of (local) political discretion and accountability. 39. "De-coupling" London's business rates system from the rest of the country would prevent the capital's robust property market from continuing to distort the operation of the national system and to allow business rates baselines to increase outside of London at a rate which reflects local authorities' own economic investment and growth. ## London'S Business Rates Tax Base 40. Given the nature of London's economy, its business rates tax base is very different to that of the rest of England. London has 16 per cent of the rateable properties in England but these represent 28 per cent of the rateable value (likely to increase to over 30 per cent after the 2017 revaluation). Chart 2 below shows almost half of the Rateable Value (RV) of London's business rates tax base is accounted for by offices compared with just 15 per cent for rest of England; while industrial properties account for a much smaller proportion of London's RV than the rest of England (just 9 per cent compared with 27 per cent nationally). 41. Within London, just four authorities (Westminster, the City of London, Camden and Tower Hamlets) account for 50 per cent of London's total RV; and a third of London's total RV is accounted for just by offices in these four authorities (£5.4 billion in 2015). This different make-up in RV, and the relative concentration of RV in offices in only a few boroughs, suggests that different tools and solutions may be more appropriate for London than for elsewhere in the country. ## Chart 2 - Business Rates Tax Base By Sector - London Compared With Rest Of England Source: VOA, 'NNDR Stock of Properties', at 31 March 20154 London's unique public service pressures 42. London's demographic profile is notably different to the rest of the country, creating pressures on public services in the capital that are manifestly different from elsewhere. With some of the most deprived areas of the country sitting alongside the most affluent, London has some of the most complex social problems that come with being Europe's largest and most diverse city. 43. It is the most ethnically diverse region in the country with more than a third of residents born outside the UK, and the highest proportion of households where English is not the first language (26 per cent). Its population is also more transient and mobile than the rest of England, meaning boroughs are serving populations with increasingly complex needs. 44. Overall, London continues to show significant relative deprivation: nearly two thirds of London's lower super output areas (LSOAs) have above average levels of deprivation (according to the 2015 Index of Multiple Deprivation). Just under a quarter of London's LSOAs fall within the most deprived 20 per cent of England. 45. Despite being the smallest region by area, London has the second largest population of the UK's 12 regions (estimated to be 8.8 billion in 20165). By 2020 it will have overtaken the South East to become the most populous region of the country, and by 2040 more people will live in London than Scotland, Wales and Northern Ireland combined. This population density creates unique challenges for public services in the capital, most notably in housing, transport and healthcare. 46. However, it is London's disproportionate levels of population growth that really set it apart from the rest of the country when it comes to demand for public services. Over the period to 2039, London's population is forecast to increase by 24% (to over 11 million), double the rate (12%) of the rest of England (see Chart 3 below). ## Chart 3 - Estimated Change In Population By Region - 2016 To 2039 Source: ONS, 2014-based Sub-National Population Projections 47. Any new system of local government funding must therefore be able to respond to such changes, and the consequent increase in demand for services, in order to ensure sustainability over the long term. 48. In the more immediate future, the latest projection estimates forecast London's population will rise from 8.8 million in 2015 to 9.3 million by 2020 (an increase of 5.4 per cent). This is more than twice the anticipated rate of increase for the rest of England (2.5 per cent) over the same period. London will account for 30 per cent of all population growth in England over that period. This disproportionate growth is across the board: Chart 4 (below) shows above average growth in every demographic cohort. ## Chart 4 - Projected Population Growth - London V Rest Of England 2016-2020 Sources: Ons, 2014-Based Snpp; Projecting Adult Needs And Service Information (Pansi) Data 49. London's larger relative working age population means that growth in adults aged 18-64 will have a particularly disproportionate impact in London (accounting for 56 per cent of the national growth in that demographic by 2020) compared with other areas. This will put pressure on services related to the working population such as skills, employment support and transport, but in particular will drive greater demand for social care for adults with physical and learning disabilities and mental health issues. 50. Within London, in relative terms, larger than average growth in the 0-18 and the over 65 population will place noticeably bigger demands on London Government to deliver children's services and schools places, as well as health and adult social care for the elderly. Adults and Children's social care are by far the biggest areas of expenditure for local authorities - with some London boroughs spending over 70 per cent of their budget on social care. The far greater than average growth of adults with learning and physical disabilities, and those with mental health problems, will place huge cost pressures on the capital's social care budgets. 51. London Government believes it is imperative that London has stable and sustainable funding mechanisms that have the capacity to grow sufficiently to meet such rising demand. ## London Government'S Vision For A London Retention System 52. London's unique position as the driver of the UK economy and the very different demand drivers for public services means there is a strong case for delivering 100 per cent business rates retention differently in the capital. Government has recognised this by naming London as a pilot area to trial certain elements of the new system prior to the start of the full retention system. London Government will work closely with government to develop the London pilot from April 2017 onwards, however London Government wishes to go further than this and develop an autonomous business rates retention system. Our vision for how this would operate is set out below. While we will continue to explore opportunities to pilot early reforms of the system, we recognize that our vision for business rates within London represents fundamental change that would have to be implemented alongside the wider national reforms ## A. **Retention Level** 53. London Government has consistently called for the full devolution of business rates to the capital. This was one of the recommendations of the 2013 London Finance Commission (along with further control of the full suite of property taxes), and is likely to be advocated in the 2016 London Finance Commission, as part of a push for broader fiscal devolution. It was also a central ask in London Councils' 2015 Spending Review submission. 54. In 2016-17 the government expects London boroughs to collect £6.7 billion in business rates6, retaining half £3.4 billion, and paying a tariff of £345 million. London Government therefore retains around £3 billion - or 90 per cent of its local share of rates (45 per cent of the overall total business rates). By 2019-20 inflation alone would see the overall quantum rise to £7.3 billion and, with an estimated increase of around £1 billion due to the 2017 Revaluation7, the total by 2019-20 would be £8.4 billion. 55. Table 3, below, shows that London is likely to have headroom of around £4.0 billion by 2019-20: that is the amount by which business rates would exceed current spending responsibilities. Full retention in 2019-20 would, therefore, require London Government to finance additional responsibilities from business rates (beyond TfL grant already announced) for around £4.0 billion of services to match the available resources in order to be "fiscally neutral". 2019-20 (post 2016-17 2017-18 2018-19 2019-20 transfer of central share) Total business rates 6.735 7.867 8.099 8.358 8.358 Central share 3.368 2.596 2.673 2.758 0.000 Retained share (BRB) 3.357 5.271 5.426 5.600 8.358 Baseline Funding 3.012 4.179 4.274 4.383 4.383 Tariff or "headroom" -0.345 -1.092 -1.153 -1.217 -3.975 % of total rates retained 45% 53% 53% 52% 52% 56. It is important to reiterate that full retention of business rates would not result in London having extra money to spend on the same services being delivered elsewhere, but in London being required to deliver additional services that are currently delivered by central government departments and funded through other means (mainly by general taxation). 57. The issue of the percentage retained is inextricably linked with the question of the responsibilities that are transferred (see section B below). It is possible (without disadvantaging the rest of the country) to fund all of the services and grants proposed for transfer within the anticipated business rates to be collected in London with (see Table 4 in section B below). 58. However, if the national approach to transfers requires a continued contribution from London to support services elsewhere, London Government would prefer one overall aggregate tariff to be paid to government each year, combined with the freedom for London to set its own tariffs and top-ups to distribute the remaining retained sum (see section D below). The aggregate tariff, would be calculated using a funding and business rates baseline for London as a whole (determined by a national reset by central government), and would be a share deducted from every London billing authority's business rates take (in a similar way to the central share currently), and then London Government would set top-ups and tariffs to balance to zero *within* London. This would effectively disentangle London from the national system except for an overall aggregate needs assessment (funding baseline) and enable funding and business rates baselines to be set within London. Ask 1 - London Government seeks to explore full retention of the business rates collected in the capital by 2020; if London does not retain 100 per cent of its business rates, we ask that the tariff is one single payment at the aggregate London level ## B. Additional Responsibilities 59. London Government believes, when determining the existing grants and new responsibilities that should be funded by business rates, priority should be given to responsibilities that maximise London Government's ability to improve the life of Londoners, the effectiveness and efficiency of its public services, and the future economic success of the capital. 60. We would therefore wish to prioritise the transfer of grants and responsibilities that:  have a direct relationship to business;  help tackle key infrastructure challenges, including housing and transport; and  have a compelling public service reform case to be delivered more efficiently and effectively by local government. 61. We believe the government should first consider the outcomes the sector is aiming to achieve, and then design local public services around them. This will require greater exploration of the funding necessary to deliver those outcomes. However, the list set out in the consultation document is a helpful starting point, which we have used to identifying grants and responsibilities we feel are suitable candidates to be transferred in Table 4. 62. The grants and responsibilities listed below are grouped by whether they are a new responsibility or existing grant, and then by which of the three principles set out above they meet. Estimated values for London in 2019-20 are set out in the fourth column. In determining the levels of funding to be devolved in relation to new responsibilities the Government should take into account the costs of administration as well as any initial set up costs including relating to the transfers of assets and staffing. Estimated Existing grant or London value in responsibility Reason(s) 2019-20 (£bn) Skills - 16-19 funding New responsibility Business link/PSR 0.499 Adult Education Budget New responsibility Business link/PSR 0.400 Careers Service New responsibility Business link/PSR 0.097 Work and health programme New responsibility Business link/PSR 0.014 Youth Justice New responsibility PSR 0.054 Valuation Office Agency New responsibility PSR 0.032 Affordable Housing capital funding Grant Infrastructure 0.417 Transport capital (outside London) Grant Infrastructure n/a Early Years funding within DSG Grant PSR 0.748 Public Health Grant Grant PSR 0.628 Revenue Support Grant Grant PSR 0.538 Improved Better Care Fund Grant PSR 0.247 Housing Benefit Admin Subsidy Grant PSR 0.033 Independent Living Fund Grant PSR 0.019 CT Support Admin Subsidy Grant PSR 0.015 Rural Service Delivery Grant Grant PSR n/a Total grants & responsibilities 3.741 Total "headroom" in 2019-20 3.975 Remaining capacity 0.234 NB: The RSG figure here is net of the GLA's RSG which will be funded from business rates from April 2017. TfL Capital grant is also excluded as this will be transferred in 2017-18. The estimated figure for 16-19 skills funding excludes 6th form and academy providers at this stage. 63. Table 4 includes all of the grants listed in the consultation document (with the exception of Attendance Allowance). In addition, (and in line with Adult Education Budgets which is mentioned as a devolved responsibility in Devolution Deal areas), we believe there is a strong argument for devolution of 16-19 skills funding, and National Careers Service funding, which have clear links to business and growth, and could be delivered more efficiently by local government. 64. The transfer of TfL capital funding in 2017-18 sets a precedent for other similar transfers under 100 per cent retention. The need to build more homes is the biggest issue facing London's public services in the medium term. We believe there is a strong argument, therefore, for using business rates - as a relatively stable income stream - to fund affordable housing rather than relying upon grant funding from government. 65. We believe the government is right to consider the responsibilities already transferred to areas with devolution deals. Those areas have been able to show why they warrant the additional responsibility and have negotiated bespoke packages for their own areas. We expect to see (and would support) devolution of a common core package of services funded from bus rates across the whole sector - but would want to see flexibility for additional transfers beyond that where feasible and appropriate. Some of the more universal elements of the existing devolution deals, which have a clear link to business and economic growth, lend themselves to being transferred to the whole sector for example Adult Education Budget and transport capital grants. 66. Table 4 shows London is likely to have more than enough business rates headroom to fund all of these responsibilities from 2019-20, however if a national solution requires an on-going London tariff, London's priorities would be to transfer those responsibilities which best support its ability to promote growth and implement local public sector reform. Ask 2 - London Government would prioritise the transfer (over and above what has already been decided) of: - Skills - 16-19 funding - Adult Education Budgets - Careers service - Work and health programme - Capital funding for Affordable Housing; and - Early Years funding. ## Local Control 67. London Government does not be believe it is appropriate or acceptable to transfer the risk of future spending commitments that London Government is unable effectively to influence. Any transfer of responsibility must therefore be based on a realistic assessment of its in-built spending pressures and be accompanied by a corresponding devolution of policy control. 68. As such, we are united with colleagues across the sector in our opposition to the responsibility for providing Attendance Allowance (or a similar such welfare benefit) being transferred to local government. We firmly believe this should remain centrally administered by the Department for Work & Pensions and should not therefore be transferred to local government. The government has provided no detail about how any new Attendance Allowance administration arrangements would work if devolved to local government or the levels of control and influence the sector would have over the scheme, or any evidence that the in-built spending pressures this would bring has been considered. This is disappointing given the size of the funding involved (£5 billion nationally), and the likely increase in demand for this benefit that will result from an aging population. There is no reason to suggest business rates as a funding stream, and local government as a sector, would be better placed to deliver this benefit than central government through general taxation. ## Beyond 2020 69. In support of broader ambitions for devolution and public service reform, London would also wish to continue exploring approaches that transferred service responsibilities - and appropriate revenue sources - above and beyond those that could be financed entirely by retained business rates beyond 2020. We believe this should be through devolution of further tax raising powers (in line with the likely recommendations of the 2016 London Finance Commission). ## Ask 3 - London Government Would Wish To Agree Prior To The Start Of The 100 Per Cent Retention System A Robust Mechanism For Negotiating And Agreeing With Central Government Any New Responsibilities That Are To Be Delivered In The Capital Beyond 2020 C. Revaluations De-Coupling London 70. As set out in paragraphs 31-39 (above), there is a strong argument for de-coupling London's business rates valuations from the rest of the country in order to provide a closer link to economic conditions throughout the whole country and enable all areas to benefit from growth. 71. The 2017 revaluation is likely to lead to an overall increase in business rates in London - based on past trends and current information from rating agents' - whose forecasts have suggested underlying business rates liabilities for London ratepayers could increase by up to £1.1 billion in 2017-18 compared to 2016-17, due to the combined effect of the revaluation and the RPI uplift in the multiplier based on the assumption rateable values in London will increase by an average of 8% compared to a forecast reduction nationally. If such an outcome materialises once the valuations are published on 30 September, this will have the perverse effect of keeping rate payers' bills lower (and therefore local authority business rates yields lower) in the rest of the country - ultimately making those local authorities more reliant on the top-up grant and less self-sufficient. 72. London Government would urge the Government to ensure that a fair transitional relief scheme is introduced to phase in the changes in bills arising from the 2017 revaluation over five years - ideally with very limited increases in 2017-18. This is necessary because of the significant volatility in rates bills which result from the expected relative increases in rateable values in London and is not conducive to delivering a robust and sustainable taxbase across the whole of England. This is not in the interests of London ratepayers or indeed those in the rest of the country and could be avoided in future if the capital operated its own revaluation arrangements. This is also a further illustration as to how the current arrangements undermine the government's policy aim of using business rate retention to promote growth across the country as a whole. 73. London Government believes sub-national areas that can show to government they are willing and capable of delivering devolved control of business rates should be allowed to retain the benefit of increases in their taxbase. The principal underpinning this argument is that the tax base should be allowed to rise or fall in response to changes in the economy rather than to fit a pre-defined total. Where RVs increase, local government could either (a) leave the multiplier untouched, and therefore raise greater resources to meet local needs; or (b) reduce the multiplier while maintaining spending; or (c) some combination/trade-off between the two. Whether local government then chooses to maximise income against that tax base, or to cut rates as RV rises, should be a matter of (local) political discretion and accountability, taking into account the views of the local business community. 74. Breaking the link between revaluation and the fixed quantum of tax yield benefits both those areas where commercial property markets are strong and those where they are not. In each of these cases set out above - without increasing the burden on individual taxpayers - accountability and the relationship between local business and politicians will be significantly improved. It would also prevent the capital's robust property market from continuing to distort the operation of the national system and to allow business rates baselines to increase outside of London at a rate which reflects local authorities' own economic investment and growth. ## Ask 4 - London Government Asks That The Government Considers Ending The Principle Of "Fixed Yield" Revaluations, And That London'S Business Rates Be "De-Coupled" From The National Valuation System. Keeping Revaluation Growth 75. Whether London's valuations can be decoupled from a national system or not, London Government would at least want to see a system in which it was possible to retain some element of revaluation growth in order to correct one of the major defects in the current arrangements: the fact that growth is measured as physical rather than revaluation (underlying economic) growth. 76. One of the biggest reasons why there is a weak growth incentive in the current system is that growth is measured purely in terms of physical growth rather than taking into account any underlying revaluation or economic growth, even though the latter is likely to reflect increased profitability and therefore additional tax revenues for central government. This limits the ability of local authorities to benefit from the growth in rental values derived, in part, from their investment in making their local areas more attractive as a business destination, for example through incentivising businesses to locate there, improving the public realm and transport links. It also has the strange (in purely economic terms) impact of incentivising growth of businesses with large physical floor space and not necessarily businesses that generate high GVA. 77. While the estimated business rates tax take in London could increase by over £1 billion in April 2017, the government's commitment to redistribution means that the GLA/Mayor and boroughs will derive no additional financial benefit (although they are likely to bear the brunt of any complaints from ratepayers). Meanwhile local authorities outside the capital have even less incentive to invest in their local business environment as any gains are stripped out by the redistributive impact of the national revaluation. ## A London Valuation System 78. As set out above (paragraph 11), the impact of incorrect valuations leading to ratepayers challenging their rates bills through appeals is the biggest issue with the current retention system. This has significantly eclipsed any incentives local authorities have had to grow business rates and clouded any measurement of actual business rates growth. 79. London, with around 16% of the national business rates hereditaments, has seen a disproportionate level of total appeals against the 2010 ratings list (22%) and a £960 million provision for appeals at the end of March 2016 (32% of the national total). 80. There are structural weaknesses in the appeals process, which the "Check Challenge Appeal" reforms are trying to address. However there are more fundamental issues with the performance of the Valuation Office Agency that stem firstly from the valuation basis (meaning a high level of incorrect calculations to start with); and, secondly, in failing to deal with the backlog of appeals efficiently. Analysis of VOA data based on the position at 31 March 2016 shows the number of unresolved appeals as a percentage of the number of properties in the local rating list across the 33 London billing authorities ranged from just over 10% to as much as 40% compared to the England average of about 15%. The relative backlog is notably higher in those London boroughs with the highest business rates taxbases in England such as the City of London, Hillingdon, Tower Hamlets and Westminster, where the materiality of any appeals will tend to be greater in financial terms as a result. By contrast in Wales which has its own devolved arrangements the relative backlog was only 9%. A differential rate of appeals clearance means some local authorities have lost out financially relative to others - both in terms of higher appeals provisions and higher safety net payments until these appeals are cleared. 81. To address these issues, a more efficient and effective system could be established if London Government was given the ability to determine the basis of valuation and to administer the system through the establishment of separate London Valuation Office Agency. The exact process of valuation would be for London Government to determine collectively; however, this could include a system of self-assessment or a formula based system which could enable more frequent - ideally annual - valuations that would be more responsive to underlying economic conditions. ## Ask 5 - London Government Calls For The Ability To Determine Its Own Valuation System To Be Administered By A Regional Valuation Office For London. D. Resets: Balancing Needs And Resources 82. Finding The Appropriate Balance Between Risk And Reward - Meeting Need And incentivising growth - is perhaps the biggest challenge in setting up the 100 per cent retention system. London Government recognises the need to have sufficiently long periods between resets of the business rates baselines to incentivise growth, whilst also ensuring that changing needs are recognised in the funding baselines on a regular basis. The government has proposed 'partial' resets of both funding and business rates baselines on the same timetable. Emerging consensus from the "systems design" working group is that 5 yearly partial resets (of both funding and business rates baselines) requires further exploration, but could form a suitable solution at the national level. 83. We believe that, within a London retention system, the frequency of resets should be determined locally by London Government. As such, we would seek to manage future resets of business rate and funding baselines taking into account the overall balance between spending need, council tax base, the speed of change and the desire to maintain incentives within a devolved system. We think that it may be possible to reset funding and business rates on different timetables, for example with business rates baselines being set over a longer period (10-15 years for example) and funding baselines being reset more frequently (every 3 years for example), and would explore options around this. 84. How resets within London relate to national resets will ultimately depend on the degree of autonomy a London retention system has. ## Ask 6 - London Government Calls For The Ability To Manage Future Resets Of Business Rate And Funding Baselines, And Their Impact, Within London. 85. London Government would advocate a system of equalisation continuing through tariffs and top ups but, as set out earlier (Ask 1), one where they balance to zero within London. If London was required by government to pay a tariff at the outset of the system, this would be paid collectively as a share rather than having individual business rates and funding baselines being directly set by the national assessments. 86. There is common agreement across the sector that any new needs assessment system should be less complex and more responsive to changes than the current system. A potential solution could involve a two-stage approach to assessing need. The first stage would be an assessment of needs at a suitable sub-national level, followed by a more local/sub-regional approach to allocate within these areas. London Councils has undertaken some initial analysis of how a two stage system could work in practice finding evidence to support the conclusion made by the Independent Commission on Local Government Finance that there is greater divergence within regions/sub-national areas than between them. The modelling suggests it is possible to allocate resources in a much more simplified and transparent way to these areas based primarily on population and deprivation variables. 87. In setting funding baselines within a London system, London government would not seek to invent a needs formula from scratch, but to be able to vary the individual assessments for London's local authorities from the national needs formula over time to reflect London's rapidly-changing circumstances, including significant issues such as housing need, population growth/churn and specific London cost pressures; a future London needs assessment would continue to reflect the unique circumstances of the City of London. 88. We would also wish to be able to determine locally the extent to which wider resource capacity (council tax raising ability) is taken into account and the extent to which any transitional arrangements may be necessary by, for example, providing a degree of transitional protection for boroughs and the GLA in both the transition from a national needs assessment to a local one, and indeed following local resets. 89. London Government believes a local solution for distributing funding would:  be less complex and therefore more transparent;  be more responsive to population changes; and  give London boroughs and the GLA more collective ownership over the process and therefore would build trust that the system is fair. ## Ask 7 - London Government Proposes A Two-Stage Process In Which A Regional Needs Assessment For The Capital Would Be Combined With The Ability To Vary A Needs Formula Within London Over Time To Reflect Local Circumstances. E. Determining Allocation Of Resources Between Tiers Of London Government 90. The Reforms To 100% Business Rates Retention Raise Some Important Issues And questions for two tier areas. It is important for the reforms to be equitable, and for all tiers to work together to find the best possible solution. 91. In principle, it is our view that the allocation of resources in London should follow the responsibilities to be funded - as is proposed for 2017-18 where the GLA share is forecast to increase to 37% following the agreed transfer of TfL capital funding and the proposed transfer of the GLA's RSG. The final split of rate income between the Boroughs and the GLA should, as a starting point, reflect the agreed package of responsibilities undertaken by each. Any future revision of that split should be periodically agreed and managed by London Government, in line with changes in responsibility over time and any "resets" of the system. ## Ask 8 - London Government Asks For The Ability To Decide Collectively For Itself How Business Rates Are Shared Between The Boroughs And The Gla. F. Setting Business Rates - Flexibilities Control Over Setting The Multiplier(S) 92. London Government would wish to explore options for either a collectively agreed single multiplier across London, or two separate multipliers with the Mayor of London being granted the ability to set a proportion of the rate on a London wide basis, and boroughs collectively setting the rest of the multiplier. These two shares of the overall multiplier would be determined by the funding and retention split as set out above. We would want to explore the relative advantages and disadvantages of options for either a defined, periodically-reviewed split of income between the boroughs and the GLA, or for the establishing a separate Mayoral rate. Northern Ireland already operates a system incorporating a multiplier set province-wide and a separate one set locally, and we believe a similar arrangement would be possible in London and in two tier areas in the rest of England. ## Ask 9 - London Government Initially Seeks The Flexibility To Determine The Business Rates Multiplier(S) In London, Agreed Collectively Between The Mayor And London'S Borough Leaders Over A Defined Period. 93. Following successful implementation of a London scheme, however, we would want to return to the issues of full control of rate setting - including the safeguards that would be required to prevent a disproportionate tax burden on business - along with a broader range of fiscal devolution as envisaged by the London Finance Commission. ## The Infrastructure Levy 94. Short of being given powers to raise the overall multiplier, London Government - despite not being a Combined Authority area - would, at the very least, wish to be able to raise the 2% infrastructure levy offered to other areas. London's infrastructure needs are different from those of the rest of the country London government considers that the Mayor of London should have the power to introduce an infrastructure levy in addition to the existing business rate supplement which is committed to fund Crossrail 1 until the mid-2030s. The legislation should provide for this to be possible even if this is not the Government's current default policy position. If necessary, the Secretary of State could be given specific powers to approve the introduction of new levies for authorities not automatically eligible to fund specific projects - subject to appropriate consideration by the local LEP. The Business Rates Supplement (BRS) that funds Crossrail has been a large success, and shows how London's property market can sustain additional taxation when the benefits of infrastructure development are made clear to businesses. 95. In addition, we believe there should be a broadly defined definition of "infrastructure" that includes affordable housing. The Government will also need to give consideration as to the mechanism by which the LEP should approve the introduction of a new infrastructure levy. Subject to the proposals being in compliance with the final prospectus approved by the LEP the annual tax setting responsibilities should in our view lie with the directly elected Mayor in the context of London's governance arrangements. ## Ask 10 - London Government Asks That The 2% Infrastructure Levy Is Made Available To The Mayor Of London. Reliefs And Discounts 96. Mandatory reliefs awarded in London amounted to around £650 million in 2016-17, and are currently set by central government. London Government believes these could be used more constructively to improve local economies if devolved to London Government. 97. We believe London Government should have the collective ability to set the qualification criteria and thresholds of the existing mandatory reliefs currently set by central government (and the discretionary elements of those schemes), as well as determining new mandatory relief schemes periodically when deemed necessary. This would include the small business rates relief threshold. Where individual boroughs or the Mayor wished to offer additional discounts over and above a collective scheme agreement, this could be achieved through adjustments to their retained rates. We therefore believe the power to offer business rates discounts directly should be extended to the Mayor of London, where these were more generous than those being offered by billing authorities, although these would be paid for from the GLA share of retained rates. 98. Locally determined reliefs and discounts would encourage greater dialogue and engagement between London Government and businesses and empower local authorities to respond to the specific needs of their local economies, for example leading the regeneration of high streets and town centres by incentivising cafes, arts and culture spaces, workspace or civic uses. Collective control over reliefs would also facilitate more strategic planning to meet other statutory duties for example, by tailoring reliefs to incentivise the provision of healthy food retailers (rather than fast food outlets) they could help promote better public health outcomes. 99. These reforms could create a far stronger platform on which to increase incentives to support economic growth, promote broader policy objectives and link councils more closely to their business communities. ## Ask 11 - London Government Seeks The Flexibility For All Parts Of London Government To Determine All Business Rates Discounts And Reliefs, Including Scheme Parameters And Thresholds G. Distributing The Benefits Of Growth 100. Under the current 50% retention system, boroughs in theory benefit from 30% of growth in rates in their area above the assumed baseline: 20% goes to the GLA and 50% to Government. In practice, the impact of appeals and the timing of the initial baseline calculations have meant that there has, to date, been no real correlation between boroughs' economic growth and business rates growth, and similarly between this overall business rates growth and retained business rate income. 101. These problems should, as far as possible, be designed out of the system in the transition from 50% to 100% retention. In the longer run, the retention and distribution system must be capable of delivering greater and more certain rewards if it is genuinely to incentivise growth. 102. The first, and most basic, option would simply distribute growth according to the retention shares between the boroughs and the GLA. Under a London system that continued, for instance, to have a 60:40 split between the boroughs and the GLA, any growth would continue to be retained in those proportions. However, were the Mayor and the boroughs to have separate multipliers which changed at different rates each year, the growth retention split between the boroughs and the GLA would vary each year depending on how their respective multipliers changed. 103. However, London's economy is a complicated system in which different parts of the capital will have different, but inter-related, roles to play. For the economy to keep growing in a sustainable manner, we need to expand the overall business premises capacity, but also to find ways to house, train, transport and provide access to leisure and culture for millions of people around the capital. We may therefore want to use some of the proceeds of growth to facilitate additional investment, and to create targeted rewards that incentivise contributions to the capital's overall success beyond hosting new business properties. 104. An alternative option could, therefore, see retained rates split into 3 shares:  one for the individual borough;  one for the GLA; and  a third for an overall central pool to be distributed according to collective priorities. 105. The relative shares would be for the boroughs and the GLA to agree at the outset of the new system, and could be reviewed periodically in line with collective priorities. So if, for instance, London Government collectively agreed a pool share of 10%, again assuming a 60:40 starting split the remaining 90% would be split 60:40 between the individual borough and the GLA. The overall shares of any growth would therefore be 54:36:10 (boroughs:GLA:pool). A separate Mayoral rate, varied at a different rate to a borough rate, would again have an impact on the borough:GLA part of this split. 106. London Government would establish a robust governance arrangement prior to the start of the system to:  agree the size of the pool share;  decide priorities for how it is used; and  decide mechanisms for its distribution. 107. Once the system is up and running, an ongoing governance/decision making forum would be required regarding the pool. ## Ask 12 - London Government Asks For The Ability To Determine Collectively How The Proceeds Of Growth Are Shared Within London H. Managing Risk: Safety Nets And The Central List Safety Net Mechanism 108. If the move to 100% retention is to be successful then the need to share and manage risk effectively will be essential. London Government is supportive of introducing a devolved London pooling arrangement to manage risk and uncertainty and ensure resources are allocated in the most efficient way. 109. We support the Government's intention to end the system of levies on growth; however, it is important to ensure that authorities experiencing one off shocks to their rates base have the support of an appropriate safety net mechanism. If the issue of appeals could be addressed by managing a proportion of these centrally this would also serve to reduce the call on the safety net mechanism in future. Were London to establish a devolved business rates retention system, significant consideration would be given to how this safety net mechanism would work and, importantly, to how it should be funded. Options include earmarking a proportion of a collective growth distribution pool or retaining an element of the rates income from a regional "London list" of infrastructure assets within the capital (see para 111). 110. However, we believe London's future approach to managing risk should not be separated from the questions of the overall proportion of rates retained (see section A) or the degree of devolved control over the business rate taxbase (sections E to G). In essence, the greater the degree of autonomy, the more reasonable it will be to expect London to manage its collective risk for itself. Conversely, the more London remains part of a national system, and the more limited its control of the taxbase, the more London should expect to look to Government to share some of that risk. Of particular significance here would be if Government retained levers over the setting of the tax such as the method of indexation or the thresholds for reliefs. Under these circumstances London Government would expect government to provide a degree of support in managing the impact of changes to these central levers that could impact on London's business rates take. 111. Under a fully devolved London retention system, therefore, in which 100 per cent of the rates were retained in the capital, London Government would expect to manage and fund the safety net mechanism. Under a system whereby London continued to pay a tariff to fund the rest of the sector, we would expect to share the funding of a London safety net with the rest of the sector. ## Ask 13 - Under A Devolved Retention System, London Government Asks That The Safety Net Mechanism And Thresholds Are Determined Locally By London Government Reducing The Size Of The Central List As Far As Possible 112. The central list has been identified as a potential source of funding for future safety net arrangements. Where responsibility for such arrangements is devolved, it would be appropriate also to maximise local access to the rates derived from properties currently held on the central list. London Government considers that, unless there is a clear case for an assessment to be on the central list, it should therefore sit on a local list. This would also increase opportunities and incentives to maximise the value and use of such assets where possible. 113. For example, the central list currently includes a large proportion of Transport for London's network and rail infrastructure, including the London Underground, DLR and TfL station carparks, which could be transferred to the local rating list, so that London could retain the full benefits of the investment it makes to improve the capital's transport infrastructure. 114. Alternatively it TfL's assessments could be moved to an area or London regional list in order that the capital can benefit from all of the business rates growth arising from transport investment. TfL also considers there would be operational efficiencies from combining these onto a single assessment. Responsibility for collecting any rates due from the London area list including the TfL assessments could be given to a single London billing authority but the entire proceeds should be made available London wide, potentially via the London redistribution pool. 115. There may also be an argument for separating out those parts of the Network Rail assessment which are now administered by TfL - for example the TfL rail and London Overground assessments - to be transferred over as well. This is an option which we would be keen to explore, at least in relation to station infrastructure including car parks even if it is not practical to transfer the actual rail network elements. ## Ask 14 - London Government Would Seek To Transfer Central List Properties To Either A Local Or Regional List Wherever Possible, Including The Transfer Of Tfl'S Separately Identifiable Assessments Potentially As A Single Tfl Operational Assessment. I. Governance 116. A regional approach to managing business rates in London will require appropriate mechanisms to ensure that robust, timely and accountable decisions can be taken to raise and distribute tax revenues. In return for the level of devolution and autonomy London Government is asking for, central government will require reassurance that London is capable of governing such a system collectively. The governance structures and decision making mechanisms will, therefore, be vital. ## Building On Existing Structures 117. London Government is well placed to develop a collective governance model to enable a devolved business rates retention system. London is the only region in England with a regional tier of government. London's 33 local authorities and the Mayor of London have developed a mature relationship that has gradually evolved since 2000. 118. London Councils is the representative body for the 32 London boroughs and the City of London Corporation. Its Leaders' Committee is its main decision-making body. The Committee includes the Leaders of each London borough council and is chaired by the Chair of London Councils. Meeting eight times a year, Leaders' Committee sets policy and takes decisions on the latest developments affecting London local government. There is also a smaller cross-party Executive Committee which guides the organisation's day-to-day work. 119. In 2010 the Mayor of London and Chair of London Councils agreed the London City Charter, which called on Government to "recognise the maturity, efficiency and accountability of London's unique system of self-government and to take decisive steps to devolve further powers, responsibilities and fiscal capacity to London's elected governments"8. The Charter established the regular meetings of the Congress of Leaders, which currently meets at least twice a year, whose membership consists of the Mayor of London, the Leaders of each London Borough and the Chairman of the Policy & Resources Committee of the City of London Corporation. This has formed the basis of joint decision making between the two tiers of government ever since. 120. Deputy Mayors from the Greater London Authority attend as observers and to support the Mayor. The Congress of Leaders therefore consists of thirty four members who represent their own mandate but also consider both the city-wide and local interests of London. The Congress is chaired by the Mayor, with the Chairman of London Councils as the Deputy Chair of the Congress. The London Assembly also provides scrutiny over the decisions of the Mayor of London and has the ability to amend his annual budget subject to securing a two third majority. ## Decisions Required To Set Up And Run A Devolved Retention System 121. The proposals set out in this paper generate three classes of decisions for London to Government address:  Initial set-up: decisions and agreement with Government on the scheme design, including the level of retention, responsibilities transferred, the basis and frequency of revaluations, and resets, the allocation of resources between GLA and boroughs, the multiplier(s), the framework for discounts and reliefs, the distribution of growth proceeds, the operation of a regional safety net and a regional list. Such decisions would need to be taken collectively - and unanimously - by the Mayor of London and Leaders.  On-going tax-setting and resource allocation: annual decisions such as setting the multiplier(s) and allocating the collective growth pool; periodic decisions such as agreeing revised baselines and changes to the needs formula. These decisions would need to be taken collectively by the Mayor and Leaders, building on the existing Congress arrangements, with appropriate voting and other principles consistent with the London Finance Commission in 2013, built in to ensure the appropriate protection of minority interests within London.  Technical underpinning and review: it may require two independent technical commissions to manage on-going work around valuation (including the performance of a regional VOA) and the operation of the tax, and around maintaining the needs formula and distribution model. Political oversight of these commissions could be undertaken by the Governance structures described above. ## Existing Principles 122. The London Finance Commission identified a set of principles upon which such governance could be based. These were expanded in evidence submitted to the CLG Committee inquiry into fiscal devolution in April 2014. These governing principles are as follows9:  Each element of London government should have a stake: Elected leaders of all London local authorities and the Mayor of London must be able to feel confident about the governance arrangements for the new finance system  No exclusion: No one borough or group of boroughs can be excluded from the benefits of London's success or become disempowered from addressing local needs.  No over-riding: Interests of the Mayor cannot be overridden by the boroughs or vice versa.  No deadlock: Arrangements must prevent or break deadlock. We believe that this can be achieved through suitable voting arrangements and clarity about which tier of government is responsible for decision-making, as reflected in the principles below.  Enforcement: The system must enforce binding decisions and these decisions must reflect a clear initial consensus - even if there are disagreements from time to time about individual decisions.  Simplicity and clarity: The reformed system should be as simple as possible. It should avoid the need for annual decision-making between different sections of London government. It should seek to distinguish clearly the responsibilities of the GLA, Boroughs and London Assembly.  Stability… Existing responsibilities should be maintained where possible.  … But potential for reform. Provisions in the 'devolution settlement' should enable, by agreement, periodic property tax reform and changes to any within- London distribution arrangements. Such reforms would be distinct from the 'Day 1' operation of a devolved system. There should also be a presumption that the more significant reforms were proposed, the longer they would be phased in.  Practical operations: decisions would be taken by the Mayor or Borough politicians as appropriate. However, a joint GLA and London Councils Officer Group would provide standing technical advice and support for politicians to decide matters where there is significant joint interest under the above arrangements. This might be independently chaired.  Decision rules: Any new system would require a set of decision rules, some of which would be reflected in legislation. For instance, Parliament might legislate for periodic property revaluations to be carried out by devolved authorities. There are various options for the rulebook governing changes within London following devolution but here is one example: o Mayor would need to agree any decision and by converse would have a veto o Boroughs would need to agree to any decision by their own rules (e.g. twothirds majority) o The London Assembly would retain its existing powers to amend or reject the Mayor's tax and spending decisions, which would be enhanced commensurate with the increase in the Mayor's powers. 123. The Mayor of London has re-formed the London Finance Commission to review, refresh and revise its original recommendations in light of the changed circumstances, following the UK's vote to leave the European Union. It will report by the end of 2016. We will follow the work of the commission closely, and anticipate that it will re-visit the governance principles outlined above in the context of recommendations on broader fiscal devolution. ## London Government Will Work With Government Collectively Build On These Principles To Define And Establish Appropriate Governance Arrangements To Manage A Devolved Business Rates System. ## Appendix 1 - Detailed Responses To The Consultation Questions Question 1: Which Of These Identified Grants / Responsibilities Do You Think Are The Best Candidates To Be Funded From Retained Business Rates? 124. London Government favours prioritising the transfer of responsibilities that maximise its ability to improve the life of Londoners, the effectiveness and efficiency of its public services, and the future economic success of the capital. We therefore favour transferring in grants and responsibilities that:  have a direct relationship to business;  help tackle key infrastructure challenges, including housing and transport; and  have a compelling public service reform case to be delivered more efficient and effectively by local government. 125. As stated above (section B), we believe the government should first consider the outcomes the sector is aiming to achieve, and then design local public services around them. This will require greater exploration of the funding necessary to deliver those outcomes. London Government supports the grants and responsibilities listed in Table 4 being transferred to local government. Of the existing grants listed in the consultation, this includes:  Revenue Support Grant  Rural Services Delivery Grant  Transport for London Capital Grant  Public Health Grant  Improved Better Care Fund  Independent Living Fund  Early Years funding  Youth Justice funding  Local Council Tax Support Admin Subsidy & Housing Benefit Pensioner Admin Subsidy 126. London Government does not believe it is appropriate or acceptable to transfer the risk of future spending commitments that we are unable effectively to influence. Any transfer of responsibility must therefore be based on a realistic assessment of its inbuilt spending pressures and be accompanied by the corresponding devolution of policy control. As such, we are united with colleagues across the sector in our opposition to the responsibility for providing Attendance Allowance (or a similar such welfare benefit) being transferred to local government. We firmly believe this should remain centrally administered by the Department for Work & Pensions. 127. The government has provided no detail about how the new Attendance Allowance administration arrangements would work if devolved to local government or the levels of control and influence the sector would have over the scheme, or any evidence that the in-built spending pressures this would bring has been considered. This is disappointing given the size of the funding involved (£5 billion nationally), and the likely increase in demand for this benefit that will result from an aging population. There is therefore no reason to suggest business rates as a funding stream, and local government as a sector, would be better placed to deliver this benefit than central government through general taxation. 128. In relation to the transfer of TfL's capital grant, which has already been agreed by government, it is important that the funding allocations set out in its 2015 Spending Review letter until at least 2020-21 are honoured. Within the rates retention system, the agreed annual increases to the capital grant should, therefore, be achieved by an offsetting reduction in the tariff payment made by the GLA and, under any future London governance model in which London pays continues to pay a tariff, through the aggregate tariff payment. It is also essential that the design of the new system should seek to minimise any adverse impacts on the credit ratings, funding stability or funding relationships of local authorities, the GLA and TfL. ## Question 2: Are There Other Grants / Responsibilities That You Consider Should Be Devolved Instead Of Or Alongside Those Identified Above? 129. London Government believes the following grants and responsibilities should be devolved to those areas that are ready and willing to take them on (subject to sufficiently robust governance arrangements being in place) as part of the business rates reforms:  Capital funding for Affordable housing;  Careers Service;  Skills funding for 16-19 year olds;  funding for the Work and Health programme; and  the Valuation Office Agency. 130. We would, therefore, welcome further discussions with government regarding the practicalities of delivering these. 131. London Government is aware the Valuation Office Agency (VOA) is currently partly funded from the Local Government Resource DEL (£161 million nationally in 2016- 17). In order that the VOA is made more responsive and accountable to London Government for decisions and performance that directly affect the income and financial risk of boroughs and the GLA, we would favour the creation of a devolved Valuation Office for London - either as a separate administrative body or a regional office - which would focus solely on business rates and council tax valuations and appeals within London. This would ensure that the VOA was directly accountable to London Government (see section C above for further details) for its performance particularly in relation to the administration of appeals. As such, we believe the grant funding provided to the VOA from within the Local Government Resource DEL should be considered for transfer under the 100 per cent retention system. London's share of the £161 million would be roughly £50 million - which equates to less than 6% of the provisions set aside for appeals refunds by London billing authorities in their 2015-16 accounts. ## Question 3: Do You Have Any Views On The Range Of Associated Budgets That Could Be Pooled At The Combined Authority Level? 132. London has a unique governance and administrative structure within England, being the only region with a regional tier of government. As such there are no combined authorities in the capital. 133. However, as set in section D above, London Government would favour moving to managing the distribution of business rates revenues on a regional basis in the capital alongside whatever package of devolved funding and responsibilities is ultimately agreed. This would facilitate closer co-operation between the capital's local authorities and ensure that resources are targeted more effectively taking into account local circumstances. ## Question 4: Do You Have Views On Whether Some Or All Of The Commitments In Existing And Future Deals Could Be Funded Through Retained Business Rates? 134. We believe the transfer process should prioritise those things local government as a whole has already said it wants. These are inevitably reflected in existing devo deals. For example, all existing deals include elements of skills and employment: it would be perverse not to fund these through business rates more widely. 135. We agree that the Adult Education Budget and transport capital grants should be included as they both have clear links to business and economic growth. TfL capital funding and bus services operators funding are already (or will be by April 2017) funded through business rates in London. However, we do not believe Local Growth Fund money should be included, as this is a finite resource for one off projects rather than funding for ongoing services. We believe the same principle applies to investment funds, which should therefore also be excluded. 136. London Government renews our ask for the devolution of the Adult Education Budget, as well as funding for the Careers Service and 16-19 skills, with agreement to be reached by the end of 2016-17 (ideally with a commitment made in the 2016 Autumn Statement). We envisage 2018-19 would be a shadow year with full devolution secured from 2019-20. This is subject to a resolution of our outstanding concerns in relation to the proposed changes to the Adult Education Budget funding formula which may be disadvantageous to London. Although limited detail has been shared on this to date by central government, we understand that the new funding formula for allocating locality budgets will redistribute funding across localities, resulting in a change to the average funding per head for the 19+ working population with a skills or employment need. We would therefore welcome dialogue with DCLG and the DfE as to how this budget might be devolved and what restrictions may be put in place in relation to the future use of this funding. ## Question 5: Do You Agree That We Should Continue With The New Burdens Doctrine Post- 2020? 137. London Government agrees that the new burdens doctrine should continue beyond 2020. Local government should be given access to adequate resources - either through central government funding or through additional tax-raising capacity - to deliver any new responsibilities or deal with changes of circumstance resulting in increased funding pressure on existing responsibilities (that would also constitute new burdens). We would envisage that these would initially be funded through s.31 grants, having been assessed as new burdens in the same way as now. 138. Whether these grants continue as separate funding streams or "rolled in" to funding baselines at future resets will be an important decision for any future government. London Government believes that, any new burdens that are rolled in to the system should be transferred with corresponding freedoms and flexibilities to raise the equivalent levels of funding, for example the power to vary the multiplier, or (if this is already permitted), further tax raising powers (in line with the recommendations of the London Finance Commission). 139. As set out above (Ask 4), London Government would wish to agree prior to the start of the 100 per cent retention system a process for negotiating and agreeing with central government any new responsibilities that are to be delivered in the capital. ## Chapter 4 Growth And Redistribution Question 6: Do You Agree That We Should Fix Reset Periods For The System? Question 7: What Is The Right Balance In The System Between Rewarding Growth And Redistributing To Meet Changing Need? Question 8: Having Regard To The Balance Between Rewarding Growth And Protecting Authorities With Declining Resources, How Would You Like To See A Partial Reset Work? 140. As set out above (section D), London Government recognises that a balance must be struck between incentivising growth - by ensuring that growth (including revaluation growth) is retained for a meaningful length of time - and providing a sustainable level of resource for all local authorities to deliver services - by updating needs assessments regularly. We believe London Government should be able to determine that balance between risk and reward in London by being able to reset business rates and funding baselines for the authorities in the capital. 141. If government retains control over national resets, London Government agrees with the principle that reset periods should be fixed prior to the start of the 100 per cent retention system. Any alternative, whereby government changed the reset periods on an ad hoc basis, would cause too much uncertainty for local authority funding. 142. We believe that it is desirable, and should be possible, to reset needs (funding baselines) and resources (business rates baselines) on different timescales. On the funding side of the equation, it is desirable that baselines reflect changing levels of need on a regular basis - this is particularly relevant in London where population growth and churn is far higher than many other parts of the country. However, on the resources side of the equation, it is preferable to reset business rates baselines less frequently - in order to retain a strong growth incentive. The government should, therefore, explore resetting funding and business rates baselines on different timescales (and any devolved London system would explore these options). 143. However, within the resources side of the equation, we recognise that overly long reset periods could be problematic. Since developments can take a number of years to be agreed and built - often requiring existing buildings to be demolished - a long reset period (10-15 years for example) is logical. At the same time, we recognise the need to protect authorities that, through no fault of their own, see their business rates base altered significantly through the impact of a single large ratepayer or a one off economic shock, by resetting their business rates baselines within a reasonable time period so that they can regain the financial incentive to grow their rates income. We believe the government's suggestion of partial resets should therefore be explored further, and would welcome further detailed modelling to show how this could work, and the potential impact that different degrees of "partiality" would have on the system (i.e. varying the percentage from 50% proposed in the consultation). Again, any devolved London system would explore options around partial resets. 144. We would also favour business rates resets being aligned with revaluations, so that local authorities are able to predict revenues over a set period without further turbulence being introduced into the system. 145. Certainty and stability of funding is critical in relation to the delivery of transport and other major infrastructure schemes. For example, TfL modelling suggests that a 'steady state' level of c. £1 billion per annum of capital funding in real terms is likely to be required for renewals of the TfL network, together with c. £1.4 billion per annum for "normal" new capital investment to respond to anticipated increases in demand. It is therefore desirable that any system reset takes into account the impact on investment in infrastructure. ## Redistribution Between Local Authorities Question 9: Is The Current System Of Tariffs And Top-Ups The Right One For Redistribution Between Local Authorities? 146. London Government agrees that the current system of tariffs and top ups should be maintained. The arrangements work relatively well and are broadly understood across the sector. 147. As set out above (section C), we believe a devolved London business rates retention system would benefit London and the rest of the country. Within such a system we would continue to equalise through tariffs and top-ups in the same way as the national system, however we would control to set business rates and funding baselines within London so that tariffs and top-ups balance to zero within London and, if London were to continue to pay an aggregate tariff, this would be paid as a share by all boroughs. ## Impact Of Revaluations Question 10: Should We Continue To Adjust Retained Incomes For Individual Local Authorities To Cancel Out The Effect Of Future Revaluations? 148. There is an inherent difficulty with the current system of revaluation in that it acts as a redistributive mechanism rather than being one which is responsive to changing absolute level rental values. In effect the total business rate take for England is fixed at whatever level the Government determines it should be rather than being a buoyant tax where revenues move proportionately in line with the growth in property values. A notable exception to this is the Crossrail Business Rate Supplement where revenues rise in direct proportion to the increase in rateable values - ensuring that those ratepayers benefitting from increases in property values as a result of infrastructure investment make a greater contribution towards its financing over time. 149. As set out in section C above, London Government believes the tax base should be allowed to rise or fall in response to changes in the economy, rather than to fit a predefined total. Breaking the link between revaluation and the fixed quantum of tax yield benefits both those areas where commercial property markets are strong and those where they are not. It would also prevent the capital's robust property market from continuing to distort the operation of the national system and to allow business rates baselines to increase outside of London at a rate which reflects local authorities' own economic investment and growth. As a result, the accountability and the relationship between local business and politicians will be significantly improved. 150. However, in the event that the current national arrangements are maintained, including the fixed quantum, London Government agrees that there should be an adjustment to retained incomes for individual authorities to cancel out the effect of future revaluations. 151. However, as set out above (section C, paragraph 77), because growth does not include revaluation growth local authorities see no benefit from investing in making their local areas more attractive as a business destination. London Government believes a proportion of revaluation growth should be retained at revaluations. This would reflect the fact that rising relative rental values and business rates income are also likely to be matched by relative increases in revenues from central government taxes - including stamp duty, income tax, corporation tax and VAT. In effect the Treasury sees the gains in tax revenue - but the relevant local authorities do not see the additional benefit in respect of business rates income. 152. This could be financed either using a proportion of central list revenues or via a top slice within the overall local government finance settlement. ## Combined Authority Mayoral Areas - Additional Powers Question 11: Should Mayoral Combined Authority Areas Have The Opportunity To Be Given Additional Powers And Incentives, As Set Out Above? 153. As set out at length in the first half of this response, London Government would favour moving to a fully devolved system with the Mayor and the leaders of the 33 local authorities taking over responsibility for the allocation and distribution of resources within an appropriate governance structure. It would be odd for the nature of the existing devolution arrangement in London to result in the Mayor and Leaders of London not having the same flexibilities (e.g. infrastructure levy) available to other mayoral areas. We therefore consider that London should receive at least the same additional incentives as will be offered to combined authorities outside London whether or not they have a Mayoral structure. ## Tier Splits Question 12: What Has Your Experience Been Of The Tier Splits Under The Current 50% Rates Retention Scheme? What Changes Would You Want To See Under 100% Rates Retention System? 154. As set out above (section E, Ask 8) we believe the final split of responsibilities should determine the retention shares between the GLA and the boroughs within London. 155. The current 50% local share of business rates income is apportioned between the GLA and the 33 London billing authorities on a 40% to 60% ratio. This was subject to a local agreement between the GLA and London Councils acting on behalf of the 33 billing authorities. Indeed London was the only part of the country where a different tier split was negotiated and agreed with central government. 156. At the time of negotiation it wasn't known what the final balance of funding would be between the two tiers, which ultimately ended up at around 67%:33%. The GLA therefore became a tariff authority taking a higher share of London's rates income (40%) than the GLA's share of baseline funding within the system (approximately 33%). This has meant the GLA has taken on a greater level of risk if rates income falls albeit for greater potential reward if there is growth against its baseline - in recognition of its ability to spread upsides and downsides across all 33 billing authorities. 157. London Government considers that the tier split in the capital has worked relatively well - and provides a suitable starting point on which to build up to 100% retention, subject to addressing issues such as business rates appeals. 158. With effect from April 2017 - following the rolling in of the £960 million TfL capital grant and £148 million of the GLA's RSG - London Government supports the consequential 17% increase in the GLA's share to 37% and a reduction in the central share to 33%. The final tier split following 100% retention will be agreed by London Government taking into account the funding and responsibilities devolved to each tier. ## Fire Funding Question 13: Do You Consider That Fire Funding Should Be Removed From The Business Rates Retention Scheme And What Might Be The Advantages And Disadvantages Of This Approach? 159. London Government opposes transferring London's fire and rescue funding out of the business rates retention system in London. This need not prevent a different treatment in the rest of England, where responsibility for this function is being transferred to Police and Crime Commissioners in 2017. 160. It is our understanding from Government officials that any transfer in of the GLA's RSG in 2017-18 to the rates retention system would be subject to the proviso that this would not preclude any fire and rescue and policing elements being moved out of the retained rates system and paid for instead via Home Office grant in light of the transfer of responsibility for fire services to Police and Crime Commissioners outside London. The GLA is also unique in having an element of police funding within the rates retention system relating to MOPAC's notional share of the Mayor's council tax freeze grant allocations from 2011-12 onwards. 161. It is the Mayor of London's strong preference, however, that fire and rescue funding in the capital should continue to be paid through the rates retention system in recognition of the different administrative arrangements which will exist compared to the rest of England - even if fire funding in the rest of England is paid via Home Office direct grant. This would also facilitate better joint working across London Government including with MOPAC, TfL and the GLA if fire funding formed part of a wider Mayoral resource. 162. This different treatment would not in our view prevent the Home Office making redistributive changes to needs allocations for fire services as these could simply be adjusted for in the case of the GLA annually through a revision to its tariff payment either upwards or downwards with a corresponding transfer of funds between Government departments. Similarly the element of resources for London policing - approximately £35 million should in our view remain within the rates retention system - on the expectation that the Mayor would continue to pass this onto the Mayor's Office for Policing and Crime as is set out in the Mayor's proposed budget for the next three years. This relates to prior year council tax freeze grant revenues - and it is the Mayor who is responsible for setting council tax levels for policing in London outside the City of London. ## Lessons Learned From Enterprise Zones Question 14: What Are Your Views On How We Could Further Incentivise Growth Under A 100% Retention Scheme? Are There Additional Incentives For Growth That We Should Consider? 163. London Government is supportive of the principle of using enterprise zones and designated areas to provide the certainty of funding required to support large-scale infrastructure and transport projects. Such designations are being used effectively in London to date to finance the infrastructure needs of the Croydon Growth zone, the proposed new Thameslink station at Brent Cross in Barnet, the Royal Docks in Newham and the Northern line extension to Battersea Power station. The Government should continue to operate these areas outside the retention system in line with the statutory designations already approved by Parliament and ensure that no changes are made which might undermine those schemes already in place. 164. However, it is important to recognise that EZs hypothecate income that is therefore not available to be redistributed to meet needs. Under a devolved London retention system, London Government would expect to be able to decide collectively any future EZ-type arrangements to support specific infrastructure investment or other growth-promotion schemes - via the London growth redistribution pool if appropriate. 165. As mentioned above (Q10), we would also support the Government introducing a mechanism whereby local authorities were able to retain part of the growth in rates income at a revaluation while continuing to provide protection to areas seeing reductions in bills via the tariff and top up mechanism. Under the regulations in place enterprise zones and other designated areas are able to retain any revaluation related growth. 166. If a fully devolved London approach were not agreed, we would nonetheless encourage the Government to consider how the business rates retention arrangements for Enterprise Zones and other designated areas could be enhanced to allow full retention of stock as well as revaluation growth. This could include examining options facilitating the full capture and recycling of any land value uplift from transport and other infrastructure projects, which often cause significant increases to rateable values in their catchment areas. The Mayor is currently preparing proposals on land value capture for HM Treasury to consider for the 2016 Autumn Statement, and one of the principal reforms required to ensure the capturing of value uplifts from commercial property is full retention of revaluation growth. This could be piloted in designated areas and potentially rolled out more widely over time. ## Sharing Risk, Appeals And Future Position Of Central List Question 15: Would It Be Helpful To Move Some Of The 'Riskier' Hereditaments Off Local Lists? If So, What Type Of Hereditaments Should Be Moved? 167. London Government considers that unless there is a clear and evident case for an assessment to be on the central list it should be on a local or regional list (as set out in section H, ask 14). This would improve local accountability with businesses and enhance the capacity and responsibility of local government to promote all types of economic growth within its area - and, within a devolved regional system - to share the risk of economic decline. 168. We would, therefore, oppose proposals that would, for example, move airport assessments such as Heathrow Airport onto the central list or indeed local power stations or other complex assessments. Planning functions will continue to reside locally and such assessments are also important sources of local employment linked to other supplies and the wider economic base of a locality. 169. We also note that in London requests for transfers to the central list were submitted in London in 2010 following the introduction of the Crossrail BRS - as business rate supplements and the proposed new infrastructure levy can only be charged on assessments on the local list. This strengthens the case for minimising the size of the central list to ensure ratepayers benefitting from infrastructure and transport projects locally are required to contribute towards their costs. ## Question 16: Would You Support The Idea Of Introducing Area-Level Lists In Combined Authority Areas? If So, What Type Of Properties Could Sit On These Lists, And How Should Income Be Used? Could This Approach Work For Other Authorities? 170. As set out above (Ask 14), we believe a regional or area-level list could be appropriate in London. This clearly supports regional devolution, for which we are in favour, and would promote greater collaboration between TfL and the boroughs to incentivise growth for which the whole of London could gain if this was linked to a London wide pool. It could also, potentially, provide some capacity to manage collective risk through a regional safety net. 171. At present TfL's rail infrastructure network (e.g. London Underground, DLR, London Overground and in due course Crossrail) and stations (including station car parks) are on the central rating list either independently (LU and the DLR) or as part of the Network Rail cumulo. This means that all rates income and related growth is paid to the Government - rather than to London local authorities. Given TfL's capital investment grant is to be moved into rates retention, it would be logical for all TfL's assessments to be moved either to the local rating lists of the 33 London billing authorities or to a regional London list, so London can benefit from all of the business rates growth arising from the transport investment it makes. 172. There may also be an argument for separating out those parts of the Network Rail operational assessment which are now administered by TfL - for example TfL rail which will in due course become the Elizabeth (Crossrail) line and London Overground assessments - to be disaggregated and moved to a regional list. ## Question 17: At What Level Should Risk Associated With Successful Business Rates Appeals Be Managed? Do You Have A Preference For Local, Area Level (Including Combined Authority), Or Across All Local Authorities As Set Out In The Options Above? Question 18: What Would Help Your Local Authority Better Manage Risks Associated With Successful Business Rates Appeals? 173. As set out above (section H), London Government believes risk should be managed at regional level for the capital - provided sufficient control over the system to manage the risk is devolved: if it were not, then some of the risk would have to be shared with central government. In a devolved London retention system, whereby London Government had control over setting business rates - administered by a regional VOA for London - we would expect to manage the appeals risk within the capital. 174. However, under a continued national system, we consider that appeals relating to errors made by the VOA - so called "tone of the list" appeals with an adjustment date going back to the commencement date of the list - should be funded centrally by the Government. 'Tone of the rating list' amendments to property valuations have nothing to do with physical changes on the ground and do not arise from local decision making - and the associated costs should not, in our view, be borne locally while central government retains oversight and responsibility for the VOA. 175. As part of its long term review of business rates the Government highlighted the difficulties which can arise when large numbers of appeals are lodged by ratepayers resulting in there being a large backlog. Ratepayers face delays in having their appeals assessed and local authorities face significant uncertainty under the rates retention system as a result of having to set aside significant sums in provisions in order to meet potential refunds to ratepayers which may not ultimately materialise. 176. The aggregate provision for appeals across all 33 London billing authorities as at 31 March 2016 exceeds £925 million. We remain very concerned that the current backlog of appeals on the 2010 rating list in London is significantly higher than the national average in both absolute and relative terms. Progress on reducing this backlog also appears to have been much slower in the capital particularly in central London. 177. As illustrated in Figure A1 below, the number of unresolved challenges at 31 March 2016 equated to 22 per cent of all hereditaments on the rating list in London - more than 50 per cent higher than the national average and nearly 250% higher than in Wales which operates its own revaluation and tax setting arrangements. In the City of London the number of outstanding challenges to the rating list at 31 March 2016 equated to 40 per cent and in five other boroughs (Harrow, Hillingdon, Tower Hamlets and Westminster) exceeded 30 per cent respectively of the total number of hereditaments in those areas (Figure A2). While there have been some reductions since that date, the refocusing of VOA resources onto the 2017 revaluation has meant that the backlog has barely moved in some billing authorities as further appeals have been lodged subsequently. Source: VOA Statistics https://www.gov.uk/government/statistics/non-domestic-rating-challenges-and-changes-england-andwales-march-2016-experimental 178. This backlog has both local and national implications given that the Corporation of London, the London boroughs of Tower Hamlets and Hillingdon and Westminster City Council - which continue to have amongst the largest backlogs in England as a proportion of their rating lists - account for nearly 15 per cent of the national business rates tax take. Indeed at current levels of progress it is unlikely that the backlog in those billing authorities will be cleared before 2019-20 or later. 179. In advance of the introduction of the new 2017 rating list, we would urge CLG and HM Treasury as the sponsoring departments to ensure that the Valuation Office - working closely with the Valuation Tribunal and rating agents - seeks to prioritise clearing the outstanding rating appeals across London as at 31 March 2016 as soon as possible. This is essential in order to provide certainty both for the businesses appealing and for local authorities in setting their future budgets and determining realistic forecasts of rating income. 180. Similarly we consider that, for the 2017 revaluation period, the clearance rates for appeals should be consistent across all English regions and billing authority areas in the interest of fairness to ratepayers and local authorities. This means that any new targets set for the VOA must focus not just on the number of appeals outstanding but the materiality of the assessments under appeal i.e. any clearance targets should take into account the scale of rateable value being appealed. Any separate target relating to reductions in number of appeals outstanding should also have to be delivered in every local authority area rather than just nationally - with the Valuation Office Agency being required to publish the performance data at a local level 181. We trust that the Government will monitor the success of the new 'Check Challenge Appeal' system and consider making further reforms if it does not result in a reduction in the volume of appeals for the 2017 rating list. ## Question 19: Would Pooling Risk, Including A Pool-Area Safety Net, Be Attractive To Local Authorities? Question 20: What Level Of Income Protection Should A System Aim To Provide? Should This Be Nationally Set, Or Defined At Area Levels? 182. London Government would favour introducing a devolved system and managing such risks as a regional level. However, as set out above, this is dependent on the level of devolution of control over the parameters of the system. In essence, the greater the degree of autonomy, the more reasonable it will be to expect London to manage its collective risk for itself. Conversely, the more London remains part of a national system, and the more limited its control of the taxbase, the more London should expect to look to Government to share some of that risk. 183. Under a fully devolved London retention system, therefore, in which 100 per cent of the rates were retained in the capital, London Government would expect to manage and fund the safety net mechanism. Under a system whereby London continued to pay a tariff to fund the rest of the sector, or where a national valuation system remained, we would expect to share the funding of a London safety net with the rest of the sector. 184. Within a devolved system, the level of income protection should be a matter for local determination. However, if a national system remained, we would support the retention of a national safety net mechanism set at a percentage of baseline funding. We believe the government should consider options whereby different tiers of authority may have different safety net thresholds depending on their gearing and service responsibilities, with protections to avoid authorities reducing rates income via changes to provisions deliberately to go into a safety net situation. 185. In the interim (before the start of the 100 per cent retention system), there is a strong argument for the safety net threshold (currently 92.5% of baseline funding) to be reassessed. As RSG reduces towards 2020, Baseline Funding will become a larger proportion of a local authority's Settlement Funding Assessment. Government should therefore consider whether the safety net threshold should be changed to 95% or another figure. ## Chapter 5 Altering The Multiplier - Decision Making And Scope Of Powers Question 21: What Are Your Views On Which Authority Should Be Able To Reduce The Multiplier And How The Costs Should Be Met? 186. London Government would want to explore the relative advantages and disadvantages of options for establishing a separate Mayoral rate alongside one for the 33 billing authorities (see section F, ask 9, above). The choice between such approaches should, ultimately, be a matter for London Government, but we believe the basic principle should be that the costs should align with accountability for the decision. 187. The Government should, therefore, design primary legislation which permits flexible local approaches with any detailed arrangements being a matter for secondary legislation which can evolve and be amended more easily over time. ## Question 22: What Are Your Views On The Interaction Between The Power To Reduce The Multiplier And The Local Discount Powers? 188. London Government believes the powers to reduce the multiplier and to offer discounts are both potentially valuable, but as tools to address different issues. 189. Reducing the multiplier could (subject to tax competition concerns) be a way to address the overall attractiveness of the business environment in a given area - in a world where local government was retaining revaluation growth it could also offer a way in which business in general could share in the benefit of overall growth in business efficiency and success. 190. Discounts, on the other hand, offer more targeted tools to support particular sectors (for example to small businesses or charities) or local areas (for example high streets) - or to incentivise broader policy objectives such as promoting public health or environmental sustainability). 191. London Government would wish to explore options for either a collectively agreed single multiplier across London, or two separate multipliers with the Mayor of London being granted the ability to set a proportion of the rate on a London wide basis, and boroughs collectively setting the rest of the multiplier. These two shares of the overall multiplier would be determined by the funding and retention split as set out above. We would want to explore the relative advantages and disadvantages of options for either a defined, periodically-reviewed split of income between the boroughs and the GLA, or for the establishing a separate Mayoral rate. 192. We believe London Government should have the collective ability to set the qualification criteria and thresholds of the existing mandatory reliefs currently set by central government (and the discretionary elements of those schemes), as well as determining new mandatory relief schemes periodically when deemed necessary. This would include the small business rates relief threshold. Where individual boroughs or the Mayor wished to offer additional discounts over and above a collective scheme agreement, this could be achieved through adjustments to their retained rates ## Question 23: What Are Your Views On Increasing The Multiplier After A Reduction? 193. Under the proposals as currently set out, in order for local authorities to have the power to lower the multiplier, the Government will presumably need to set a baseline national non domestic multiplier, which authorities will vary their local rates against, to be uprated annually (presumably by RPI until 2019-20 and by CPI from 2020-21 onwards). 194. The consultation paper highlights the challenges that might arise were a local authority to decide to reduce its multiplier below the notional national multiplier but then determine at a later date that it wished to reverse this in full or in part. It is the view of London Government that this should be a matter for local decision and that authorities should be permitted to revert back to the national multiplier in a single financial year - irrespective of the reduction made in prior years. ## Question 24: Do You Have Views On The Above Issues Or On Any Other Aspects Of The Power To Reduce The Multiplier? 195. As set out above, London Government would also wish to explore options for either a collectively agreed single multiplier across London, or two separate multipliers with the Mayor of London being granted the ability to set a proportion of the rate on a London wide basis, and boroughs collectively setting the rest of the multiplier. A similar arrangement already operates successfully in Northern Ireland. These two shares of the overall multiplier would be determined by the funding and retention split as set out above. We recognise delivering this this would pose administrative challenges, but consider it desirable that there should be a legislative mechanism which facilitates a London wide approach to setting all or part of the multiplier agreed collectively by the Mayor and boroughs. We would want to explore the relative advantages and disadvantages of options for either a defined, periodicallyreviewed split of income between the boroughs and the GLA, or for the establishing a separate Mayoral rate. 196. The Government will also need to consider whether the Secretary of State should have intervention powers in exceptional circumstances - recognising that any safety net payment mechanism could be used to mitigate the effect of local decisions and that authorities would still need to meet their fixed tariff payments as now. 197. The Government will also need to consider what the implications the new system would have for NNDR reporting, accounting and budgeting - for example would there need to be a review of the NNDR 1 reporting timetable to facilitate an earlier tax setting process and, under a multi-tier approach, would preceptors with tax setting powers be able to determine their own business rates appeals provisions (as an example) and other deductions? ## Infrastructure Levy For Mayoral Combined Authorities Question 25: What Are Your Views On What Flexibility Levying Authorities Should Have To Set A Rateable Value Threshold For The Levy? 198. London Government believes the levying authority should have the power to set the threshold - which may well vary dependent on the nature of the infrastructure project being funded. In practice, we consider that a £50,000 threshold in the current BRS legislation is appropriate in the capital for any levy introduced, however we would want to reserve the right to review this for future levy proposals. 199. To date only the Greater London Authority has used the BRS Act powers to finance £4.1 billion of the costs of the Crossrail project - £800 million as a direct contribution and £3.3 billion of borrowing which will be financed and repaid by the mid-2030s using BRS revenues. The Crossrail BRS has been set at a rate of 2p since April 2010 with a qualifying rateable value threshold of £55,000. 200. We recognise that, were there to be a similar blanket £50,000 threshold for the infrastructure premium, the sums that could be generated in BRS in areas with lower tax bases than London would inevitably be much lower. Lower thresholds may therefore be appropriate for other parts of England to ensure that the tax base is sufficient to raise an adequate level of revenues. ## Question 26: What Are Your Views On How The Infrastructure Levy Should Interact With Existing Brs Powers? 201. London Government considers - subject to the support of the business community - that the Mayor of London should have the ability to introduce a levy to fund a specific project in addition to the Business rate supplement which is committed for Crossrail until the mid-2030s. 202. We consider that the areas eligible to introduce the levy should be determined via secondary legislation so that the tax can evolve over time to changing local government structures. 203. In our view the BRS Act should be retained and expanded to include the ability to levy both supplements - where supported by business and, if necessary, the Secretary of State to fund a specific major project. This would, in our view, provide sufficient flexibility to allow the Mayor of London to operate both supplements where there was clear support. 204. We would have reservations about introducing a wholly new piece of legislation to deliver what is likely to be a similar tax in structure - the only practical difference being the mechanism by which the introduction of the supplement must be approved. There are also several pieces of existing secondary legislation which were required for the BRS relating to the accounting, administration and collection arrangements - which could equally be applied to the new levy. 205. If the Government decides to develop separate legislative arrangements for the new levy, there is a risk that there could be difficulties in maintaining and updating two separate legislative processes. London Government has, for example, experienced difficulties in securing amendments to the existing BRS regulations on a timely basis. 206. In our view, there should be a single piece of legislation building on the BRS Act 2009 and associated regulations with the proviso that no amendments are made which would undermine the existing Crossrail BRS, which is required to finance the repayment of £3.3 billion of GLA debt. 207. We would also support an amendment to section 10 of the BRS Act (http://www.legislation.gov.uk/ukpga/2009/7/section/10) to ensure that, where a levying authority opts to make a variation to the policies not set out in the final prospectus which merely result in a reduction in the tax rate or number of ratepayers liable to the BRS, this should not automatically trigger a ballot of ratepayers. The current wording has prevented the GLA from raising its £55,000 threshold for the BRS between revaluations as it did not foresee in 2010 that the Government would delay the next revaluation until 2017. Tax reductions should not trigger automatic ballots in our view. ## Question 27: What Are Your Views On The Process For Obtaining Approval For A Levy From The Lep? 208. London Government believes business rates devolution provides a real opportunity to promote greater accountability of local politicians for business rates decisions and build more meaningful engagement with the business community. The Government will also need to give consideration as to the mechanism by which the LEP should approve the introduction of a new levy. Subject to the proposals complying with the final prospectus approved by the LEP, the annual tax setting responsibilities should in our view lie with the directly elected Mayor working in the context of London's governance arrangements ## Question 28: What Are Your Views On Arrangements For The Duration And Review Of Levies? 209. We consider that the arrangements should operate on a consistent basis with the BRS - once the decision has been agreed by the LEP (subject to a review of LEP governance structures). The levying authority/Mayor should be required to report annually to the LEP and ratepayers - as applies to the BRS - but, unless there are any fundamental changes which are inconsistent with any final prospectus introduced before implementation, the annual review and approval of the levy should be a matter for the elected Mayor to determine. 210. In terms of the duration of any levy the Business Rate Supplements (Accounting) (England) Regulations 2010 as currently worded prevent a BRS being used for projects such as Crossrail where the payback/debt repayment period exceeds ten years. This needs to be amended for the BRS and reflected in the regulations for the new levy to ensure that longer term schemes can be funded via the new levy as well as the GLA's Crossrail BRS which have a debt repayment date of 25 years or longer. Mayors should also have the ability to extend the length of any levy if necessary through the publication of a revised prospectus subject to this extension being approved by the LEP. ## Question 29: What Are Your Views On How Infrastructure Should Be Defined For The Purposes Of The Levy? 211. The Government has stated that the new premium must be applied to fund 'new infrastructure'. The 2009 BRS Act requires that business rate supplement revenues must be used to support economic development priorities (i.e. revenue or capital) but explicitly excludes expenditure on:  Education and children's services  Social services  Delivering planning functions and  Housing 212. The legislation for the levy will need to be clear what authorities may use the infrastructure premium for. London Government would favour extending the 'infrastructure' definition to include projects which fund the provision of affordable housing in areas of high cost/high demand where there is support for this from the business community. It should also be able to be used to upgrade existing infrastructure as well as deliver 'new' infrastructure. 213. In relation to the need for medium and longer term certainty in relation to infrastructure funding the GLA and Transport for London would welcome a discussion as to how the future capital funding of London's transport network will operate in future and how resources might be made available to support specific projects such as Crossrail 2. 214. If central government concludes that it is desirable to maintain the ability to reset the system at periodic intervals, then London and central government will need to agree a method of deriving the funding need for new capital investment in transport infrastructure across London's transport network. This will also need to include an agreement on how to fund the capital requirements for any future extensions of the existing network which cannot be covered through business rates as transport investment is by nature lumpy, discontinuous and significant in scale. For example, it would not be sensible to treat Crossrail 2 as part of the normal local government needs. And there are other examples of projects which are large or involve both local responsibilities in London and the national rail system ## Question 30: What Are Your Views On Charging Multiple Levies, Or Using A Single Levy To Fund Multiple Infrastructure Projects? 215. We believe it should be possible to have multiple levies funding different projects across the combined authority and/or London area, providing that the appropriate prospectuses have been consulted on and approved for each scheme. 216. A BRS must be levied on a consistent basis across the levying authority area and, therefore, it is not possible to apply a higher rate in billing authorities (or other defined localities) where ratepayers were most likely to benefit from the proposed investment (e.g. they have stations on the proposed rail, metro or tram link). This differs from the community infrastructure levy where differential rates are permitted within a billing authority and in the case of the Mayor of London's CIL between London boroughs. 217. There may also be a case to permit levying authorities to apply different rates for the levy across their area in proportion to the estimated benefits from the infrastructure projects being funded from the levy (e.g. for a transport project ratepayers in areas on the rail/tram route would pay a higher rate) as applies for the Community infrastructure levy. 218. This would need to be agreed collectively through London Governance/combined authority arrangements, but would ensure that those ratepayers who benefit most from any investment pay the largest contribution. This might also be a mechanism which could facilitate multiple projects being funded from the levy across an area - as otherwise it will only be practical to use it to fund very large regional schemes where there is a clear benefit right across London or the combined authority area. ## Question 31: Do You Have Views On The Above Issues Or On Any Other Aspects Of The Power To Introduce An Infrastructure Levy? 219. We would welcome a dialogue with Government to see what lessons can be learned from the success of the Crossrail BRS in London before the new levy is introduced. We would also be keen to review the BRS Act and associated regulations to ensure they remain fit for purpose and provide a solid basis to 'bolt on' the proposed new levy. 220. Other questions which the Government will need to consider include:  Does the initial prospectus, consultation and final prospectus model for introducing a BRS provide a suitable model for the infrastructure premium?  Should the levying authority be able to depart from its final prospectus variation powers without recourse to a further consultation process where it is simply proposing reducing the tax rate or the number of ratepayers liable?  Should reliefs operate in parallel to NNDR on a pro rata basis and should empty properties and BID areas be eligible for a more generous treatment subject to the determination of the levying authority as applies for the BRS? 221. London Government considers that the BRS has worked well in London and the Government should seek to replicate similar arrangements for the new infrastructure levy - via a bolt on to the existing BRS Act rather than a completely separate piece of legislation. We endorse the initial prospectus, consultation and final prospectus model used for the BRS as a basis for the development of any future levies. 222. Before levying a BRS, levying authorities are required to prepare an initial prospectus - which prior to the localism act merely had to be consulted upon but thereafter had to be put to a ballot of eligible ratepayers - and a final prospectus. The items required to be included in the prospectus are set out in schedule I of the Act. A copy of the Crossrail BRS final prospectus is available at https://www.london.gov.uk/file/5474/download?token=oCSh_HNt 223. We also favour a consistent approach on reliefs between NNDR, BRS and the new levy. Reliefs for the BRS operate on a consistent and pro rata basis with ratepayers' national non-domestic rating bills with two exceptions. Firstly, the levying authority may exempt all empty properties as a class from paying the BRS - irrespective of their eligibility for empty rate reliefs - and, secondly, it may apply an offset to reduce the BRS liability for ratepayers in business improvement districts (BIDs). 224. The Act also permitted business improvement districts to charge property owners a levy subject to a ballot where local ratepayers were subject to a BRS (so called 'BRS-BID' levies under Schedule II). This latter policy has not been adopted so far in practice given the difficulty of identifying property owners although two BIDs in central London have expressed an interest in introducing such a scheme. 225. We would also support an amendment to section 10 of the BRS Act (http://www.legislation.gov.uk/ukpga/2009/7/section/10) to ensure that, where a levying authority opts to make a variation to the policies not set out in the final prospectus which merely result in a reduction in the tax rate or number of ratepayers liable to the BRS, this should not automatically trigger a ballot of ratepayers. London Government would also support a review of the accounting and year end reporting arrangements for the BRS set out in the current secondary legislation as well as given local areas to agree different arrangements for apportioning cost of collection allowances to reflect the fixed costs which many smaller billing authorities incur. Details on these proposals have already been submitted by the GLA with the support of billing authorities. 226. Section 18 of the BRS Act requires the levying authority to give written notice to each billing authority in its area prior to the financial year for which it intends to impose a business rate supplement. Levying authorities are also required to provide an annual update to ratepayers for annual billing. This should be maintained and required for the new levy as well. ## Ch.6 Accounting And Accountability Balance Of Local And Central Accountability Question 32: Do You Have Any Views On How To Increase Certainty And Strengthen Local Accountability For Councils In Setting Their Budgets? 227. London Government firmly believes that devolution of funding and tax raising powers to fund the services local authorities deliver will improve local accountability - provided it comes with genuine devolution over control of those powers and of the services and responsibilities that will be transferred. Specifically in relation to business rates, a devolved London retention system would, in our view, strengthen the relationship between London government, businesses and local communities, and improve accountability of locally elected politicians to their electorates. 228. As set out in paragraphs 9-22, the current funding system breeds uncertainty; is too complex and lacks transparency; and is too centralised with a lack of local control. These issues must be addressed if local government is to be put on a sustainable financial footing over the long term, in a world where business rates and council tax will fund almost all local government services from 2020. 229. We welcome the recent multiyear settlement, and the degree of certainty this brings (although it is really only RSG that is guaranteed over the next 4 years, which is a diminishing part of the overall funding of local government). True multiyear, medium term financial planning will only be possible under the 100 per cent business rates retention system if reset and revaluation periods are set over time periods that provide funding certainty, and if local authorities are given greater freedom over other elements of the finance system such as the setting of fees and charges and council tax. The annual capping of council tax constrains one of the levers local authorities have over their ability to raise resources and restricts council tax setting policy to an annual timeframe. 230. The timing of settlements under the current system has proved a particular barrier to certainty. For the last four years, the settlement has been announced extremely late in December. While there may be reasons for this, and it may be helpful for central government, it creates significant uncertainty for local government over funding assurance needed to set their budgets and council tax levels for the following financial year. We believe the new finance system should be set up to give local authorities as much time as possible in order to deliver robust budgets that have been through thorough scrutiny processes. 231. Specifically in relation to the timetable of the business rates retention system, the government should review the arrangements for completing NNDR1 (budget) forms (or their equivalent under the new system), which aren't sent out until January giving a very short time period for completion. In addition, deadlines for completing the NNDR3 (outturn) returns should be brought forward to late April/early May - the latter being essential to deliver on the earlier accounts closure timetable from 2017- 18. 232. Greater certainty can only be achieved by less interference from central government. The recent legislation impacting on the Housing Revenue Account is an example of significant changes in government policy creating huge uncertainty in local authority budgets. Authorities had established long term (30 year) plans under the "self-financing" reforms, which were subsequently rendered meaningless as a result of the mandated social rent reduction and 'higher value void' levy. Genuine devolution must mean genuine relinquishing of central control. ## Question 33: Do You Have Views On Where The Balance Between National And Local Accountability Should Fall, And How Best To Minimise Any Overlaps In Accountability? 233. London Government believes that the current imbalance of power between local and central government in control over local public services must be redressed. The London Finance Commission (2013) concluded that "London's government needs to be given greater freedom to determine and use the resources raised from taxpayers"10. It set out a vision of more accountable and sustainable way of funding public services. London (and, indeed, England as a whole) is an extreme outlier compared with other cities and countries, with only 7 per cent the taxes raised determined by the city's government: the equivalent figure in New York is over 50 per cent. 234. We believe the current default assumption, that Central Government must retain a high degree of control in the name of accountability, must be reversed and move instead to a world where local government is responsible for determining the level of spending and investment it needs to meet local priorities, and for raising the funding to meet that need. The primary accountability should be between local government and its electors and taxpayers. In short, decisions should be made as close as possible to residents and service users, and should be local by default. 235. The balance between national and local accountability should reflect the extent of devolution in each case. Greater devolution of powers will of course need to accompanied by stronger governance and accountability arrangements to ensure that money is well spent, and the best value is obtained for the ratepayer. ## Accounting For Local Tax Income Question 34: Do You Have Views On Whether The Requirement To Prepare A Collection Fund Account Should Remain In The New System? 236. London Government believes the requirement to prepare a Collection Fund Account should be maintained. The Collection Fund Account brings transparency to the different payments that are made to distribute the rates collected by authorities. However, we consider that authorities should be able to use the collection fund adjustment account to manage variations in income including safety net payments to ensure that authorities do not end up building up artificially large reserves to meet future sums owed. 237. Under the current arrangement, any Collection Fund loss (or surplus) does not impact on the General Fund outturn until one or two years after they are incurred. Although this may be partly beneficial for authorities, as it allows them longer time to deal with the losses, it is not aligned with the system of levies and safety net payments, which are accounted for in the year of the loss/ surplus. This is then likely to mean that the authority has a high level of reserves set aside to fund the loss in future years as it impact on the General Fund bottom line. 238. We believe that the timing differences between the revenue and CFAA accounting treatments for unexpected variations in NNDR yield should therefore be harmonised. ## Calculation Of Balanced Budget Requirement Question 35: Do You Have Views On How The Calculation Of A Balanced Budget May Be Altered To Be Better Aligned With The Way Local Authorities Run Their Business? 239. There is an argument for requiring local authorities to approve a financing requirement - including retained rates income - rather than council tax requirement, as this better reflects the reality of setting local council budgets, in which overall spending it set at a level to meet the resources available, rather than council tax being set at a level to meet desired spending. This would partially reverse the changes made through Part 5 Chapter 1 of the Localism Act 2011 - prior to that Act local authorities agreed a budget requirement including general government grants. This change would require consequential changes to the GLA Act and the London Assembly's amendment powers in relation to the Mayors budget. ## Collection Of Business Rates Data Question 36: Do You Have Views On How The Business Rates Data Collection Activities Could Be Altered To Collect And Record Information In A More Timely, Efficient And Transparent Manner? 240. London Government supports retaining the current NNDR1 and NNDR3 reporting arrangements - albeit the timetables for both should be earlier than now. The detail as to how this will operate should be considered further by the Accounting working group in consultation with CIPFA and the IRRV.

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## Applying For Approval Of A Food Establishment How to apply for approval for meat, dairy, egg, fish, shellfish and animal produce establishments. If your food business makes, prepares or handles meat, dairy, egg, fish, shellfish or animal produce for supply to other businesses, it may require approval by the local authority. If you think you may need approval, please contact your local authority before applying. ## When You Don'T Need To Apply For Approval There are some exemptions from the requirement to be approved, including: you only sell direct to the public you are a retail business supplying products of animal origin to other businesses (including caterers) on a marginalised, localised and restricted basis Additionally, there may be an exemption available depending on the extent to which you wish to supply food of animal origin to other businesses. You should contact your local authority to determine whether you could claim such an exemption from the need for approval. If a food business is exempted from the requirement to be approved, you must register your food business with the local authority at least 28 days before opening. If you are already trading and have not registered, you need to do so as soon as possible. You must still follow the rules for controlling the temperature and storage of any food you transport. ## Establishments Approved By Local Authorities General Establishments These are: cold stores re-wrapping and re-packaging establishments ## Meat Establishments These are: minced meat establishments meat preparations establishments mechanically separated meat establishments meat products processing plants rendered animal fats and greaves processing plants treated stomachs, bladders and intestines processing plants gelatine processing plants collagen processing plants ## Fish And Shellfish Establishments These are: live bivalve molluscs (LBMs) establishments including dispatch centres and purification centres establishments working with fishery products using factory and freezing vessels, processing plants, fresh fishery products, auction halls, wholesale markets ## Dairy Establishments These are: collection centres of raw milk where it is cooled and filtered processing plants treating, processing and/or wrapping of dairy products (milk or any milkbased product) ## Animal Produce Establishments These are: packing centres - packing and grading of eggs by quality and weight processing plants - processing of egg products liquid egg plants - handling of unprocessed egg contents after removal of shell You need to apply for approval from the Food Standards Agency if you run: slaughterhouses cutting plants game handling establishments wholesale meat market ## Apply For Approval Food premises approval (England) Food premises approval (Wales) Food premises approval (Northern Ireland) ## Approval Assessment To obtain approval strict hygiene standards, both structurally and procedurally are required. Approval will not be given unless the required standards are met before any food is sold for consumption. The standards are defined in Regulation 853/2004. You cannot start trading before receiving approval. You must not commence any business activity which requires approval unless you have received conditional or full approval for your proposed activity from the local authority. If you start trading without approval, it is an offence which may lead to prosecution. Once approved, details of the premises together with information relating to types of foods produced are added to the list of approved Great Britain food establishments and approved establishments with special EU arrangements if in Northern Ireland registers. ## Right Of Appeal You have a right to appeal a decision made by the local authority that has refused to grant an approval. You can appeal against that decision to a Magistrates Court and must submit an appeal one month from the date when you were notified of the decision. ## List Of Approved Food Establishments Approved UK food establishments Approved EU food establishments

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# Guidance On Complaints Handling Procedures For Licence Holders, 2015 "*Improving the passengers' experience*" ## Contents 1. Introduction 3 Summary 3 Background and ORR's approach 4 Contents of the guidance 6 2. Purpose and scope 7 Summary 7 Purpose 7 Scope 7 Definition of a complaint 8 Ownership of complaints 9 The role of Transport Focus and London TravelWatch 11 3. Complaints handling core standards 13 Summary 13 Approving CHPs 13 Core Standard 1: Feedback mechanisms and response 14 Core Standard 2: Structures, people, and processes 26 Core standard 3: Organisational culture 30 4. Compliance monitoring 33 Summary 33 ORR's monitoring approach 33 Annex A: Licence condition 6: Complaint Handling 36 Annex B: Glossary 38 ## 1. Introduction Summary This chapter explains Office of Rail and Road's1 approach and what we think a good complaints handling procedure should achieve and why. We also summarise what is contained in the following chapters of the guidance. ## Aims Of The Guidance Train and station licence holders are required, by their operating licence, to have Complaints Handling Procedures (CHPs) which have been approved by the ORR. This document provides guidance on what ORR will look for when exercising this approval role and when monitoring for continuing compliance. The guidance is designed to support licence holders in: • providing an easily accessible complaints handling service to customers; • developing and maintaining sound customer-centric complaints handling protocols and practices; • using empirical data and evidence relating to complaints to drive through service improvements; and • understanding how we will regulate in this area. ## Background And Orr'S Approach 1.1 Rail users - passengers and freight - are paying a growing share of the cost of running and investing in the network and services. They have rising expectations of services, and expect the industry to give them value for their money and to respond to their needs. When problems arise it is important that there are appropriate means to make complaints and seek compensation and redress for poor service. We also believe that it is essential that management information and insight from complaints is used to identify systemic and recurring problems and to identify areas when services should be improved. 1.2 Train and station licence holders are required, by their operating licence, to have Complaints Handling Procedures (CHPs) which have been approved by ORR. This document provides guidance on what ORR will look for when exercising this approval role and when monitoring for continuing compliance. The licence condition is included at Annex A to this guidance. 1.3 ORR has a number of duties set out in section 4 of the Railways Act 19932, which we must balance when exercising our functions. These include: "to protect the interests of users of railway services", and "to promote the use of the railway network in Great Britain for the carriage of railway passengers". 1.4 The industry recognises the importance of a good complaints handling procedure. It is a means by which licence holders deliver protection for consumers and gain insight into how their business is working from the perspective of those who use their services. An easily accessible complaints system empowers consumers to seek answers or redress when things go wrong. The information provided by complaints, as well as passenger feedback more generally, enables licence holders to identify root causes of dissatisfaction and take action to improve the customer experience. 1.5 We have seen that a number of licence holders make significant efforts to ensure that they have an effective framework in place to understand and improve the experience of their customers. It has been encouraging to see complaints handling being recognised more broadly as being part of the approach to improving customer experience, and not just a process. 1.6 We want to support these initiatives through our regulatory approach. 1.7 A good complaints handling procedure should:  resolve individual complaints promptly and fairly, taking account of the reasonable interests of the complainant, including providing compensation as appropriate; and  lead to continuous improvement, so that in the medium term the root causes of complaints are addressed and systemic solutions are put in place. 1.8 We want to see organisational cultures that support and encourage these objectives and embedded arrangements that effectively regulate themselves, minimising the need for our direct involvement. We are committed to working with the industry to achieve this outcome, but will take action where we need to. "To promote continuous improvements in passengers' experience of rail, through licence holders acting on feedback through complaints" ORR's policy approach - Regulatory statement, July 2014 ## The Core Standards 1.9 Our expectations of licence holders are centred on three core service standards which are intended to assist licence holders in understanding what we will look for in a good CHP. The three core standards cover:  feedback mechanisms and response;  people, process and structure; and  organisational culture. 1.10 The core standards have been drafted at a sufficiently high level to enable licence holders to develop approaches that suit their own particular business models and the needs of their passengers. 1.11 We consider there to be significant benefits to an approach that focuses more on how an organisation is structured and managed around complaints handling, in order to deliver outcomes for the passenger and less on detailed commitments. Such an approach should enable licence holders to respond to the needs of their own particular markets whilst enabling change in line with evolving technological developments and passenger expectations. ## Contents Of The Guidance 1.12 Below, we provide a summary of what is contained in the guidance. Chapter 2 - provides guidance on what we mean by a complaint and who is responsible for handling a complaint. Chapter 3 - provides detail on the three core standards that are intended to help licence holders understand what we would look for in approving a CHP. Chapter 4 - describes our approach to the on-going monitoring of CHPs. Annex A - Contains a copy of Condition 6 of the licence. Annex B - Glossary of terms and abbreviations ## 2. Purpose And Scope Summary This chapter provides guidance on the purpose of these guidelines and who they apply to. It sets out what we mean by a complaint and who is responsible for handling a complaint. It provides specific guidance on the position of Network Rail and the role of Transport Focus (TF) and London TravelWatch (LTW). ## Purpose 2.1 This guidance provides licence holders with a best practice framework for handling passenger complaints. The guidance is designed to support licence holders in:  providing an easily accessible complaints handling service to customers;  developing and maintaining sound customer-centric complaints handling protocols and practices;  using empirical data and evidence relating to complaints to drive through service improvements; and  understanding how we will regulate in this area. 2.2 Licence holders may propose whatever procedure best suits the needs and expectations of their customers and the requirements of their business. This document provides high level guidance on what ORR will expect to see reflected in any complaints handling procedure submitted to it for approval, set out in the form of a set of core standards. We also set out how we will monitor for continuing compliance. 2.3 Licence holders are, therefore, asked to ensure that they familiarise themselves with the contents of this document. ## Scope 2.4 This guidance applies to all licence holders who have a complaints handling obligation in their licence **(see Annex A**). 2.5 Relevant licence holders should ensure that all complaints handling staff (including outsourced staff) are made fully aware of the contents of the licence holder's CHP and that there are processes in place to monitor continuing staff awareness and compliance. ## Welsh Language 2.6 In line with existing legal obligations, licence holders that provide rail services in Wales should ensure that information on complaints is provided in both English and Welsh. ## Definition Of A Complaint 2.7 For the purposes of these guidelines a complaint is defined as: "Any expression of dissatisfaction by a customer or potential customer about service delivery or company or industry policy" 2.8 Although all expressions of dissatisfaction are deserving of a response, we recognise that a distinction should be drawn between a complaint and feedback for the purpose of establishing clarity around what is within the scope of regulation. 2.9 Feedback can take the form of comments which are neutral, positive or negative, about services provided by a licence holder or representatives without necessarily requiring corrective action, change of services or formal review of a decision. Feedback may, however:  adversely affect the reputation of a licence holder; and  influence future service reviews and delivery methods. 2.10 Feedback can take many forms, including the use of social media platforms, online forums or dedicated consumer websites. Sometimes complainants will use feedback to make what could be characterised as a complaint. It is important that licence holders have mechanisms by which such communications can be identified and dealt with in accordance with this guidance. We will look for evidence of how this will be achieved when approving CHPs. 2.11 Licence holders should also give discretion to customer-facing staff to resolve certain types of complaint on the spot, without reference to senior management. Sensitive and swift on-the-spot handling of difficult situations may help to avoid a large number of written complaints, but at the same time deliver satisfaction to the passenger. We do not expect such face-to-face on-the-spot resolution to be considered as a complaint for compliance or data recording purposes. ## Claims Allocation And Handling Agreement 2.12 The Claims Allocation and Handling Agreement3 (CAHA) requires the approval of arrangements for publicising information on how to make an insurance claim against an operator. CAHA is not within the scope of this guidance. ## Ownership Of Complaints 2.13 A complaint about a specific train, ticket office or station shall be owned by the licence holder responsible for that train, ticket office or station. A complaint about a delay will be owned by the licence holder on whose train the passenger was travelling when the delay occurred. This holds true even where the impact of the delay arises on another part of the journey i.e. where a delay leads to a missed connection or results in a dispute over ticket validity on a later train. 2.14 On a multi-leg journey where delays occur on more than one train service the complaint should be handled in accordance with the guidance on complaints relating to multiple-licence holders below. 2.15 A complaint about a ticket sale will be owned by the licence holder which sold the ticket. A complaint against a third party ticket retailer should be handled by the third party retailer. 2.16 The licence holder that owns a complaint will be responsible for responding to the passenger and for paying any compensation and/or gestures of goodwill in respect of that complaint, in line with that licence holder's CHP. The licence holder which owns a complaint about a delay or cancellation will be responsible for the payment of any compensation under their Passenger Charter or National Rail Conditions of Carriage (NRCoC), as appropriate. ## Complaints Relating To Third Party Suppliers 2.17 Third party supplier relationships are an integral aspect of service delivery and provision for licence holders. From time to time licence holders may receive complaints which relate to a third party supplier on matters such as security personnel; cleaning and catering staff; revenue protection services; suppliers of rail replacement services; or car parking providers. In circumstances where licence holders receive such a complaint, they should work with their supplier to coordinate a response. The complainant should not be required to contact the third party supplier, though are free to do so should they prefer to have their complaint answered directly. 2.18 Licence holders would not be expected to intervene in relation to substantive issues in appeals processed by the Independent Penalty Fares Appeals Service, although licence holders are expected to have oversight of how the service is operating and to deal appropriately with any trends identified. British Transport Police have their own complaints handling mechanism and are therefore excluded from the scope of this guidance. 2.19 In coordinating a response the licence holder should be aware of their responsibilities under the Data Protection Act 1998 (DPA). More detail on confidentiality and data protection are contained in chapter 3. ## Complaints Relating To Multiple Licence Holders 2.20 The national rail system is an integrated network and it is important that network benefits are maintained for passengers. Passengers with a complaint may not know which train company to contact, or they may have a complaint which involves more than one licence holder. In these circumstances, it is essential that the complaint is handled in a coherent and coordinated manner. We cover this in more detail in chapter 3 below. ## Complaints Relating To Network Rail 2.21 Network Rail has a unique role as the infrastructure provider all licence holders need to work constructively and collaboratively with Network Rail in the resolution of passenger complaints. 2.22 Network Rail customer relations will handle complaints relating to:  services provided by Network Rail at the stations which it operates (Managed Stations); and  Network Rail as infrastructure operator (for example, complaints from local residents about line-side fencing, or complaints from car users about a level crossing). 2.23 Complaints about Network Rail as a supplier (for example, where a signal failure causes delay) will be handled by the receiving licence holder in line with their own CHP. ## The Role Of Transport Focus And London Travelwatch 2.24 As a condition of their licence, licence holders must consult with Transport Focus (TF) and London TravelWatch (LTW) when they establish or make any material change to their CHPs. Changes can be made at the initiative of the licence holder or where ORR has required the licence holder to carry out a review and has determined a change needs to be made. ## Appeals Transport Focus 2.25 Rail passengers, who are unhappy with the outcome of their complaint to a licence holder, can contact TF4 which may be able to pursue the complaint on the passenger's behalf. TF is able to deal with complaints about rail journeys anywhere in Great Britain, with the exception of services handled by LTW. ## London Travelwatch 2.26 LTW5 deals with all services operated or licensed by Transport for London (TfL), which includes London Underground Limited (LUL). In addition, LTW deals with:  journeys wholly within the London railway area; and  complaints about incidents that occur at specific stations within the London railway area. 2.27 LTW also manages complaints regarding Eurostar and will manage Crossrail services as they open. 2.28 More detail about how appeals should be dealt with by licence holders is contained in chapter 3. ## 3. Complaints Handling Core Standards Summary This chapter provides more detail on the core standards that we would look to see within a good complaints handling framework. The guidance and examples we provide are intended to assist licence holders in submitting a CHP to us for approval. ## Approving Chps 3.1 Licence holder's CHPs should be constructed around the three core standards that we describe within this chapter. Each core standard is drafted at a sufficiently high level to enable licence holders to develop approaches that suit their own particular business models. They, however, contain some best practice principles including those that derive from legal obligation, for example licence holders' responsibilities toward data protection. When approving CHPs we will look for ways in which the licence holder intends to adopt these best practice principles into its complaints handling procedures. 3.2 The three core standards cover:  feedback mechanisms and response (for individual complaints and system wide);  people, process and structure; and  organisational culture. 3.3 The diagram below summarises what we would expect to see covered within a CHP under each core standard. •**Accessibility and reach** - The means available to passengers to provide feedback and the ease of doing so, taking into account the needs of all customers including those with different types of disabilities. Feedback mechanisms and response •**Putting things right** - How a licence holder demonstrates that it is listening, responding and is flexible to passengers' needs for individual complaints and systemic issues. •**Acting fairly and proportionately** - How a licence holder ensures objectivity, consistency and fairness. - **How the organisation is structured to put its CHPs into place**, including identified roles and chains of accountability. Structure, people and processes - **Training programmes** and communication strategies - Published service standards in respect of complaint handling - **Reporting and reviewing arrangements** - how the licence holder assures itself of and measures the ongoing effectiveness of its arrangements including internal criteria for assessing this and audit arrangements. - **Governance, policy and leadership** - including the degree to which the top team are engaged with complaints handling. | - How the top team ensures | feedback is acted upon and | |------------------------------------------------|----------------------------------------------------| | embedded | into the organisation's strategies and approach as | | part of a commitment to continous improvement. | | | •The extent to which | the customer experience sits at the heart | | of the organisation's vision | . | ## Core Standard 1: Feedback Mechanisms And Response 3.4 Effective complaint handling demonstrates that licence holders have customers at the heart of what they do. A good customer-focused CHP takes into account the needs and expectations of the complainant. ## Promoting Awareness 3.5 Details on how and to whom a passenger should complain should be made available in the licence holder's major publications, be prominently displayed at stations on websites and via social media. At multi-operator stations, publicity should make clear the different contact points for complaints about different services. Complaint forms should also be made available on the request of a passenger, for example, on trains which carry guards or conductors. 3.6 Material relating to the promotion of complaints handling should be free from any industry-jargon and be presented in plain English. 3.7 Publicity material must contain details of where a complainant should go to if not satisfied with the response provided by the licence holder currently and as appropriate:  TF;  LTW; and  Any relevant Alternative Dispute Resolution (ADR) bodies6. ## Easily Accessible To All 3.8 The complaints handling process should be simple to understand and easy for the passenger to use. It should be clear how a complaint can be made, to whom it should be addressed, and what the essential information is that a complainant needs to provide. 3.9 We discuss below the requirement on licence holders to publish complaints service standards. These should be easy for the passenger to understand and should give the passenger a clear explanation of what to expect from the complaints handling process. ## Access Routes 3.10 There should be a choice of access routes for complainants, for example, those illustrated in the diagram below. ## In Person 3.11 Designated customer contact points are a useful access route for the passenger. All customer-facing rail staff, including sub-contracted staff, should be trained to receive and pass on complaints. ## Websites 3.12 As a minimum, ORR would expect to see the following:  The complaints page should be accessible within **2 clicks** of the landing/home page and contain clear details about how to contact the licence holder.  Provision for those who are visually or hearing impaired.  A link to the licence holder's complaint handling service quality standards (see core standard 2 below). 3.13 Licence holders are encouraged to include Frequently Asked Questions (FAQs) on a complaints page as this can often be a useful reference point for complainants and may satisfy the needs of the passenger and other general website users. Where FAQs are present on a website, the passenger should still be able to make a complaint about the same matter. ## Social Media Platforms 3.14 The emergence of social media creates a number of challenges for licence holders, most notably in relation to the manner in which they manage their online presence. Many licence holders have a social media presence and regularly engage with followers. 3.15 Many passengers use social media platforms such as Twitter to make a complaint or indicate their frustrations or dissatisfaction. 3.16 We expect licence holders to have a social media policy in place to ensure that passengers are fully aware of:  the licence holder's approach to social media;  the scope and opportunity for passengers to make a complaint via social media platforms; and  the extent to which the licence holder engages with its social media followers. 3.17 Where the circumstances of the complaint on social media lend themselves to an investigation, the licence holder should assist the complainant in making a formal complaint, which will then be dealt with in accordance with the licence holder's CHP. The complainant should be asked whether their feedback should be treated as a formal complaint and be advised of what that means in terms of processes and timescales. ## Call Centres Or Customer Relations Teams 3.18 Licence holders should ensure that they publish and adhere to minimum opening hours for their customer service departments, during which passengers should be able to speak to a member of staff by telephone. Licence holders should, as a minimum, accept telephone complaints between the hours of 9am and 5pm Monday to Friday. At all other times licence holders should ensure that callers are met with a recorded message which clearly sets out opening times. ## Respecting Equality And Diversity 3.19 It is essential that no one is excluded from lodging a complaint. A flexible approach is likely to be necessary to meet the needs of a diverse customer base and we will look for provision, within a licence holder's CHP, for those with particular needs. This could include elements such as staff training or provision of complaints information and responses in accessible formats, for example. 3.20 Licence holders should also ensure that carers, support workers and guardians are able to act/advocate on behalf of a passenger with the passenger's permission/authority (see also section immediately below relating to data protection and privacy). 3.21 The examples provided above are for guidance purposes only. All licence holders should ensure that they obtain independent legal advice in relation to their general duties under the Equality Act 2010 (the Equalities Act) and the Disability Discrimination Act 1995 (the DDA)7 respectively, as to their impact on licence holders' CHPs. ## Respecting Complainant Confidentiality Privacy Policy 3.22 We expect all licence holders to have a customer-facing privacy policy which should be available on the website of the licence holder and upon request from a complainant. Areas we would expect to see covered in a privacy policy are set out in the diagram below. ## Adherence To The Data Protection Act 1998 (Dpa) 3.23 Licence holders should ensure that complainants' confidentiality is protected. Personal details or details about complaints should not be divulged to third parties, except with the written consent of the complainant. 3.24 All licence holders should ensure that they have written processes and procedures in place which fully adhere to the DPA. Licence holders are expected to carefully consider the manner in which complainant details, including sensitive details, are collected, used and stored. This is particularly relevant in relation to: (a) complaints involving more than one licence holder; (b) the sharing of information with TF and LTW; and (c) the sharing of information with third party suppliers. 3.25 Licence holders cannot pass on a complainant's personal details (or any details which would allow the complainant to be identified) to anyone else, without the complainant's permission. 3.26 The ORR may wish to conduct research with complainants to learn more about their experiences. Data protection concerns must be properly addressed to allow this. Licence holders should consider ways in which the complainant could be advised of this eventuality, for example by informing complainants that they could be contacted by the regulator and providing a tick-box option to opt-out if the complainant does not wish to be contacted. 3.27 Data protection provisions should not act against the timeliness of being able to respond to a passenger's concerns. We therefore expect licence holders to consider ways in which the complainant can be asked to provide that permission at initial contact perhaps by way of a question on, for example, web-based forms. 3.28 The information above is for guidance purposes only. All licence holders should ensure that they obtain independent legal advice in relation to their duties under the DPA and should also be guided by the Information Commissioner's Office (ICO)8. ## Complaints Relating To Multiple Licence Holders 3.29 A complainant should not have to submit a complaint to more than one party in circumstances where a complaint involves more than one licence holder. 3.30 The receiving licence holder should (where reasonably practical) coordinate a single response on behalf of all of the licence holders involved. Sometimes this may not be sensible if the bulk of the issues rest with another licence holder. In this instance, it may be in the best interest of the complainant to receive a response directly from the party primarily responsible. In this case it is acceptable for the receiving licence holder to make arrangements to have the complaint passed to the more appropriate party in line with the licence holder's obligations under the DPA. The complainant should be informed when their complaint is transferred to another party. ## Response Times 3.31 Licence holders must provide all complainants with an acknowledgement and complaint reference/tracking number as appropriate and to make a full response to 95% of all complaints within 20 working days. 3.32 Where licence holders have set themselves and then published more challenging targets, they should aim to provide full responses to at least 90% of complaints within that published target. 3.33 Licence holders should give discretion to customer-facing staff to resolve certain types of complaint immediately, without reference to senior management. Sensitive and swift on- the- spot handling of difficult situations may help to avoid a large number of written complaints, but at the same time deliver satisfaction to the passenger. ORR does not expect face-to-face on-the-spot resolution to be recorded for data management purposes. 3.34 Where a licence holder receives a sudden or unexpectedly large increase in the volume of complaints, the above timeframes may be replaced with an obligation to use reasonable endeavours to comply with them. The licence holder should set out in its CHPs the circumstances in which it would put these emergency timescales in place and the steps it will take to advise affected complainants. The licence holder must inform ORR, TF and LTW when such a circumstance occurs; including the reason; the expected duration of the emergency timescales; the plans in place to remedy the situation; the procedures in place to ensure that the quality of responses is maintained; and any steps taken to advise affected complainants. 3.35 This enables TF and LTW to advise passengers accordingly and for ORR to effectively carry out its role in monitoring for compliance. 3.36 Speed is clearly not the only determinant of an effective response. We discuss what we mean by a '*fair and full investigation'* and '*effective resolution'* below. ## Keeps Complainant Informed Of Progress 3.37 Communication with the complainant is an important on-going process whilst the complaint is under investigation. At the outset, the complainant should be advised of the complaints process and the target timescales for a response. 3.38 Where complaints cannot be answered fully within published timescales, licence holders must ensure that the complainant is made aware of any potential delays and provide regular updates to the complainant after the target response time has elapsed. These updates should provide meaningful information about progress being made with the complaint and should give the complainant the option to speak to someone directly should they so choose. Licence holders should aim to agree new timescales with the complainant as appropriate. ## A Full And Fair Investigation 3.39 In approving licence holders' CHPs we will expect to see investigative processes which are tailored and proportionate to the issues raised. We set out below the six steps that we would expect to see in an investigatory process although acknowledge that some complaints can be resolved immediately or on-the-spot and the full investigative process would not, in those instances, be appropriate or necessary. ## An Effective Response And Resolution 3.40 Licence holders should provide a full written response to all complaints in plain English and free of rail industry jargon, initials or acronyms. Licence holders remain free to make their own judgements on what is appropriate to the circumstances of the complaint and the complainant, for example, in the tone and the level of formality adopted. It is possible that, for example, a response could be appropriately dealt with by telephone (even if the original contact was in writing). 3.41 The passenger should be signposted to TF or LTW and ADR after they have received the second substantive response from the licence holder, even if the licence holder continues to engage with the complainant with the objective of resolving the complaint itself. 3.42 Licence holders must ensure that all complaints are resolved by which we mean there are no outstanding actions required on the part of the licence holder. ## Dealing With Frivolous Or Vexatious Complaints 3.43 At times, licence holders may wish to terminate correspondence with a particular complainant before full resolution has been reached. This should be a decision of last resort, only taken if the licence holder believes the complainant's on-going communication to be frivolous or vexatious. 3.44 A complaint can be treated as frivolous or vexatious even where the complainant may not be satisfied with the licence holder's response. The decision as to whether a complaint is frivolous or vexatious should only be taken by a senior manager within the organisation and should be well documented. The complainant should also be advised of the contact details of LTW or TF and ADR, as appropriate. 3.45 Licence holders should have internal procedures that clearly define the circumstances in which correspondence will be terminated and provide guidance to staff on the authorisation required. Licence holders should record complaints that have been terminated in a way which allows them to monitor and examine the number of complaints terminated and the reasons why. ## Compensation 3.46 Where the complaint is about a train delay or cancellation, licence holders should, as a minimum, provide compensation in line with the NRCoC or, on terms agreed within their franchise. Licence holders should ensure that complainants are given compensation as a form of remedy if this is an appropriate option and equally have the autonomy/discretion to go beyond the compensation thresholds should they wish to do so. 3.47 Our research9 found that almost three quarters (72%) of passenger respondents to a survey had little or no awareness of their rights to compensation. Licence holders must promote and raise awareness of compensation rights amongst passengers and we look for ways in which licence holders are doing this as part of our routine work and also when approving CHPs. ## Escalation Of Complaints 3.48 We will look for a licence holder to demonstrate how it identifies and deals with complaints that require escalation through the management chain, including where a passenger has asked for their complaint to be escalated. Licence holders are expected to set out in their procedures: (a) the criteria for escalation; (b) how the complaint escalation process works; (c) the associated timescales; and (d) the relationship between the escalation process and the complainant's right of appeal by way of TF and LTW (see below). ## Appeals To Tf And Ltw - Handling Protocols 3.49 Licence holders must establish an appeals handling protocol with TF or LTW where TF or LTW require a protocol. This should include a commitment to review the protocol in the light of experience and/or at agreed intervals. This protocol should include the speed of response and how the appeal will be managed within the organisation. Both of these areas are set out in more detail below. ## Management Of The Appeal 3.50 The protocols should, as a minimum, include the:  main point of contact (member of staff) and an alternative point of contact (member of staff);  agreed channels for escalating appeals within the respective bodies;  arrangements for the supply of additional/updated information; and  arrangements for timeframe slippages / backlogs. ## Speed Of Response 3.51 The licence holder should undertake to:  provide acknowledgement to TF and LTW within **3 working days** of notification of the appeal;  respond to a request for copies of case correspondence from TF or LTW within 5 working days of the request; and  respond to TF and LTW appeal submissions within **10 working days** or a maximum of 20 working days where an appeal is complex. 3.52 Where the above requirements cannot be met, licence holders must agree a reasonable alternative timeframe with TF or LTW. All reasonable steps should be taken to ensure that the above timescales are honoured. 3.53 Licence holders should also ensure that the above appeal timescale apply to third parties acting on their behalf, for example, outsourced contact centres. ## Core Standard 2: Structures, People, And Processes 3.54 The following core standard provides an overview of what a well-managed complaint handling operational model should cover. It contains guidance on what we would expect to see around staffing, training and processes, including the engagement of senior staff and the implementation of quality assurance protocols. It also identifies the importance of transparency, including the establishing and publication of complaints service standards. are aware of frameworks standards ## Organisational Structure And People 3.55 Central to the efficient and effective management of complaints is an appropriate organisational structure and staffing. 3.56 Some licence holders may use third parties to handle their complaints. Licence holders remain responsible for compliance with their CHPs even where that function is outsourced. Licence holders should, therefore, ensure that all outsourced service providers are capable of delivering a good complaints handling service and that this is fully reflected in any service level agreement. Licence holders should, for example, seek assurance that all relevant staff have received complaints handling training and ensure that they consistently uphold complaint handling service standards as determined by the licence holder. ## Training And Development 3.57 Licence holders must have comprehensive staff training programmes and training plans in place for all customer facing staff. For complaint handling staff and managers this should include a commitment to provide staff with complaints handling training that covers: customer service, complaints investigation and resolution skills. There should also be a commitment to retrain at periodic intervals or in response to evidence that complaints are not being dealt with effectively. 3.58 Licence holders must ensure that complaint handling staff have the capabilities and competencies (knowledge, skills, experience and abilities) needed to deliver a good complaint handling service. This should be embedded in the organisation's overall recruitment and training strategies respectively. ## Processes And Protocols Record Keeping 3.59 All licence holders should have in place written procedures relating to the management of complaint records, including;  the types of complaint/complainant records that will be kept;  the format in which records will be kept e.g. in hard copy or electronic form; and  the length of time records will be kept. 3.60 Licence holders should ensure that there is a process for recording all complaints on a customer complaints database or Customer Relationship Management system (CRM), whether complaints are handled by themselves or third party suppliers. Licence holders should ensure that they have appropriate access to third party supplier systems for the purposes of monitoring passenger satisfaction with the service provided. 3.61 All complaints should be recorded in such a way that the information can also be analysed for service improvement opportunities. It should be accessible for regulatory monitoring purposes, for example, as part of an on-going compliance discussion with the licence holder. Data should also be maintained in a format capable of conforming with ORR's core data requirements. ## Quality Assurance Framework/Quality Controls 3.62 All licence holders should have quality controls relating to complaints handling. This should include quality checks to ensure all customer communications are of a high standard. ## The Identification Of Systemic Weaknesses 3.63 Customer complaints should be collated centrally and used as a source of intelligence. This can help identify the scale and trends in dissatisfaction which could escalate into something more serious. 3.64 Complaints about individual staff members should always be carefully looked at to identify the wider context surrounding the particular instance. For example, the individual's working pattern should be investigated to see if there are fatigue issues and where an individual has been working alone, the health and safety implications both to the individual and the customer should be considered. 3.65 Where complainants allege they have sustained an injury as a result of the licence holder's operations, consideration should be given to whether the incident is reportable to ORR under the Reporting of Injuries Diseases and Dangerous Occurrences Regulations 2013 (RIDDOR). ## Complaint Handling Service Standards 3.66 All licence holders should establish and publish service standards in relation to complaints handling. Service standards should be written with the customer in mind and should be free of industry jargon. These provide a statement of what the complainant can expect from the complaints process and provide licence holders with a metric by which success can be measured. The following illustration indicates the sort of components we would expect to see in a published service level commitment. 3.67 A number of these commitments may already be adopted by licence holders and published in their Passenger Charters. 3.68 Licence holders may also wish to promote other types of insight they gather, and how this information is used to make improvements to the passenger experience, in their passenger facing documents. ## Core Standard 3: Organisational Culture 3.69 This core standard provides an overview of what we will wish to see in terms of overall organisational culture, in particular the mechanisms by which complaints data is used to shape and inform service improvements and address root causes of complaints. ## Organisational Ownership And Commitment 3.70 An organisation which values complaints as a way to deliver insight on the performance of its business and a way to increase passenger satisfaction is likely to gain reputational and commercial advantage. Complaints handling processes should be subject to high level governance and accountability with an overarching shared vision for complaints handling forming part of the culture of the organisation. As part of this, management information on complaint volumes, trends and underlying causes should be regularly viewed at Board level so that systemic issues can be identified and addressed. 3.71 Learning from complaints is a powerful way of increasing trust and confidence amongst passengers. If a passenger knows that their complaint has helped to improve service delivery, it will encourage repeat engagement to the benefit of the business. 3.72 We are keen to see that licence holders adopt values which in turn shape behaviour in relation to complaints handling. 3.73 A licence holder could demonstrate such a commitment by, for example, showing:  a link between strategic, service and team plans that help all staff to understand the central importance of complaints handling and the cycle of continuous improvement; and/or  having commitments to include complaints handling in key strategies or operational plans. 3.74 We give some non-exhaustive examples of how this could be demonstrated below. ## Example 1: Complaints handling could be a key proposition within marketing and publicity plans which detail the importance of listening to passengers and using complaints themes and trends to improve the quality of service offered. ## Example 2: Customer engagement plans could include introducing a service improvement panel made up of, for example, a cross section of past complainants including those with special needs or English as a second language. ## Example 3: Contingency plans could take into account the need to ensure that sufficient resources are directed to complaints handling and complaint prevention where there have been major timetable delays due to overrunning engineering works or weather. ## 4. Compliance Monitoring Summary This chapter sets out how ORR expects to monitor on-going compliance with licence holders' CHPs and the steps that ORR might take when concerned that individual CHPs may not be supporting our objective of continuous improvements in passengers' experience of rail. ## Orr'S Monitoring Approach 4.1 We do not intend to carry out detailed annual reviews of licence holders' CHPs, but we reserve the right to do this where there is evidence of systemic issues not being addressed or a significant decrease in service performance. In addition, we will continue to monitor for compliance and the effectiveness of individual CHPs by the scrutiny of evidence such as:  Core data sets, including information on the number, type, and underlying cause of complaints.  The ease with which passengers can make complaints, for example the accessibility of website information, passenger information leaflets provided at stations and information made available through social media.  Other relevant information published by licence holders such as the level of proactivity around communicating entitlements to compensation.  Feedback from TF and LTW and other third parties including, for example, the results of mystery shopping exercises.  Bespoke research conducted by ORR or in conjunction with TF and LTW.  Consumer insight gained by way of individual consumer complaints made to ORR, TF and LTW. 4.2 Where there is evidence to suggest that a licence holder is not achieving compliance and/or a CHP is not supporting our objective of continuous improvements in passengers' experience of rail, we may:  Request additional information.  Require a licence holder to conduct a review of its CHP and report findings to ORR.  Carry out an independent audit as described below. 4.3 An independent audit could cover:  A representative sample of complaints received including those not resolved by the licence holder and taken up by TF or LTW.  Complaints that have required licence holders to seek legal advice.  The complaints handling management system including how complaints are recorded and tracked from initiation to completion.  Evidence that robust feedback mechanisms exist to both identify and address systemic issues and improve company policies and processes.  Evidence that the Board is aware of and understands the volume, type and reasons for passenger complaints and is taking sufficient action to address issues.  How the licence holder satisfies itself that its staff are competent to carry out complaint handling, including any training material and guidance provided to staff.  Details of quality control and internal audit processes.  Evidence of how a licence holder monitors the sensitivity of its staff to equality and diversity issues and how shortfalls are addressed.  The commissioning of independent research to further investigate evidence of potential non-compliance. 4.4 As a matter of standard practice, we will raise our concerns with the licence holder prior to taking any of these measures. 4.5 Where (following engagement with the licence holder) we continue to have concerns, we will consider taking action in accordance with our enforcement policy10. 4.6 We intend to publish CHPs approval letters on our website, highlighting what we consider to be good practice and innovation amongst licence holders to encourage shared learning and insight across industry. The development of new complaints handling datasets provides us with an opportunity to present meaningful data which, when combined with narrative, will present a more representative picture of complaints handling across the sector. ## Annex A - Licence Condition 6: Complaint Handling The licence holder shall establish and thereafter comply with a procedure for handling complaints relating to Licenced activities from its customers and potential customers (the "Complaints Procedure"). The licence holder shall not establish, or make any material change (save in respect of paragraph 3(b)), to the Complaints Procedure unless and until: (a) Transport Focus and, where appropriate, London TravelWatch has been consulted; and (b) The licence holder has submitted the Complaints Procedure, or (as the case may be) the proposed change, to ORR and ORR has approved it. Where ORR requires the licence holder to carry out a review of the Complaints Procedure or any part of it or the manner in which it has been implemented, with a view to determining whether any change should be made to it, the licence holder shall: (a) promptly carry out a review and submit a written report to ORR setting out the results or conclusions; and (b) make such changes to the Complaints Procedure, or the manner in which it is implemented, as ORR may reasonably require after ORR has received a report under paragraph (a) above and consulted the licence holder, Transport Focus and, where appropriate, London Travel Watch. The licence holder shall: (a) send a copy of the Complaints Procedure and of any change to it to ORR and Transport Focus and, where appropriate, London Travel Watch; (b) in a place of reasonable prominence at each station at which trains operated by the licence holder are scheduled to call, display or procure the display of a notice giving the address from which a current copy of the Complaints Procedure may be obtained; and (c) Make available free of charge a current copy of the Complaints Procedure to any person who requests it. ## Annex B: Glossary ADR **Directive** - Alternative Dispute Resolution Directive CAHA - Claims Allocation and Handling Agreement CHPs - Complaints Handling Procedures CRMs - Customer Relationship Management Systems DDA - Disabilities Discrimination Act 1995 DPA - Data Protection Act 1998 Equality Act - The Equality Act 2010 ICO - Information Commissioner's Office LTW - London TravelWatch LUL - London Underground Limited NRCoC –National Rail Conditions of Carriage ORR - Office of Rail and Road TF - Transport Focus RIDDOR - Reporting of Injuries Diseases and Dangerous Occurrences TfL –Transport for London For a detailed glossary of terms access the following link http://orr.gov.uk/glossary

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# إرﺷﺎدات ﺣﻮل ﺗﺪرﯾﻊ وﺣﻤﺎﻳﺔ اﻷﺷﺨﺎص اﻟﻤﻌﺮﺿﯿﻦ ﻟﻺﺻﺎﺑﺔ ﺑﻔﯿﺮوس Covid-19 ﺗﻢ اﻟﺘﺤﺪﻳﺚ ﻓﻲ7 ﯾﻨﺎﯾﺮ2021 ## ﻟﻤﻦ ھﺬا اﻟﺪﻟﯿﻞ # ھﺬا اﻟﺪﻟﯿﻞ ﻣﺨﺼﺺ ﻟﻜﻞ ﺷﺨﺺ ﻓﻲ إﻧﺠﻠﺘﺮا ﻣﻤﻦ ﺗﻢ ﺗﺤﺪﻳﺪھﻢ ﻋﻠﻰ أﻧﮭﻢ ﺳﺮﻳﺮﻳًﺎ ﻣﻌﺮﺿﯿﻮن ﻟﻠﺨﻄﺮ ﺑﺸﺪة . إذا ﻛﻨﺖ ﻓﻲ ھﺬه اﻟﻤﺠﻤﻮﻋﺔ ، ﻓﺴﺘﻜﻮن ﻗﺪ ﺗﻠﻘﯿﺖ ﺳﺎﺑﻘًﺎ ﺧﻄﺎﺑًﺎ ﻣﻦ اﻟـNHS أو ﻣﻦ طﺒﯿﺒﻚ اﻟﻌﺎم ﻳﺨﺒﺮك ﺑﺬﻟﻚ. رﺑﻤﺎ ﺗﻢ .ﻧﺼﺤﻚ ﺑﺎﻟﺘﺪرﯾﻊ ﻓﻲ اﻟﻤﺎﺿﻲ ﺗﻨﻄﺒﻖ ھﺬه اﻹرﺷﺎدات ﻋﻠﻰ اﻷﻓﺮاد اﻟﻤﻌﺮﺿﯿﻦ ﻟﻠﺨﻄﺮ ﺳﺮﻳﺮﻳًﺎ ﻓﻘﻂ. ﻻ ﻳُﻨﺼﺢ اﻵﺧﺮون اﻟﺬﻳﻦ ﻳﻌﯿﺸﻮن ﻓﻲ ﻣﻨﺰل ﻣﻊ ﺷﺨﺺ ﻣﻌﺮض ﻟﻠﺨﻄﺮ اﻟﺸﺪﻳﺪ ﺳﺮﻳ ﺮﻳًﺎ .ﺑﺎﺗﺒﺎع ھﺬه اﻹرﺷﺎدات ﺑﺪﻻً ﻣﻦ ذﻟﻚ، ﻳﺠﺐ ﻋﻠﯿﮭﻢ اﻻﺳﺘﻤﺮار ﻓﻲ ﺣﻀﻮر اﻟﻌﻤﻞ واﻟﻤﺪرﺳﺔ وﻓﻘًﺎ ﻟﻠﻨﺼﺎﺋﺢ اﻟﻌﺎﻣﺔ واﻟﻠﻮاﺋﺢ اﻟﻤﻨﺼﻮص ﻋﻠﯿﮭﺎ ﻓﻲ إرﺷﺎدات اﻟﻘﯿﻮد اﻟﻮطﻨﯿﺔ اﻋﺘﺒﺎرًا ﻣﻦ 5 ﯾﻨﺎﯾﺮ 2021 . ﺳﯿﺤﺼﻞ اﻷﺷﺨﺎص اﻟﻤﻌﺮﺿﻮن ﻟﻠﺨﻄﺮ ﺳﺮﻳﺮﻳًﺎ ﻋﻠﻰ أوﻟﻮﻳﺔ اﻟﺤﺼﻮل ﻋﻠﻰ اﻟﺘﻄﻌﯿﻢ ﺿﺪCOVID-19 ﻗﺒﻞ ﻋﺎﻣﺔ اﻟﺴﻜﺎن وﺑﻤﺎ ﻳﺘﻤﺎﺷﻰ ﻣﻊ ﺗﺮﺗﯿﺐ اﻷوﻟﻮﻳﺎت ) اﻟﺬي ﺣﺪدﺗﻪ اﻟﻠﺠﻨﺔ اﻟﻤﺸﺘﺮﻛﺔ ﻟﻠﺘﻠﻘﯿﺢ واﻟﺘﺤﺼﯿﻦJCVI (. ﺳﯿﺘﻢ اﻻﺗﺼﺎل ﺑﻚ ﻣﺮة أﺧﺮى ﻣﻦ ﻗﺒﻞNHS ﻟﺘﺰوﻳﺪك ﺑﻤﺰﻳﺪ ﻣﻦ اﻟﻤﻌﻠﻮﻣﺎت ﺣﻮل ﻣﺘﻰ وﻛﯿﻒ ﺳﺘﺘﻢ .دﻋﻮﺗﻚ ﻟﻠﺤﺼﻮل ﻋﻠﻰ اﻟﻠﻘﺎح ﻣﻦ اﻟﻤﺤﺘﻤﻞ أن ﻳﻘﺪم اﻟﻠﻘﺎح ﻣﺴﺎھﻤﺔ ﻣﮭﻤﺔ ﻓﻲ ﺣﻤﺎﻳﺘﻚ ﻣﻦCOVID-19 . ﻣﻦ اﻟﻤﺘﻮﻗﻊ أن ﻳﺘﻠﻘﻰ اﻷﺷﺨﺎص اﻟﻤﻌﺮﺿﻮن ﻟﻠﺨﻄﺮ ﺳﺮﻳﺮﻳًﺎ ﻟﻘﺎﺣًﺎ ﺿﺪCOVID-19 ﻗﺒﻞ ﻋﺎﻣﺔ اﻟﺴﻜﺎن. ﺳﺘﻀﻤﻦNHS اﻟﻤﺤﻠﯿﺔ اﻟﺨﺎﺻﺔ ﺑﻚ أﻧﻪ ﻳﻤﻜﻨﻚ اﻟﺤﺼﻮل ﻋﻠﻰ اﻟﻠﻘﺎح ﺑﺄﻣﺎن ﻗﺪر اﻹﻣﻜﺎن ، ﺑﺎﻹﺿﺎﻓﺔ إﻟﻰ أﻳ ﺔ رﻋﺎﻳﺔ ودﻋﻢ ﻣﻄﻠﻮﺑﯿﻦ. ﺣﺘﻰ إذا ﻛﻨﺖ ﻗﺪ ﺗﻨﺎوﻟﺖ ﺟﺮﻋﺘﯿﻦ ﻣﻦ اﻟﻠﻘﺎح ، ﻓﯿﺠﺐ ﻋﻠﯿﻚ اﻻﺳﺘﻤﺮار ﻓﻲ اﺗﺒﺎع ﻧﺼﯿﺤﺔ اﻟﺤﻤﺎﻳﺔ ھﺬه ﺣﺘﻰ إﺷﻌﺎر آﺧﺮ ، ﺣﯿﺚ ﻧﻮاﺻﻞ ﺗﻘﯿﯿﻢ ﺗﺄﺛﯿﺮ اﻟﺘﻄﻌﯿﻢ ﺑﯿﻦ ﺟﻤﯿﻊ اﻟﻔﺌﺎت. ﻳﺠﺐ أن ﻳﺴﺘﻤﺮ اﻷﺷﺨﺎص اﻟﺬﻳﻦ ﺗﻌﯿﺶ ﻣﻌﮭﻢ ﻓﻲ اﺗﺒﺎع ﻗﻮاﻋﺪ وإرﺷﺎدات اﻟﺼﺤﺔ اﻟﻌﺎﻣﺔ طﺎﻟﻤﺎ ﻛﺎﻧﺖ ﻣﻮﺟﻮدة ، ﺑﻤﺎ ﻓﻲ ذﻟﻚ ﻣﺎ إذا ﻛﻨﺖ ﻗﺪ .ﺗﻠﻘﯿﺖ اﻟﻠﻘﺎح وأﻳﻀًﺎ ﻣﺎ إذا ﻛﺎﻧﻮا ﻗﺪ ﺗﻠﻘﻮا اﻟﻠﻘﺎح ## ﻣﺎ اﻟﺬي ﺗﻐﯿﺮ أﺻﺒﺤﺖ أﻋﺪاد ﺣﺎﻻتCOVID-19 ﻣﺮﺗﻔﻌﺔ ﻟﻠﻐﺎﻳﺔ اﻵن وﺗﺘﺰاﻳﺪ ﺑﺴﺮﻋﺔ ﻓﻲ ﺟﻤﯿﻊ أﻧﺤﺎء اﻟﺒﻼد ، ﻣﺪﻓﻮﻋﺔ ﺑﺎﻟﺴﻼﻟﺔ ا ﻟﺠﺪﻳﺪة ﻟـ COVID-19 . ﻳﺘﻌﯿﻦ ﻋﻠﻰ اﻟﺠﻤﯿﻊ ﻓﻲ إﻧﺠﻠﺘﺮا ، ﺑﻤﺎ ﻓﻲ ذﻟﻚ أوﻟﺌﻚ اﻟﺬﻳﻦ ﻳﻌﺎﻧﻮن ﻣﻦ ﺿﻌﻒ ﺷﺪﻳﺪ ﻣﻦ اﻟﻨﺎﺣﯿﺔ اﻟﺴﺮﻳﺮﻳﺔ ، اﺗﺒﺎع إرﺷﺎدات اﻹﻏﻼق اﻟﻮطﻨﯿﺔ اﻟﺠﺪﻳﺪة ، اﻟﺘﻲ وﺿﻌﺘﮭﺎ اﻟﺤﻜﻮﻣﺔ و ﻳﻨﻄﺒﻖ ﻋﻠﻰ ﺟﻤﯿﻊ اﻟﺴﻜﺎن. ھﺬه اﻟﻘﯿﻮد: 1 . ﺗﻄﻠﺐ ﻣﻦ اﻟﻨﺎس اﻟﺒﻘﺎء ﻓﻲ اﻟﻤﻨﺰل، ﺑﺎﺳﺘﺜﻨﺎء اﻟﺨﺮوج ﻷﻏﺮاض ﻣﺤﺪدة 2 . .ﻣﻨﻊ اﻟﻨﺎس ﻣﻦ اﻟﺘﺠﻤﻊ ﻣﻊ ﻣﻦ ﻻ ﻳﻌﯿﺸﻮن ﻣﻌﮭﻢ، إﻻ ﻷﻏﺮاض ﻣﺤﺪدة 3 . .إﻏﻼق ﺑﻌﺾ اﻟﺸﺮﻛﺎت واﻷﻣﺎﻛﻦ 4 . دﻋﻢ اﻷطﻔﺎل واﻟﺸﺒﺎب ﻟﻠﺘﻌﻠﻢ ﻋﻦ ﺑﻌﺪ ﺣﺘﻰ ﻧﺼﻒ اﻟﻔﺼﻞ اﻟﺪراﺳﻲ ﻓﻲ ﻓﺒﺮاﻳﺮ ، ﺑﺎﺳﺘﺜﻨﺎء اﻷطﻔﺎل اﻟﻤﻌﺮﺿﯿﻦ ﻟﻠﺨﻄﺮ وأطﻔﺎل اﻟﻌﺎﻣﻠﯿﻦ اﻟﻤﮭﻤﯿﻦ اﻟﺬﻳﻦ ﻗﺪ .ﻳﺴﺘﻤﺮون ﻓﻲ اﻟﺬھﺎب إﻟﻰ اﻟﻤﺪرﺳﺔ ﺗﺘﻀﻤﻦ اﻟﻤﻌﻠﻮﻣﺎت اﻟﺠﺪﻳﺪة أدﻧﺎه إرﺷﺎدات إﺿﺎﻓﯿﺔ ﻟﻸﺷﺨﺎص اﻟﻤﻌﺮﺿﯿﻦ ﻟﻠﺨﻄﺮ ﺳﺮﻳﺮﻳًﺎ ، ﻟﻠﻤﺴﺎﻋﺪة ﻓﻲ ﺣﻤﺎﻳﺘﻚ ﻣﻦCOVID-19 . ﺳﻨﻜﺘﺐ ﻟﻚ أﻳﻀًﺎ ﻣﻊ ﻧﺴﺨﺔ .ﻣﻦ ھﺬا اﻟﺪﻟﯿﻞ ﺳﯿﺘﻢ ﺗﻄﺒﯿﻖ ﺗ ﺪاﺑﯿﺮ اﻟﺤﻤﺎﻳﺔ اﻟﺮﺳﻤﯿﺔ اﻟﺠﺪﻳﺪة ھﺬه ﻓﻲ ﺟﻤﯿﻊ أﻧﺤﺎء إﻧﺠﻠﺘﺮا .ﺧﻼل ﻓﺘﺮة اﻹﻏﻼق اﻟﻮطﻨﻲ اﻟﺘﻨﺸﺌﺔ اﻻﺟﺘﻤﺎﻋﯿﺔ ﺗﻌﻨﻲ اﻟﻘﯿﻮد اﻟﻮطﻨﯿﺔ اﻟﺠﺪﻳﺪة ، واﻟﺘﻲ ﺗﺴﺮي ﻋﻠﻰ اﻟﺠﻤﯿﻊ، أﻧﻪ ﻳﺠﺐ ﻋﻠﯿﻚ ﻋﺪم ﻣﻐﺎدرة ﻣﻨﺰﻟﻚ أو اﻟﺘﻮاﺟﺪ ﺧﺎرﺟﻪ، ﺑﺎﺳﺘﺜﻨﺎء ﻷﻏﺮاض ﻣﺤﺪودة واﻟﻤﻨﺼﻮص ﻋﻠﯿﮭﺎ ﻓﻲ ھﺬا اﻟﺪﻟﯿﻞ. ﻧﺤﻦ ﻧﻨﺼﺢ اﻷﺷﺨﺎص اﻟﻤﻌﺮﺿﯿﻦ ﻟﻠﺨﻄﺮ ﺳﺮﻳﺮﻳًﺎ ﺑﺸﺪة ﺑﺎﻟﺒﻘﺎء ﻓﻲ اﻟﻤﻨﺰل ﻗﺪر .اﻹﻣﻜﺎن ﻳﻤﻜﻨﻚ اﻟﺨﺮوج ﻣﻦ اﻟﻤﻨﺰل ، وﻟﻜﻦ ﺣﺎول اﻟﺤﻔﺎظ ﻋﻠﻰ ﻛﻞ اﻻﺗﺼﺎﻻت ﻣﻊ اﻵﺧﺮﻳﻦ .ﺧﺎرج أﺳﺮﺗﻚ ﻋﻨﺪ اﻟﺤﺪ اﻷدﻧﻰ ، وﺗﺠﻨﺐ اﻟﻤﻨﺎطﻖ اﻟﻤﺰدﺣﻤﺔ ﻻ ﻳﺰال ﺑﺈﻣﻜﺎﻧﻚ ﻣﻘﺎﺑﻠﺔ ﻓﻘﺎﻋﺔ اﻟﺪﻋﻢ اﻟﺨﺎﺻﺔ ﺑﻚ ، ﻟﻜﻦ ﻻ ﻳﻤﻜﻨﻚ ﻣﻘﺎﺑﻠﺔ اﻷﺻﺪﻗﺎء واﻟﻌﺎﺋﻠﺔ اﻟﺬﻳﻦ ﻻ ﺗﻌﯿﺶ ﻣﻌﮭﻢ إﻻ إذا ﻛﺎﻧﻮا ﺟﺰءًا ﻣﻦ ﻓﻘﺎﻋﺔ اﻟﺪﻋﻢ اﻟﺨﺎﺻﺔ ﺑﻚ. ﻓﻲ اﻟﮭﻮاء اﻟﻄﻠﻖ ، ﻳﻤﻜﻨﻚ ﻣﻘﺎﺑﻠﺔ ﺷﺨﺺ ﻣﻦ ﻣﻨﺰل آﺧﺮ ﻟﻤﻤﺎرﺳﺔ .اﻟﺮﻳﺎﺿﺔ. ھﺬا ﺟﺰء ﻣﻦ اﻟﻠﻮاﺋﺢ اﻟﻮطﻨﯿﺔ اﻷوﺳﻊ اﻟﺘﻲ ﺗﻨﻄﺒﻖ ﻋﻠﻰ اﻟﺠﻤﯿﻊ ﺣﺎول اﻟﺒﻘﺎء ﻋﻠﻰ ﺑﻌﺪ2 ﻣﺘﺮ ﻣﻦ اﻷﺷﺨﺎص اﻵﺧﺮﻳﻦ داﺧﻞ أﺳﺮﺗﻚ ، ﺧﺎﺻﺔً إذا .ظﮭﺮت ﻋﻠﯿﮭﻢ أﻋﺮاض اﻟﻔﯿﺮوس أو ﺗﻢ ﻧﺼﺤﮭﻢ ﺑﺎﻟﻌﺰل اﻟﺬاﺗﻲ اﻟﻌﻤﻞ ﻳُﻨﺼﺢ ﺑﺸﺪة ﺑﺎﻟﻌﻤﻞ ﻣﻦ اﻟﻤﻨﺰل ﻷن ﺧﻄﺮ اﻟﺘﻌﺮض ﻟﻠﻔﯿ ﺮوس ﻓﻲ ﻣﻨﻄﻘﺘﻚ ﻣﻦ اﻟﻤﻤﻜﻦ أن ﻳﻜﻮن أﻋﻠﻰ ﺑﻜﺜﯿﺮ ﺣﺎﻟﯿًﺎ. إذا ﻟﻢ ﺗﺘﻤﻜﻦ ﻣﻦ اﻟﻌﻤﻞ ﻣﻦ اﻟﻤﻨﺰل ، ﻓﻼ .ﻳﺠﺐ ﻋﻠﯿﻚ اﻟﺬھﺎب إﻟﻰ اﻟﻌﻤﻞ ﻗﺪ ﺗﺮﻏﺐ ﻓﻲ اﻟﺘﺤﺪث إﻟﻰ ﺻﺎﺣﺐ اﻟﻌﻤﻞ ﺣﻮل ﺗﻮﻟﻲ دور ﺑﺪﻳﻞ أو ﺗﻐﯿﯿﺮ أﻧﻤﺎط .ﻋﻤﻠﻚ ﻣﺆﻗﺘًﺎ ﻟﺘﻤﻜﯿﻨﻚ ﻣﻦ اﻟﻌﻤﻞ ﻣﻦ اﻟﻤﻨﺰل ﺣﯿﺜﻤﺎ أﻣﻜﻦ ذﻟﻚ إذا ﻛﻨﺖ ﺑﺤﺎﺟﺔ إﻟﻰ د ﻋﻢ ﻟﻠﻌﻤﻞ ﻓﻲ اﻟﻤﻨﺰل أو ﻓﻲ ﻣﻜﺎن اﻟﻌﻤﻞ ، ﻳﻤﻜﻨﻚ اﻟﺘﻘﺪم ﺑﻄﻠﺐ ﻟﻠﺤﺼﻮل ﻋﻠﻰ اﻟﻮﺻﻮل إﻟﻰ اﻟﻌﻤﻞ . ﺳﯿﻮﻓﺮ اﻟﻮﺻﻮل إﻟﻰ اﻟﻌﻤﻞ اﻟﺪﻋﻢ ﻟﺘﻜﺎﻟﯿﻒ اﻟﻌﻤﻞ اﻹﺿﺎﻓﯿﺔ اﻟﻤﺘﻌﻠﻘﺔ ﺑﺎﻹﻋﺎﻗﺔ واﻟﺘﻲ ﺗﺘﺠﺎوز اﻟﺘﻌﺪﻳﻼت اﻟﻘﯿﺎﺳﯿﺔ اﻟﻤﻌﻘﻮﻟﺔ اﻟﺘﻲ ﻳﺠﺐ ﻋ ﻠﻰ ﺻﺎﺣﺐ اﻟﻌﻤﻞ ﺗﻮﻓﯿﺮھﺎ. إذا ﻟﻢ ﺗﺘﻤﻜﻦ ﻣﻦ اﺗﺨﺎذ ﺗﺮﺗﯿﺒﺎت ﺑﺪﻳﻠﺔ ، ﻓﻘﺪ ﻳﻜﻮن ﺻﺎﺣﺐ اﻟﻌﻤﻞ ﻗﺎدرًا ﻋﻠﻰ ﻣﻨﺤﻚ ﻋﻄﻠﺔ ﺑﻤﻮﺟﺐ ﺧﻄﺔ اﻻﺣﺘﻔﺎظ ﺑﺎﻟﻮظﺎﺋﻒ ﺑﺴﺒﺐ ﻓﯿﺮوس ﻛﻮروﻧﺎ ) Scheme Retention Job Coronavirus ( ، اﻟﺬي ﺗﻢ ﺗﻤﺪﻳﺪه ﺣﺘﻰ ﻧﮭﺎﻳﺔ اﺑﺮﯾﻞ 2021 .. ﻳﺠﺐ أن ﺗﺘﺤﺪث ﻣﻊ ﺻﺎﺣﺐ اﻟﻌﻤﻞ ﺣﻮل إﻣﻜﺎﻧﯿﺔ ذﻟﻚ إذا ﻟﻢ ﺗﺘﻤﻜﻦ ﻣﻦ ﺣﻀﻮر اﻟﻌﻤﻞ ﻟﮭﺬا اﻟﺴﺒﺐ ، ﻓﻘﺪ ﺗﻜﻮن ﻣﺆھﻼً ﻟﻠﺤﺼﻮل ﻋﻠﻰ ) أﺟﺮ اﻟﻤﺮض اﻟﻘﺎﻧﻮﻧﻲSSP ) ( أو ﺑﺪل دﻋﻢ اﻟﺘﻮظﯿﻒESA (. ﺳﯿﻜﻮن إﺧﻄﺎر اﻟﺘﺪرﻳﻊ اﻟﺮﺳﻤﻲ اﻟﺬي ﺗﺘﻠﻘﺎه ﺑﻤﺜﺎﺑﺔ دﻟﯿﻞ ﻟﺼﺎﺣﺐ اﻟﻌﻤﻞ ﻓﻲ وزارة اﻟﻌﻤﻞ واﻟﻤﻌﺎﺷﺎت اﻟﺘﻘﺎﻋﺪﻳﺔ ﺑﺤﻤﺎﻳﺘﻪ ﺑﺄﻧﻪ ﺗﻢ ﻧُﺼﺤﻚ ﺑﺎﻟﺘﺪرﻳﻊ وﻗﺪ ﺗﻜﻮن ﻣﺆھﻼً ﻟﻠﺤﺼﻮل ﻋﻠﻰSSP أوESA . ﻳﺠﺐ أن ﻳﺴﺘﻤﺮ أﻓﺮاد اﻷﺳﺮة اﻟﺬﻳﻦ ﻻ ﻳﻌﺎﻧﻮن ﻣﻦ اﻟﻀﻌﻒ اﻟﺸﺪﻳﺪ ﺳﺮﻳﺮﻳًﺎ اﻟ ﺤﻀﻮر اﻟﯽ اﻟﻌﻤﻞ إذا ﻟﻢ ﻳﺘﻤﻜﻨﻮا ﻣﻦ اﻟﻌﻤﻞ ﻣﻦ اﻟﻤﻨﺰل، ﺑﻤﺎ ﻳﺘﻤﺎﺷﻰ ﻣﻊ اﻟﻘﻮاﻋﺪ اﻷوﺳﻊ اﻟﻤﻨﺼﻮص ﻋﻠﯿﮭﺎ ﻓﻲ ارﺷﺎدات اﻟﻘﯿﻮد اﻟﻮطﻨﯿﺔ. ## اﻹﻋﺪادات اﻟﺨﺎﺻﺔ ﺑﺎاﻟﺘﻌﻠﯿﻢ ﻣﻊ ﺗﺰاﻳﺪ ﻣﻌﺮﻓﺘﻨﺎ ﺑـCOVID-19 ، ﻧﻌﻠﻢ اﻵن أن ﻋﺪدًا ﻗﻠﯿﻼً ﺟﺪًا ﻣﻦ اﻷطﻔﺎل ، واﻟﺸﺒﺎب ھﻢ اﻷﻛﺜﺮ ﻋﺮﺿﺔ ﻟﺨﻄﺮ اﻹﺻﺎﺑﺔ ﺑﻤﺮض ﺷﺪﻳﺪ ﺑﺴﺒﺐ اﻟﻔﯿﺮوس. ﻟﺬﻟﻚ ﻳﻘﻮم اﻷطﺒﺎء ﺑﻤﺮاﺟﻌﺔ ﺟﻤﯿﻊ اﻷطﻔﺎل واﻟﺸﺒﺎب اﻟﺬﻳﻦ ﺗﻢ ﺗﺤﺪﻳﺪھﻢ ﻓﻲ اﻟﺒﺪاﻳﺔ ﻋﻠﻰ أﻧﮭﻢ ﻣﻌﺮﺿﻮن ﺑﺸﺪة ﻟﻺﺻﺎﺑﺔ ﺳﺮﻳﺮﻳًﺎ ﻟﺘﺄﻛﯿﺪ ﻣﺎ إذا ﻛﺎﻧﻮا ﻻ ﻳﺰاﻟﻮن ﻳُﻌﺘﻘﺪ .أﻧﮭﻢ ﻣﻌﺮﺿﻮن ﻟﺨﻄﺮ ﻛﺒﯿﺮ إذا ﻛﻨﺖ ﻗﺪ ﻧﺎﻗﺸﺖ ھﺬا اﻷﻣﺮ ﺑﺎﻟﻔﻌﻞ ﻣﻊ أطﺒﺎء طﻔﻠﻚ وأﻛﺪوا أن طﻔﻠﻚ ﻻ ﻳﺰال .ﻳﺸﻜﻞ ﺧﻄﺮًا ﻛﺒﯿﺮًا ، ﻓﯿﺠﺐ ﻋﻠﻰ طﻔﻠﻚ اﺗﺒﺎع إرﺷﺎدات اﻟﺤﻤﺎﻳﺔ ﺑﻤﻮﺟﺐ اﻹﻏﻼق اﻟﻮطﻨﻲ اﻟﺤﺎﻟﻲ ، ﺳﯿﺘﻌﻠﻢ اﻷطﻔﺎل ﻋﻦ ﺑﻌﺪ ﺣﺘﻰ ﻧﺼﻒ اﻟﻔﺼﻞ اﻟﺪراﺳﻲ ﻓﻲ ﻓﺒﺮاﻳﺮ ، ﺑﺎﺳﺘﺜﻨﺎء اﻷطﻔﺎل اﻟ ﻀﻌﻔﺎء وأطﻔﺎل اﻟﻌﺎﻣﻠﯿﻦ اﻟﻤﮭﻤﯿﻦ .اﻟﺬﻳﻦ ﻗﺪ ﻻ ﻳﺰاﻟﻮن ﻳﺬھﺒﻮن إﻟﻰ اﻟﻤﺪرﺳﺔ ﻳُﻨﺼﺢ اﻷطﻔﺎل اﻟﻤﻌﺮﺿﻮن ﻟﻠﺨﻄﺮ ﺳﺮﻳﺮﻳًﺎ ﺑﻌﺪم اﻟﺬھﺎب إﻟﻰ اﻟﻤﺪرﺳﺔ ، ﻷن ﺧﻄﺮ اﻟﺘﻌﺮض ﻟﻠﻔﯿﺮوس ﻓﻲ ﻣﻨﻄﻘﺘﻚ ﻣﺮﺗﻔﻊ ﺟﺪًا ﺣﺎﻟﯿًﺎ. ﺳﺘﺘﺨﺬ ﻣﺪرﺳﺘﻚ أو اﻟﻜﻠﯿﺔ اﻟﺨﺎﺻﺔ ﺑﻚ اﻟﺘﺮﺗﯿﺒﺎت اﻟﻤﻨﺎﺳﺒﺔ ﻟﻚ ﻟﺘﺘﻤﻜﻦ ﻣﻦ ﻣﻮاﺻﻠﺔ ﺗﻌﻠﯿﻤﻚ ﻓﻲ اﻟﻤﻨﺰل. ## اﻟﺴﻔﺮ ﻳُﻨﺼﺢ ﺑﺎﻟﺒﻘﺎء ﻓﻲ اﻟﻤﻨﺰل ﻗﺪر اﻹﻣﻜﺎن وﻋﺪم اﻟﺴﻔﺮ إﻻ ﻓﻲ ﺣﺎﻟﺔ اﻟﻀﺮورة )ﻋﻠﻰ .(ﺳﺒﯿﻞ اﻟﻤﺜﺎل, ﻟﺤﺼﻮر ﻣﯿﻌﺎد ﺧﺎص ﺑﺎﻟﺼﺤﺔ ## اﻟﺘﺴﻮق ، ﻳُﻨﺼﺢ ﺑﻌﺪم اﻟﺬھﺎب إﻟﻰ اﻟﻤﺘﺎﺟﺮ. اﺳﺘﺨﺪم اﻟﺘﺴﻮق ﻋﺒﺮ اﻹﻧﺘﺮﻧﺖ إذا اﺳﺘﻄﻌﺖ أو اطﻠﺐ ﻣﻦ اﻵﺧﺮﻳﻦ ﺟﻤﻊ وﺗﺴﻠﯿﻢ اﻟﺘﺴﻮق ﻧﯿﺎﺑﺔ ﻋﻨﻚ )اﻷﺻﺪﻗﺎء واﻟﻌﺎﺋﻠﺔ ، أو اﻟﻤﺘﻄﻮﻋﯿﻦ اﻟﻤﺤﻠﯿﻦ أو اﻟﻤﺘﻄﻮﻋﯿﻦ اﻟﺘﺎﺑﻌﯿﻦ ﻟﺨﺪﻣﺎت اﻟﺼﺤﺔ اﻟﻮطﻨﯿﺔ NHS Responders Volunteer .( ﻳﻤﻜﻨﻚ اﻟﺘﺴﺠﯿﻞ ﻟﻄﻠﺐ اﻟﻮﺻﻮل إﻟﻰ ﺷﺤﻨﺎت اﻟﺴﻮﺑﺮ ﻣﺎرﻛﺖ ذات اﻷوﻟﻮﻳﺔ ، إذا ﻟﻢ ﻳﻜﻦ ﻟﺪﻳﻚ ﺷﺨﺺ ﻳﻤﻜﻨﻚ اﻻﻋﺘﻤﺎد ﻋﻠﯿﻪ ﻟﻠﺬھﺎب ﻟﻠﺘﺴﻮق ﻣﻦ أﺟﻠﻚ. إذا ﻛﺎن ، ﻟﺪﻳﻚ ﺑﺎﻟﻔﻌﻞ أوﻟﻮﻳﺔ اﻟﻮﺻﻮل إﻟﻰ ﻓﺘﺤﺔ ﺗﻮﺻﯿﻞ اﻟﺴﻮﺑﺮ ﻣﺎرﻛﺖ ﻓﺴﯿﺴﺘﻤ ﺮ ذﻟﻚ - ﻟﺴﺖ ﺑﺤﺎﺟﺔ إﻟﻰ اﻟﻘﯿﺎم ﺑﺄي ﺷﻲء آﺧﺮ. ﻋﻨﺪ اﻟﺘﺴﺠﯿﻞ ﺳﯿُﻄﻠﺐ ﻣﻨﻚ رﻗﻢNHS اﻟﺨﺎص ﺑﻚ. ﻳﻤﻜﻨﻚ اﻟﻌﺜﻮر ﻋﻠﯿﻪ ﻓﻲ أي ﺧﻄﺎب أرﺳﻠﺘﻪ ﻟﻚNHS .أو ﺑﻮﺻﻔﺔ طﺒﯿﺔ اﻟﺘﺴﺠﯿﻞ ﻓﻲ اﻟﻤﻮﻗﻊ ﻳﻤﻨﺤﻚ اﻷوﻟﻮﻳﺔ ﻓﻘﻂ. ھﺬا ﻻ ﻳﻌﻨﻲ أﻧﻚ ﺳﺘﺤﺼﻞ ﺑﺎﻟﺘﺄﻛﯿﺪ ﻋﻠﻰ ﻣﯿﻌﺎد ﺗﻮﺻﯿﻞ. إذا ﻛﻨﺖ ﺗﺮﻏﺐ ﻓﻲ اﻟﻮﺻﻮل إﻟﻰ ﺧﺪ ﻣﺎت ﺗﺴﻠﯿﻢ ﺳﻮﺑﺮ ﻣﺎرﻛﺖ ذات اﻷوﻟﻮﻳﺔ ، ﻓﺴﺘﺤﺘﺎج أﻳﻀًﺎ إﻟﻰ إﻧﺸﺎء ﺣﺴﺎب ﻓﻲ ﺳﻮﺑﺮ ﻣﺎرﻛﺖ واﺣﺪ .ﻋﻠﻰ اﻷﻗﻞ وﺗﻘﻮم ﺑﺤﺠﺰ ﻣﯿﻌﺎد اﻟﺘﻮﺻﯿﻞ ﺑﻨﻔﺴﻚ إذا ﻛﻨﺖ ﺑﺤﺎﺟﺔ إﻟﻰ أﺷﻜﺎل أﺧﺮى ﻣﻦ اﻟﻤﺴﺎﻋﺪة ، ﺑﻤﺎ ﻓﻲ ذﻟﻚ اﻟﺪﻋﻢ ﻟﻠﺘﺴﺠﯿﻞ ﻓﻲ ﻣﻮاﻋﯿﺪ ﺗﻮﺻﯿﻞ اﻟﺴﻮﺑﺮ ﻣﺎرﻛﺖ ذات اﻷوﻟﻮﻳﺔ ، ﻓﯿﺠﺐ ﻋﻠﯿﻚ اﻻﺗﺼ ﺎل ﺑﺎﻟﻤﺠﻠﺲ اﻟﻤﺤﻠﻲ ﻣﺒﺎﺷﺮة. اﻛﺘﺸﻒ ﻛﯿﻒ ﻳﻤﻜﻦ أن ﻳﺴﺎﻋﺪك اﻟﻤﺠﻠﺲ اﻟﻤﺤﻠﻲ .اﻟﺨﺎص ﺑﻚ اﻷدوﻳﺔ .ﻳُﻨﺼﺢ ﺑﻘﻮة ﺑﻌﺪم اﻟﺬھﺎب إﻟﻰ اﻟﺼﯿﺪﻟﯿﺔ ﻓﻲ اﻟﻤﻘﺎم اﻷول ، ﻳﺠﺐ أن ﺗﺴﺄل ﻋﻤﺎ إذا ﻛﺎن ﺑﺈﻣﻜﺎن أي أﺻﺪﻗﺎء أو أﺳﺮة أو .ﻣﺘﻄﻮﻋﯿﻦ اﺣﻀﺎر اﻷدوﻳﺔ ﻟﻚ إذا ﻟﻢ ﻳﺘﻤﻜﻦ اﻷﺻﺪﻗﺎء واﻟﻌﺎﺋﻠﺔ ﻣﻦ اﺣﻀﺎر اﻷدوﻳﺔ اﻟﺨﺎﺻﺔ ﺑﻚ ، وأﻧﺖ و / أو اﻟﺼﯿﺪﻟﯿﺔ ﻏﯿﺮ ﻗﺎدرﻳﻦ ﻋﻠﻰ ﺗﺮﺗﯿﺐ ﻣﺘﻄﻮع، ﻓﺴﺘﻜﻮن ﻣﺆھﻼً ﻟﺘﻮﺻﯿﻞ اﻷدوﻳﺔ ﻣﺠﺎﻧًﺎ. ﻳﺮﺟﻰ اﻻﺗﺼﺎل ﺑﺎﻟﺼﯿﺪﻟﯿﺔ اﻟﺨﺎﺻﺔ ﺑﻚ ﻹﺑﻼﻏﮭﻢ ﺑﺄﻧﻚ ﺳﺮﻳﺮﻳًﺎ ﻣﻌﺮض ﻟﻠﺨﻄﺮ وﺗﺤﺘﺎج إﻟﻰ ﺗﻮﺻﯿﻞ ا ﻷدوﻳﺔ اﻟﺨﺎﺻﺔ ﺑﻚ ، وﺳﻮف ﻳﺮﺗﺒﻮن ذﻟﻚ ﻣﺠﺎﻧًﺎ. اﻟﻮﺻﻮل اﻟﯽ اﻟﺮﻋﺎﻳﺔ واﻟﺪﻋﻢ ﻻ ﻳﺰال ﺑﺈﻣﻜﺎﻧﻚ ﺗﻠﻘﻲ رﻋﺎﻳﺔ ﻏﯿﺮ رﺳﻤﯿﺔ ﻓﻲ اﻟﻤﻨﺰل ﻣﻦ أﺷﺨﺎص داﺧﻞ ﻓﻘﺎﻋﺔ اﻟﺪﻋﻢ .اﻟﺨﺎﺻﺔ ﺑﻚ ﻻ ﻳﺰال ﺑﺈﻣﻜﺎﻧﻚ ﺗﻠﻘﻲ اﻟﺮﻋﺎﻳﺔ ﻓﻲ اﻟﻤﻨﺰل ﻣﻦ اﻟﻤﺘﺨﺼﺼﯿﻦ ﻓﻲ اﻟﺮﻋﺎﻳﺔ .اﻻﺟﺘﻤﺎﻋﯿﺔ واﻟﻄﺒﯿﺔ ﻧﺤﺜﻚ ﻋﻠﻰ ﻣﻮاﺻﻠﺔ طﻠﺐ اﻟﺪﻋﻢ ﻣﻦNHS وﻣﻘﺪﻣﻲ اﻟﺨﺪﻣﺎت اﻟﺼﺤﯿﺔ اﻵﺧﺮﻳ ﻦ .ﻟﻈﺮوﻓﻚ اﻟﺼﺤﯿﺔ اﻟﺤﺎﻟﯿﺔ وأي ﻣﺨﺎوف ﺻﺤﯿﺔ ﺟﺪﻳﺪة ﻳﻤﻜﻨﻚ اﻟﻮﺻﻮل إﻟﻰ ﻣﺠﻤﻮﻋﺔ ﻣﻦ ﺧﺪﻣﺎت اﻟـNHS ﻣﻦ اﻟﻤﻨﺰل ، ﺑﻤﺎ ﻓﻲ ذﻟﻚ طﻠﺐ اﻟﻮﺻﻔﺎت اﻟﻄﺒﯿﺔ اﻟﻤﺘﻜﺮرة أو اﻻﺗﺼﺎل ﺑﺄﺧﺼﺎﺋﻲ اﻟﺼﺤﺔ ﻣﻦ ﺧﻼل اﺳﺘﺸﺎرة .ﻋﺒﺮ اﻹﻧﺘﺮﻧﺖ ﻟﻤﻌﺮﻓﺔ اﻟﻤﺰﻳﺪ، ﺗﻔﻀﻞ ﺑﺰﻳﺎرة Home at Health ، أو ﻗﻢ ﺑﺘﻨﺰﻳﻞ ﺗﻄﺒﯿﻖ اﻟـ NHS App . إذا ﻛﺎﻧﺖ ﻟﺪﻳﻚ ﺣﺎﺟﺔ طﺒﯿﺔ ﻋﺎﺟﻠﺔ ، اﺗﺼﻞ ﺑـNHS 111 أو ، ﻓﻲ ﺣﺎﻟﺔ اﻟﻄﻮارئ اﻟﻄﺒﯿﺔ ، اﺗﺼﻞ ﺑﺎﻟﺮﻗﻢ999 إذا ﻛﻨﺖ ﺑﺤﺎﺟﺔ إﻟﻰ ﺗﻠﻘﻲ اﻟﺮﻋﺎﻳﺔ ﺷﺨﺼﯿًﺎ، ﻳﻤﻜﻨﻚ ذﻟﻚ. ﺧﺪﻣﺎتNHS اﻟﻤﺤﻠﯿﺔ .اﻟﺨﺎﺻﺔ ﺑﻚ ﻣﺴﺘﻌﺪة ﺟﯿﺪًا وﺳﺘﺘﺨﺬ إﺟﺮاءات ﻟﻠﺤﻔﺎظ ﻋﻠﻰ ﺳﻼﻣﺘﻚ ﻣﻦ اﻟﻤﮭﻢ أﻳﻀًﺎ أن ﺗﻌﺘﻨﻲ ﺑﺼﺤﺘﻚ اﻟﻌﻘﻠﯿﺔ. ﻳﻘﺪم ﻣﻮﻗﻊ Mind Every Matters ﻧﺼﺎﺋﺢ وﺧﻄﻮات ﻋﻤﻠﯿﺔ ﻳﻤﻜﻨﻚ اﺗﺨﺎذھﺎ ﻟﺪﻋﻢ ﺻﺤﺘﻚ اﻟﻌﻘﻠﯿﺔ وإدارة ﺻﺤﺘﻚ اﻟﻌﻘﻠﯿﺔ أﺛﻨﺎء ھﺬا اﻟﻮﺑﺎء. إذا ﻛﻨﺖ أﻧﺖ أو أي ﺷﺨﺺ ﺗﮭﺘﻢ ﺑﻪ ﻳﻌﺎﻧﻲ ﻣﻦ أزﻣﺔ ﻓﻲ اﻟﺼﺤﺔ اﻟﻌﻘﻠﯿﺔ ، ﻓﻨﺤﻦ ﻧﺤﺜﻚ ﻋﻠﻰ اﻻﺗﺼﺎل ﺑﺄﺧﺼﺎﺋﻲ ﺻﺤﺔ ﻣﺤﻠﻲ .ﻋﻠﻰ اﻟﻔﻮر ﻳﻤﻜﻦ ﻷي ﻣﻦ ﻣﻘﺪﻣﻲ اﻟﺮﻋﺎﻳﺔ أو اﻟﺰوار اﻟﺬﻳﻦ ﻳﺪﻋﻤﻮﻧﻚ ﻓﻲ ﺗﻠﺒﯿﺔ اﺣﺘﯿﺎﺟﺎﺗﻚ اﻟﯿﻮﻣﯿﺔ اﻻﺳﺘﻤﺮار ﻓﻲ اﻟﺰﻳﺎرة. ﻳﻨﻄﺒﻖ ھﺬا أﻳﻀًﺎ ﻋﻠﻰ اﻷطﻔﺎل أو اﻟﺸﺒﺎب اﻟﺬﻳﻦ ﺗﺮﻋﺎھﻢ. ﻳﺠﺐ أن ﻳﺘﺒﻌﻮا إرﺷﺎدات اﻟﺘﺒﺎﻋﺪ اﻻﺟﺘﻤﺎﻋﻲ ﺣﯿﺚ ﻻ ﻳﻠﺰم اﻻﺗﺼﺎل .اﻟﻮﺛﯿﻖ أو اﻟﺸﺨﺼﻲ ﻳﺠﺐ ﻋﻠﯿﻚ اﻻﺳﺘﻤﺮار ﻓ ﻲ اﻟﻮﺻﻮل إﻟﻰ اﻟﺪﻋﻢ ﻣﻦ اﻟﺠﻤﻌﯿﺎت اﻟﺨﯿﺮﻳﺔ واﻟﻤﻨﻈﻤﺎت اﻟﻤﺤﻠﯿﺔ ، ﺑﺎﻹﺿﺎﻓﺔ إﻟﻰ اﻟﻤﺴﺘﺠﯿﺒﯿﻦ اﻟﻤﺘﻄﻮﻋﯿﻦ ﻓﻲNHS . ﺑﺎﻹﺿﺎﻓﺔ إﻟﻰ اﻟﻤﺴﺎﻋﺪة ﻓﻲ اﻟﺘﺴﻮق وﺗﺴﻠﯿﻢ اﻷدوﻳﺔ، ﻳﻤﻜﻦ ﻟﻠﻤﺴﺘﺠﯿﺒﯿﻦ اﻟﻤﺘﻄﻮﻋﯿﻦ ﻓﻲNHS اﻟﻤﺴﺎﻋﺪة ﻓﻲ إﺟﺮاء ﻣﻜﺎﻟﻤﺔ ھﺎﺗﻔﯿﺔ ﻣﻨﺘﻈﻤﺔ وودﻳﺔ واﻟﻨﻘﻞ ﻣﻦ وإﻟﻰ اﻟﻤﻮاﻋﯿﺪ اﻟﻄﺒﯿ ﺔ. اﺗﺼﻞ ﻋﻠﻰ 3646 196 0808 ﺑﯿﻦ اﻟﺴﺎﻋﺔ8 ﺻﺒﺎﺣًﺎ و8 ﻣﺴﺎءً ﻟﺘﺮﺗﯿﺐ اﻟﺪﻋﻢ أو ﻗﻢ ﺑﺰﻳﺎرة اﻟﻤﻮﻗﻊ اﻹﻟﻜﺘﺮوﻧﻲ Volunteer NHS Responders اﻟﺘﺴﺠﯿﻞ ﻟﻠﺤﺼﻮل ﻋﻠﻰ اﻟﺪﻋﻢ إذا ﻛﻨﺖ ﺑﺤﺎﺟﺔ إﻟﻰ ﻣﺴﺎﻋﺪة إﺿﺎﻓﯿﺔ ﻻﺗﺒﺎع ھﺬه اﻹ رﺷﺎدات، ﻓﻘﺪ ﻳﻜﻮن ، اﻟﻤﺠﻠﺲ اﻟﻤﺤﻠﻲ اﻟﺨﺎص ﺑﻚ ﻗﺎدرًا ﻋﻠﻰ اﻟﻤﺴﺎﻋﺪة. إذا ﺗﻢ ﻧُﺼﺤﻚ ﺑﺎﻟﺤﻤﺎﻳﺔ ﻓﺴﺘﺘﻤﻜﻦ ﻣﻦ ﺗﺴﺠﯿﻞ ﻧﻔﺴﻚ أي أو ﺷﺨﺺ آﺧﺮ :ﻣﻦ أﺟﻞ  طﻠﺐ أوﻟﻮﻳﺔ اﻟﻮﺻﻮل إﻟﻰ ﻓﺘﺤﺔ ﺗﻮﺻﯿﻞ اﻟﺴﻮﺑﺮ ﻣﺎرﻛﺖ )إذا ﻛﺎن ﻟﺪﻳﻚ ﺑﺎﻟﻔﻌﻞ أوﻟﻮﻳﺔ اﻟﻮﺻﻮل ، ﻓﺴﺘﺴﺘﻤﺮ- (ﻻ ﺗﺤﺘﺎج إﻟﻰ اﻟﻘﯿﺎم ﺑﺄي ﺷﻲء آﺧﺮ  أﺧﺒﺮ ﻣﺠﻠﺴﻚ إذا ﻛﻨﺖ ﺑﺤﺎﺟﺔ إﻟﻰ دﻋﻢ ﻻﺗﺒﺎع ھﺬه اﻹرﺷﺎدات، ﺧﺎﺻﺔ إذا ﻛﻨﺖ ﻏﯿﺮ ﻗﺎدر ﻋﻠﻰ ﺗﺮﺗﯿﺐ ذﻟﻚ ﺑﻨﻔﺴﻚ أو ﺑﻤﺴﺎﻋﺪة اﻷﺻﺪﻗﺎء أو اﻟﻌﺎﺋﻠﺔ أو ﺷﺒﻜﺎت اﻟﺪﻋﻢ اﻷﺧﺮى  ﺗﺄﻛﺪ ﻣﻦ أن اﻟﺘﻔﺎﺻﯿﻞ اﻟﺨﺎﺻﺔ ﺑﻚ، ﻣﺜﻞ ﻋﻨﻮاﻧﻚ، ﻣﺤﺪﺛﺔ ﻋﻨﺪ اﻟﺘﺴﺠﯿﻞ ﺳﯿُﻄﻠﺐ ﻣﻨﻚ رﻗﻢNHS اﻟﺨﺎص ﺑﻚ. ﻳﻤﻜﻨﻚ اﻟﻌﺜﻮر ﻋﻠﯿﻪ ﻓﻲ أي ﺧﻄﺎب أرﺳﻠﺘﻪ ﻟﻚNHS أو ﺑﻮﺻﻔﺔ طﺒﯿﺔ. ﻣﻦ اﻟﻤﻔﯿﺪ أن ﺗﻘﻮم ﺑﺎﻟﺘﺴﺠﯿﻞ ﺣﺘﻰ إذا ﻟﻢ ﻳﻜﻦ ﻟﺪﻳﻚ أي اﺣﺘﯿﺎﺟﺎت دﻋﻢ ﻓﻲ ھﺬا اﻟﻮﻗﺖ. ﻳﻤﻜﻨﻚ ﺗﺴﺠﯿﻞ اﻟﺪﺧﻮل .وﺗﺤﺪﻳﺚ اﺣﺘﯿﺎﺟﺎﺗﻚ إذا ﺗﻐﯿﺮت اﻟﻈﺮوف ﻓﻲ أي وﻗﺖ ## ﺗﻌﺮﻳﻒ اﻟﻔﺌﺎت اﻟﻤﻌﺮﺿﺔ ﻟﻠﺨﻄﺮ ﺳﺮﻳﺮﻳًﺎ ٍإن اﻷﺷﺨﺎص اﻟﻤﻌﺮﺿﯿﻦ ﻟﻺﺻﺎﺑﺔ ﺑﺸﺪة ﺳﺮﻳﺮﻳًﺎ ﻳﻮاﺟﮭﻮن ﺧﻄﺮ اﻹﺻﺎﺑﺔ ﺑﻤﺮض ﺷﺪﻳﺪ ﻧﺘﯿﺠﺔ ﻋﺪوى ﻓﯿﺮوس ﻛﻮروﻧﺎ. ھﻨﺎك طﺮﻳﻘﺘﺎن ﻳﻤﻜﻦ ﻣﻦ ﺧﻼﻟﮭﺎ اﻟﺘﻌﺮف :ﻋﻠﯿﻚ ﺳﺮﻳﺮﻳًﺎ ﻋﻠﻰ أﻧﻚ ﺿﻌﯿﻒ ﻟﻠﻐﺎﻳﺔ ﻟﺪﻳﻚ واﺣﺪا أو أﻛﺜﺮ ﻣﻦ اﻟﺸﺮوط اﻟﻤﺪرﺟﺔ أدﻧﺎه ، أو 2 . ﻟﻘﺪ أﺿﺎﻓﻚ طﺒﯿﺒﻚ اﻟﻌﺎم إﻟﻰ ﻗﺎﺋﻤﺔ اﻟﻤﺮﺿﻰ اﻟﻤﺤﻤﯿﻮن ﻷﻧﮭﻢ ، ﺑﻨﺎءً ﻋﻠﻰ ﺣﻜﻤﮭﻢ اﻟﺴﺮﻳﺮي ، ﻳﻌﺘﺒﺮوﻧﻚ أﻛﺜﺮ ﻋﺮﺿﺔ ﻟﻺﺻﺎﺑﺔ ﺑﻤﺮض ﺧﻄﯿﺮ إذا أﺻﺒﺖ .ﺑﺎﻟﻔﯿﺮوس إذا ﻟﻢ ﺗﻨﺪرج ﺿﻤﻦ أﻳﺎ ﻣﻦ ھﺬه اﻟﻔﺌﺎت ، وﻟﻢ ﻳﺘﻢ اﻻﺗﺼﺎل ﺑﻚ ﻹﺑﻼﻏﻚ ﺑﺄﻧﻚ ﻣﺪرج ﻓﻲ ﻗﺎﺋﻤﺔ اﻟﻤﺮﺿﻰ اﻟﻤﺤﻤﯿﻮن ، ﻓﺎﺗﺒﻊ ﺗﻮﺟﯿﮭﺎت دﻟﯿﻞ اﻹﻏﻼق اﻟﻮطﻨﻲ اﻟﻌﺎﻣﺔ .ﻟﺒﻘﯿﺔ اﻟﺴﻜﺎن إذا ﻛﻨﺖ ﺗﻌﺘﻘﺪ أن ھﻨﺎك أﺳﺒﺎﺑًﺎ ﺳﺮﻳﺮﻳﺔ ﺟﯿﺪة ﻹﺿﺎﻓﺘﻚ إﻟﻰ ﻗﺎﺋﻤﺔ اﻟﻤﺮﺿﻰ اﻟﻤﺤﻤﯿﻮن ، ﻓﻨﺎﻗﺶ ﻣﺨﺎوﻓﻚ ﻣﻊ طﺒﯿﺒﻚ اﻟﻌﺎم أو طﺒﯿﺐ اﻟﻤﺴﺘﺸﻔﻰ. ﻳﻌﺘﺒﺮ اﻷﺷﺨﺎص اﻟﺬﻳﻦ ﻳﻌ ﺎﻧﻮن ﻣﻦ اﻟﺤﺎﻻت اﻟﺘﺎﻟﯿﺔ ﻣﻦ اﻟﻨﺎﺣﯿﺔ اﻟﺴﺮﻳﺮﻳﺔ ﻣﻌﺮﺿﯿﻦ :ﻟﻠﺨﻄﺮ ﺑﺸﻜﻞ ﻛﺒﯿﺮ  .ﻣﻦ أﺟﺮى زرع أﻋﻀﺎء ﺻﻠﺒﺔ ﻓﻲ أﺟﺴﺎﻣﮭﻢ  :اﻷﺷﺨﺎص اﻟﺬﻳﻦ ﻳﻌﺎﻧﻮن ﻣﻦ أﻧﻮاع ﻣﻌﯿﻨﺔ ﻣﻦ اﻟﺴﺮطﺎن  ﻣﺮﺿﻰ اﻟﺴﺮطﺎن اﻟﺬﻳﻦ ﻳﺨﻀﻌﻮن ﻟﻠﻌﻼج اﻟﻜﯿﻤﯿﺎﺋﻲ اﻟﻨﺸﻂ  اﻷﺷﺨﺎص اﻟﻤﺼﺎﺑﻮن ﺑﺴﺮطﺎن اﻟﺮﺋﺔ اﻟﺬﻳﻦ ﻳﺨﻀﻌﻮن ﻟﻠﻌﻼج اﻹﺷﻌﺎﻋﻲ اﻟﺠﺬري  اﻷﺷﺨﺎص اﻟﺬﻳﻦ ﻳﻌﺎﻧﻮن ﻣﻦ ﺳﺮطﺎﻧﺎت اﻟﺪم أو اﻟﻨﺨﺎع اﻟﻌﻈﻤﻲ ﻣﺜﻞ ﺳﺮطﺎن اﻟﺪم و ﻓﻲ أي ﻣﺮﺣﻠﺔ ﻣﻦ ﻣﺮاﺣﻞ اﻟﻌﻼج  اﻷﺷﺨﺎص اﻟﺬﻳﻦ ﻳﺘﻠﻘﻮن اﻟﻌﻼج اﻟﻤﻨﺎﻋﻲ أو ﻋﻼﺟﺎت اﻟﺠﺴﻢ اﻟﻤﻀﺎد اﻟﻤﺴﺘﻤﺮة اﻷﺧﺮى ﻟﻠﺴﺮطﺎن  اﻷﺷﺨﺎص اﻟﺬﻳﻦ ﻟﺪﻳﮭﻢ ﻋﻼﺟﺎت أﺧﺮى ﻣﺴﺘﮭﺪﻓﺔ ﻟﻠﺴﺮطﺎن ﻳﻤﻜﻦ أن ﺗﺆ ﺛﺮ ﻋﻠﻰ ﺟﮭﺎز اﻟﻤﻨﺎﻋﺔ ، ﻣﺜﻞ ﻣﺜﺒﻄﺎت ﺑﺮوﺗﯿﻦ ﻛﯿﻨﺎز أو ﻣﺜﺒﻄﺎت اﻟﺒﻮﻟﯿﻤﯿﺮاز اﻟﺮﻳﺒﻮز PARP  اﻷﺷﺨﺎص اﻟﺬﻳﻦ أﺟﺮﻳﺖ ﻟﮭﻢ ﻋﻤﻠﯿﺎت زرع ﻧﺨﺎع اﻟﻌﻈﻢ أو زرع اﻟﺨﻼﻳﺎ اﻟﺠﺬﻋﯿﺔ ﺧﻼل اﻟـ6 أﺷﮭﺮ اﻟﻤﺎﺿﯿﺔ، أو ﻣﺎ زاﻟﻮا ﻳﺘﻨﺎوﻟﻮن أدوﻳﺔ ﺗﺜﺒﯿﻂ اﻟﻤﻨﺎﻋﺔ  اﻷﺷﺨﺎص اﻟﺬﻳﻦ ﻳﻌﺎﻧﻮن ﻣﻦ أﻣﺮاض ﺗﻨﻔﺴﯿﺔ ﺷﺪﻳ ﺪة، ﺑﻤﺎ ﻓﻲ ذﻟﻚ ﺟﻤﯿﻊ ﺣﺎﻻت ) اﻟﺘﻠﯿﻒ اﻟﻜﯿﺴﻲ واﻟﺮﺑﻮ اﻟﺸﺪﻳﺪ وﻣﺮض اﻻﻧﺴﺪاد اﻟﺮﺋﻮي اﻟﻤﺰﻣﻦCOPD .(  اﻷﺷﺨﺎص اﻟﺬﻳﻦ ﻳﻌﺎﻧﻮن ﻣﻦ أﻣﺮاض ﻧﺎدرة ﺗﺰﻳﺪ ﺑﺸﻜﻞ ﻛﺒﯿﺮ ﻣﻦ ﺧﻄﺮ اﻹﺻﺎﺑﺔ ) ﺑﺎﻟﻌﺪوى )ﻣﺜﻞ ﻧﻘﺺ اﻟﻤﻨﺎﻋﺔ اﻟﻤﺸﺘﺮك اﻟﺸﺪﻳﺪSCID ( ، ﻣﺮض ﻓﻘﺮ اﻟﺪم (اﻟﻤﻨﺠﻠﻲ ﻣﺘﻤﺎﺛﻞ اﻟﺰﻳﺠﻮت  اﻷﺷﺨﺎص اﻟﺬﻳﻦ ﻳﺴﺘﺨﺪﻣﻮن ﻋﻼﺟﺎت ﺗﺜﺒﯿﻂ ﻣﻨﺎﻋﺔ ﻛﺎﻓﯿﺔ ﻟﺰﻳﺎدة ﺧﻄﺮ اﻹﺻﺎﺑﺔ .ﺑﺎﻟﻌﺪوى ﺑﺸﻜﻞ ﻛﺒﯿﺮ  ﻣﺸﺎﻛﻞ ﻓﻲ اﻟﻄﺤﺎل ، ﻋﻠﻰ ﺳﺒﯿﻞ اﻟﻤﺜﺎل. اﺳﺘﺌﺼﺎل اﻟﻄﺤﺎل  اﻟﺒﺎﻟﻐﯿﻦ اﻟﻤﺼﺎﺑﯿﻦ ﺑﻤﺘﻼزﻣﺔ داون  اﻟﺒﺎﻟﻐﯿﻦ اﻟﺬﻳﻦ ﻳﺨﻀﻌﻮن ﻟﻐﺴﯿﻞ اﻟﻜﻠﻰ أو ﻣﺮﺿﻰ اﻟﻜﻠﻰ اﻟﻤﺰﻣﻦ )اﻟﻤﺮﺣﻠﺔ5 (  اﻟﻨﺴﺎء اﻟﺤﻮاﻣﻞ اﻟﻤﺼﺎﺑ ﺎت ﺑﺄﻣﺮاض اﻟﻘﻠﺐ اﻟﺨﻠﻘﯿﺔ أو اﻟﻤﻜﺘﺴﺒﺔ.  ،ﻛﻤﺎ ﺗﻢ ﺗﺼﻨﯿﻒ أﺷﺨﺎص آﺧﺮﻳﻦ ﻋﻠﻰ أﻧﮭﻢ ﻣﻌﺮﺿﯿﻦ ﻟﻺﺻﺎﺑﺔ ﺑﺸﺪة ﺳﺮﻳﺮﻳًﺎ .اﺳﺘﻨﺎدًا إﻟﻰ اﻟﺤﻜﻢ اﻟﺴﺮﻳﺮي وﺗﻘﯿﯿﻢ اﺣﺘﯿﺎﺟﺎﺗﮭﻢ ﺗﻢ ﺗﺰوﻳﺪ اﻷطﺒﺎء اﻟﻌﺎﻣﯿﻦ .وأطﺒﺎء اﻟﻤﺴﺘﺸﻔﯿﺎت ﺑﺎﻹرﺷﺎدات ﻟﺪﻋﻢ ھﺬه اﻟﻘﺮارات

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# The Moray Council Property Sales ## For Sale Hostel, 11 Cluny Square, Buckie Offers Over £79,000 This 3 storey former Council hostel is situated in Buckie town centre on a site extending to approximately 0.057Ha (0.14 acres). The property is suited for use as either a large home/guest house or as an HMO (house in multiple occupation). The property also benefits from a garden with extensive outbuildings. Any party wishing to submit an offer should first note their interest. Full instructions on submitting an offer will subsequently be issued only to parties who have noted interest. Housing & Property Council Offices High Street Elgin IV30 1BX ## General Description The property requires redecoration, re-carpeting and some repairs. The property benefits from double glazing and gas central heating throughout and has been fitted out for use as a hostel which provides various choices for its future - use either as a home/Guest House or as a 'house in multiple occupation'. See the attached plan for room dimensions and the building layout. Ground Floor Caretaker's Flat Vestibule: This vestibule comprises an entrance hall with 2 corridors providing access to the caretaker's flat. It also provides access to the main accommodation via a common hallway. The vestibule has a gas meter cupboard, a shelved cupboard and benefits from 1 thermostatically controlled radiator, 1 telephone point and 2 single power points. Living room: With entry off the vestibule corridor, the living room has a large bay window, 2 shelved cupboards, a closed off fireplace and benefits from a TV point, 2 thermostatically controlled radiators and 2 double power points. Kitchen: The kitchen benefits from a linoleum covered floor, base & wall units with a stainless steel sink & drainer, 3 double and 3 single power points, 1 thermostatically controlled radiator, an electrical cooker point and plumbing/wiring for a fridge, tumble dryer and washing machine. Bedroom: The bedroom benefits from a carpeted floor, 1 thermostatically controlled radiator, 2 double power points and a shelved cupboard containing an immersion heater. Bathroom: The bathroom benefits from a linoleum covered floor, 1 thermostatically controlled radiator, shaver point, 1 low flush WC, a wash hand basin and a bath. Main Accommodation Vestibule: The vestibule comprises a carpeted entrance with a staircase leading to the first floor accommodation. It grants access to the kitchen / dining room via a common hallway and has an electric meter cupboard, 1 thermostatically controlled radiator, a mains powered fire alarm control panel and 2 power points Kitchen: Accessed from a common hallway, the L- shaped kitchen has been fitted with numerous wall and base units with a stainless steel sink and drainer. The room benefits from 4 double and 2 single power points, 1 thermostatically controlled radiator, an electrical cooker point and is plumbed for a washing machine. Dining Room: Accessed off the kitchen this area benefits from a thermostatically controlled radiator, 1 double power point and an Xpelair. Landing: The landing provides access to all of the first floor rooms as well as the stairs to the second floor. The landing benefits from 1 power point and 1 thermostatically controlled radiator. Bedroom 1: This double bedroom benefits from 1 thermostatically controlled radiator, 2 double power points a TV point, a telephone socket and ensuite facilities. Ensuite facilities consist of a bath, low flush WC and a wash hand basin. Bedroom 2: Accessed off the landing via a small hall, this box or single bedroom room benefits from 1 thermostatically controlled radiator, 2 double power points a TV point, a telephone socket and ensuite facilities. Ensuite facilities consist of a shower, low flush WC and a wash hand basin. Bedroom 3: This double bedroom benefits from1 thermostatically controlled radiator, 2 double power points a TV point, a telephone socket and ensuite facilities. Ensuite facilities consist of a bath, low flush WC and a wash hand basin. Bedroom 4: Accessed off the landing via a private corridor. This double bedroom benefits from 1 thermostatically controlled radiator, 2 double power points, a TV point, a telephone socket, a shelved cupboard and ensuite facilities. Ensuite facilities consist of a bath, low flush WC and a wash hand basin. Second Floor Bedroom 5: Accessed off the second floor landing, this double bedroom benefits from 1 thermostatically controlled radiator, 2 double power points a TV point, a telephone socket and ensuite facilities. Ensuite facilities consist of a low flush WC and a wash hand basin served by an instantaneous hot water heater. Bedroom 6: Accessed off the second floor landing, this double bedroom benefits from 1 thermostatically controlled radiator, 2 double power points a TV point, a telephone socket and ensuite facilities. Ensuite facilities consist of a low flush WC and a wash hand basin served by an instantaneous hot water heater. Grounds The property benefits from a walled garden with a single lock-up garage of timber panel construction measuring 6.1m x 3.1m externally and vehicular access from Cluny Lane. The garden has 5 garden stores of stone and concrete block construction with corrugated cement mono-pitch roofing, timber doors and concrete floors. The sheds have a combined gross external measurement of 21.9m by 2.45m. ## Energy Performance Certificate Current rating D (Certificate and report available on request). Rateable Value/Council Tax Banding The property has been assessed as a hostel with individual bedrooms being assessed as having a Council Tax Band A and the common areas assessed as commercial premises and having a Rating Assessment Value of £2,900. For further information regarding the Rateable Value or Council Tax Banding please contact the Grampian Valuation Joint Board, 234 High Street, Elgin, IV30 1BA, Tel No (01343) 541203. Planning and Building Control The former use of the property as a hostel falls within Class A of the Town & Country Planning (Use Classes)(Scotland) Order 1997. Planning Permission would not therefore be needed for similar uses such as an HMO, however, any proposals to use the property as a private residence / guest house would require a change of use in terms of the Planning and Building Control legislation which the applicant would require to obtain themselves. Similarly any proposal to alter or extend the building may require Planning Consent and Building Warrant which the purchaser must obtain themselves. It should be noted that the above advice is purely for guidance and is entirely without prejudice to the consideration of any formal application for Planning Consent and/or Building Warrant by the Moray Council. For further advice on Planning issues please contact the Duty Officer, Development Control Section, Moray Council, Council Offices, High Street, Elgin, IV30 1BX, Tel No 0300 1234561 between 2pm and 4pm Mon-Fri. For further advice on Building Control issues please contact the Duty Officer, Building Control Section, Moray Council, Council Offices, High Street, Elgin, IV30 1BX, Tel No 0300 1234561 between 2pm and 4pm Mon-Fri. Title There is a right of access and egress over the garden ground to Cluny Lane in favour of the ground floor shop premises for emergency fire exit purposes. The Council's Title to the property can be viewed by arrangement by contacting Emma Dawson, Paralegal (Property & Contracts), Moray Council, Council Offices, High Street, Elgin, IV30 1BX, Tel No (01343) 563834. Viewing Arrangements to view can be made by contacting Ian Walker, Estates Surveyor, Moray Council, Council Offices, High Street, Elgin, IV30 1BX, Tel No (0300) 1234566. ## Offers Offers in excess of £79,000 are invited to purchase the property. All parties who confirm in writing to Ian Walker, Estates Surveyor, Moray Council, Council Offices, High Street, Elgin, IV30 1BX, Tel No (0300) 1234566 that they are interested in submitting an offer will be sent details of the procedure for the submission of an offer. It should be noted that the Council are not obliged to accept the highest offer or any offer. Disclaimer This information does not constitute a representation, warranty or offer and will not form part of any contract which may ensue. The information provided here is purely intended to give a fair and reasonable description of the subjects and prospective purchasers must satisfy themselves with regards to the accuracy of any statements contained in the above particulars. Any intending offerers must satisfy themselves by inspection or otherwise, as to the correctness of each of the statements contained in these particulars. In accordance with the Requirements of Writing (Scotland) Act 1995 these particulars are neither intended to create nor to be relied upon as creating any contractual relationship or commitment. Any contract shall only be entered into by way of missives between respective solicitors.

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generally accepted accounting practice Condition 1 - expenses of management of the company's Condition 2 long-term business referable to BLAGAB in accordance with s98 (commercial allocation)

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## Covid-19: Resources And Information London Museum Development will keep this document up to date with useful links and information on dealing with the impact of the Covid-19 outbreak on your organisation. If you have any questions, or would like to share your organisations experiences during this time, please contact us directly: museumdevelopment@museumoflondon.org.uk. General information Business Continuity Guidance Security Collection care ## General Information Dcms Release Coronavirus Bulletin For Museums: DCMS Museums and Galleries Sector Coronavirus bulletin 18 March 2020: https://mcusercontent.com/fdfb8683fe90cd04d8d480e2c/files/884be74b-a3fe- 40d4-a3dc-d59d60d49ab4/Coronavirus_bulletin_20200318.pdf ## Ace Guidance For Npos Arts Council England (ACE) have released guidance for NPOs and their other funded programmes regarding the current Covid-19 outbreak: https://www.artscouncil.org.uk/news-and-announcements/coronavirusinformation ## Aim Guidance AIM has published a detailed page listing lots of useful information and resources on their website: https://www.aim-museums.co.uk/coronavirus-covid-19/ ## Museums Association Overview The Museums Association has created an overview article, looking at how Covid-19 will impact museums and what can be done to mitigate it: https://www.museumsassociation.org/news/10032020-coronavirus-impactmuseums-galleries ## Charity Finance Group Updates The Charity Finance Group has a live web-page where they're releasing updates and information on how best to deal with the financial impact of the Covid-19 outbreak: https://cfg.org.uk/coronavirus_guide ## Ncvo Guidance The NCVO has a helpful guide to dealing with Covid-19 within your organisation: https://www.ncvo.org.uk/practical-support/information/coronavirus ## Business Continuity Guidance Dcms Guidance On Dealing With Emergencies Or Disasters For those museums that are facing a period of closure during the current Covid_19 situation there is some guidance on the DCMS website for museums and galleries to help them to cope with emergencies or disasters which may be helpful: https://www.gov.uk/guidance/business-continuity-planning-for-museums-andgalleries ## Dcms Guidance On Expecting The Unexpected There is also general guidance for organisations Expecting the Unexpected, https://www.gov.uk/government/publications/expecting-the-unexpected ## American Alliance Of Museums: Using Scenarios To Plan Covid-19 Response The following article from the American Alliance of Museums is also useful and may help with your planning: Using Scenarios to plan your Museum's Covid_19 (Coronavirus) response https://www.aam-us.org/2020/03/13/using-scenarios-toplan-your-museums-covid-19-coronavirus-response/ ## Security Collections Trust Security Audit Resource If you are preparing to close your building for a protracted period you may wish to check your security provision prior to closure - you can carry out you own security audit using the Security Toolkit on the Collections Trust website at https://collectionstrust.org.uk/resource/the-security-audit/. Check the terms of your insurance regarding leaving the building unoccupied for periods of time and possible requirement for security staff / visits. ## Collection Care Advice From The Museum Of London'S Collection Care Team If your museum or gallery will be closed without any access check: Can you safely, leave the heating / building management system as is, if it can maintain stable conditions? If you do turn off any building management or heating systems check for risks, such as possible leaks as pipes cool down, do you need to call in someone under a service agreement to do this, can you re-start systems without problems etc Are items locked in cases or stores where possible? Walk round and check that collections are as secure and protected from physical and environmental threats as can be. How best can you protect any items on loan from other institutions? Try and ensure that you check these early on once you re-open and refer back to any condition reports you have. Report any concerns or changes to the lender. Think about your items out on loan in the same light. Do you have remote access to building management systems or environmental monitoring systems to keep an eye on things? If a company manages your building management system check whether they have remote access to environmental readings that can be sent to you. If not, check what has happened as soon as possible after you re-open. Ensure you have access to your emergency plan. If possible, check salvage supplies, prepare areas that commonly suffer leaks and work closely with any security team remaining so you are advised of possible problems. Check your callout list to reflect who could possibly come in and who cannot due to the current situation and adjust your plan accordingly. The Museum of London Pocket Salvage Guide will be helpful in the case of an emergency. http://www.museumoflondon.org.uk/application/files/9414/5615/4887/pocketsalvage-guide.pdf

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## Dsg Funding Blocks Dedicated School Grant Budget 18/19 Schools Block £38.1m High Needs Block £17.95m Early Years Block £19.52m Central Services Block £4.4m Total £79.97m ## Hnb Overview • High Needs expenditure is part of the ring fenced Dedicated Schools Grant (DSG) • HNB Envelope £17,951m (includes transfer from the Schools Block of £505k) • Historical retained deficit £2,165m (16/17), £5,551m(17/18) = £7,716m (Cumulative) • Forecast for 18/19 £6.0m (£13m Cumulative) ## Issues - HNB funding pressures felt nationally ADCS survey (Sept 17) 68 out of 86 authorities who responded, reported an overspend on their high needs block budget - Future ringfencing requirement will prevent flexibility to transfer funds between DSG elements ## Hn Expenditure Breakdown Deployment of High Needs DSG funding 1819 Academy recoupment 3,314,020 Transfer of funding from the SB to the HNB -505,000 LA High Needs block DSG budget - 17,950,785 Special Schools delegated budgets 4,530,000 Top-up funding 12,298,695 Independent provision 1,493,676 Alternative Commissioning 1,450,000 Residential placements with education joint funding 485,989 Individual education and outreach 945,506 Speech and Language Therapy 588,000 Sensory and Language Impairment Team 810,000 Education psychology 394,000 Other support and therapies** 55,306 SEN Service Delivery teams ** 934,449 Total DEFICIT balance 6,034,836 -20,759,120 ## Direction Of Travel • Description of the HNB block and Council/ - Ensuring Schools are sustainable as funding reduces - Working in Partnership, improving our joint understanding and ownership of system linkages, demands and pressures. - Improvement in Inclusion levels, more children supported in mainstream settings for both SEN and alternative provision. ## Addressing The Deficitdress Short Term Opportunities Are Limited • Description of the HNB block and Council/ - Occupational Therapy: ensuring that other boroughs are charged for provision; new service level agreement. £50k - Renegotiation of Speech and Language Contracts. £50k - Home Tuition/Medical Needs Unit renegotiation and new service level agreement. £50k - Miles Coverdale Entry Criteria - cost avoidance of EHC needs assessments / earlier intervention. ## Towards Revised Funding For Special Schools Shorter Term: • Recouping appropriate costs for pupils from other boroughs: ## Longer Term: • Creating a more robust commissioning system - place planning and top-ups • Banding system • Making the most effective use of Education, Health and Care resources and workforce development ## Addressing The Deficit: Approach - Detailed Breakdown of High Needs Expenditure - Revisit previous overspend (forensic financial examination) - Identify potential income generation/reduction options - Scenario plan impact on individual areas & Schools - Options appraisal and recommendations - Members/Schools Forum ## Governance - Schools forum is main decision making body. - All schools can be be involved in working groups, opportunities, suggestions, examining options appraisals. - Initiatives & Project list and whose involved.

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# Digital Cataloguing Practices At The National Archives March 2017 ## Digital Cataloguing Practices At The National Archives Executive Summary This position paper outlines the evolution and current state of cataloguing practices for digital records at The National Archives in the United Kingdom. The disruptive impact of digitised and born-digital records has shaken ways of working as well as ways of interpreting the international standard for archival description ISAD(G). Change is not new, however, as over the last seventeen years of digital catalogues archivists have moved forward with new technologies, new ways of balancing access and privacy, the impact of user experience, social media, content sensitivity and the challenge of digital transfer. 'Digital technologies are creating a paradigm shift in the archival sphere: posing challenges, but also throwing open the doors to greater access and a world of new opportunities'.1 This paper introduces some new concepts and considers what a second generation of born-digital records may look like. We share our understanding of born-digital, digital surrogates and digitised records while concepts such as probabilistic, contextual and temporally aware description are also defined. Although fairly new for us, we are conscious that these 'new concepts' are in fact interdisciplinary propositions that have been around for some time, and that colleagues around the globe are having similar thoughts and ideas. The National Archives is aware that the UK archive sector and some international archives may look at our digital practice as a benchmark. A word of caution: our approach is not being shared in this document in order to become a set of best practice cataloguing guidelines for digital records. This position paper summarises our current practice and aims to open the conversation as widely as possible, recognising that both technology and archival practice will continue to evolve. This paper has been written by co-creation. I would like to thank the many colleagues from different areas of expertise who have contributed their thoughts, memories and suggestions. Jone Garmendia, Head of Cataloguing, 31 March 2017 ## Table Of Contents 1. Seventeen years of digital catalogues .......................................................................................... 4 2. Digital records .................................................................................................................................. 6 3. The National Archives' Digital Strategy ........................................................................................ 7 4. Digital Cataloguing Practices ......................................................................................................... 9 4.1 Referencing.................................................................................................................................. 9 4.2 Levels of description ................................................................................................................. 10 4.3 Extent and medium (labelled Physical description in Discovery) ...................................... 11 4.4 Arrangement .............................................................................................................................. 11 4.5 Title ............................................................................................................................................. 12 4.6 Scope and Content (labelled 'Description' in Discovery) .................................................... 13 4.7 Dates ........................................................................................................................................... 13 4.8 Physical Condition (Physical characteristics and technical requirements in ISAD(G)) .. 14 4.9 Note ............................................................................................................................................. 15 4.10 Custodial History (Archival history in ISAD(G)) .................................................................... 16 4.11 Conditions governing access .................................................................................................. 17 4.12 Closure Status ........................................................................................................................... 17 4.13 Closure Type ............................................................................................................................. 17 4.14 Closure Code ............................................................................................................................. 18 4.15 Record Opening date ............................................................................................................... 18 4.16 Restrictions governing access (Restrictions on Use in Discovery) ................................... 18 5 Series level description ................................................................................................................. 18 6 Delivery Options ............................................................................................................................. 19 7 Cataloguing and the Digital Records Infrastructure (DRI) ....................................................... 20 8 The way ahead ............................................................................................................................... 21 Appendix: List of digital and hybrid record series ............................................................................. 22 ## 1. Seventeen Years Of Digital Catalogues PROCAT (the Public Record Office Catalogue) was launched at Kew on 9 October 2000 and on the public website in March 2001, offering an online version of the paper lists, PRO Guide and some related finding aids. As a result of the move from paper to an online catalogue in 2000, the following established practices were changed. - We moved from paper-based browsing only to online search retrieval. - We converted a range of finding aids (PRO Guide, Introductory Notes, series lists and some supplementary finding aids) to a single catalogue dataset, describing whole series of records in one place. - Context was provided by linking and browsing within an archival hierarchy largely based on the General International Standard Archival Description, ISAD(G). In November 2001, The National Archives released a separate website to deliver digital copies of some of our most popular records. It was called PRO-Online and later rebranded as DocumentsOnline. PROCAT was renamed '**the Catalogue**' in June 2004 when a rebranded website for The National Archives was launched, after the Public Record Office and the Historical Manuscripts Commission merged to form The National Archives. The cataloguing back office system 'PROCAT Editorial' was not changed. In 2008 we decided to stop maintaining a **paper catalogue**. This change was implemented in consultation with our Public Services Development department. To facilitate the transition and mitigate impact on our regular readers, we continued printing new accessions, amendments, newly open closed descriptions and Freedom of Information releases until 1 April 2011, when all printing of catalogue paper lists ceased. Also in 2008, the Catalogue Manager reported to the International Council on Archives (ICA) Standards Sub-Committee in Kuala Lumpur on how our cataloguing practice was moving away from the international descriptive standard ISAD(G) on three fronts. - The 'non-repetition of information' rule was not being respected (to facilitate retrieval). - The Scope and Content field was being expanded to allow structured data tags (e.g. surname, forename, place, occupation). - Access area of description and web delivery options were being developed well beyond ISAD(G). The committee's verbal response was to go ahead with our descriptive practices and to expand the standard with in-house schemas, but there was no appetite to review or update a standard that was serving the vast majority of the international archives sector well. In the meantime, between 2005 and 2008, we attempted to deliver a system to enable the seamless ingest of digital records from government departments to a digital archive and a new presentation interface with the **Seamless Flow** programme. A pilot service for born-digital records, Electronic Records Online (ERO), was released in 2008. At the time, document level descriptions for digital records were migrated into the separate ERO and cross-referred in the Catalogue. It was felt that we did not have the functionality to cater for hybrid record series (series containing both digital and paper records); in such cases the records were split into two separate series - one analogue and one digital. However, the Seamless Flow model and ERO service were not able to handle high volumes of digital objects; therefore, in 2011, The National Archives started the development of the Digital Records Infrastructure (DRI) system as a robust alternative to preserve and provide access to digital records at scale. In late 2009, a cataloguing project had developed a methodology to catalogue websites providing links to the **UK Government Web Archive**. Websites did not lend themselves to file level description under ISAD(G), so the approach was to catalogue them only at series level, including a direct link to the UK Government Web Archive where individual dated instances (snapshots) were then presented. Specific website instances and embedded files were not referenced or catalogued individually. Cataloguing at series level means that a whole website is described generally, as a group of records. This approach can also work for other special collections or future digital accumulations. This method is scalable and also respects the independent development of the UK Government Web Archive while serving three key purposes: - the inclusion of websites within our official inventory of public records based on provenance - a reasonable degree of intellectual control and academic rigour - the provision of high level findability across formats: a keyword search retrieves website entries together with entries for analogue, digital records and other data sources. Where datasets were concerned, government datasets were held externally in the National Digital Archive of Datasets (**NDAD**) until October 2010, when a cataloguing project created collection level information for their inclusion in the online catalogue and Discovery. Following this, the deliverable dataset files were presented through DocumentsOnline (The National Archives' first service to deliver digitised records). This approach allowed us to cease a contract with an external provider and bring NDAD data in house. Although these datasets are listed and available through our catalogue, we would like to develop new approaches to enhance their presentation and usability in the future. From 2011, the Catalogue became the first component part of our new **Discovery** service: it brought into one presentation system data from the Catalogue, DocumentsOnline and the Digital Records Infrastructure (DRI). Metadata and catalogue entries from other archives services were ingested later - namely data from the National Register of Archives, Access to Archives (A2A) and the Manorial Documents Register. The old catalogue was finally switched off at the end of April 2013. The National Archives' own name authority data for corporate bodies and personal names was migrated to Discovery in September 2015. At the time of the PROCAT launch in 2000, the online catalogue had 8 million document level descriptions. Discovery now holds over 23 million information assets for records held by The National Archives. ## 2. Digital Records In 2014-15, during the Digital Transfer Project, we made changes to several cataloguing practices around referencing, arrangement and presentation of digital records. When making these decisions, internal experts from across a number of fields considered the different nature of several types of digital records. With this in mind, new cataloguing practices started to evolve for each category of digital record. Digital records and their metadata are now ingested into our digital preservation system (DRI), which holds three types of digital material within what can be defined as the first generation of digital content. Born-digital records: these are records created digitally in the day-to-day business of an organisation, such as word processed documents, PDFs, emails, image files, videos and so on. Our approach to digital preservation has been defined as 'Parsimonious Preservation': preserving the original as received and creating access copies in a more accessible format where necessary. A new way of referencing, arranging and presenting born-digital records was formulated during 2014-16. Digital surrogates: records created by converting analogue material such as paper, microfilm or microfiche to digital images. The paper record remains in the custody of the archive as the original public record. Sometimes microfilm may have been accessioned as the public record but it is generally a surrogate. Digital surrogates are analogue in essence. Hence traditional referencing and ISAD(G), as qualified within The National Archives Cataloguing Standards, apply to these records. Digitised records: these are the result of analogue material being digitised to a high standard, with provenance metadata captured separately and embedded in each file, in order to become the accessioned public record. The digital version becomes the official record for permanent preservation in lieu of the original analogue source, which would generally be destroyed after five years or deposited elsewhere. Again, these records are analogue in essence, hence traditional referencing and ISAD(G) as qualified within National Archives Cataloguing Standards apply. Born-digital and digitised records share a new existential challenge: record properties around veracity, accountability, authenticity and integrity –their 'recordness' in one word– are not found in the digital object itself, but in the metadata that accompanies it, which becomes inextricably bound with it. Metadata therefore becomes part of the record. ## Second Generation Of Born-Digital Content It is not difficult to anticipate that an untamed second generation of born-digital content is already accumulating within government departments (and other creators of public records). This scenario has been referred to as the 'Digital Wild West' or the 'Digital Heap' where the identification of unique, authentic records becomes blurred and rules around expected record-keeping behaviours no longer apply. Second generation born-digital content possesses at least one of the following characteristics: - amorphous accumulation - lack of clear creator(s) or hybrid creation including non-government parties - not fixed in time (the end date of the record may be uncertain or set in the future as re-use may bring the record back into activity) - unreliable provenance - erratic or broken link between government function and digital accumulation - suspected duplication - dubious authenticity - include corrupted and embedded files - include objects composed of multiple file formats - stored in unstructured shared drives. - the only apparent common characteristic or shared property of the material may be its need to be preserved or 'archived', 'got rid of' or shared together at one point in time. Examples of second generation born-digital records would include shared drives without meaningful folder and file names or unstructured email servers created in environments where basic record-keeping and information management practices have not been applied. It may well be very difficult to render these accumulations within a traditional online catalogue. ## 3. The National Archives' Digital Strategy Our Digital Strategy addresses the challenge of digital records as well as our Archives Inspire2 goal to become a digital archive by instinct and design. This can be done by: - embracing the 'disruptive digital archive' and the digital transformation of the physical archive - acknowledging that digital records disrupt archival practice - strengthening our digital capability and culture. Cataloguing and descriptive practices have already been disrupted by the first generation of born-digital records. The strategy considers the challenge to develop and adopt an entirely new approach to record description for the second generation of borndigital content, moving away from the international standard ISAD(G) for file level metadata. Probabilistic, contextual and temporally aware description is considered as the way forward. Probabilistic description is about acknowledging in a transparent manner that data is imperfect and embracing uncertainty. We are considering the introduction of confidence ratings in our future metadata for born-digital and other records. This confidence rating might be a combination of computational and curatorial scores. Purely numerical approaches for handling uncertainty might miss human data knowledge gathered around the selection, transfer and ingest processes. For example: there is speculation that a confidence rating might be a combination of a computational score (derived from file match signatures, or checksums) and a human confidence score (a value representing the accuracy of record dates or other metadata)3. Contextual description covers several areas: - the record-keeping system and existing arrangement (or lack of) - the administrative history of the body or person creating the records - the creating body or person - the administrative function - the custodial and archival history surrounding the record, series or accumulation. For the second generation of born-digital content, metadata around arrangement and creation might be extracted by computational methods (e.g. for records migrated between successive systems or storage media). On the other hand, metadata around the administrative history, function and custodial matters surrounding the business use of the record may lend itself more to curation. A new Records in Contexts standard (RiC-CM), a conceptual model for archival description, was issued for consultation in September 2016, just as this position paper was being written. We welcome the development of a comprehensive standard designed to integrate the four current descriptive standards4 together with an ontology to define descriptive entities using linked open data techniques. This piece of work could deliver an improved archival standard and also allow the archival community to begin to move beyond ISAD(G). Whether or not RiC-CM will be able to deliver what digital archives need to operate at scale is still in the air. We contributed detailed feedback on RiC-CM by the December 2016 deadline. ## Temporally Aware Description The records life cycle model identified boundaries between current and historical records. This intellectual model (in common use) is not helpful in the new digital environment as born-digital records are not necessarily fixed in time. The Records Continuum premise that 'records are in a state of becoming'5 offers a much more compelling model to handle and interpret born-digital records. Temporal variation is becoming a new reality for both metadata and digital objects. Different date structures ## are already appearing, which has a disruptive impact on current metadata schemas. In addition, official born-digital records already in the archive might in the future be re-used and transformed into new entities. This is completely new territory for us. How we capture, describe and present temporal variation and how we render its different components into a usable interface for the general public are yet to be formulated. ## 4. Digital Cataloguing Practices This section summarises our digital cataloguing practices around a number of key elements of description. It includes the six mandatory elements of description in ISAD(G), other ISAD(G) elements that are being used to describe digital records, and other elements not in ISAD(G) that have been added to our catalogue data model as the international standard did not fully serve our business, descriptive and presentation needs. ## 4.1 Referencing The purpose of a reference is to uniquely identify the record and to provide a link to the metadata that represents it. **Digital surrogates** and **digitised records** are allocated TNA citable references in the same 'classic' style as paper records. However, our classic referencing style did not scale up to cater for born-digital collections, as these have complex folder structures well beyond our paper catalogue hierarchy of up to seven levels of description. References for **born-digital records** are automatically generated on ingest, using the RFC 4648 Base32 alphabet6 as the basis of the DRI referencing functionality. We have removed the vowels and the Y (a semi-vowel) from this alphabet in order to avoid the creation of random offensive words as part of our references. We have also removed the Z character, which is used for special purposes. This makes our referencing encoding schema a Base 25 alphabet. References for digital records have four parts: a creating department code (for example, LEV), a series number (e.g. 2), a forward slash followed by a base 25 encoded character which is a short string of automatically generated letters and or numbers (e.g. CCWS) and a final slash followed by the letter Z. The Z indicates that the reference is automatically generated for a born-digital asset. In this example the reference is: LEV 2/CCWS/Z. With paper records, references reflect the number of levels within which the record exists. As for paper records, references for digital provide unique identifiers but, unlike paper record references, they do not reflect the number of folders they exist within or the hierarchical relationships between digital records. When there is more than one version of the same record, the Z can be followed by another slash and a number. For example: a fully closed digital record has a reference ending in /Z. If a redacted (open) version of this closed record were to be created, then the new version would have a reference ending in Z/1. If we had a second redaction, making available more information, the new reference would end in Z/2. Each version or manifestation (including those that might be created by migration to a different file format for preservation reasons) would be assigned a new reference in the same way. When the fully closed record becomes fully open (after the closure period has expired), the content of the closed record is made available without changing its reference. The record and its metadata have not changed; only its closure status has changed. This will also facilitate the identification of the complete record and avoid legacy closed references that can be misleading. Hybrid series (containing both paper and born-digital files) are no longer split at The National Archives. When we have a hybrid series, paper files display classic TNA references, whereas digital files display the automatically generated references ending in Z. We believe that this helps users to become familiar with references ending in Z and distinguish digital from paper files more easily. A paper reference within the same series would look like LEV 2/1/235. Former department and former TNA references may also exist for digital records (e.g. the original identifier in an Electronic Records Management System or ERMS). When they exist they should be stored and presented to the user. As mentioned at the beginning of this section, the purpose of a reference is to uniquely identify the digital record and to provide a link to the metadata that represents it. ## 4.2 Levels Of Description All deliverable born-digital records and their metadata (including redacted versions) are ingested at piece level 7in a flat structure (to improve findability). DRI (and Discovery) are capable of handling item and sub item levels but these are only being used for digital surrogates and digitised records when required. The master data set for contextual collection level metadata is managed at department, division and series level using the back office for our analogue catalogue (PROCAT Editorial). DRI only holds the series name for registration purposes. Subseries and subsubseries levels are not used for digital records.8 Digital folders are not presented as digital assets in their own right for the following reasons. - Subseries and subsubseries are not relevant and are largely the result of the conversion of paper lists into online catalogues. - The conversion of deep nested folder structures into subseries, subsubseries, folder, subfolder, subsubfolder, and so on, would undermine findability and the overall browsing experience. Our approach is to treat multilevel folder structures as part of the metadata for each digital record, presenting the parent folder names in the Arrangement field for each digital asset (see 4.4.). The following definition of the seven levels of description for analogue records at The National Archives may be useful for reference: Department (Fonds)9: A government department, agency or body that creates the records. Formerly known as 'lettercode' and earlier as 'group'. For example: Ministry of Defence. Division (Subfonds): Administrative section of a department, where this exists. For example: Records of the Defence Chiefs of Staff. Series: Main grouping of records of the same provenance, with a common function or subject. Formerly known as class. For example: Registered Files prior to 1964. Subseries: A grouping of related records within a series with a common function or subject. Formerly known as header. For example: Manpower. Subsubseries: A grouping of related records within a subseries with a common function or subject. Formerly known as subheader. For example: National Service. Piece (file): This is generally the deliverable unit for both paper and born-digital. It can be a box, a volume, a file, a bundle, a roll or a digital deliverable object. For example: Intake of entrants. Item: A subdivision of a piece, a smaller unit of description for a part of a piece. Items vary considerably in nature: a file in a box, a letter in a file, a name in a register, a part of a larger file, a docket within a volume, etc. It may exist for paper, digitised records and digital surrogates but not for born-digital. For example: Closed extracts 2 pages. ## 4.3 Extent And Medium (Labelled Physical Description In Discovery) At The National Archives this data is only mandatory at the three highest levels of description: at department, division and series level. For paper records, we do not record the number of pages at piece and item level; this is for a matter of resource and consistency with the legacy of existing material. Information about the number of digital records is provided both at series and at piece level. In addition, open digital records display information on the approximate download size of the presentation copy. In the future we would like to make available additional technical metadata around original size and format. ## 4.4 Arrangement The purpose of the arrangement element in cataloguing is to provide information on the internal structure and arrangement of the unit of description. This includes the physical or logical ordering or filing sequence of the records, or how they have been treated by the creator or the archive repository. In some cases the original arrangement may have been disturbed, altered or even lost. The lack or loss of arrangement should also be recorded as part of the arrangement information. When born-digital records have been kept in file plans or other filing structures, the names of the parent folders are recorded under the arrangement field for each record, at piece level. This arrangement information displays the name of each folder which could be clickable in the future, offering a provenance trail and enabling contextual viewing of all records originally kept under the same folder. This approach enhances discoverability. The arrangement information is introduced by a standard form of words that can be seen, for example, in RW 33/XH/Z: This born digital record was arranged under the following file structure: RW 33 >> Preservation >> Archival conservation >> Binders >> Limp vellum conservation >> Talk on Conservation of limp parchment books 2002-03-14 Our Digital Strategy highlights the importance of contextual description and contextual understanding. By bringing contextual information into the metadata at piece (file) level, we are strengthening the contextual links between digital records and also facilitating information retrieval, as many digital titles can seem meaningless without context. The arrangement element of description (which is fully indexed for search purposes) has become mandatory for born-digital. Providing context is an essential part of how the digital archive provides value in the future. We remain open to new ideas or ontologies that may allow us to enhance the contextual information surrounding digital records. ## 4.5 Title The purpose of this element in ISAD(G) is to name the unit of description, providing either a formal or supplied title. At The National Archives, the file names of born-digital records are catalogued as title information. Titles are stored and presented as created; they are not curated by staff or corrected if a member of the public reports a spelling mistake or suggests an enhancement. The reason for this is two-fold: - We cannot change the original file names as this would constitute tampering with the original record. At the point of ingest into the DRI the filename is present as a separate metadata element and must match the actual file name for validation purposes. - The original file title needs therefore to be respected, preserved and presented as part of the original metadata because, as mentioned in section 2 of this document, the metadata of born-digital records becomes part of the record itself. This is one of the areas where our cataloguing practice has evolved. During the second half of 2015-16 we moved away from the practice of always storing and presenting descriptive information for pieces (and items) under the ISAD(G) scope and content field ('Description' in Discovery). Initially, file names as extracted by DROID10 were mapped under 'Description', following the paper descriptive model. Many of these descriptions contained spelling mistakes or were meaningless, which presented an archival and retrieval challenge. The change in the choice of cataloguing field from Description to Title allows us to show clearly that born-digital records may not have curated descriptions, only given titles (file names). Just as we do not contemplate the idea of changing the title of a published report on the folder of a paper file, we should not contemplate the idea of changing the title (filename) of a born-digital record in its metadata. The Title element of description has become mandatory for born-digital and can be supplemented with other information under Scope and content. ## 4.6 Scope And Content (Labelled 'Description' In Discovery) The purpose of this element in our standards is to describe the content and scope of the unit of description so that users can judge the potential relevance of the record. For born-digital records the nature of the file names under Title limits the ability of endusers to find information. Therefore for born-digital records the Scope and content field may be used to store and display **supplementary narrative descriptions** that may be provided by government departments or curated at The National Archives to facilitate information retrieval in certain cases. 'Scope and content' is optional, not mandatory, for born-digital records. Due to the nature and public profile of records generated by Commissions of Inquiry Inquests or similar public bodies, high volumes of spelling mistakes or errors in titles may tarnish the authoritativeness of our catalogue and make the records difficult to find. In certain circumstances, supplementary descriptions might be provided with a digital archivist carrying out a sanity check, or rectifying glaring mistakes that might attract criticism. This recognizes the fact that once metadata has been transferred, stored and presented as part of Discovery, The National Archives becomes the data owner. The existence of email attachments within a record should be noted under scope and content at series level and where possible at the file level. ## 4.7 Dates Digital records generally offer several metadata elements with dates. DRI can preserve all date metadata as transferred but archivists need to decide what date(s) should be presented to our users as the record creation 'Date' in our catalogue. In the future we would like to publish additional digital dates. Ensuring that we provide accurate creation dates for digital records is not straightforward. Different Electronic Records Management Systems (ERMS) store many automatically-generated dates. Record creation or last modified dates can be overwritten when migrating digital records between systems, and again when exporting or preparing data for transfer to The National Archives11. If this were to happen, files might be showing a later date (e.g. the transfer date) and as a consequence the record opening date12 would be later than legally required. Government departments are being asked to use software (Teracopy) to minimise the risk of altering the last modified date when transferring files. Ideally the last modified date as automatically extracted and ingested in DRI is chosen for the 'Date' field on Discovery. A decision is currently taken for each digital transfer, however, in order to identify the date that best represents the start and/or end date of the record. As a last resort, estimated dates - based on events, for example - and dates derived from the parent series are used. These are presented in square brackets and an explanation provided in the metadata at series level. The estimated date approach also helps members of the public and record advisers who have already encountered difficulties trying to explain some digital dates that seemed to defy common sense. In the future we would like to introduce a confidence rating in our catalogue, flagging the level of uncertainty around date and other metadata. Probabilistic date information would need to be computed and not curated for each digital object. ## 4.8 Physical Condition (Physical Characteristics And Technical Requirements In Isad(G)) The purpose of this element is to provide information about any important physical characteristics or technical requirements that may affect or limit the use of the record. In the digital context information about corrupt and partially corrupt files should be recorded under this field. There may be other appropriate uses in the future. The following form of words is used to describe corrupt digital files using plain English: Damaged digital file. Partially missing content or Damaged digital file. No content When we are able to recover some of the corrupted file content a repaired version of the file will be made available. Referencing and hyperlinks for the corrupt and repaired files will follow the style of referencing and links for redacted records and their closed counterparts. Physical condition information should not be confused with information regarding records not available for presentation or legal reasons, which is handled under Restrictions on Use at The National Archives. ## 4.9 Note At The National Archives the Note element combines the two Notes in ISAD(G): Note and Archivist's Note. It has been used to record, for example: - specialised or other important information not accommodated elsewhere - sources consulted during the cataloguing process or information derived from external sources. - acknowledgements of cataloguing funding or the donation of catalogue data by researchers. - date derivation. A new use of the Note field has arisen for digital records. When appropriate, we are recording at series level how digital material has been described and whether there are uncertain or potentially inaccurate elements of description. For example, from ASI 2 Al-Sweady Inquiry Evidence: 'The catalogue descriptions used in this series are as they were created and used by Inquiry staff. It should therefore be noted that they are the original file descriptions and have not been subsequently curated as part of their transfer to The National Archives.' Another example, from WA 11 Welsh Language Board, Welsh Language Policy: 'The date for digital records in this series is the 'Last Modified' date as generated by the Electronic Document and Records Management system which held and managed these records.' Names of staff are not credited or displayed on our catalogue, as our cataloguing output as staff at The National Archives is Crown Copyright. The Copyright Officer (in January 2007 and in February 2013) advised that it is universal government practice not to acknowledge the author of corporate texts, except for instance in the case of a chairperson of a body producing a report and the author of work published as an editor. This advice was confirmed in August 2016. Therefore we do not publish the name of the cataloguer(s) under Note. ISAD(G) suggests that the Archivist's Note is used to explain how the description was prepared and by whom but our policy and practice differ from the 1999 standard. A strong audit trail capability should allow archives to control the creation, quality assurance, release and update of metadata by cataloguers without having to publish their personal names online. Publishing these names online carries the risk (and burden) of having to handle potential requests to take down personal information. Finally, the Note field should not be used for new digital metadata that does not have a natural match within the existing descriptive standard. Additional metadata required to describe born-digital records should be added to our schemas, to ISAD(G) or to a new standard that may replace it. ## 4.10 Custodial History (Archival History In Isad(G)) Custodial history describes where and how records have been held from creation to transfer to the archive, giving those details of changes of ownership and/or custody that may be significant in terms of authority, integrity and interpretation. For born-digital records, we envisage new uses for this element of descriptions. Colleagues contributing to the 'Best Guess Guidelines for Cataloguing Born-digital Material' drafted during the UKAD workshop13 in London in March 2016 reflected that 'the archival history of born digital material does not stop at any point, but is a continuous process of preservation actions, such as integrity checking and possibly migration to newer formats or media, carried out both before and after the material is accessioned into the archive'. At The National Archives, preservation and other technical metadata is kept in our Digital Records Infrastructure, although this is not currently published in Discovery. In June 2016 we encountered our first piece of practical evidence regarding the continuous nature of the custodial history of digital records. This arose during a mixed transfer of hybrid and digitised material from one creating body. In the only case of this sort so far, a government department took on loan some paper files that had been transferred, catalogued and made available in Discovery some years earlier. Once back at the department, these original papers were digitised, re-used and then misplaced. They reappeared as digitised records in a challenging new digital transfer. After considering a number of imperfect solutions for this exceptional case we decided to proceed in the following manner. - Accept the images and the automatically generated new references as part of a new record within a digitised accession. - Copy the scope and content information from the original paper files in the supplementary description field in DRI. - Keep the new digital filename under title (standard practice). - Create cross-references between the paper and digitised entries. - Create custodial history metadata for the paper and digitised entries. - Keep the dates as published for the original paper records to ensure that the record opening dates meet statutory requirements (rather than using the dates when the scans were created, for example). - Add an explanatory Note: 'Formerly missing whilst on loan to a government department. Digital copy located in 2016. ' This ensured that as much information was made available for the newly digitised records and that there was a clear link between the paper originals and the new digital assets. ## 4.11 Conditions Governing Access We have never treated this ISAD(G) element of description as a single entity at the piece (file) and item levels. To replace conditions governing access (since 2001) we developed four new metadata properties which enabled us to: - Provide more granular information about conditions governing access. - Manage our data to meet our statutory requirements around closed and retained records, the Public Records Act, Data Protection Act and Freedom of Information legislation. This enables crucial search functionality for staff and members of the public. The four properties applied at piece (file) level are briefly described below in sections 4.12 to 4.15. The National Archives also has a separate system called System for Access Regulation (SAR) which holds details of closed records (both analogue and digital). Only certain open information from this internal system is presented (where relevant) in our catalogue, for example: - Legal closure exemption under Freedom of Information (FoI) - FoI decision date (when the Advisory Council approved the closure application) Therefore we have several very specific metadata properties instead of conditions governing access. ## 4.12 Closure Status14 This is a mandatory property, which indicates whether the record and its description are open or closed. When records are open, descriptions must also be open. Closed records may have open or closed descriptions. This applies to both paper and digital. When a digital file has been redacted the whole original file becomes a closed record with a unique reference, but an open redacted version is made available with its own reference. For example: JA 418/CBK/Z and JA 418/CBK/Z/1. ## 4.13 Closure Type15 This property identifies the specific conditions that affect access to UK public records (paper and digital). Examples include: - Open on Transfer - Normal Closure before FoI Act - Retained by department under Section 3.4 [Public Records Act] - Closed until - Closed whilst Access is Reviewed - Reclosed in The last two types were introduced in 2011 as a consequence of the implementation of our Re-Closure Policy. Closure Type and Closure Code are displayed together in Discovery under the label 'Access Conditions'. For example: 'Closed until 2020'. ## 4.14 Closure Code16 This is a number which works in conjunction with the closure type. It indicates the number of years for which a record is closed (e.g. 0, 30, 80, 100) or the calendar year until which the record is closed or retained (e.g. 2020, 2035). ## 4.15 Record Opening Date17 The date a closed record will be made available depending on its closure type and code. This information has considerable research value so it is retained in the catalogue and continues to be published online after the record becomes open. ## 4.16 Restrictions Governing Access (Restrictions On Use In Discovery) This is a note to indicate restrictions on the use or reproduction of open records, including copyright and re-use if applicable. For example, in a recent born-digital accession of video recordings UKSC 1/CT/Z: 'This content is made available under the Open Supreme Court Licence'. A hyperlink takes the user to the official licence webpage. ## 5 Series Level Description Series level description is a crucial step in born-digital cataloguing, as it allows us to note distinct information and evolving professional practices relevant to a whole series, accumulation, transfer or collection. Common information about the arrangement and referencing of a group of records is provided at series level rather than for every digital piece. The arrangement field at series level is also the appropriate place to record that the original arrangement has been disturbed or that we may not able to restore it. The fact that a digital accumulation may not appear to possess any order whatsoever should also be documented at series level. Some examples of new types of information appearing now at series level have already been mentioned earlier, under section 4.9 Note. The examples below refer to other elements of description. - Scope and content: 'Over 9,000 emails within this series contain attachments. These attachments are primarily made up of PDF documents, images and various Microsoft Office files, such as Word documents, Excel spreadsheets, Outlook emails and PowerPoint presentations. The attachments have not been treated as separate records but remain within the emails as the digital record', (from ILB 2). - Arrangement: 'Born-digital records are generally arranged and stored differently to paper records. References for born-digital records are automatically generated and display a 'Z' after a forward slash', (from RW 33). - Restrictions on use: 'BT 95/96-2525 require 3 working days' notice to produce. There is no restriction on the digital files', (from BT 95, a hybrid series where 96- 2525 are paper files). - Scope and content: 'This series is a hybrid series that contains paper and digital files (2525 volumes and 2 digital files)', (from BT 95). Analysis of series level entries will provide a picture to help us decide which cataloguing practices should develop into our future guidance and policy. We anticipate that, as the number of digital and hybrid series increases, standard means of describing their characteristics will continue to crystallise. ## 6 Delivery Options Enabling access to the records is the key purpose for our catalogue. As ISAD(G) did not offer a granular approach to describe and present access and online delivery information, The National Archives has developed its own model over the years. Initially, users were only able to request copies of records and place advance orders online. At present, options to download digitised and born-digital records include an image viewer and a full download facility that informs the user of the approximate size of the file. A more recent option provides access to the Discovery video player within our catalogue, although videos are streamed from a third party server. Our delivery options also include a range of links to partner websites when a licensed company has digitised our content. When paper records are closed, the user has the option to submit a request for the record to be opened under Freedom of Information legislation. If a record has been retained by the creating government department (for administrative reasons), the user is informed of this fact and offered a link to visit the department website to submit a request to the record holder. Specific delivery options also exist to convey in a transparent manner whether a paper record is missing or misplaced. There is also a varied selection of access delivery metadata around unavailable and unfit paper records, including: records stored off site that require notice to be produced; records on display in the Keeper's Gallery; records on loan; records to be seen under supervision in the invigilation room, etc. These options are not applicable to born-digital records. ## 7 Cataloguing And The Digital Records Infrastructure (Dri) The DRI is a modular and extensible set of networked systems that comprise the digital archive of The National Archives. Its primary purpose is the preservation of digital records and at present this does not include an editable archival catalogue. Part of the metadata ingested alongside digital records does, however include cataloguing information. The DRI's metadata schema is primarily based on Dublin Core but has been extended to include ISAD(G) elements of description. DRI exports these fields, mapping them to the Discovery BIA schema18 in order for digital records to be accessible in much the same way as our paper records are via Discovery. Three types of digital records (born-digital, digital surrogates and digitised records) are ingested into the DRI using specific workflows which are customisable per series. Metadata for born-digital records is extracted, added to by the creating government departments and submitted to The National Archives as a CSV file. Each series of digital records and their accompanying metadata CSV file undergo a series of fixity, validation and file characterisation checks before they are ingested into the digital repository. Two of the tools used in these processes are developed and maintained by The National Archives: DROID, our file format identification tool, and the CSV Validator which uses our CSV schema language. Describing our digital preservation infrastructure is not the purpose of this document, Therefore the following information will suffice to conclude this section: - Technical metadata about the digital records is extracted and archived alongside the digital objects, file system, access and rights metadata. This includes information such as the file format and version of all files and - for image files, for example - the height, width, resolution (ppi: pixels per inch), colour space, etc. - The DRI has a file substitution service which is currently used for converting archival copies of digital files to compressed copies suitable for presentation on Discovery. For example, JPG2000 images are converted to jpegs and MXF broadcast quality videos are converted to MPEG4 for streaming. - We are planning the development of a new, unified catalogue back office system to enable the management of metadata for both our paper and digital catalogues. ## 8 The Way Ahead We do not know exactly what lies ahead but our ultimate goal is to become a digital archive by instinct and design. One of our strategic priorities for 2017-18 is to lead a transformation in how digital records are managed at scale, from creation to presentation. Archival arrangement and description (which includes metadata management) are core elements of our digital task. Our digital strategy acknowledges that: 'There is also much that we still don't know. To manage that uncertainty we will work in an agile way, continuing to adjust our plans as we learn more. We will refine our priorities as we develop, iterating this digital strategy as we move forward.'19 Our descriptive practices, standards and schemas will also evolve within the same spirit as we move forward. Over the last year we have provided detailed feedback to colleagues working on the development of a new archival standard (Records in Contexts - Conceptual Model). This engagement and collaboration beyond national boundaries will continue in the future as we advance digital archival practices and standards. Cataloguing is defined at The National Archives as the process of arranging, assigning, creating or enhancing descriptive information (data) to make records accessible to users. We are engaged in a user experience research project which aims to understand better how users perceive our catalogue and what gaps there are between user expectations and our Discovery service. So far we have ingested (and made available through Discovery, our catalogue) 17 digital or hybrid record series with over 220,000 born-digital and digitised records20. Our experience with the transfer, preservation and presentation of these records has shaped our practice, although we continue to develop and streamline our process to automate this process fully. We are currently enhancing our digital infrastructure and handling several digital transfers from government departments as business as usual. In addition to this work we want to widen the types of digital records that we can preserve, meet the changing expectations of users in a digital world and develop our own digital capability, skills and culture. ## Appendix: List Of Digital And Hybrid Record Series Series for digital surrogates (8.9 million copies of original paper records) are not included here. | Type | Files | |----------------------------------------------------------------------|--------------| | Reference | Title | | Series | | | Dates | | | ADM 362 | | | 1925-1939 | Digitised | | 1925-1939 | Digitised | | ADM 363 | | | (CR) Cards | | | 2009-2014 | Born-digital | | | | | ASI 2 | | | of Iraqi nationals by British troops in the aftermath of the 'battle | | | of Danny Boy' (The Al-Sweady Inquiry): Evidence. | | | 1855-1995 | Hybrid | | BT 31 | | | Dissolved Companies. [Also includes 47,620 paper files.] | | | 1856-1990 | Hybrid | | BT 95 | | | Index to Files of Dissolved Exempt Private Companies. [Also | | | includes 2,525 paper files.] | | | ILB 2 | | | 2007-2011 | Born-digital | | 1971-2006 | Born-digital | | JA 418 | | | Evidence to the Penrose Inquiry. | | | 2011-2012 | Born-digital | | LEV 2 | | | Leveson Inquiry): Transcripts and Evidence. | | | 2011-2013 | Born-digital | | LEV 3 | | | Leveson Inquiry): Judicial Reviews and Administrative Records | | | 1901-1986 | Hybrid | | MINT 20 | | | 4,529 paper files.] | | | MINT 33 | | | 1972-1976 | Digitised | | MINT 34 | | | 1977-1981 | Digitised | | MINT 35 | | | 1982-1986 | Digitised | | MINT 36 | | | 1987-1991 | Digitised | | 1939 | Digitised | | RG 101 | | | [ | | | Details for over 40 million individuals from the 66,612 register | | | booklets are available from a partner website | ] | | 2006-2008 | Born-digital | | RW 33 | | | Preservation Departments. | | | UKSC1 | | | 2009 | Born-digital | | 1997-2014 | Hybrid | | WA 11 | | | Board relating to Welsh language policy. [Also includes 14 | | | paper files.] | | | 2008-2010 | Hybrid | | WA 12 | | | Language in Education and Communities. [Also includes 2 | | | paper files.] | | | 2009-2014 | Hybrid | | WA 13 | | | to the use of Welsh Language in the Private and Public Sector. | |

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## Section 17 Notice Under The Freedom Of Information Act 2000 Withholding Information Section 21 states Information accessible to applicant by other means. (1) Information which is reasonably accessible to the applicant otherwise than under section 21 is exempt information. (2) For the purposes of subsection (1)— (a) Information may be reasonably accessible to the applicant even though it is accessible only on payment, and (b) Information is to be taken to be reasonably accessible to the applicant if it is information which the public authority or any other person is obliged by or under any enactment to communicate (otherwise than by making the information available for inspection) to members of the public on request, whether free of charge or on payment. (3) For the purposes of subsection (1), information which is held by a public authority and does not fall within subsection (2) (b) is not to be regarded as reasonably accessible to the applicant merely because the information is available from the public authority itself on request, unless the information is made available in accordance with the authority's publication scheme and any payment required is specified in, or determined in accordance with, the scheme. Section 21 is an absolute exemption which means there is no requirement to carry out a public interest test if the requested information is exempt. Section 40(2) - Personal Data Relating To Third Parties The information you have requested contains personal data. Personal data can only be released if to do so would not contravene any of the data protection principles as outlined in Data Protection Act 2018 and set out by Article 5 of the General Data Protection Regulation (GDPR) Personal data shall be processed lawfully, fairly and in a transparent manner Crown Prosecution Service, Information Access Team, Floor 8, 102 Petty France, London SW1H 9EA United Kingdom We believe releasing the requested information into the public domain would be unfair to the individuals concerned; these individuals have a clear and strong expectation that their personal data will be held in confidence and not disclosed to the public under the FOI Act.

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## Eu Tariffs Code Eu Tariffs Code Code Now In Comitology Process Member States Will Next Meet In April Inter-services consultation not due to start until late April Not expected to have final TAR NC for April April now a pre-comitology meeting Impact assessment still not approved ## Formal Comitology Meeting In June Member States could vote on English text (requires unanimous MS approval) or could vote to have additional meeting ## Eu Tariffs Code Additional meeting (if required) likely to be in September/October EC's aim is to finish Comitology prior to Madrid Forum in October Once text passed by Member States then governance process between EU Council, EU Parliament and EC (this takes several months) Possible "entry into force" in January 2017 (if code approved by MS in June) Could be delayed until April 2017 if 2nd comitology meeting required ## Feedback At Informal Ms Meeting Held 10 March MSs went Article by Article through the TAR NC Text difficult to read Not clear what problem is being solved and would welcome the respective explanation in the Impact Assessment Five main issues for April meeting: 1. ACER opinion (main point of contention) 2. Implementation period 3. Asset cost split 4. Storage 5. Interruptible pricing ## Eu Tariffs Code - Acer Review And Guidance Concerns by TSOs over ACER's role post consultation on proposed charging regime ACER to review consultation document plus summary and evaluation of consultation responses ACER can make recommendations to which NRA must take "utmost account" Concerns that this does not align with competence of ACER as outlined in Regulation (EC) 713/2009 In addition, ACER's ability to request information from NRA and requirement for NRA to respond within 30 days not foreseen by Third Energy Package. ACER review will slow down implementation process ENTSOG believes ACER's should have monitoring and reporting role instead ## Eu Tariffs Code - Acer Review And Guidance TAR NC has obligation on ACER to analyse regulatory approaches applied in EU and produce "Guidance Document" Aims at producing transparency on allowed revenues Concerns by TSOs that this goes beyond scope of TAR NC Code is about harmonising allocation of costs to users and not about harmonising the setting of allowed revenues. ENTSOG view is that ACER does not have the competence for this task Since setting allowed revenue is outside of scope of TAR NC, ENTSOG supports the deletion of this article. ## Eu Tariffs Code - Implementation At March Informal Ms Meeting Different application dates dependent of type of obligation Default applicable date is 1 January 2018 Publication requirements as of entry into force Change to reference price methodology linked to regulatory period Likely GB deadline is between June - October 2019 to **start** process ## Text Considered To Be Too Complicated Different application dates for different Member States Linkage between RPM and other parameters (e.g. multipliers).. ## Eu Tariffs Code - Implementation EC has subsequently proposed change for applicable date for **all of obligations in code** to be 17 months after entry into force Transitional arrangements and mitigating measures remain deleted. The proposed revised implementation timescale will be too short for a proper and consistent implementation in GB regime. National Grid and ENTSOG pushing back against this revised implementation period ENTSOG proposing **24 months** implementation ## Eu Tariffs Code - Entsog Main Concerns Entsog To Develop Position Paper Implementation timescales Cost allocation test ACER consultation review Code focus on short term shipper behaviour ACER revenue calculation CWD as the counterfactual guidance (associated transparency) Specific nature of interconnectors Financial stability of TSOs Report on specific capacity Asset cost split products Within-day pricing: removal of flat Implementation monitoring article rate Smaller issues Storage List of non-transmission services Simplified model ## Eu Tariff Code And The Gb Charging Review Opportunity To Improve Gb Framework As A Key Driver Consider EU compliance in any development and how options fit with GTCR policy Chance to drive improvements with industry not just deliver EU Compliance (details discussed in NTSCMF) Industry workshop held 22 March ## Incremental Capacity Amendment To Cam Incremental Capacity Amendments To Cam Nc Process for the incremental capacity/CAM NC amendment comitology is same as for TAR NC MS meeting of 10 - 11 March: EC to come back at April meeting re Order of offer of conditional firm and interruptible capacity after nonconditional firm capacity Extending period for offering incremental (and existing) capacity beyond 15 years Frequency of incremental process Amount of capacity to be set aside in alternative CAM Solutions for booking platform cooperation Incremental reality check study (EU-Russia Gas Advisory Council) Groups involved: ENTSOG, Gazprom, IFIEC, IOGP and GIE

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Public health services for 0-5 year-olds Transfer of commissioning responsibilities to local authorities Initial contracting guidance for NHS commissioners Public health services for 0-5 year-olds Transfer of commissioning responsibilities to local authorities Initial contracting guidance for NHS commissioners Version number: 1 First published: November 2014 Updated: NA Prepared by: NHS Standard Contract Team Document classification: Official ## Nhs England Information Reader Box Directorate Medical Operations Patients and Information Nursing Policy Commissioning Development Finance Human Resources Publications Gateway Reference: 02448 Resources Document Purpose Document Name Public health services for 0-5 year-olds - Transfer of commissioning responsibilities to local authorities - Initial contracting guidance for NHS commissioners NHS England Author November 2014 Publication Date Target Audience Directors of PH, Local Authority CEs, NHS England Regional Directors, NHS England Area Directors, Directors of Children's Services, All commissioners of public health services for 0-5 year olds #VALUE! Additional Circulation List Description Responsibility for 0-5 years healthcare services transitions from NHS England to local authorities on 1 October 2015. Clear and robust contractual arrangements must be in place between commissioners and service providers through transition, and this publication sets out initial guidance for NHS England area teams on the approach they should take locally. Further guidance will be issued later in the autumn. Cross Reference NA NA Superseded Docs (if applicable) Action Required Write to providers of public health services for 0-5 year-olds Action required no later than 30 November 2014 Timing / Deadlines (if applicable) Contact Details for further information NHS Standard Contract Team 4E44 Quarry House Quarry Hill Leeds LS2 7UB nhscb.contractshelp@nhs.net http://www.england.nhs.uk/nhs-standard-contract/ ## Document Status This is a controlled document. Whilst this document may be printed, the electronic version posted on the intranet is the controlled copy. Any printed copies of this document are not controlled. As a controlled document, this document should not be saved onto local or network drives but should always be accessed from the intranet ## Contents | 5 | 1 | Introduction……………………………………………………………… | |-----------------------------------------|-------------------------------------------------------------|--------------------------------------------------------------| | | | | | 5 | 2 | Overall approach……………………………………………………….. | | | | | | | | | | 6 | | | | 3 | Option 1 - agreement of one single contract for 2015/16 for | | | mid-year novation………………………………………………………. | | | | | | | | 7 | 4 | Option 2 - agreement of two separate six month contracts………. | | | | | | 8 | 5 | Communicating with providers………………………………………... | | | | | | 8 | 6 | Sharing contract documentation……………………………………… | | | | | | 9 | 7 | Complex scenarios………………………………………………...…... | | | | | | 10 | 8 | CQUIN…………………………………………………………………… | | | | | | 11 | 9 | Advice and support…………………………………………………….. | | | | | | 12 | | Appendix A……………………………………………………………. | | | | | | | | | | | | | | | | | ## 1 Introduction 1.1 The Key Consideration For National Stakeholders In The Transfer Of Commissioning responsibilities for 0-5 year-old Healthy Child Programme is to ensure a stable transition process which will maintain service continuity and support the continued development of the service, offering best outcomes to patients and their families. 1.2 As part of this transition, it will be important that clear and robust contractual arrangements are in place between commissioners and service providers through transition. This document sets out initial instructions and advice for NHS England area teams on the approach they should take locally to help secure this. 1.3 This document provides an overview of the contracting options available to NHS commissioners through transition and encourages local discussion on the most appropriate approach to suit local need. Continuity of service and service transformation is key to the safe transfer of commissioning responsibilities. This guidance is not aimed directly at local authorities, recognising that this is not the role of NHS England, however this document has been produced with input from, and has the support of, the Department of Health, Public Health England and the Local Government Association. We hope that it will be of interest and use to local authorities. ## 2 Overall Approach 2.1 NHS England's current contracts with service providers of 0-5 services can be split into two broad groups:  contracts that expire at 31 March 2015 (these are the majority);  contracts that expire after 30 September 2015, the date at which commissioning responsibility transfers (these are a substantial minority). 2.2 This initial guidance sets out the proposed approach for the first group of contracts, those expiring at 31 March 2015. Further information will be issued later in the autumn relating to the second group of contracts, ie those running beyond 30 September 2015. In the interim, NHS England national support centre team is working directly with those area teams who hold such contracts to agree a contract by contract approach. Area teams should not give notice to terminate these contracts at this time. 2.3 For contracts with service providers which expire on 31 March 2015, the overall approach which NHS England Area Teams should follow is summarised below. 2.4 Area teams, as the outgoing commissioners, should work with local authorities, as the incoming commissioners, to put in place new contracts with existing providers which ensure services are available to patients throughout the transition year. Service continuity and stability are a key principle of safe transfer. 2.5 In order to ensure this, area teams should, working with local authorities, put in place contracts with existing providers to commence on 1 April 2015. Two alternative approaches can be taken to this, depending on local circumstances.  **Option 1.** The area team can put in place a single contract for the fullyear of 2015/16, with a deed of novation being approved by the relevant local authority at the same time as the contract is signed, confirming that the contract will transfer to the local authority on 1 October 2015.  **Option 2.** The area team can put in place a six-month NHS England contract with the provider for the period from April to September 2015 and can help the local authority put in place a similar, but separate, contract with the provider for the period from October 2015 to March 2016. It would be very desirable for both contracts to be signed before the start of the 2015/16 financial year. There may be some cases where NHS England and the relevant local authority work with one or more CCGs to put in place a joint contract with the provider. These are discussed in section 7 below. 2.6 Area teams should discuss and agree the most appropriate approach with local authority colleagues. Further detail on each approach is set out in sections 3 and 4 below, including the situations in which each might be appropriate. ## 3 Option 1 - Agreement Of One Single Contract For 2015/16 for mid-year novation 3.1 With this option, the NHS England area team should work closely with the relevant local authority, negotiating jointly with the provider, to put in place one single contract with the provider for the period from 1 April 2015 to 31 March 2016. This contract will initially be held by NHS England, but will novate to the local authority on 1 October 2015. 3.2 The contract must be in the form of the 2015/16 NHS Standard Contract and must be separate from other contracts which NHS England may hold with the same provider, for instance for specialised services. This is essential so that the contract can novate as a separate entity. 3.3 The contract must secure the objectives to be set out in NHS England's public health commissioning intentions, which will be published later in the autumn. In particular, it must secure full delivery on an ongoing basis of the planned 2014/15 expansion of health visitor staff numbers. At the same time, the contract must fully reflect local authority commissioning requirements. 3.4 At the same time as agreeing and signing the contract with the provider, the area team must ensure that an appropriate deed of novation is formally approved by all the relevant parties. Area teams must not sign contracts with providers in advance of approval of the deed of novation by the provider and the relevant local authority, as this would result in an ultra vires act on the part of the area team. A template deed of novation will be provided by early January. 3.5 The area team should make every possible effort to ensure that the contract is signed, and the deed of novation approved, by the end of February 2015. 3.6 We envisage that Option 1 will be appropriate where there has already been discussion between the area team and the local authority about an intention to novate the contract, where the local authority is comfortable to use the NHS Standard Contract form, and where the local authority intends, in the short term at least, to commission the same range of 0-5 services from the same provider as NHS England. 3.7 If considering pursuing this option, therefore, area teams should seek early written assurance from the local authority on the issues in 3.6 above, before proceeding with negotiations to agree a full-year contract with the provider. We recommend that this is done by no later than 22 January 2015. Where a local authority is not able to provide this commitment, the area team will need to revert to Option 2. 4 Option 2 - agreement of two separate six-month ## Contracts 4.1 Under this option, the NHS England area teams and the relevant local authority would work closely together, negotiating jointly with the provider, to put in place  an NHS England contract with the provider for the period from 1 April to 30 September 2015; and  a local authority contract with the provider for the period from 1 October 2015 until 31 March 2016. 4.2 The NHS England contract must be in the form of the 2015/16 NHS Standard Contract and must be separate from other contracts which NHS England may hold with the same provider, for instance for specialised services. 4.3 The NHS England contract must secure the objectives to be set out in our public health commissioning intentions, which will be published later in the autumn. In particular, our contracts must secure full delivery on an ongoing basis of the planned 2014/15 expansion of health visitor staff numbers. 4.4 The area team should make every possible effort to ensure that its own contract is signed by the end of February 2015 and should offer every support to assist the local authority and the provider to sign their separate contract to the same timescale. 4.5 Where the local authority agrees, this contract can also be in the form of the NHS Standard Contract and can be based on exactly the same service specification, price and CQUIN requirements as the NHS England contract. This will assist considerably in assuring a stable transition period, as well as reducing the time spent on contract negotiation and drafting. Where this approach is agreed, the area team should be prepared to assist by producing the necessary contract documentation on behalf of the local authority, if the latter so wishes. 4.6 We anticipate that Option 2 will be more appropriate where, for instance, the local authority is uncertain about use of the NHS Standard Contract or wishes to change (within the limitations of the final mandate) the range of services commissioned. 4.7 Ultimately, of course, local authorities will make their own decisions about procurement and contracting. In the event that a local authority is not in a position to work with the area team and the provider towards Option 1 or 2, the area team must still ensure that it puts in place a stand-alone NHS England contract with the existing provider for the period from 1 April to 30 September 2015. 5 Communicating with providers 5.1 It is important that commissioners communicate clearly with all providers, in order to give confidence about the way in which the transition will be managed. We therefore recommend that area teams should write to each provider with a contract expiring on 31 March 2015, setting out the overall approach we intend to be taken locally to agreement of contracts for 2015/16. The letter should be sent by no later than 30 November 2014 - and should preferably be a joint letter with the relevant local authority. 5.2 Example letters for different scenarios are set out in Appendix A. These will need adaptation by area teams to reflect local circumstances. 6 Sharing contract documentation 6.1 Where area teams have not already done so, they should share existing contract documentation and in-year reporting information with local authority colleagues, allowing them to familiarise themselves with aspects of the existing contract such as service specifications, quality and reporting requirements and financial monitoring arrangements. 7 Complex scenarios 7.1 The description of Options 1 and 2 generally reflect the simplest of scenarios,  where the area team contracts with a single provider; and  where commissioning responsibility will transfer to a single local authority. 7.2 There are many different scenarios which may emerge at local level. Though this guidance cannot cater for them all, it is worth exploring three specific situations which may arise. Where, currently, a single NHS England contract exists, but multiple local authorities will commission the service separately in future, 7.3 This scenario is slightly more straightforward under Option 2, where NHS England is putting in place a six-month contract from April to September 2015. In this situation, area teams and local authorities could choose to put in place:  multiple NHS England contracts (ie one per local authority) from April to September 2015, mirrored by multiple local authority contracts from October to March; or  a single NHS England contract from April to September 2015, followed by multiple local authority contracts from October to March (but with the NHS England contract setting out service, financial and reporting requirements at local authority level). Conceivably, if the local authorities agreed that they wished to contract collaboratively for 0-5 services, there could be a single NHS England contract from April to September 2015, followed by one joint multi-party local authority contract from October 2015 onwards (rather than multiple separate ones). 7.4 Under Option 1, this scenario is more complex. Agreeing arrangements to novate a single NHS England contract to multiple local authorities would be possible, but complicated and time-consuming. It will therefore be more realistic to put in place multiple NHS England contracts (ie one per local authority) from April to September 2015, mirrored by multiple local authority contracts from October to March. Where both NHS England and the relevant local authority are currently party to an existing CCG-led contract with the provider, which includes 0-5 and other services 7.5 Where the local authority wishes the above arrangement to continue during 2015/16, then it should be possible to reflect this in one single contract which all of the parties sign at the start of the year - with the financial schedules reflecting that responsibility for commissioning and funding 0-5 services transfers from 1 October 2015 from NHS England to the local authority. Where the local authority is currently party to a CCG-led contract with the 0-5 provider (perhaps for other public health services) 7.6 In this instance, subject to the agreement of all parties, it would again be possible for the three different commissioners - CCG, local authority and NHS England - to sign the same contract with the provider for the full year of 2015/16. Again, the financial schedules could reflect the shift of commissioning responsibility for 0-5 services from 1 October 2015. Assuming that the only services being commissioned by NHS England were 0-5 services, NHS England's active input into the contract would cease from 1 October 2015. 7.7 In the two examples at 7.5 and 7.6, the form of contract to be used would be the NHS Standard Contract. ## 8 Cquin 8.1 Cquin (Commissioning For Quality And Innovation) Schemes Offer Providers operating under the NHS Standard Contract a financial incentive of up to 2.5% of actual contract value for achieving specified quality improvements. 8.2 Any new contracts entered into by NHS England for 0-5 services from 1 April 2015 onwards (whether this is under Option 1 or Option 2) should therefore include a CQUIN scheme, in accordance with the national CQUIN guidance to be published by NHS England later in the year - unless, in exceptional circumstances, agreed otherwise with the provider and stated in the contract. 8.3 Under Option 1, where contracts novated to local authorities include CQUIN schemes, local authorities will be bound by the terms of these schemes. 8.4 Under Option 2, where area teams are assisting local authorities in the development of new contract documentation with the provider for the second half of 2015/16, they should note that  if the local authority chooses to operate under the NHS Standard Contract, it should offer the provider a CQUIN scheme;  if using a different contract form, the local authority can still choose to offer the provider a CQUIN scheme - and retaining the NHS England CQUIN scheme may be advantageous in this situation;  if a different contract form is used, there is no requirement on the local authority to offer CQUIN (although the financial impact of this for 0-5 services would no doubt be something which the provider would wish to discuss with the local authority). 8.5 Clearly, under both Option 1 and 2, it will be important for area teams to ensure that they discuss CQUIN for 2015/16 in detail with local authority colleagues, as local authority support for planned CQUIN schemes will make a stable transition of contractual arrangements more likely. ## 9 Advice And Support 9.1 There Are Certain To Be Additional Issues Which Emerge And Further Complexities which need to be addressed. Where these cannot be resolved locally, area teams are welcome to raise these with the NHS Standard Contract team via nhscb.contractshelp@nhs.net. Updated guidance or FAQs will be issued as necessary. ## Appendix A Draft Letters For Area Teams To Send To Providers (Joint With Local Authorities Wherever Possible), Giving Details Of Future Contracting Intentions The Example Letters Below Are Drafted For The Most Straightforward Situation, Where There Is A Simple 1-1 Relationship Between Nhs England As The Current Commissioner And One Local Authority As Future Commissioner. Local Circumstances Will Vary Widely, Of Course, And The Letters Below Will Need To Be Adapted By Area Teams, Sometimes In Discussion With Local Authorities, To Suit The Particular Circumstances Of Each Contract. 1. Example Joint Letter Where Option 1 Is Proposed Joint Nhs England / Local Authority Letter To Be Sent Where  the existing contract expires on 31 March 2015  the area team and local authority intend that the area team should put in place a new contract for the full year of 2015/16, which will novate mid-year to the local authority  the local authority is therefore comfortable to state a broad intention, at this stage, to commission the service from the same provider, to use the NHS Standard Contract and to commission the same services at the same price as NHS England Dear [name] Transfer of commissioning responsibilities for 0-5 children's public health services As you know, responsibility for commissioning of 0-5 children's public health services will transfer from NHS England to local authorities on 1 October 2015. As the present and future commissioners, we are writing to update you on how we intend to manage the transition locally. Our underlying aim is to secure a smooth transition with continuity of service provision and clear, well-understood contractual arrangements. Draft financial allocations for 0-5 services for each local authority will shortly be [have now been] published by DH, and the national mandate for 0-5 services to be commissioned by local authorities will also be available in final form. Taken together, these will give a good basis on which contracts for 2015/16 can be agreed early in 2015. As you will be aware, NHS England's contract with you expires on 31 March 2015. Our joint intention is that, in the period from December 2014 to February 2015, contracting teams from NHS England and the Council will negotiate one single separate contract with you for 0-5 services covering the whole of 2015/16. The contract will be held initially by NHS England, but will then transfer by novation to the Council with effect from 1 October 2015. Our intention is that this contract will be signed, and the deed of novation approved, by the end of February 2015, thus giving you full clarity before the start of the year about funding and expected service levels for the full year. The contract will be in the form of the 2015/16 NHS Standard Contract. We hope that this letter is helpful in setting out our broad intentions at this stage and gives you, and your staff, confidence that the transition of commissioning responsibilities will be managed in a way which ensures continuity of service provision. However, before making firm decisions on these issues, the Council will wish to review the final version of the NHS Standard Contract for 2015/16 (which will be published by NHS England in December) and to review both the final mandate for 0-5 services to be commissioned and the final financial allocation it receives from the Department of Health. We will therefore write to you again in January with a further update. Yours sincerely [Name] [Job title] NHS England Area Team / XXX Council 2. Example joint letter where Option 2 is proposed Joint NHS England / local authority letter to be sent where  the existing contract expires on 31 March 2015  the area team and local authority have agreed to put in place two separate contracts, an NHS England contract for April to September 2015, and a local authority contract for October 2015 to March 2016. Dear [name] Transfer of commissioning responsibilities for 0-5 children's public health services As you know, responsibility for commissioning of 0-5 children's public health services will transfer from NHS England to local authorities on 1 October 2015. As the present and future commissioners, we are writing to update you on how we intend to manage the transition locally. Our underlying aim is to secure a smooth transition with continuity of service provision and clear, well-understood contractual arrangements. Draft financial allocations for 0-5 services for each local authority will shortly be [have now been] published by DH, and the national mandate for 0-5 services to be commissioned by local authorities will also be available in final form. Taken together, these will give a good basis on which contracts for 2015/16 can be agreed early in 2015. As you will be aware, NHS England's contract with you expires on 31 March 2015. Our joint intention is that, in the period from December 2014 to February 2015, contracting teams from NHS England and the Council will negotiate two separate contracts with you for 0-5 services  an NHS England contract for the period from 1 April 2015 to 30 September 2015  a local authority contract for the period from 1 October 2015 to 31 March 2016. [Add more detail about the form of contract to be used, if agreed.] Our intention is that these two contracts will both be signed by the end of February 2015, thus giving you full clarity before the start of the year about funding and expected service levels for the full year. We hope that this letter is helpful in setting out our broad intentions at this stage and gives you, and your staff, confidence that the transition of commissioning responsibilities will be managed in a way which ensures continuity of service provision. However, before making firm decisions on these issues, the Council will wish to review both the final mandate for 0-5 services to be commissioned and the final financial allocation it receives from the Department of Health. We will therefore write to you again in January with a further update. Yours sincerely [Name] [Job title] NHS England Area Team / XXX Council ## 3. Example Nhs England Letter Where Discussions With Local Authorities Are Not Well Advanced Letter to be sent by the area team alone, where the existing contract expires on 31 March 2015, but where the local authority does not feel able to make any written commitment on its contracting intentions at this stage Dear [name] Transfer of commissioning responsibilities for 0-5 children's public health services As you know, responsibility for commissioning of 0-5 children's public health services will transfer from NHS England to local authorities on 1 October 2015. I am writing to update you on how we intend to manage the transition locally. Our underlying aim is to secure a smooth transition with continuity of service provision and clear, wellunderstood contractual arrangements. Draft financial allocations for 0-5 services for each local authority will shortly be [have now been] published by DH, and the national mandate for 0-5 services to be commissioned by local authorities will also be available in final form. Taken together, these will give a good basis on which contracts for 2015/16 can be agreed early in 2015. As you will be aware, NHS England's current contract with you expires on 31 March 2015. Our statutory responsibility for commissioning 0-5 services will cease after 30 September 2015, and our intention is to place a new contract with you, separately for 0-5 services, covering at least the period from 1 April to 30 September 2015. We will aim to agree this contract with you by the end of February 2015; the contract will be in the form of the NHS standard Contract for 2015/16. We are in discussion with XXX Council about its commissioning intentions. The Council is not yet in a position to make a firm statement about its plans, pending confirmation of the mandate and its financial allocation. One option we will discuss with the Council is whether we can agree one single contract with you for the full year of 2015/16, with this being held initially by NHS England and then transferring to the Council mid-year by novation. We hope that this letter is helpful in setting out NHS England's intentions at this stage, and we will continue to work with XXX Council to ensure that there is a clear process to manage the transfer of commissioning responsibilities. We will write to you again in due course with a further update. Yours sincerely [Name] [Job title] NHS England Area Team (copy to XXX Council)

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Digital Services Project - Review # City Of York Council Internal Audit Memo Service Area: Corporate Responsible Officer: Assistant Director: Customer Services and Digital Introduction and scope 1.1 The Executive approved plans for a new smart and responsive online service which will improve access for residents, visitors and businesses at the Executive meeting on Thursday 11 February 2016. 1.2 The first stage of the programme is to improve users' online experience with the council, with the new Customer Relationship Management (CRM) system aiming to: - Provide online access to more services and information. - Ensure the council is more efficient and easy to do business with on a 24/7 basis. - Implement a 'My Account' system for residents offering a tailored access to council services. - Provide access via mobile devices and tablets, increasing accessibility for residents and other customers. - Allow residents and customers to track the progress of their requests and receive updates. 1.3 The programme is following the council's approved project management guidelines as its framework. The purpose of this audit was to provide assurance to management that procedures and controls within the project management system will ensure that: - Project management principles have been applied to the programme of work and specific projects - Governance arrangements are in place and are at the correct level for the programme - Risk management is considered and reviewed throughout the programme 1.4 This audit was a desktop exercise and reviewed only information received by the Project Board. An initial review was carried out in July 2016 and feedback was provided. A follow-up was then carried out and this report summarises both pieces of work. Veritau has also attended Board meetings since July in order to provide support, challenge and advice. ## Findings 2.1 Project Board information from January 2016 was reviewed for this audit. All project documents were available within the specific folders on the council's network. There was a clear folder structure and most documents were clearly labelled. ## Project Management Arrangements 2.2 There is a designated project team with a clear mandate and a project plan in place. This was all confirmed prior to the review period but is evidenced throughout the documentation. 2.3 The project is monitored through the meetings of the Project Board which occur at regular intervals (currently monthly) and the Project Board meetings are minuted and supported by documentation in line with those outlined within the All About Projects framework including highlight reports. ## 2.4 The Highlight Report Gives The Current Status Of The Project. There Is An Approved Communications Plan And All Key Stakeholders Have Been Invited To Attend The Project Board Meetings. Governance Arrangements 2.5 There is a clear governance structure in place for the project. There is a formal Project Board which has an approved Terms of Reference. The Project Board represents all council services. It provides a governance mechanism for managing the project providing assurance and reporting upwards to council's management team, Scrutiny and Executive. 2.6 The Project Board has also formally assigned the role of project assurance to the Programme Manager and they attend the Project Board meetings. 2.7 The project has documented this governance structure and has made provision for any time when board meetings do not align to key decision points. The chair of the Project Board has, on those occasions, been delegated the following powers which would be ratified at the next board meeting: - To approve budget spend above £10,000. - To approve changes to the project milestones and scope. 2.8 It was suggested during the initial review that, it would be good practice to have at least three Project Board members (including project assurance) to take these decisions outside of the normal meetings, thereby the decisions are still subject to challenge by key board members. In November, the chair invited key stakeholders to an extra meeting to make a decision on the deployment for the release for Street lighting and Street Cleaning (a Go Live decision). The decision was made with a number of caveats - a copy of which was circulated to the full Project Board. 2.9 Minutes are produced for each board meeting and they are reviewed at the next board meeting for accuracy. The review found that the content of the minutes could be improved. The following main issues were identified: - The minutes were not produced on a timely basis. On the two occasions the minutes were requested after the Project Board (July and November), they were not available for over three weeks. This has an impact on the project team who are required to check their accuracy and use them to inform the current project papers before circulating them to the Project Board before the next meeting. - The minutes do not include an action log (nor is one maintained separately). There is therefore no formal mechanism for ensuring that all actions arising from the board meetings were completed. Questions raised within the minutes are not always answered in subsequent minutes or supplementary papers and information that was to be sought outside of the Project Board meeting is not always brought back to the Project Board at the next meeting, and therefore not followed up for the completeness of records. These issues would be resolved by the implementation of an action log. - Decisions were not always formally recorded within the minutes and the basis on which the Project Board has made decisions was not always articulated or cross referenced to the supporting papers. A decision log was implemented in July and going forward attention will be placed on the wording of the decisions so that the articulate the specifics of what the board has agreed to. - It was not clear which documents had been circulated or presented to the Project Board. There were a number of versions of some documents available within the project folders at the time of review. Not all documents had been saved as a PDF version with an appropriate label. Risk Management Arrangements 2.10 The project actively monitors risk and discussions are held at the Project Board meetings. There are project specific risk registers (Phase One and Release Two) which were refreshed in October 2016. The risk registers are maintained through the Council's risk management system - Magique. This ensures that the corporate risk management matrix is used and that specific fields are completed. 2.11 The risk register which was presented to the Project Board in January 2016 did not document the gross and net risks for the project - however this has been corrected and the current registers display both the gross and net risk scores. 2.12 Risks are updated as and when required but the formal registers are being brought back to the Project Board on a bi-meeting basis. As the format of the risk register is quite static, the Project Board has recently requested that all ongoing changes are highlighted. This will allow them to quickly acknowledge any amendments within the controls and actions for the specific risks. 2.13 An issues log for Phase One of the project has been established. This is presented to the board along with the risk registers. It should be noted that the critical success factors for the project have been documented and are monitored within the project. Conclusions and Recommendations 3.1 It was found that the arrangements for managing risk were good with few weaknesses identified. An effective control environment is in operation, but there is scope for further improvement. Our overall opinion of the controls within the project at the time of the review was that they provided **Substantial Assurance**. The key areas for improvement are: - The quality and timeliness of the meeting minutes should be addressed. The review has confirmed that whilst discussions take place at the board meetings and decisions made, they are not always accurately reflected in the minutes. - An action tracking mechanism within the meeting minutes or an action log should be maintained. This should be updated after all Project Board meetings to ensure that all actions are reviewed to ensure that they are actioned. - The decision log should be revised to ensure that it only contains decisions made at the board meetings (and not actions) and that the wording of the decisions articulates the decision made by the board. ## Further Work 4.1 Veritau will continue to attend the Project Board meetings and will confirm that the agreed actions have been completed. ## Management Response 5.1 The issues identified above were raised constructively at the time so we could take some remedial action. The agreed actions can be seen in Appendix 1 ## Action Plan Action Number Issue Risk Agreed Action Priority* Responsible (Ref 3.1) The quality and timeliness of the meeting minutes has been addressed. A project resource will continue to produce the minutes with the support of the project manager, who will record all actions/decisions made for the respective logs. The aim is to have minutes produced within 3 working days of the meeting. Information may be lost or recorded incorrectly. 1 The minutes are not produced on a timely basis. An action log has been introduced. This cross references to any actions made within the meeting minutes and included timescales, responsible office and timescales. The action log will re reviewed at the start of each meeting with the previous meetings minutes. Actions and outcomes may be lost, not followed up or reported back to the board. 2 The minutes do not include an action log (nor is one maintained separately). Decisions are not always formally recorded within the minutes and the basis on which the Project Board has made the decisions was not always articulated or cross references to the supporting papers. The decision log has been revised to ensure that it accurately reflects and contains all decisions made at the board meetings (and not actions). Decisions may not be recorded accurately. 3 The format has changed so that key information is captured within the log Officer Timescale Project Sponsor (Assistant Director: Customer Services and Digital) COMPLETED In effect from December 2016 meeting 2 Project Sponsor (Assistant Director: Customer Services and Digital) From March 2017 meetings 3 Project Sponsor (Assistant Director: Customer Services and Digital) From March 2017 meetings 3 *The priorities for actions are: Priority 1: A fundamental system weakness, which presents unacceptable risk to the system objectives and requires urgent attention by management. Priority 2: A significant system weakness, whose impact or frequency presents risks to the system objectives, which needs to be addressed by management. Priority 3: The system objectives are not exposed to significant risk, but the issue merits attention by management. Where information resulting from audit work is made public or is provided to a third party by the client or by Veritau then this must be done on the understanding that any third party will rely on the information at its own risk. Veritau will not owe a duty of care or assume any responsibility towards anyone other than the client in relation to the information supplied. Equally, no third party may assert any rights or bring any claims against Veritau in connection with the information. Where information is provided to a named third party, the third party will keep the information confidential.

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Timescale Owner Observations Delive Recommendation Actions Priority High/Low/ Medium High On-going Chief Operating Officer 1. The Management Committee needs to monitor and champion Knowledge and Information Management within Defra. The Management Committee has endorsed Defra's response to the Information Management Assessment. The Chief Operating Officer will oversee further work on this. The Management Committee has agreed to support a programme of work to ensure that staff have access to the right tools to support effective information management and collaboration. High January 2013 Develop a Knowledge Strategy for Core Defra and the Defra network. Head of Knowledge, Transparency and Resilience Strategy and Portfolio 2. Knowledge Transparency and Resilience Team (KTR) to develop a Knowledge and Information Management Strategy and revised Plan for Core Defra Medium On-going Head of Knowledge, Transparency and Resilience Services Implement plans to harmonise appraisal of physical and electronic material as a single process, making use of appropriate project management techniques. 3. Knowledge Services Team to continue to develop a process to appraise the legacy of electronic information. Progress on implementation red? Yes/N o Information Management is to be reported annually to the Permanent Secretary and Management Committee; next report due June 2013. In part Will need to take opportunities to engage Ian Trenholm and use him for communications to DGs and Directors. Possibly report progress to him during 2013. Update 7/11/12: COO engaged & on board, as is Exec C'tee & P/Sec. No In hand Update 7/11/12: Devt of a cross-Network Knowledge Strategy in hand & aim to deliver end Mar 2013 Investment already completed in identifying legacy electronic information. Process developed and agreed with TNA to flag up key records as well as low value material. Deletion script developed and tested. In part Update 26/09/12 (KA): Orphaned info on 3 Defra servers has been appraised & results are being assessed ahead of TNA progress meeting on 28 Nov. Overlap with ICT work on overburdened Defra servers recognised & will feed into appraisal programme (i.e. removal of low value/very old material). Planning to discuss revised policy re jpeg issues with Standards + revisit proposal to remove pre-2001 information from all servers. A Timescale Owner Observations Delive Progress on implementation Recommendation Actions Priority High/Low/ red? Medium Yes/N o new procedure to remove info older than 3 years from a problem server into a new large storage server is to be tested & results analysed with a view to a rolling programme on other problem servers. Update 6/11/12 (KA): Action in hand to delete orphaned & old data from one server (request to run deletion script with IBM). Info older than 5yrs has been removed from problem servers by ICT & placed in new holding server. Planning to raise issue of where to prioritise limited eappraisal resource once overlap servers i.e. servers with orphaned info that are also near capacity, have been checked. DRO has approved deletion of pre2001 info. Planning to update policies idc. Update 7/11/12: In hand - info analysed & deletion programme progressing as detailed above Update 30/11/2012 (KA): Agreed with Strategy to bring KS/KP/ICT interests together as a major project. TNA comments (meeting on 28): wherever possible a macro-appraisal approach to servers should be adopted but accept that this is difficult if important info is buried in substructures. Will compare server Timescale Owner Observations Delive Recommendation Actions Priority High/Low/ Medium Review and develop the IAR as part of the project to implement Defra's Open Data Strategy and implement. Medium July 2013 Head of Knowledge, Transparency and Resilience Strategy and Portfolio 4. KTR Team to expand the scope of the Information Asset Register (IAR) for Core Defra to create a management tool which captures the business requirements of the organisation. Build on work already done to develop a Digital Continuity Plan in conjunction with Defra / Group ICT and IT delivery partners. Medium March 2013 Head of Knowledge, Transparency and Resilience Strategy and Portfolio 5. KTR Team to put in place a digital continuity plan to ensure that Defra maintains its ability to use its digital information over time and through change Medium March 2013 Head of A revised Core Defra Information Services Strategy will be developed covering both Knowledge and Information Management and ICT. Knowledge, Transparency and Resilience Strategy and Portfolio 6. KTR Team to ensure that individual elements of the ICT Strategy are developed collaboratively Progress on implementation red? Yes/N o size to equivalent paper file size in order to help understand the breadth of a server macro-appraisal. TNA not accepting e-info for preservation until at least 2014 as already overwhelmed. No In hand Update 7/11/12: Identified where our IAs are, who owns them, etc., work now in progress to populate IAR No Need to take stock of work done and discuss with key stakeholders in KTR and Defra / Group ICT before developing a plan. Update 7/11/12: Project progressing - PMgr appointed, established contact with TNA to identify solutions No Have agreed with Nick Teall that the IS Strategy will be a very high level document underpinned by a Defra Network Knowledge Strategy (to be developed under action 2) and an updated ICT Timescale Owner Observations Delive Recommendation Actions Priority High/Low/ Medium with IS colleagues and embed knowledge management. Medium On-going Head of Knowledge, Transparency and Resilience Strategy and Portfolio Improve technical change process to ensure that Knowledge and Information Management issues are fully considered. The Departmental Records Officer represents the Knowledge, Transparency and Resilience Team on the Defra NOW Programme Board. 7. KTR Team to ensure that every technical change project includes formal representation from a skilled Knowledge and Information Management representative. Defra NOW Programme need to ensure that information and records management, information assurance and Data Protection requirements and concerns are fully represented on the Programme Board. Progress on implementation red? Yes/N o Strategy. Regular meetings with Nick arranged to progress this. Update 7/11/12: Regular mtngs with NT to progress Defra NOW Programme expects to start actively working with business areas within the next three months and to complete the full rollout of a single electronic information repository within two years. In part KPs now attending meeting with DNOW team to ensure KIM principles raised in discussions. Update 7/11/12: DRO engaged with DNOW Prog to ensure compliance with IMR standards, etc. Update 4/12/12: Programme Team have worked with the Business Relationship Team (BRT) and Knowledge Transparency and Resilience (KTR) Team within Information Services to determine the most suitable candidates for the early initiatives. From a potential list of twenty five, three have been selected to take forward. Review Knowledge and Information Management roles across Defra to ensure they are able to support the business and meet legislative requirements effectively under the new Defra organisational structure. Medium March 2013 Head of Knowledge, Transparency and Resilience Services Head of Knowledge, Transparency and Resilience Strategy and Portfolio 8. KTR Team to raise capability by retraining staff with Information Management responsibility, this must include Information Asset Owners (IAOs), Local Information Managers (LIMs) and Information Management Representatives (IMRs). | | No | |-----------------------------------|-------| | networks (e.g. Transparency | | | contacts) also need | | | considering. A high level map | | | is needed of the various | | | networks to help plan actions. | | | MKi will initially pull this | | | together and work with SL. | | | Liaison and communication | | | with the Network can be done | | | under the banner of the | | | Knowledge Strategy | | | development. | | | | | | Update 6/11/12 (MKi): | For | | core-Defra, Table listing | | | current IM roles, | | | responsibilities & options | | | regarding possible future IM | | | roles, has been drawn up for | | | review within KTR. Once | | | agreed, this will be shared with | | | core-Defra Business to seek | | | their views. | | | | | | Update 4/1/212 (MKi): | As a | | result of listing current roles & | | | responsibilities, opportunities | | | to rationalise identified. | | | Feedback from core-Defra | | | Business indicates high level | | | of satisfaction with support | | | received from KTR & | | | willingness to support review | | | of roles - proposals will be | | | shared with Business at | | | workshop to be scheduled for | | | Jan 2013. | | | | | | High | |----------------------------------| | | | | | Throughout | | 2012 | | | | | | March 2013 | | | | | | Head of | | Knowledge, | | Transparency | | and Resilience | | Standards | | | | Head of | | Knowledge, | | Transparency | | and Resilience | | Services | | Revise information policies to | | improve advice to business | | areas. | | | | Provide support to help business | | areas manage their information | | during the Defra organisational | | restructuring. | | | | Develop ongoing information | | management support to | | business areas through new | | Knowledge Partner roles. | 9. Using its understanding about its information requirements, KTR Team to introduce and enforce policies about the structure and use of corporate digital repositories, including Accredited Shared Drives, Shared Drives and SharePoint 2007. | Medium | |--------------------------------| | Knowledge, | | Transparency | | and Resilience | | Services | | While maintaining the baseline | | information generated from the | | Information Audit, KTR will | | refocus on providing direct | | support to business areas | | through the new Knowledge | | Partners to help make | | improvements. | 10. The KTR Team, with support from senior management, needs to maintain the Information Audit Programme and develop a plan to increase the use of what to keep within business areas. 11. The KTR Team to provide adequate induction training, educational work Knowledge, Transparency and Resilience Services team to provide front line support through the new Knowledge Partner roles. Assess scope to make better use of induction Medium March 2013 Head of Knowledge, Transparency and Resilience Strategy and Portfolio In part In part In part Revision of policies to improve advice to business areas is complete. Knowledge Services Team are supporting business areas in management their information through the organisational restructuring. Further support will be provided as the new Knowledge Partner posts are filled. Update 7/11/12 (KW): Policies revised & updated & avail on intranet. Plan to rationalise across Delivery network. Approach is to improve IM culture rather than enforce. New team established to engage with the business to encourage best practice. Initial engagements are going well. Team still carrying vacancies. Update 4/12/12 (MKi): Support to Bus Areas going well. KPs engaging with teams. Engaged with 60% of business areas so far to solution IM issues and promote best practice. The Knowledge, Transparency and Resilience Services Team will incorporate information audit as a technique to be used where appropriate in understanding information management in business areas. This will help provide more effective support in managing information and applying What to Keep guidance. In part Update 7/11/12 (KW): KPs working directly with teams to help solve IM issues raised in Information Audit programme. Aim to achieve better understanding of information holdings as more teams operating in structured environments. WTK to be updated if appropriate. Update 4/12/12 (MKi): Revised approach is to conduct initial risk-based Diagnostic Health Checks No Update 25/9/12 (SL): MKi to kick off work on this and to liaise with SL. Update 6/11/12 (MKi): development of KTR and refresher courses for staff. training and other learning services. Head of Knowledge, Transparency and Resilience Services Evaluate future requirement for the Vault Email archive under the Defra NOW Programme. 12. Evaluate the appropriateness of the use of a separate email archive system. Low March 2013 Head of Knowledge, Transparency and Resilience Standards specialists is progressing in line with wider Defra 'Staff Professionalisation' initiative - SL appointed as Head of Profession for KIM & workshop held 5/11/12 to help implement initiative. Work in hand to pull together material to help induct new KTR recruits to KTR. Action to up-skill wider Defra staff is in hand: Knowledge Partners are actively engaging with teams in the core Dept; the Intelligence Hub, situated in the London complex & offering a range of KIM services & advice, has attracted a range of staff since its opening at the beginning of Oct. Induction of Defra staff in general down to local Activity Mgrs to direct staff to intranet which contains KTR-related info Update 4/12/12 (MKi): Catalogue of KTR Services & Products about to be launched which will help communicate to staff & educate them about the range of information management resources at their disposal It is currently intended that that Vault, the current email archive system will be removed once a formal EDRM system with proper lifecycle management of emails In part In hand. Mike Kaye to ensure that the need for Vault is removed by Defra NOW. Update 7/11/12: work progressing in line with corporate policy until DNOW completes

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## Supplier Licensing Review - Stakeholder Workshop Housekeeping | Time | Agenda Item | |----------------------------------------------|----------------------------------------------------------------------------------------| | 10 - 10.30 | | | - | | | Introduction | | | - | | | Problem we are aiming to solve | | | - | | | Aims of the day | | | 10.30 - 11.05 | Table discussion | | 11.05-11.20 | Facilitator Feedback | | Tea & Coffee 11.20 - 11.35 | | | 11.45 - 12.00 | Introduction to policy options | | 12.00-12.30 | Q&A | | 12.30-13.00 | Live poll | | Lunch 13.00-13.50 (feedback/comment boards ) | | | 13.50 - 15.00 | | | Table discussion: | Participants to reflect on live poll results | | 15.00 - 15.30 | | | Design your own solution | : Stakeholders to design a solution of what they think is best reform package for SLR. | | 15.30 - 16.00 | Closing remarks/summary | 1. To encourage discussion that ensures our work packages are focused on the right areas to achieve the principles of Supplier Licensing Review. 2. Clarify questions and hear your views on the various options we are considering for our ongoing and exit packages. 3. Your opportunity to feed in your views to help inform our current thinking on the way forward for the Supplier Licensing Review. • Supplier failures that have led to increased costs to consumers • Poor customer service • Practical challenges in moving customers during a SoLR ## Supply Licensing Review - Core Principles 1. Suppliers should adopt effective risk management and be adequately prepared and resourced for growth, and bear an appropriate share of their own risk 2. Suppliers should maintain the capacity and capability to deliver a quality service to their customers, and foster an open/constructive dialogue with Ofgem 3. We maintain proportionate oversight of suppliers, and effective protections for consumers exist in the event of failure 4. Our licensing regime facilitates effective competition and enables innovation Market Entry Comes into effect Summer 2019 Ongoing requirements Consult in Q3/Q4 2019 Resources New requirement to demonstrate appropriate knowledge, funding, awareness of risks & necessary capabilities Promoting more responsible risk management Would require higher standards from suppliers relating to managing risk and growth Readiness to comply with obligations New requirement to demonstrate awareness of key regulatory obligations & how the supplier intends to comply More responsible governance and increased accountability Would look to incentivise and promote good conduct from those in senior management and other positions of influence Improved market oversight Would enhance Ofgem's oversight of the market and promote better standards via new reporting requirements 'Fit and proper' test More robust assessment of whether persons with significant management responsibility, directors, shareholders or influence are fit and proper to hold a licence Exit arrangements Consult in Q3/Q4 2019 Improving efficiency and competitiveness of the SoLR process Would review the process for managing supplier failure and appointing a SoLR Improving the mechanisms to recover costs Would look to improve the experiences for customers of a failing supplier Improving the SoLR experience for consumers Aims to review the recovery mechanisms for SoLR related costs • Does our 'theories of harm' diagram reflect your understanding of the issues the Supplier Licensing Review is trying to address? • What parts of the current regulatory arrangements are not acting as effective mitigations for the issues we are seeing? • What do you think are the most pressing issues to be resolved? • In which 'stages' of the flow diagram should remedies be focused (ie supplier behaviours, business impacts, market impacts) ## Introduction To Policy Options Importance Of Recognising Interactions Between Different Asking for views Prioritise a package from stakeholders of options to take on a long list of forward potential options Consult on and implement specific policy options ## Q&A 1. What are your top 3 priorities for Ofgem to deliver? 2. What are the top 3 options you consider would deliver the most benefits if achieved? 3. What are the top 3 options you consider to be easy wins? ## Design Your Own Solution? What is the optimum package of options you'd want from the Supply Licence Review?

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Disclosure ref: 52 Sent: 2nd October 2019 ## Freedom Of Information Act 2000 Request Cps Policies Regarding Dealing With Disabilities/Emails/Hate Crimes/Abuse Request Please Provide Your Policies On 1. Dealing with people with disabilities 2. Dealing with emails 3. Dealing with hate crimes 4. Dealing with abuse Response You supplied details relating to previous correspondence with the Crown Prosecution Service (CPS) within the email chain containing your FoI request. Based upon those details, we have interpreted point one of your request to be for CPS policies in relation to our engagement with members of the public with disabilities. Our "CPS 2020 inclusion and community engagement strategy" is published on the CPS website. Our "Public consultation on Mental Health Conditions and Disorders: Draft Legal Guidance" has also been recently published on the CPS website. As both documents are published they are withheld under section 21 of the Freedom of Information Act (FoIA) - information accessible by other means. Please see the attached section 17 refusal notice for a more detailed explanation of this exemption. Under section 16 of the FoIA we have an obligation to advise what, if any information may assist you with your request. The publications can be accessed on the CPS website via the following links: https://www.cps.gov.uk/publication/cps-2020-inclusion-and-community-engagement-strategy Crown Prosecution Service, Information Management Unit, Floor 8, 102 Petty France, London SW1H 9AJ United Kingdom www.cps.gov.uk https://www.cps.gov.uk/consultation/public-consultation-mental-health-conditions-and-disordersdraft-legal-guidance The CPS has interpreted point two to refer to policies relating to our email communication with members of the public. Policy guidance held within the scope of point two relates to Feedback and Complaints. The CPS publishes its Feedback and Complaints Guidance on its website. The publication is therefore withheld under section 21 of the FoI Act. Our internal policy guidance regarding Feedback and Complaints is withheld under section 31 - law enforcement. Please see the attached section 17 notice for an explanation of this exemption. Under section 16 of the FoIA advice and assistance, the CPS' published Feedback and Complaints Guidance can be accessed via the following link. Information considered the most appropriate to point two, can be found on page 13. https://www.cps.gov.uk/feedback-and-complaints The CPS publishes operational information relating to "Hate Crime" which includes a leaflet titled "What is Hate Crime and what to do about it." This information, along with all other published information detailed below is withheld under section 21 of the FoIA. Under section 16 of the FoIA, for advice and assistance relevant links to the CPS website relating to the information described below are provided: https://www.cps.gov.uk/hate-crime The CPS publishes prosecution guidance and public statements regarding hate crimes, including "Disability Hate Crime." The legal guidance on disability hate crime can be accessed via the following link: https://www.cps.gov.uk/legal-guidance/disability-hate-crime-and-other-crimes-against-disabledpeople-prosecution-guidance The public statement relating to disability hate crime can be accessed on the CPS website via the following links: Public statement on prosecuting disability hate crime and other crimes against disabled people The CPS has interpreted point four to refer to our operational policies regarding alleged criminal activity involving abuse. Prosecution Guidance relating to criminal offences, including those that involve forms of abuse can be found on our website. Under section 21 of the FoIA the guidance is withheld as it is accessible by other means. Under section 16 of the FoIA, advice and assistance, the guidance can be accessed via the following link: https://www.cps.gov.uk/prosecution-guidance Information Management Unit 020 3357 0788 IMU@cps.gov.uk

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# Proven Re-Offending Statistics: Definitions And Measurement ## Contents | Proven re-offending statistics quarterly bulletin | 3 | |--------------------------------------------------------------|-----| | | | | Early estimates of proven re-offending statistics | 11 | | | | | Local adult re-offending statistics quarterly bulletin | 14 | | | | | Data quality | 16 | | | | | Statistical modelling and coefficients | 26 | | | | | Appendix A: List of serious offences | 34 | | | | | Appendix B: Glossary of terms | 39 | | | | | Appendix C: Comparison of the three measures of re-offending | 47 | | | | | Contact details and further information | 48 | | | | | | | ## Proven Re-Offending Statistics Quarterly Bulletin Background The Ministry of Justice launched a statistical consultation on improvements to the transparency and accessibility of our information in 2010 and a response to the consultation was published in March 2011. One aspect of the consultation was the measurement of proven re-offending. Responses have supported the proposals to move to a single framework for measuring re-offending where adult and youth data can be provided at the national and local level on a consistent basis. The response to the consultation is available here: www.justice.gov.uk/downloads/consultations/improvements-moj-statisticsconsultation-response.pdf Prior to this consultation there were six different measures of proven reoffending:  national adult proven re-offending;  local adult proven re-offending;  national youth proven re-offending;  local youth proven re-offending;  prolific and other priority offending (PPO); and  drug-misusing proven offending. The current framework for measuring proven re-offending integrates these approaches into a single framework. This allows users to:  form a clear picture of proven re-offending at national and local levels;  compare adult and youth results, and enable other work on transition between the youth and adult system;  understand how results for different offender groups (such as those managed by the prison and probation services, those under the PPO schemes, drug-misusing offenders, first time entrants, etc.) fit into the overall picture on proven re-offending; and  continue to analyse proven re-offending behaviour for particular types of offender. ## Measurement The underlying principle of measuring re-offending (or recidivism, which is the most commonly used term internationally) is that someone who has received some form of criminal justice sanction (such as a conviction or a caution) goes on to commit another offence within a set time period. Measuring true re-offending is difficult. Official records are taken from either the police or courts, but they will underestimate the true level of re-offending because only a proportion of crime is detected and sanctioned and not all crimes and sanctions are recorded on one central system. Other methods of measuring re-offending, such as self report studies, are likely to also underestimate the rate. Following the Ministry of Justice consultation on Improvements to Ministry of Justice Statistics (2010), a **proven re-offence is defined** as any offence committed in a one year follow-up period and receiving a court conviction, caution, reprimand or warning in the one year follow-up or a further six month waiting period. The data source is the extract of the Police National Computer (PNC) held by the Ministry of Justice. Definitions for the measurement of proven re-offending Cohort This is the group of individuals whose re-offending is measured. For the Proven Re-offending Statistics Quarterly Bulletin, this is defined as all offenders in any one year who received a caution (for adults), a final warning or reprimand (for juveniles), a non-custodial conviction, or were discharged from custody. Offenders who were discharged from custody or secure accommodation (juveniles only) or commenced a Court Order are matched to the PNC database. A proportion of cases are lost in this process because they cannot be matched (see the section below titled "Matching offender records" for further details). Additionally, offenders who appear multiple times in the cohort are only included once (see the section below titled "Multiple offender entries" for further details). The group of offenders whose offending behaviour is proven is likely to be a sub-group of all active offenders. The Offending, Crime and Justice Survey (2003)1 estimated that around one in ten people in England and Wales aged between ten and 65 had committed an offence in the previous 12 months, which translates into approximately 3.8 million people. This compares to 632,000 offenders in the 2002 cohort used to measure proven re-offending, underlining that the offenders whose proven re-offending behaviour is presented in the Proven Re-offending Statistics Quarterly Bulletin are a small and probably unrepresentative sample of the population of all active offenders. Index disposal (sentence type) The index disposal of the offender is the type of sentence the offender received for their index offence. For the Proven Re-offending Statistics Quarterly Bulletin, this is defined as custody, court order, other disposal resulting from a conviction at court, such as a fine or discharge, caution (adult offenders), reprimand or final warning (young offenders). Index offence The index offence is the proven offence that leads to an offender being included in the cohort. An offence is only counted as an index offence if it is:  recordable (see below);  committed in England and Wales;  prosecuted by the police; and  not a breach offence. There are around 3,000 offence codes on the PNC and these have been classified into the following 21 groups:  violence (non serious)  violence (serious)  robbery  public order or riot  sexual  sexual (child)  soliciting or prostitution  domestic burglary  other burglary  theft  handling  fraud and forgery  absconding or bail offences  taking and driving away and related offences  theft from vehicles  other motoring offences  drink driving offences  criminal or malicious damage  drugs import/export/production/supply  drugs possession/small scale supply  other Start point (index date) This is the set point in time from when proven re-offences are measured. For the Proven Re-offending Statistics Quarterly Bulletin, this is defined as the date of prison discharge, date of court conviction for non-custodial sentences, date of receipt for a caution, reprimand or final warning or the date of a positive drug test. Follow-up period This is the length of time proven re-offending is measured over. For the Proven Re-offending Statistics Quarterly Bulletin, this is defined as 12 months from the start point. Waiting period This is the additional time beyond the follow-up period to allow for offences which are committed towards the end of the follow-up period to be proven by a court, resulting in a conviction, caution, reprimand or final warning. For the Proven Re-offending Statistics Quarterly Bulletin, this is six months. Figure 1 below illustrates why different offences for an example offender are included or excluded in the proven re-offending measure. ## Figure 1: How Events Of Re-Offending Are Included In The Measure? Events A to E all occur in the one year follow-up period, but events F and G are outside this period, so would not be counted. Events A to D are all counted because they were all proven within the one year follow-up period or the further six month waiting period, but event E, even though the offence took place in the one year follow-up period, would not be counted, as the conviction did not occur within either the one year follow-up period, or the further six month waiting period. The offender has, therefore, committed seven proven offences during the one year follow-up period (two for event A, one for event B, three for event C, and one for event D). Proven re-offence Offences are counted as proven re-offences if they meet all of the following criteria:  They are recordable. Not all offences are on the PNC and more recordable offences are entered than non-recordable offences. Analysis comparing offences proven at court with offences recorded on the PNC suggests the most cost common offences that are not recorded relates to motor vehicles, e.g. using a motor vehicle whilst uninsured against third party risks, speeding offences, keeping a vehicle on the highway without a driving licence or television licence evasion.  They were committed in England or Wales.  They are offences that were prosecuted by the police. PNC data is collected and input by the police and offences prosecuted by the police are likely to be recorded more comprehensively on the PNC than offences that are prosecuted by other organisations. For example, benefit fraud is prosecuted by the Department for Work and Pensions. Therefore, benefit fraud offences may be poorly represented on the PNC.  Offences are only counted if they are proven through caution (for adults), reprimands or final warnings (for juveniles) and court convictions. Offences that are not proven, or which meet with other responses from the Criminal Justice System, are not counted. The Offending, Crime and Justice Survey (2003) estimated that six per cent of all offences resulted in any contact with the Criminal Justice System.  The offence is not a breach offence, i.e. breach of a court order, since we are only interested in new offences. Adjusted baseline (predicted rate) Proven re-offending is related to the characteristics of offenders which means that any overall rate of proven re-offending will depend, in part, on the characteristics of offenders coming into the system (just as the examination pass rate of a school will be related to the characteristics of its pupils). We use a modelling technique to produce a baseline figure adjusted to match the characteristics of the cohort we are comparing. For more details on this, refer to the chapter on "Statistical modelling and coefficients". Measures of proven re-offending Proven re-offending data are presented in the following ways:  The number of offenders.  The proportion of offenders who are proven re-offenders.  The average number of proven re-offences among re-offenders.  The average number of proven re-offences among **all offenders** including those who committed no proven re-offences (previously the frequency rate).  The proportion of proven offenders who committed a proven serious re-offence against the person. Refer to Annex A for details on what counts as a serious offence.  The proportion of proven offenders who committed a proven serious acquisitive re-offence. Refer to Annex A for details on what counts as a serious acquisitive offence.  The proportion of offenders who are proven to re-offend, adjusted to control for changes in offender characteristics. This measure is different from the other measures in that it does not come from actual re-offences, but from a statistical model created for the baseline year of 2008. This gives a better indication of actual change against a baseline. Refer to the chapter on "Statistical modelling and coefficients" for further details. Multiple offender entries Each offender is tracked over a fixed period of time and any proven offence committed in this period is counted as a proven re-offence. A multiple offender entry refers to an offender who, after entering the cohort in a given year, commits a re-offence and is either cautioned, discharged from prison or gets a non-custodial conviction in the same cohort year. This re-offence could also be included as a second entry for this offender into the cohort. Re-offence 2 Re-offence 2 Re-offence 3 Re-offence 3 ffender Cautioned Re-offence 1 Offender starts a community sentence Offender Cautioned Offender Cautioned Re-offence 1 Offender starts a community sentence Offender sentenced to 3mnths in prison then released Offender sentenced to 3mnths in prison then released Offender sentenced to 3mnths in prison then released ## 1 year cohort period To date, publications have avoided the double counting of these multiple offender entries (MOE) by only counting an individual once based on their first proven offence in the relevant time period. In the illustration above, the caution would be counted as the index disposal and the further two proven offences would be counted as re-offences. This avoids double counting of proven re-offences. In this publication the main tables (tables 1 to 17) in the report have been produced on the basis of the 'first proven offence in the relevant time period' which led to an offender being included. This provides a picture of proven re-offending which is consistent with previous publications and tracks an offender, irrespective of the disposal they receive, to when they commit a proven re-offence. The measure of proven re-offending now covers all offenders in any one year instead of the first quarter of a calendar year as in previous proven reoffending publications. The result is many more offenders with multiple entries. In addition, including cautions to identify a proven offence means many offenders' first offence will be associated with a caution since cautions account for around a third of adult offenders in one year. Table 1 shows the number of offenders in each cohort period by their number of entries. 2000, 2002 to 2010 cohorts Multiple 2008 2009 Offender Entries 2000 2002 2003 2004 2005 2006 2007 2010 1 512,551 522,376 544,032 551,265 582,840 622,096 638,495 610,329 578,644 535,394 2x 75,311 77,813 81,651 78,969 81,120 87,589 91,695 88,207 83,785 79,067 19,565 21,208 22,073 20,855 20,926 21,974 23,757 23,662 22,125 21,466 6,195 6,689 7,074 6,835 6,725 6,807 7,652 7,917 7,360 7,425 3x 4x 1,998 2,314 2,392 2,357 2,355 2,425 2,795 2,911 2,938 2,909 1,240 1,510 1,689 1,641 1,505 1,513 1,966 2,341 2,308 2,368 5x 6 to 10x Greater than 10x 164 155 129 131 119 115 114 160 202 193 Total MOEs 104,473 109,689 115,008 110,788 112,750 120,423 127,979 125,198 118,718 113,428 16.9% 17.4% 17.5% 16.7% 16.2% 16.2% 16.7% 17.0% 17.0% 17.5% 617,024 632,065 659,040 662,053 695,590 742,519 766,474 735,527 697,362 648,822 % of total cohor t Cohort The number of offenders with multiple entries has remained fairly constant over time - the proportion of the total that had multiple offender entries has remained at about 16 to 17 per cent between 2000 and 2010. Proven re-offending by index disposal, probation trust and prison In order to measure proven re-offending on a consistent and representative basis by offender management groups, it is necessary to distinguish between the disposal (sentence) types that led to an offender being included. Doing this allows the cohort to be defined according to the relative start point of an offender's interaction with the prison (released from custody) or probation services (court order commencement). Tables 18 to 21 provide re-offending rates by disposal (sentence) types, These are produced on the basis of an individual's first disposal (sentence) in that category. In the illustration above the individual would appear once in the caution category, once in the community order category and once in the custody category. These tables will include an overall prison and probation proven re-offending rate which will be the figures we quote publicly. However, these figures should not be used when comparing proven reoffending rates across different disposals to compare effectiveness. Instead the 'Compendium of Re-offending Statistics and Analysis 2011' (at the link below) should be referred to as this analysis controls for offender characteristics in order to give a more reliable estimate of the relative effectiveness of different disposals. www.justice.gov.uk/statistics/reoffending/compendium-of-reoffendingstatistics-and-analysis Tables 22 to 25 provide re-offending rates by individual prison and probation trust. These are produced on the basis of an individual's first disposal from each specified prison or probation trust. If the individual offender is discharged from two different prisons in the year they will appear in both of the prison's re-offending rates. The same applies for offenders commencing court orders in more than one probation trust within the year. This is to allow prisons and probation services to track their caseload of offenders. ## Early Estimates Of Proven Re-Offending Statistics Background Responses from the consultation and from earlier engagement with representatives of front-line offender management services supported the proposal to produce early estimates of proven re-offending using shorter follow-up and waiting periods. This is intended to provide offender managers feedback on the proven re-offending trends of offenders they are working with in time for them to adjust or build on offender management operational policy. This section of the new bulletin addresses these issues. Early estimates of proven re-offending are presented for four particular offender groups who are subject to specific offender management arrangements. These are offenders managed by the probation service, Prolific and other Priority Offenders (PPO) who are managed by a partnership of local front-line services, drug-misusing offenders who are managed by Drug Action Teams, and young offenders who are managed by Youth Offending Teams. Proven re-offending for the early estimates is measured in exactly the same way as for the headline proven re-offending measure except that the followup period and waiting period are both three months each. (For the headline measure of proven re-offending they are 12 months and six months, respectively.) The headline figures and early estimates differ in the following ways:  Early estimates of proven re-offending rates are considerably lower than in the headline publication. This is because they cover a shorter time period.  The shorter follow-up period and waiting period allow rates to be calculated for more recent groups of proven offenders.  Early estimates of proven re-offending rates provide local offender management services with information on proven re-offending trends for the offenders they are working with. The headline re-offending publication presents the public with information on a wide range of proven re-offending trends and provides proven re-offending rates by a variety of breakdowns, such as age, gender, disposal, etc.  The shorter follow-up period and waiting period provides insufficient time for many serious re-offences to be committed and convicted. For this reason, early estimates of proven re-offending rates do not include information on serious re-offending.  Results in the headline measure are compared to a baseline rate, adjusted for changes in the offender profile. This relies on an estimate of the relationship between offender characteristics and proven re-offending behaviour over 12 months. An equivalent estimate has been carried out for the proven re-offending behaviour of offenders commencing court order over three months. This uses the same variables as the headline measure plus additional variables to ensure that the actual and predicted rates are identical for every probation trust in the baseline period (2008). The tables accompanying the early estimates present the adjusted baseline for each trust, and the text identifies those trusts where the actual rate is significantly higher or lower than the predicted rate in the most recent results available. ## Measurement Coverage Results are provided for four types of offenders: probation offenders by probation trust, PPO offenders by upper-tier local authority, drug-misusing offenders by Drug Action Team, and young offenders by Youth Offending Team. Cohort For probation offenders, the cohort is made up of all offenders who commenced a court order within a 12 month period. For PPO offenders, the cohort is made up of all offenders identified as a PPO who were discharged from custody, convicted at court, received a caution (adults), reprimand or final warning (juveniles) or tested positive for opiates or cocaine within a 12 month period. For drug-misusing offenders, the cohort is made up of all offenders identified as drug-misusing who were discharged from custody, convicted at court, received a caution or tested positive for opiates or cocaine within a 12 month period. For juveniles, the cohort is made up of all young offenders who were discharged from custody, convicted at court or received a reprimand or final warning within a 12 month period. Start point (index date) Same as for the headline proven re-offending figures presented in the Reoffending Statistics Quarterly Bulletin. Follow-up period This is the length of time proven re-offending is measured over. For the Early Estimates of Proven Re-offending, this is defined as three months from the start point. Waiting period This is the additional time beyond the follow-up period to allow for offences which are committed towards the end of the follow-up period to be proven by a court, resulting in a conviction, caution, reprimand or final warning. For the Early Estimates of Proven Re-offending Statistics, this is three months. Proven re-offence Same as for the headline proven re-offending figures presented in the Reoffending Statistics Quarterly Bulletin. Adjusted baseline (predicted rate) Proven re-offending is related to the characteristics of offenders which means that any overall rate of proven re-offending will depend, in part, on the characteristics of offenders coming into the system (just as the examination pass rate of a school will be related to the characteristics of its pupils). We use a modelling technique to produce a baseline figure adjusted to match the characteristics of the cohort we are comparing. For more details on this, refer to the chapter on "Statistical modelling and coefficients". Multiple offender entries Same as for the headline proven re-offending figures presented in the Reoffending Statistics Quarterly Bulletin. ## Local Adult Re-Offending Statistics Quarterly Bulletin Background Proven re-offending results from this measure have been published by the Ministry of Justice since February 2009 at Government Office Region, probation trust and local authority level. This data is used to measure probation performance and the Ministry of Justice will continue to produce these measures while offender management systems still require them. The Local Adult Re-offending Statistics Quarterly Bulletin can be found on the Ministry of Justice website at the following link: www.justice.gov.uk/statistics/reoffending/local-adult-reoffending The local proven re-offending data measure the re-offending of all offenders on the probation caseload. This includes offenders on licence and serving court orders. Local proven re-offending rates use the same follow-up period and waiting period to those for the early estimates. However, there are several key differences between the local measure and the early estimates. These include:  The sample of offenders - local rates are estimated using all offenders on the probation caseload, including those on licence and those serving court orders. Offenders on the caseload are identified through four 'snapshots' of the caseload, which are taken each quarter. Offenders are included if they are on the caseload even if they have been on licence or serving the court order for longer than 12 months. The early estimates are based on offenders who commence a court order within a 12 month period.  Local rates define the period reported on by the period of reoffending. The early estimates refer to the year of the index disposal. ## Measurement Cohort All Offenders On The Probation Caseload Taken From Four Quarterly Snapshots. Start Point The Date Of The Snapshot. Follow-Up Period This Is The Length Of Time Proven Re-Offending Is Measured Over. For The Local Adult Re-Offending Statistics Quarterly Bulletin, This Is Defined As Three Months From The Start Point. Waiting period This is the additional time beyond the follow-up period to allow for offences which are committed towards the end of the follow-up period to be proven by a court, resulting in a conviction, caution, reprimand or final warning. For the Local Adult Re-offending Statistics Quarterly Bulletin, this is three months. Proven re-offence Same as for the headline proven re-offending figures presented in the Reoffending Statistics Quarterly Bulletin. Adjusted baseline (predicted rate) The predicted rate is the proportion of offenders we would expect to reoffend given the known characteristics of the offenders in the snapshot and re-offending rates in the baseline period. More detail on the predicted rate, and the statistical model used to calculate it, is provided in Appendix B of the Local Adult Re-offending Statistics Bulletin. ## Data Quality The data required for measuring proven re-offending are based on a range of data sources (prison data, probation data, identification of drug-misusing offenders, identification of prolific and other priority offenders, young offenders in secure accommodation, and criminal records from the Police National Computer) from a range of agencies (the National Offender Management Service, probation trusts, the Youth Justice Board, Drug Action Teams, local authorities and the National Police Improvement Agency). These figures have been derived from administrative IT systems which, as with any large scale recording system, are subject to possible errors with data entry and processing. Police National Computer data Information regarding the proven re-offending behaviour of offenders has been compiled using the Ministry of Justice's extract from the Police National Computer (PNC). The process involves matching offender details from the prison and probation data to the personal details recorded on the PNC. A proportion of cases cannot be matched and the figures presented in Table 2 below are expressed as a percentage of the offenders that are matched. Like any large scale recording system, the PNC is subject to errors with data entry and recording. The PNC is regularly updated so that further analysis at a later date will generate revised figures. The quality of the information recorded on the PNC is generally assumed to be relatively high as it is an operational system on which the police depend, but analysis can reveal errors that are typical when handling administrative datasets of this scale. The extent of error or omitted records on the PNC is difficult to estimate because it is a unique data-source. As a result, there is not always an obvious source of data to provide a baseline from which to assess data quality. For some types of results, however, comparisons can be made. For example, the trend in receptions into prison in each month is very similar using the PNC and prisons data (see below for details). Although the number of receptions recorded on the PNC is consistently slightly lower because prisons data include cases on remand whereas the PNC does not. Another example is the number of cases that are given a custodial sentence, broken down by offence type, which is similar using the PNC and the Court Proceedings Database with a match rate of 97 per cent. A number of improvements are routinely carried out:  Updates to the coding and classification of offences and court disposals, including the reduction of uncoded offences, the reduction in the use of miscellaneous offence codes and the clarification of the coding of breach offences;  Updates to the methods used to identify the primary offence, where several offences are dealt with on the same occasion, and the methods used to identify the primary disposal, where an offence attracts more than one court disposal; and  Removal of some duplication of records within the database resulting in improvements to the efficiency and reliability of the matching process. Prison data Prison establishments record details for individual inmates on the prison IT system (Prison-NOMIS or LIDS). The information recorded includes details such as date of birth, gender, religion, nationality, ethnic origin, custody type, offence, reception and discharge dates and, for sentenced prisoners, sentence length. The data from individual prison establishments then feeds through to a central computer database, called the Inmate Information System (IIS). In May 2009, the National Offender Management Service (NOMS) began the roll-out of a new case management system for prisons (Prison-NOMIS). During the phased roll-out, data collection issues emerged that affected the supply of data for statistical purposes from July 2009 to February 2010. Specifically, statistical information on sentence length and offence group are not available on any of our prison datasets for this period. In order to ensure the fullest possible set of data from July 2009 to February 2010, sentence lengths were estimated for those prisoners received or discharged before the problems were resolved. At the point when the problems were resolved, a small number of prison establishments were still using the old LIDS case management system; data for prisoners received or discharged from these prisons was assumed to be unaffected. For those prisoners received or discharged from prisons operating Prison- NOMIS, efforts were made to populate their record with the correct sentence length using other data extracts. For example, many prisoners discharged in January 2010 were originally received into prison prior to July 2009, so their sentence length was taken from unaffected datasets before the problems began. Similarly, the majority of those received in early 2010 were still in prison in March 2010 when the problems were resolved, so the sentence length from the corrected prison population data was used. Where it was not possible to populate a sentence length using other datasets, prisoners were allocated a sentence length band based on the number of days they spent in custody (taking account of early release schemes where relevant). As a check on the methodology, an alternative estimation process was designed and the number of discharges in each sentence length band for the second half of 2009 was compared using the two methods. A number of estimation methods were considered and tested on the 2008 data (prior to the data problems) to see which yielded estimates closest to the actual 2008 data. This identified the following method: 1. Calculate data for the first half of the year as a proportion of the full calendar year, for each year from 2001 to 2008; separately for each sentence length band or offence group (the two key breakdowns to be estimated). 2. Apply the average of these proportions to the January to June 2009 data to estimate the 2009 annual totals; separately for each sentence length band or offence group. 3. Scale the estimated numbers in each sentence length band or offence group to sum to the annual total recorded in the raw data (where the totals are known to be correct). The maximum difference between the two approaches was 2.6 per cent in the band '12 months to less than 4 years'; for all other bands the difference was less than 1 per cent. Indeterminate sentence prisoners In addition to the above, data on the discharge of prisoners on indeterminate sentence (prisoners given a life sentence or an Indeterminate sentence for Public Protection (IPP) is provided from the Public Protection Unit Database (PPUD). This holds data jointly owned by the Offender Management and Public Protection Group (OMPPG) in NOMS and the Parole Board. PPUD records details of all indeterminate sentence prisoners at the point of conviction, those engaged in the Generic Parole Process and prisoners (determinate and indeterminate) who have been recalled from licence. It also covers those who have received a restricted hospital order/direction from a Crown Court, and those remand and convicted prisoners who have been transferred from prison/detention centres to psychiatric hospital under the relevant sections of mental health legislation. All decisions taken by the NOMS casework sections and the Parole Board are recorded on the system. Personal information recorded includes (but is not limited to) name, date of birth, gender, identifying numbers, ethnicity, last known address, probation area and sentencing information. OMPPG and the Parole Board run monthly and ad hoc reports to cleanse data that are not otherwise identified by data validation routines built into the system. Probation data Since 2005, detailed information on the supervision of offenders (at the individual offender level) has been submitted by probation trusts on a monthly basis. These monthly 'probation listings' include information on offenders starting probation supervision. Between 2002 and 2005, this information was submitted quarterly, and prior to 2002 a different data collection system was in place, which meant that information on caseload had to be calculated based on the number of people starting supervision and the number of terminations. The quality of the information recorded on the probation data is generally assumed to be relatively high as it is a direct extract from an operational system upon which the probation service depends for managing offenders locally. The extract consists of a small number of key fields for which completion is mandatory. Probation trusts have their own IT departments which manage their own data validation processes and when the data is received centrally it is subject to another set of data validation processes. Trends from the data are consistent with comparable time-series from the Courts Proceeding Database. Any large scale recording systems are subject to possible errors with data entry and processing, but there are no known issues regarding the probation commencements data. Identification of drug-misusing offenders There are four ways a drug-misusing offender can be identified:  Individuals who have tested positive for heroin or crack/cocaine following an arrest or charge for 'trigger' offences (largely acquisitive crime offences) as part of the Drug Interventions Programme (DIP) are included as adult proven offenders.  Any offender that received an OASys assessment whilst on licence or on a community sentence and are either recorded as being subject to a current Drug Treatment and Testing Order (DTTO) or Drug Rehabilitation Requirement (DRR), or are assessed as having a criminogenic drug need.  Any offender identified as requiring further drug interventions by Counselling, Assessment, Referral, Advice, Throughcare (CARAT) teams in prison, and now being released into the community.  Any offender identified by local Criminal Justice Integrated Teams (CJITs) as requiring further intervention for their drug use and offending as part of DIP. Drug Interventions Programme The Drug Interventions Programme (DIP) was introduced in April 2003 with the aim of developing and integrating measures for directing adult drugmisusing offenders into drug treatment and reducing offending behaviour. The programme comprises of a number of interrelated interventions:  Drug testing in police custody for specified Class A drugs - heroin, cocaine and crack cocaine - for individuals arrested for trigger offences (primarily offences related to acquisitive crime).  Assessment following a positive test to establish the extent of the individual's drug-misuse, and whether the individual might benefit from further assessment, assistance or treatment.  Conditional cautioning which may include a DIP drug rehabilitative condition, tailored to the offender's drug use and offending.  Restriction on bail for adults who have tested positive and whose offence is a drug offence or is drug-related.  CJITs manage offenders who have been referred to treatment and co-ordinate agencies and services so they offer access to joined-up treatment and support. They maintain strong links with both the National Probation Service and Prison Service to ensure the continuity of care whilst the offender is within the Criminal Justice System. Legislative changes have broadened the scope of the programme:  A major expansion of DIP took place in April 2006 to move the point of drug testing from the point of charge to the point of arrest and to introduce required (rather than voluntary) assessments. This change broadened the scope and size of the cohort coming into contact with DIP.  The latest changes took effect from April 2011, when the authorisation to conduct drug testing on arrest was extended across England and Wales. Drug testing on arrest previously occurred only in 'intensive' DIP areas, which had high levels of acquisitive crime. Data sources Records of those who test positive are logged onto the Drugs Intervention Management Information System (DIMIS), which is managed by the Home Office. An extract of positive drug test records for the relevant period is used for a match to the PNC. Offenders identified as drug-misusers via CARAT teams and CJITs are also recorded onto DIMIS, from which an extract is taken for the relevant period to match to the PNC. OASys records are collated centrally within the Ministry of Justice in the OASys Data, Evaluation and Analysis Team (O- DEAT) database, from which an extract is taken for the relevant period to match to the PNC. Identification of prolific and other priority offenders The Prolific and other Priority Offenders Programme (PPO) aims to use a multi-agency approach to focus on a very small, but hard core group of prolific/persistent offenders who commit disproportionate amounts of crime and cause disproportionate harm to their local communities. Full implementation of all three strands had commenced by the beginning of February 2005. In 2009, all local areas were asked to review their PPO schemes to ensure that the programme remained squarely focused on those offenders that were of most concern to the communities in which they live. The identification of a PPO is undertaken at a local level involving police, local authorities, prison and probation services and youth offending teams. The factors that influence the decision of whether an offender is included in the PPO programme are:  the nature and volume of crimes they commit;  the nature and volume of other harm they cause; and  the detrimental impact they have on their community. This process will typically involve police, prison and probation information systems and other tools available. The size of the PPO caseload at a local level is influenced by a range of factors, including the number of offenders who meet the locally agreed selection criteria and the capacity of local partner agencies to provide the intensive management of offenders under PPO supervision. PPO cohort data are derived from JTRACK, which is a management information and tracking tool used by practitioners in various criminal justice agencies to record details of the offenders being managed as PPOs in a local area. JTRACK relies on the accurate input of data by local users to ensure that the details of the caseload on the system reflect the caseload being managed. An extract of the caseload from JTRACK is taken for the relevant period to match to the PNC. Young offenders in secure accommodation Information about secure training centres (STCs) and secure children's homes (SCHs) comes from the Youth Justice Board's (YJB) Secure Accommodation Clearing House System (SACHS) database. The under 18 year olds in Young Offender Institutes (YOIs) is also from SACHS, whereas information about young people aged 18 and held in YOIs is supplied by the Prison Service and private YOIs. The quality of the information recorded on the SACHS database is generally assumed to be relatively high as it is a direct extract from an operational system which is used to place young people in custody. The extract uses a number of key fields for which completion is mandatory when booking a young person into custody. Data processing and analysis The data underpinning the results are considered by Ministry of Justice to be broadly robust. Considerable work has been carried out ensuring data quality, and the data have been used for research publications. Scrutiny of the data source continues in order to ensure the data remains reliable. The National Audit Office (NAO) identified risk factors in its review of the reporting of PSA targets (NAO, 2005). The remainder of this section addresses these. Matching offender records This process involves matching data on prison discharges and court order commencements to the PNC database. The process uses automated matching routines that look at offenders' surnames, initials, and dates of birth, using direct name matching along with a variety of 'sounds like' algorithms. The matching algorithm also searches through PNC held information on alias names and dates of birth for offenders. However, not all offenders are matched and a thorough analysis of bias in the matching system has yet to be undertaken. Table 2 below shows that the overall matching rates between 2000 and 2010 have remained high. 2000 2002 2003 2004 2005 2006 2007 2008 2009 2010 Prison Prison discharges 87,083 87,338 85,920 86,970 84,897 83,725 87,340 95,824 94,114 91,044 Automatically matched to the PNC 80,572 81,211 80,121 81,125 79,398 78,285 81,874 90,021 88,745 87,845 Matched to an index date 73,810 75,121 73,327 73,390 71,246 68,185 69,741 76,668 74,189 65,278 Percentage matched to the PNC 92.5% 93.0% 93.3% 93.3% 93.5% 93.5% 93.7% 93.9% 94.3% 96.5% Percentage matched to the PNC and index offences (not breach etc.) 84.8% 86.0% 85.3% 84.4% 83.9% 81.4% 79.9% 80.0% 78.8% 71.7% Court Orders Court order starts 136,023 154,621 158,750 164,831 163,681 176,346 187,386 189,643 191,784 186,417 Automatically matched to the PNC 123,540 142,838 148,257 154,075 158,416 172,906 184,740 187,253 190,128 185,112 Matched to an index date 105,685 115,108 119,446 122,927 130,307 148,072 159,279 163,519 167,378 164,579 Percentage matched to the PNC 90.8% 92.4% 93.4% 93.5% 96.8% 98.0% 98.6% 98.7% 99.1% 99.3% Percentage matched to the PNC and index offences (not breach etc.) 77.7% 74.4% 75.2% 74.6% 79.6% 84.0% 85.0% 86.2% 87.3% 88.3% YJB YJB discharges - 1,337 1,612 1,521 1,551 1,564 1,553 1,647 1,626 1,770 Automatically matched to the PNC - 1,226 1,502 1,425 1,448 1,464 1,463 1,537 1,564 1,682 Matched to an index date - 680 818 785 800 769 780 845 817 916 Percentage matched to the PNC - 91.7% 93.2% 93.7% 93.4% 93.6% 94.2% 93.3% 96.2% 95.0% Percentage matched to the PNC and index offences (not breach etc.) - 50.9% 50.7% 51.6% 51.6% 49.2% 50.2% 51.3% 50.2% 51.8% The total number of offenders matched to the PNC is substantially higher than the final figure for the cohorts - for example, in 2010 there were 274,639 matched offenders, but a final cohort size of 230,773. The main reasons for these discrepancies are:  Conviction dates for the beginning of the community, suspended or custodial sentence do not match the conviction date within seven days of the criminal records from the PNC database;  The index offence was not dealt with by a Home Office police force - this ensures that only offences in England and Wales are counted;  Exclusion of all offenders where the index offence is a breach, since we are only interested in new offences; and  Exclusion of multiple offender entries (see section above titled "Multiple offender entries" for further details). Counting rules The counting rules for choosing which prison discharges to include offer a variety of choices. For instance, it makes little sense to include offenders deported on release or who have died. These counting rules were enumerated and discussed to ensure a more accurate and consistent count and are reviewed on an annual basis to ensure a consistent approach. Complexity of data processing and analysis The data processing involved for measuring re-offending is complex. To analyse re-offending behaviour by previous offending or disposal history requires the extraction of criminal histories that can span a number of decades, and the subsequent matching of these histories against the probation caseload files and prison discharges in order to generate a dataset. The extraction of the criminal histories To quality assure the extraction of criminal histories, a small set of random samples of offenders was taken after the analysis to check, via a basic validation, that outputs of the SQL (Structured Query Language) program were accurate. The Ministry of Justice is confident that this process has been successful. Level of subjectivity There is relatively little subjectivity in the system. Occasional judgements are required (e.g. where to classify an offence), but these will not significantly influence the results. Maturity and stability of the data system The system is well established having been used a number of times to produce re-offending statistics for publication. Nonetheless, vigilance continues to be exercised to ensure the validity of the results. Expertise of those who operate the system Prison and court order data-feeds are continually monitored and improvement work is regularly undertaken to improve the reliability and the accuracy of datasets. The internal processing of the results within the Ministry of Justice has been subject to dip sampling of criminal histories and the statistical model has been extensively tested. ## Interpreting Trends In The Proportion Of Offenders Who Commit A Serious Re-Offence Against The Person Care Should Be Taken When Interpreting The Severity Rate For The Following Reasons:  **Time through the Criminal Justice System** - more serious offences are likely to take a longer time to progress through the Criminal Justice System than less serious offences. The proven reoffending statistics track proven re-offending behaviour for a year upon offenders entering the cohort, plus an additional six months for convictions to be updated on the system. There is a risk that this time scale is not long enough to capture the most serious offences. However, analysis suggests that the number of serious proven reoffences picked up by the measure remains comparatively stable year on year, ensuring performance is comparable over time.  **Reporting variation** - variation in reporting time between police force areas and courts may also have an impact on how many serious offences are captured during the one year follow-up period. Data on historical trends The data used to measure proven re-offending is from the PNC. Police forces started to enter criminal records locally in 1995. In order to allow time for good practice among police forces in entering data onto the PNC to become embedded, PNC data was used to measure proven re-offending for the first time in 2000. In the headline bulletin, results are compared to 2000 to highlight long-term trends because it is the earliest data on proven reoffending that exists on a comparable basis. Results prior to 2000 cannot be compared to results from 2000 onwards for two main reasons:  Change in data source - re-offences are measured using data from the PNC (which covers recordable offences), whereas data from years before 2000 were measured using the offenders index (which covered a narrower range of offences).  Change in measurement - the concept being measured from 2000 onwards in these reports is that of using the offence date to measure re-offences (a period of time is allowed for offences to be committed, and a further period allowed for these offences to be proved by caution, reprimand, final warning or court conviction), whereas the concept being measured prior to 2000 was that of using the conviction date to measure re-convictions (any conviction occurring in a set period of time, whether or not the offence occurred in that time period). However the 'Compendium of Re-offending Statistics and Analysis 2010', published in November 2010, provides the most consistent statistical series possible between 1971 and 2006, adjusting for known methodological changes. For more information, please refer to Chapter 4.4 at the following link: www.justice.gov.uk/statistics/reoffending/compendium-of-reoffendingstatistics-and-analysis Results for 2001 cannot be calculated for offenders on court orders because of a problem with archived data on court orders. Local breakdowns of the headline proven re-offending rates are available from 2005 onwards. Proven re-offending data are broken down by locality using the address and post-code information of the offender. Where this information is missing, the location of the processing police force is used instead. This is not a completely reliable indicator of the offender's home address as offenders may offend in a different locality than where they reside. The completeness of this information has improved over time. In 2000, this information was omitted for 29 per cent of cases, which was considered too high to produce reliable results. By 2005, this was reduced to 16.5 per cent, and there has been a continuing downward trend since then. ## Statistical Modelling And Coefficients Introduction The characteristics of proven offenders are likely to be systematically different over time and by sentence type as the Criminal Justice System targets particular sentences to offenders most likely to benefit from that type. It is therefore important to note that it is not possible to reach firm conclusions about changes in rates over time, nor about the relative effectiveness of different sentence types, from actual proven re-offending rates. The Ministry of Justice has developed models to address these two issues:  modelling to adjust the baseline to reflect changes in offender characteristics (see below).  modelling to match offenders across sentence types to make valid comparisons. Refer to the 'Compendium of Re-offending Statistics and Analysis 2011' at the link below for this analysis: www.justice.gov.uk/statistics/reoffending/compendium-of-reoffendingstatistics-and-analysis ## Modelling To Adjust For The Varying Composition Of The Cohort Of Offenders Over Time If the composition of the cohorts of offenders being compared differs significantly over time so that the type of offenders in one year is inherently more (or less) likely to re-offend, this may result in an apparent rise or fall in the proven re-offending rates even when there may be no 'real' difference for similar offenders over that time. In order to address this problem, we have adopted the following solution:  modelling the likelihood of proven re-offending based on known offender characteristics using historic data (which will be defined as the baseline);  identifying the characteristics of the most recent cohort;  using the model, adjusting the baseline proven re-offending rate to match these characteristics; and  comparing this adjusted rate with the current rate to make a more realistic estimate of trends over time. In previous publications of proven re-offending statistics, this approach has been referred to as the predicted rate of proven re-offending. Statistical model The 2008 statistical model is an update and improvement on the 2000 and 2005 logistic regression models and includes a range of offender characteristics available from the PNC, such as age, gender, offence group and criminal history. The logistic regression model based on the 2008 data identifies a statistically significant set of variables that are related to proven re-offending and based on these provides a probability of proven re-offending for each offender. However, other factors, for which data on these samples are not available, such as drug and alcohol use, employment, accommodation and marital background are likely to be significantly related to re-offending. This means that the adjusted proven re-offending rates are only valid for terms included in the final model. Any adjusted proven re-offending rates for groups of offenders that have a common characteristic that is not in the final model (e.g. employment status or disposal type) can suffer from statistical biases and are, therefore, unreliable. For the 2008 model additional developments were included to ensure that the adjusted rate model was a more parsimonious model, more robust against changes in the number of offenders, and that interaction terms and non-linear terms were included where appropriate. The final decision for inclusion or exclusion of particular variables was heavily influenced by their statistical significance (typically p < 0.10). The Ministry of Justice believes that the method used for the construction of the statistical model for producing adjusted rates is robust and fit for purpose. Variables included The following notes provide some further detail on the 2008 model and show the relative impacts of different variables when holding all other variables constant. Gender Gender is included in the model as a categorical variable separating out males and females. Generally, males are more likely to commit a proven reoffence than females. Age Age is included in the model for adults as a linear, quadratic and cubed term and is included for juveniles as a categorical variable separating offenders into seven age bands. Generally, younger adults are more likely to commit a proven re-offence than older adults, and older juveniles are more likely to re-offend than younger juveniles. Index difference The index difference represents the offence that led to the offender entering the cohort. Index differences were classified into 21 broad categories and their relative coefficients are shown in relation to the reference category violence'. To ensure the reliability and replicability of the model coefficients, any index differences with low numbers were grouped with the 'other' index ofonce group. Entity Entity is derived from the PVC and reflects the officer's view of the offender's ethnicity. Thus, ethnicity in this model should be taken as a proxy for the actual ethnicity and the results should not be over-interpreted because any biases in the assessment are unknown. Ethnicity was a statistically significant factor, making it an important factor to control for and, therefore, it was included in the model. **Copas rate** The Coops rate (Coaps and Marshall, 1998) controls for the rate at which an offender has built up conjunctions throughout their criminal career. The higher the rate, the more conjunctions an offender has in a given amount of time, and the more likely it is that an offender will be re-convicted. The Coops rate formula is: $${\mathrm{copas~rate}}=\log_{e}\!\left({\frac{{\mathrm{Number~of~count~appearances~or~cautions}}+1}{{\mathrm{Length~of~criminal~career~in~years}}+10}}\right)$$ For adults the Copas rate is included as a linear and quadratic, but for juveniles it is included as a linear term only. As mentioned above, inclusion of variables was heavily influenced by their statistical significance. **Length of criminal career** An often's criminal career is a significant factor in predicting the likelihood of a re-offence and this relationship is quadratic, thus both linear and quadratic terms were included in the model. **Total number of previous offices** The total number of previous oftences is a significant factor in predicting the likelihood of re-offending. The previous offending variables counted cations and convolutions and were included as linear and logged variables. **Previous custodial sentences** For adults, the number of previous custodial sentences was implemented as a continuous variable in both linear and quadratic terms. For juveniles, previous custodial sentences were included as a binary term: had the offender received one or more previous custodial sentences, yes or no. The difference in treatment reflects the more limited custodial history juvenile offenders generally possess compared to adult offenders. **Counts of previous offending by type of ofence** For adults, the number of previous oftences by type of office was an improvement over simple yes/no variables for recording the presence of prior offences in the relevant categories. For juvenile offenders, simple yes/no variables for recording the presence of prior offences in the relevant categories performed better. The difference in treatment reflects the more limited offending history juvenile offenders generally possess compared to adult offenders. Interaction terms Interaction terms are calculated by multiplying two factors together. The inclusion of these terms allows the effect of one variable to vary according to the values of another, improving the quality of predictions. This is important because three factors (gender, age and total number of previous offences) are not completely independent of each other. For adults, interaction terms were also included for drug-misusing offenders as they showed some trends in their proven re-offending behaviour that were different from the more general offending population. Model assessment The model is assessed by calculating the level of discrimination between offenders that committed a proven re-offence and offenders that did not. The adult logistic regression model achieved a 78.9 per cent overall discrimination level on the 2008 cohort and 72.4 per cent for the juvenile logistic regression model. A level of discrimination of about 70 per cent was deemed to be acceptable and the model should predict results accurately enough for the predicted rate to be used. The discrimination can also be evaluated by calculating the Area Under Curve (AUC) for the Receiver Operator Characteristic curve. Again, the value for the model was 0.784 for the adult regression model in 2008 and 0.716 for the youth regression model which means a satisfactory level of discrimination (Hosmer and Lemeshow, 2000, p.162). Coefficients of the 2008 statistical model The following tables (3 and 4) show the parameter estimates for the various components of the logistic regression model for the predicted one year proven re-offending rates for adults and young offenders. Each logistic coefficient is multiplied by the variable value for each offender to calculate a linear prediction. To calculate each offender's predicted probability of committing a proven re-offence in the follow-up period or a further six month waiting period we transform the linear prediction Z using the following formula: $$\text{Predicted Probability of Reoffending}=\frac{\exp(Z)}{1+\exp(Z)}$$ The exponent of the coefficient is the odds ratio of committing a proven reference corresponding to the particular coefficient and enables us to make comparisons between different categories. For factors with interactions (e.g. age and gender) the interpretation is more complex. The significance (p-value) gives us an assessment of how significant each variable is in predicting the likelihood of an offender to commit a proven reoffence within one year. For modelling purposes, a probability value (pvalue) of less than 0.05 is considered to be significant. ## | Variables | Coefficient | Logs-odd | |--------------------------------------|---------------------|----------------------| | ratios | | | | P-value | Variables | Coefficient Logs-odd | | ratios | | | | P-value | | | | Reference category | | | | Reference category | | | | Constant | 1.940 | 6.958 | | Index offence: | | | | Violence | | | | Gender: | | | | Robbery | | | | -0.361 | 0.697 | 0.000 | | Female | Theft | 0.482 | | Male | 0.645 | 1.906 | | Taking and driving away | | | | 0.180 | 1.198 | 0.000 | | Age: | | | | Sexual child | -0.465 | 0.628 | | Age | -0.250 | 0.779 | | Age squared | 0.006 | 1.006 | | Age cubed | -0.00004 | 1.000 | | Male * age interaction | -0.013 | 0.988 | | 0.337 | 1.401 | 0.000 | | Theft from vehicles | 0.478 | 1.612 | | General criminal career variables: | | | | Drink driving | -0.154 | 0.857 | | Previous offences | -0.006 | 0.994 | | Previous offences (logged) | 0.391 | 1.478 | | Male * previous offences interaction | -0.003 | 0.997 | | Previous prison sentences | 0.045 | 1.046 | | Previous prison sentences (logged) | -0.060 | 0.942 | | Career length | -0.0001 | 1.000 | | Career length squared | 0.000 | 1.000 | | Copas rate | 0.385 | 1.469 | | Number of previous offences: | | | | Reference category | | | | Copas rate squared | -0.064 | 0.938 | | PPO offender | 0.528 | 1.696 | | Drug-misusing offender | | | | 1.422 | 4.146 | 0.000 | | Theft | 0.012 | 1.012 | | Ethnicity: | | | | Handling | -0.010 | 0.990 | | White | Absconding and bail | 0.018 | | Unknown | -0.663 | 0.516 | | -0.007 | 0.993 | 0.003 | | White other | | | | 0.324 | 1.383 | 0.000 | | Black | 0.161 | 1.175 | | -0.044 | 0.957 | 0.000 | | Pacific | 0.210 | 1.233 | | Middle East | 0.130 | 1.138 | | Interaction with drug-misusing | | | | offenders: | | | | Previous offences (logged) | -0.156 | 0.855 | | Index offence of drug supply | -0.430 | 0.651 | | Index offence of drug | | | | possession | | | | -0.550 | 0.577 | 0.000 | | Variables | Coefficient | Logs-odd | |--------------------------------------|----------------|-------------| | ratios | | | | P-value | Variables | Coefficient | | ratios | | | | P-value | | | | Constant | | | | -1.495 | 0.224 | 0.000 | | Index offence: | | | | Reference category | | | | Reference category | | | | Violence | | | | Gender: | | | | Robbery | 0.130 | 1.139 | | Female | | | | Public order or riot | 0.178 | 1.195 | | Male | 0.527 | 1.693 | | Sexual offences against children | -1.157 | 0.314 | | Reference category | | | | Reference category | | | | Reference category | | | | Age: | | | | Domestic burglary | 0.233 | 1.262 | | Aged 10-11 | Other burglary | 0.083 | | Aged 12 | 0.354 | 1.425 | | Aged 13 | 0.448 | 1.566 | | Aged 14 | 0.431 | 1.538 | | Aged 15 | 0.186 | 1.205 | | Aged 16 | -0.124 | 0.883 | | Aged 17 | -0.202 | 0.817 | | Drunk driving | -0.488 | 0.614 | | Interactions between age and gender: | | | | Female at any age | | | | Any previous offences: | | | | Male aged 10-11 | Violence | 0.039 | | Male aged 12 | -0.276 | 0.759 | | Male aged 13 | -0.214 | 0.807 | | Male aged 14 | -0.157 | 0.855 | | Male aged 16 | 0.134 | 1.144 | | Male aged 17 | 0.113 | 1.120 | | Handling | 0.107 | 1.113 | | General criminal career variables: | | | | Absconding or bail offences | 0.096 | 1.101 | | Career length | 0.000 | 1.000 | | Career length squared | 0.000 | 1.000 | | Copas rate | 0.128 | 1.137 | | Previous offences | -0.036 | 0.964 | | Previous offences (logged) | 0.920 | 2.510 | | Previous prison sentence(s) | 0.124 | 1.132 | | PPO offender | 0.930 | 2.534 | | Reference category | | | | Ethnicity: | | | | White | | | | Unknown | -0.823 | 0.439 | | White (other) | 0.196 | 1.217 | | Black | 0.187 | 1.206 | | Asian | -0.200 | 0.819 | | Pacific | -0.468 | 0.626 | Additional modelling for prison performance Assessing the performance of individual prisons in reducing re-offending is difficult because the particular characteristics of offenders that are at a particular prison are likely to be the main drivers behind re-offending. A statistical methodology has been developed to examine prison reoffending rates that not only takes account of offence and offender characteristics, but also takes account of the hierarchical structure of the data, i.e. that offenders are within prisons. Two separate models were developed: for prisoners receiving sentences of fewer than 12 months and prisoners with sentences of 12 months or over. The separate models for prisoners with sentences of fewer than 12 months and 12 months or more reflects differences in prisoners' re-offending behaviour by prison sentence length. The model used for both types of offender was a logistic regression model with mixed effects (fixed and random). The outcome variable is a binary yes/no variable representing whether an offender re-offends or not. Offender characteristics are included as fixed independent variables and the prisons are included as a random effect component which allows each prison to interact with the fixed effects differently. The variables included in the model were similar to those used to develop the adjusted baseline described above: age, ethnicity, index offence, previous offences, previous prison sentences, Copas scores, and criminal career, as well as the random effects component of prisons. The goodnessof-fit by AUC was satisfactory, above 0.77 in all cases. Considerable preliminary analysis has been undertaken investigating the relative important of offence, offender and prison level variables in explaining custodial re-offending. This analysis has overwhelmingly shown that offence and offender level variables shape re-offending whereas prisonlevel variables refine re-offending behaviour. For this reason, the model uses offender and offence level variables and only models prison level effects using a single random effects component. This model generates an expected probability of re-offending for each offender. When aggregated up to the prison it produces an expected proportion of offenders who re-offend. This can be compared with the actual rate of re-offending. Where the model-predicted re-offending rate was statistically significantly different to actual re-offending rates, two possible explanations are plausible: 1. Missing characteristics: it is possible that there are underlying offence, offender or prison characteristics affecting re-offending behaviour that are not included in the current model; or 2. A genuine difference: there is something specific to these prisons that make them better/worse than predicted. ## Additional Modelling For Probation Performance Results in the headline measure are compared to a baseline rate, adjusted for changes in the offender profile. This relies on an estimate of the relationship between offender characteristics and proven re-offending behaviour over 12 months. An equivalent estimate has been carried out for the proven re-offending behaviour specifically of offenders commencing court orders. This uses the same variables as the headline measure plus additional variables to ensure that the actual and predicted rates are identical for every probation trust in the baseline period (2008). The tables accompanying the report present the adjusted baseline for each trust. Differences between the prison and probation trusts models and the model for the adjusted baseline for the headline measure  The adjusted baseline for the headline measure applies to all offenders; the prison and probation models only apply to offenders discharged from custody or given a court order.  The adjusted baseline for the headline measure is created using a fixed effects model using only offender and offence level variables; the probation model does the same, but the prison models use offender and offence level variables and also include a random component to reflect that prisoners are located within prisons.  The adjusted baseline for the headline measure and for the probation model is derived using data from a baseline year (2008). The observed re-offending is equal to the predicted re-offending for the baseline year; the model coefficients are then applied to subsequent years and the predicted rates begins to differ from the actual rates. Provided the baseline year model is frequently refreshed, this ensures that any deviations of the actual re-offending rate from the predicted rate are due to system changes and not due to changes in the cohort make up. This approach enables us to assess progress in reducing re-offending. Whereas, the prison model is generated from scratch every year and assesses if any prison differs from the national average. As with the previous approach, the observed reoffending rate is still equal to the predicted re-offending for the prison population as a whole. It will not necessarily be the case for individual prisons. This approach provides an idea of which prisons have significantly lower (or higher) re-offending rates than predicted.  Work is underway to develop an equivalent model for probation trusts to the one used for prisons. ## Appendix A: List Of Serious Offences Serious Violence Against The Person 1. Murder: 1. Of persons aged 1 year or over. 2. Of infants under 1 year of age. 2. Attempted murder. 4. Manslaughter, etc: 1. Manslaughter. 2. Infanticide. 3. Child destruction. 5. Wounding or other act endangering life: 1. Wounding, etc. with intent to do grievous bodily harm, etc. or to resist apprehension. 2. Shooting at naval or revenue vessels. 4. Attempting to choke, suffocate, etc. with intent to commit an indictable offence (garrotting). 5. Using chloroform, etc. to commit or assist in committing an indictable offence. 6. Burning, maiming, etc. by explosion. 7. Causing explosions or casting corrosive fluids with intent to do grievous bodily harm. 8. Impeding the saving of life from shipwreck. 9. Placing, etc. explosives in or near ships or buildings with intent to do bodily harm, etc. 10. Endangering life or causing harm by administering poison. 11. Causing danger by causing anything to be on road, interfering with a vehicle or traffic equipment. 13. Possession, etc. of explosives with intent to endanger life. 14. Possession of firearms, etc. with intent to endanger life or injure property, etc. (Group I). 15. Possession of firearms, etc. with intent to endanger life or injure property, etc. (Group II). 16. Possession of firearms, etc. with intent to endanger life or injure property, etc. (Group III). 17. Using, etc. firearms or imitation firearms with intent to resist arrest, etc. (Group I). 18. Using, etc. firearms or imitation firearms with intent to resist arrest, etc. (Group II). 19. Using, etc. firearms or imitation firearms with intent to resist arrest, etc. (Group III). [Group I - Firearms, etc. other than as described in Group II or III. Group II - Shotguns as defined in s.1 (3)(a) of the Firearms Act 1968. Group III - Air weapons as defined in s.1 (3)(b) of the Firearms Act 1968] 20. Use etc. of chemical weapons. 21. Use of premises or equipment for producing chemical weapons. 22. Use, threat to use, production or possession of a nuclear weapon. 23. Weapons related acts overseas. 24. Use of noxious substances or things to cause harm or intimidate. 25. Performing an aviation function or ancillary function when ability to carry out function is impaired because of drink or drugs. 26. Endangering safety at sea/aerodromes. 27. Torture. 8. Other wounding, etc.: 1. Wounding or inflicting grievous bodily harm (inflicting bodily injury with or without weapon). 33. Racially aggravated wounding or inflicting grievous bodily harm (inflicting bodily injury with or without weapon). 40. Religiously aggravated malicious wounding or GBH. 46. Racially or religiously aggravated malicious wounding or grievous bodily harm. ## Sexual Offences 17. Sexual assault on a male (previously indecent assault on a male): 11. Indecent assault on male person under 16 years. 12. Indecent assault on male person 16 years or over. 13. Assault on a male by penetration. 14. Assault of a male child under 13 by penetration. 15. Sexual assault on a male. 16. Sexual assault of a male child under 13. 19. Rape: 2. Man having unlawful sexual intercourse with a woman who is a defective. 3. Male member of staff of hospital or mental nursing home having unlawful sexual intercourse with female patient. 4. Man having unlawful sexual intercourse with mentally disordered female patient who is subject to his care. 7. Rape of a female aged under 16. 8. Rape of a female aged 16 or over. 9. Rape of a male aged under 16. 10. Rape of a male aged 16 or over. 11. Attempted rape of a female aged under 16. 12. Attempted rape of a female aged 16 or over. 13. Attempted rape of a male aged under 16. 14. Attempted rape of a male aged 16 or over. 16. Rape of female child under 13 by a male. 17. Rape of a male child under 13 by a male. 18. Attempted rape of a female child under 13 by a male. 19. Attempted rape of a male child under 13 by a male 20. Sexual assault on female (previously indecent assault on a female): 1. On females under 16 years of age. 2. On females aged 16 years and over. 3. Assault on a female by penetration. 4. Assault on a female child under 13 by penetration. 5. Sexual assault on a female. 6. Sexual assault on a female child under 13. 21. Sexual activity (male and female) (including with a child under 13) (previously unlawful intercourse with a girl under 13): 2. Causing or inciting a female child under 13 to engage in sexual activity - penetration. 3. Causing or inciting a female child under 13 to engage in sexual activity - no penetration. 4. Causing or inciting a male child under 13 to engage in sexual activity - penetration 5. Causing or inciting a male child under 13 to engage in sexual activity - no penetration. 6. Sexual activity with a female child under 13 - offender aged 18 or over - penetration. 7. Sexual activity with a male child under 13 - offender aged 18 or over - penetration. 8. Causing or inciting a female child under 13 to engage in sexual activity - offender aged 18 or over - penetration. 9. Causing or inciting a male child under 13 to engage in sexual activity - offender aged 18 or over - penetration. 10. Engaging in sexual activity in the presence of a child under 13 (offender aged 18 or over). 11. Causing a child under 13 to watch a sexual act (offender aged 18 or over). 12. Sexual activity with a female child under 13 - offender aged under 18. 13. Sexual activity with a male child under 13 - offender aged under 18. 14. Causing of inciting a female child under 13 to engage in sexual activity - offender under 18. 15. Causing or inciting a male child under 13 to engage in sexual activity - offender under 18. 16. Engaging in sexual activity in the presence of a child under 13 - offender under 18. 17. Causing a child under 13 to watch a sexual act - offender under 18. 18. Sexual activity with a female under 13 - offender aged 18 or over - no penetration. 19. Sexual activity with a male child under 13 - offender aged 18 or over - no penetration. 20. Causing or inciting a female child under 13 to engage in sexual activity - offender aged 18 or over - no penetration. 21. Causing or inciting a male child under 13 to engage in sexual activity - offender aged 18 or over - no penetration. 22. Sexual activity with a female child under 13 - offender aged under 18 - no penetration. 23. Sexual activity with a male child under 13 - offender aged under 18 - no penetration. 24. Causing or inciting a female child under 13 to engage in sexual activity - offender aged under 18 - no penetration. 25. Causing or inciting a male child under 13 to engage in sexual activity - offender aged under 18 - no penetration. 22. Sexual activity (male and female) (including with a child under 16) (previously unlawful sexual intercourse with a girl under 16): 0. Unlawful sexual intercourse with girl under 16 (offences committed prior to 1 May 2004). 2. Causing a female person to engage in sexual activity without consent - penetration. 3. Causing a male person to engage in sexual activity without consent - penetration. 4. Causing a female person to engage in sexual activity without consent - no penetration. 5. Causing a male person to engage in sexual activity without consent - no penetration. 6. Sexual activity with a female child under 16 (offender aged 18 or over) - penetration. 7. Sexual activity with a male child under 16 (offender aged 18 or over) - penetration. 8. Causing or inciting a female child under 16 to engage in sexual activity (offender aged 18 or over) - penetration 9. Causing of inciting a male child under 16 to engage in sexual activity (offender aged 18 or over) - penetration. 10. Engaging in sexual activity in the presence of a child under 16 (offender aged 18 or over). 11. Causing a child under 16 to watch a sexual act (offender aged 18 or over). 18. Sexual activity with a female child under 16 - offender aged 18 or over - no penetration. 19. Sexual activity with a male child under 16 - offender aged 18 or over - no penetration. 20. Causing or inciting a female child under 16 to engage in sexual activity (offender aged 18 or over) - no penetration. 21. Causing or inciting a male child under 16 to engage in sexual activity (offender aged 18 or over) - no penetration. 70. Sexual activity etc. with a person with a mental disorder: 1. Sexual activity with a male person with a mental disorder impeding choice - penetration. 2. Sexual activity with a female person with a mental disorder impeding choice - penetration. 3. Sexual activity with a male person with a mental disorder impeding choice - no penetration. 4. Sexual activity with a female person with a mental disorder impeding choice - no penetration. 5. Causing or inciting a male person with a mental disorder impeding choice to engage in sexual activity - penetration. 6. Causing or inciting a female person with a mental disorder impeding choice to engage in sexual activity - penetration. 7. Causing or inciting a male person with a mental disorder impeding choice to engage in sexual activity - penetration. 8. Causing or inciting a female person with a mental disorder impeding choice to engage in sexual activity - no penetration. 9. Engaging in sexual activity in the presence of a person with a mental disorder impeding choice. 10. Causing a person with a mental disorder impeding choice to watch a sexual act. 11. Inducement, threat or deception to procure sexual activity with a person with a mental disorder - penetration. 12. Inducement, threat or deception to procure sexual activity with a person with a mental disorder - no penetration. 13. Causing a person with a mental disorder to engage in sexual activity by inducement, threat or deception - penetration. 14. Causing a person with a mental disorder to engage in sexual activity by inducement, threat or deception - no penetration. 15. Engaging in sexual activity in the presence, procured by inducement, threat or deception, of a person with a mental disorder. 16. Causing a person with a mental disorder to watch a sexual act by inducement, threat or deception. 17. Care workers: Sexual activity with a male person with a mental disorder - penetration. 18. Care workers: Sexual activity with a female person with a mental disorder - penetration. 19. Care workers: Sexual activity with a male person with a mental disorder - no penetration. 20. Care workers: Sexual activity with a female person with a mental disorder - no penetration. 21. Care workers: Causing or inciting sexual activity (person with a mental disorder) - penetration. 22. Care workers: Causing or inciting sexual activity (person with a mental disorder) - no penetration. 23. Care workers: Sexual activity in the presence of a person with a mental disorder. 24. Care workers: Causing a person with a mental disorder impeding choice to watch a sexual act. 71. Abuse of children through prostitution and pornography (previously child prostitution and pornography): 1. Arranging or facilitating the commission of a child sex offence. 2. Paying for sex with a female child under 13 - penetration 3. Paying for sex with a male child under 13 - penetration 4. Paying for sex with a female child under 16 - no penetration. 5. Paying for sex with a male child under 16 - no penetration. 6. Paying for sex with a female child aged 16 or 17. 7. Paying for sex with a male child aged 16 or 17. 8. Causing or inciting child prostitution or pornography - child aged 13-17. 9. Controlling a child prostitute or a child involved in pornography - child aged 13- 17. 10. Arranging or facilitating child prostitution or pornography - child aged 13-17. 11. Causing or inciting child prostitution or pornography - child under 13. 12. Controlling a child prostitute or child involved in pornography - child under 13. 13. Arranging or facilitating child prostitution or pornography - child under 13. 14. Paying for sex with a female child aged under 16 - penetration. 15. Paying for sex with a male child aged under 16 - penetration. 72. Trafficking for sexual exploitation: 1. Arranging or facilitating arrival of a person into the UK for sexual exploitation (trafficking). 2. Arranging or facilitating travel of a person within the UK for sexual exploitation (trafficking). 3. Arranging or facilitating departure of a person from the UK for sexual exploitation (trafficking). ## Taking And Driving Away And Related Offences 37. Aggravated vehicle taking: 1. Where, owing to the driving of the vehicle, an accident occurs causing the death of any person. ## Other Motoring Offences 4. Manslaughter, etc: 4. Causing death by dangerous driving. 8. (Offences) Causing death by careless or inconsiderate driving (Offences due to commence in Autumn 2007). ## Drink Driving Offences 4. Manslaughter, etc.: 6. Causing death by careless driving when under the influence of drink or drugs. ## Serious Acquisitive Offences Burglary 1. Burglary in a dwelling with intent to commit or the commission of an offence triable only on indictment. 2. Burglary in a dwelling with violence or the threat of violence. 3. Other burglary in a dwelling. 4. Aggravated burglary in a dwelling (including attempts ). Robbery 1. Robbery. 2. Assault with intent to rob. Taking and driving away 1. Aggravated taking where the vehicle was driven dangerously on a road or other public place. 2. Aggravated taking where owing to the driving of the vehicle an accident occurred causing injury to any person or damage to any property other than the vehicle. Theft from or of vehicles 1. Stealing from motor vehicles. 2. Stealing from other vehicles. 3. Theft of motor vehicle. 4. Unauthorised taking of a motor vehicle. ## Appendix B: Glossary Of Terms Re-offending terms Cohort - this is the group of individuals whose re-offending is measured. Index offence - the index offence is the proven offence that leads to an offender being included in the cohort. Index disposal - the index disposal of the offender is the type of sentence the offender received for their index offence. Start point (index date) - this is the set point in time from when re-offences are measured. Follow-up period - this is the length of time proven re-offending is measured over. Waiting period - this is the additional time beyond the follow-up period to allow for offences committed towards the end of the follow-up period to be proved by a court conviction, caution, reprimand or final warning. Adjusted to baseline - proven re-offending is related to the characteristics of offenders which means that any overall rate of proven re-offending will depend, in part, on the characteristics of offenders coming into the system (just as the examination pass rate of a school will be related to the characteristics of its pupils). We use a modelling technique to produce a baseline figure adjusted to match the characteristics of the cohort we are comparing. Re-conviction - where an offender is convicted at court for an offence committed within a set follow-up period and convicted within either the follow-up period or waiting period. Proven re-offence - where an offender is convicted at court or receives some other form of criminal justice sanction for an offence committed within a set follow-up period and disposed of within either the follow-up period or waiting period. Cohort definition used in the Proven Re-offending Statistics Quarterly Bulletin - the proven re-offending cohort consists of all offenders discharged from custody, otherwise sanctioned at court, receiving a caution, reprimand or warning or tested positive for opiates or cocaine in each year. This cohort's criminal history is collated and criminal behaviour is tracked over the following one year. Any offence committed in this one year period which is proven by a court conviction or out-of-court disposal (either in the one year period, or in a further six months waiting period) counts as a proven re-offence. The latest available publication is the Proven Reoffending Statistics Quarterly Bulletin in England and Wales; Ministry of Justice, October 2012. www.justice.gov.uk/statistics/reoffending/proven-re-offending Cohort definition used in the Local Adult Re-offending Quarterly Bulletin - the local adult re-offending measure takes a snapshot of all offenders, aged 18 or over, who are under probation supervision at the end of a quarter, and combines four such snapshots together. This cohort's criminal history is collated and criminal behaviour is tracked over the following three months. Any offence committed in this three month period which is proven by a court conviction or out-of-court disposal (either in the three month period, or in a further three months waiting period) counts as a proven re-offence. The latest available publication is the Local Adult Reoffending: 1 April 2011 - 31 March 2012, England and Wales; Ministry of Justice, August 2012. www.justice.gov.uk/statistics/reoffending/local-adult-reoffending Disposal (sentence type) Fine - a financial penalty imposed following conviction. Court orders - court orders include community sentences, community orders and suspended sentence orders supervised by the Probation Service. They do not include any pre or post release supervision. Criminal Justice Act 2003 (CJA03) - for offences committed on or after 4 April 2005, the new community order replaced all existing community sentences for adults. The Act also introduced a new suspended sentence order for offences which pass the custody threshold. It also changed the release arrangements for prisoners. See Appendix A of Offender Management Caseload Statistics 2009 for more information. Community order - for offences committed on or after 4 April 2005, the new community order introduced under the CJA 2003 replaced all existing community sentences for those aged 18 years and over. This term refers to all court orders except suspended sentence orders and deferred sentences which may have a custodial component to the sentence. The court must add at least one, but could potentially add all 12 requirements depending on the offences and the offender. The requirements are:  unpaid work (formerly community service/community punishment) - a requirement to complete between 40 and 300 hours' unpaid work;  activity - for example, to attend basic skills classes;  programme - there are several designed to reduce the prospects of re-offending;  prohibited activity - a requirement not do so something that is likely to lead to further offence or nuisance;  curfew - which is electronically monitored;  exclusion - this is not used frequently as there is no reliable electronic monitoring yet available;  residence - requirement to reside only where approved by probation officer;  mental health treatment (requires offender's consent);  drug rehabilitation (requires offender's consent);  alcohol treatment (requires offender's consent);  supervision - meetings with probation officer to address needs/offending behaviour; and  attendance centre - between a minimum of 12 hours and a maximum of 36 in total which includes three hours of activity. Typically, the more serious the offence and the more extensive the offender's needs, the more requirements there will be. Most orders will comprise of one or two requirements, but there are packages of several requirements available where required. The court tailors the order as appropriate and is guided by the Probation Service through a pre-sentence report. Suspended sentence order (SSO) - the CJA 2003 introduced a new suspended sentence order which is made up of the same requirements as a community order and, in the absence of breach is served wholly in the community supervised by the Probation Service. It consists of an 'operational period' (the time for which the custodial sentence is suspended) and a 'supervision period' (the time during which any requirements take effect). Both may be between six months and two years and the 'supervision period' cannot be longer than the 'operational period', although it may be shorter. Failure to comply with the requirements of the order or commission of another offence will almost certainly result in a custodial sentence. Pre CJA03 Court Orders - Community sentences Community punishment order (CPO) - the offender is required to undertake unpaid community work. Community rehabilitation order (CRO) - a community sentence which may have additional requirements such as residence, probation centre attendance or treatment for drug, alcohol or mental health problems. Community punishment and rehabilitation order (CPRO) - a community sentence consisting of probation supervision alongside community punishment, with additional conditions like those of a community rehabilitation order. Drug treatment and testing order (DTTO) - a community sentence targeted at offenders with drug-misuse problems. Custody - the offender is awarded a sentence to be served in prison or a Young Offenders Institute (YOI). If the offender is given a sentence of 12 months or over, or is aged under 22 on release, the offender is supervised by the Probation Service on release. It is important to note that the sentence lengths and youth disposals awarded will be longer than the time served in custody. For more information please refer to Appendix A of Offender Management Caseload Statistics 2009. Short sentences (under 12 months) - those sentenced to under 12 months (made under the Criminal Justice Act 1991) spend the first half of their sentence in prison and are then released and considered 'at risk' for the remaining period. This means they are under no positive obligations and do not report to the Probation Service, but if they commit a further imprisonable offence during the 'at risk' period, they can be made to serve the remainder of the sentence in addition to the punishment for the new offence. The exception to this is those aged 18 to 20 who have a minimum of three month's supervision on release. Sentences of 12 months or over - the CJA03 created a distinction between standard determinate sentences and public protection sentences. Offenders sentenced to a standard determinate sentence serve the first half in prison and the second half in the community on licence. Youth disposal (sentence type) Reprimand or warning - a reprimand is a formal verbal warning given by a police officer to a juvenile offender who admits they are guilty for a minor first offence. A final warning is similar to a reprimand, but can be used for either the first or second offence, and includes an assessment of the juvenile to determine the causes of their offending behaviour and a programme of activities is designed to address them. First-tier penalties Discharge - a juvenile offender is given an absolute discharge when they admit guilt, or are found guilty, with no further action taken. An offender given a conditional discharge also receives no immediate punishment, but is given a set period during which, if they commit a further offence, they can be brought back to court and re-sentenced.  **Fine** - the size of the fine depends on the offence committed and the offender's financial circumstances. In the case of juveniles under 16, the fine is the responsibility of the offender's parent or carer.  **Referral order** - this is given to juveniles pleading guilty and for whom it is their first time at court (unless the offence is so serious it merits a custodial sentence or it is of a relatively minor nature). The offender is required to attend a Youth Offender Panel to agree a contract, aimed to repair the harm caused by the offence and address the causes of the offending behaviour.  **Reparation order** - the offender is required to repair the harm caused by their offence either directly to the victim or indirectly to the community. Youth Rehabilitation Order - a community sentence for juvenile offenders, which came into effect on 30 November 2009 as part of the Criminal Justice and Immigration Act 2008. It combines a number of sentences into one generic sentence and is the standard community sentence used for the majority of children and young people who offend. The following requirements can be attached to a Youth Rehabilitation Order (YRO):  activity requirement  curfew requirement  exclusion requirement  local authority residence requirement  education requirement  mental health treatment requirement  unpaid work requirement  drug testing requirement  intoxicating substance misuse requirement  supervision requirement  electronic monitoring requirement  prohibited activity requirement  drug treatment requirement  residence requirement  programme requirement  attendance centre requirement  intensive supervision and surveillance  intensive fostering The following community sentences are replaced by the YRO, but will continue to exist for those that committed an offence before 30 November 2009. The YRO is only available for those that committed an offence on or after the 30 November 2009.  action plan order  curfew order  supervision order  supervision order and conditions  community punishment order  community punishment and rehabilitation order  attendance centre order  drug treatment and testing order  exclusion order  community rehabilitation order Prison categories Category B and category C **prisons** hold sentenced prisoners of their respective categories, including life sentenced prisoners. The regime focuses on programmes that address offending behaviour and provide education, vocational training and purposeful work for prisoners who will normally spend several years in one prison. High security prisons hold category A and B prisoners. Category A prisoners are managed by a process of dispersal, and these prisons also hold a proportion of category B prisoners for whom they provide a similar regime to a category B prison. The category B prisoners held in a High Security Prison are not necessarily any more dangerous or difficult to manage than those in category B prisons. Female prisons, as the name implies, hold female prisoners. Because of the smaller numbers, they are not divided into the same number of categories although there are variations in security levels. Local prisons serve the courts in the area. Historically their main function was to hold un-convicted and un-sentenced prisoners and, once a prisoner had been sentenced, to allocate them on to a category B, C or D prison as appropriate to serve their sentence. However, pressure on places means that many shorter term prisoners serve their entire sentence in a local prison, while longer term prisoners also complete some offending behaviour and training programmes there before moving on to lower security conditions. All local prisons operate to category B security standards. Open prisons have much lower levels of physical security and only hold category D prisoners. Many prisoners in open prisons will be allowed to go out of the prison on a daily basis to take part in voluntary or paid work in the community in preparation for their approaching release. Miscellaneous terms Drug-misusing offenders There are four ways a drug-misusing offender can be identified:  Individuals who have tested positive for heroin or crack/cocaine following an arrest or charge for 'trigger' offences (largely acquisitive crime offences) as part of the Drug Interventions Programme (DIP) are included as adult proven offenders.  Any offender that received an OASys assessment whilst on licence or on a community sentence and are either recorded as being subject to a current Drug Treatment and Testing Order (DTTO) or Drug Rehabilitation Requirement (DRR), or are assessed as having a criminogenic drug need.  Any offender identified as requiring further drug interventions by Counselling, Assessment, Referral, Advice, Throughcare (CARAT) teams in prison, and now being released into the community.  Any offender identified by local Criminal Justice Integrated Teams (CJITs) as requiring further intervention for their drug use and offending as part of DIP. National Probation Service - the National Probation Service generally deals with those aged 18 years and over. (Those under 18 are mostly dealt with by Youth Offending Teams, answering to the Youth Justice Board.) They are responsible for supervising offenders who are given community sentences and suspended sentence orders by the courts, as well as offenders given custodial sentences, both pre and post their release. Police National Computer - the Police National Computer (PNC) is the police's administrative IT system used by all police forces in England and Wales and managed by the National Policing Improvement Agency. As with any large scale recording system the PNC is subject to possible errors with data entry and processing. The MoJ maintains a database based on weekly extracts of selected data from the PNC in order to compile statistics and conduct research on re-offending and criminal histories. The PNC largely covers recordable offences - these are all indictable and triable-either-way offences plus many of the more serious summary offences. All figures derived from the MoJ's PNC database, and in particular those for the most recent months, are likely to be revised as more information is recorded by the police. Prolific and other priority offenders - the Prolific and other Priority Offenders Programme (PPO) aims to use a multi-agency approach to focus on a very small, but hard core group of prolific/persistent offenders who commit disproportionate amounts of crime and cause disproportionate harm to their local communities. The identification of a PPO is undertaken at a local level involving police, local authorities, prison and probation services and youth offending teams. The factors that influence the decision of whether an offender is included in the PPO programme are:  the nature and volume of crimes they commit;  the nature and volume of other harm they cause; and  the detrimental impact they have on their community. Recordable offences - recordable offences are those that the police are required to record on the PNC. They include all offences for which a custodial sentence can be given plus a range of other offences defined as recordable in legislation. They exclude a range of less serious summary offences, for example television licence evasion, driving without insurance, speeding and vehicle tax offences. Indictable and summary offences - summary offences are triable only by a magistrates' court. This group includes motoring offences, common assault and criminal damage up to £5,000. More serious offences are classed either as triable-either-way (these can be tried either at the Crown Court or at a magistrates' court and include criminal damage where the value is £5,000 or greater, theft and burglary) or indictable-only (the most serious offences that must be tried at the Crown Court; these 'indictableonly' offences include murder, manslaughter, rape and robbery). The term indictable offences is used to refer to all triable-either-way and 'indictableonly' offences. Offence group - a split of offences into 21 separate groups. A more detailed split of the 10 indictable offence groups (violence against the person, sexual offences, burglary, robbery, theft and handling and stolen goods, fraud and forgery, criminal damage, drug offences, other indictable offences (excluding motoring), indictable motoring) and the two summary offence groups (summary non-motoring and summary motoring offence types). ## Appendix C: Comparison Of The Three Measures Of Re-Offending Figure A1 Below Compares How The Three Measures Of Re-Offending (The Headline Proven Re-Offending Measure, The Early Estimates Of Re-Offending And Local Adult Re-Offending) Are Constructed. It Shows The Period Over Which The Re-Offending Cohort Is Formed, The Time Over Which Re-Offending Is Measured, The Additional Time Allowed For Re-Offending To Be Proven, And The Time Taken To Collect And Analyse The Data, And Then To Publish. Cohort formation Headline measure and early estimates: offenders enter the cohort when they receive a caution (adults), a final warning or reprimand (juveniles), are given a non-custodial conviction, are released from custody or test positive for cocaine or opiates in the cohort formation period shown. Local adult re-offending: this uses a snapshot of all offenders aged 18 or over, who are under probation supervision at the end of a quarter, and combines four such snapshots together. Re-offences Headline measure: A re-offence is counted if the offence occurs within the "Re-offences" period shown. This is within 12 months of entering the cohort. Early estimates and local adult re-offending: A re-offence is counted if the offence occurs within three months of entering the cohort for the early estimates measure and within three months following each of the four caseload snapshots for the local re-offending measure. Re-offences proven Headline measure: For a re-offence to be counted it must also be proven within the "Re-offences proven" period shown. This is within six months of the re-offence. Early estimates and local adult re-offending: For a re-offence to be counted it must also be proven within the "Re-offences proven" period shown. This is within three months of the re-offence. ## Contact Details And Further Information For queries, comments or further information, please contact: Nick Mavron Justice Statistics Analytical Services Ministry of Justice 7th floor 102 Petty France London SW1H 9AJ Email: statistics.enquiries@justice.gsi.gov.uk Alternative formats are available on request from statistics.enquiries@justice.gsi.gov.uk

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# Office Of Rail Regulation Minutes Of The 107Th Board Meeting On Tuesday, 22 July 2014 (09:30-15:30), Orr Offices, One Kemble Street, London, Wc2B 4An Present: Non-executive directors: Anna Walker (Chair), Tracey Barlow, Mark Fairbairn, Stephen Nelson, Ray O'Toole. Observing: Michael Luger, Justin McCracken (pending NED appointees) Executive directors: Ian Prosser (Director, Railway Safety), Alan Price (Director, Railway Planning and Performance), Joanna Whittington (Director Railway Markets and Economics) In attendance, all items: Dan Brown (Director of Strategy), Richard Emmott (Director of Communications) John Larkinson (Director of Economic Regulation), Juliet Lazarus (Director, Legal Services), Tess Sanford (Board Secretary), Tom Taylor (Director of Corporation Operations) Gill Bull (Assistant Board Secretary) In attendance, specific items: Items 6: Amanda Clarke (Interim Senior Financial Analyst) and Mark Morris (Deputy Director, Engineering and Asset management). Items 8-11: Annette Egginton (Head of competition & consumer policy), Graham Richards (Deputy director RPP), Nick Wortley (Competition and consumer policy manager), Siobhán Carty (Project Co-ordinator & Engagement Strategist ## Item 1: Welcome And Apologies For Absence 1. The Chair welcomed everyone to the meeting, particularly our two new NED appointees who were attending as observers. 2. Richard Price (Chief Executive) was on leave and had sent his apologies ## Item 2: Declarations Of Interest 3. There were no declarations of interest. ## Item 3: Monthly Health And Safety Report 4. Ian Prosser gave us some of the highlights of his report. He was sorry to have to report a second track worker fatality in as many months. Early reports from the incidents suggested that prosecution was likely in both cases. Workforce electrical safety was continuing to cause concern at this particular TOC, and the team would be keeping a close eye on, and discussing issues with, the company as it began operating a new franchise. 5. The Annual Health and Safety report had been published that day. RSSB's annual report had also been published and the links would be sent to board members **[Action A: Secretariat to email links].** The Board thanked everyone in the team from RSD and EA who had contributed to this very important piece of work. 6. Ian reported on a very successful visit in the north east with Louise Ellman MP, Chair of the Transport Select Committee. The aim was to show and explain the different types of level crossings and the risks associated with each - in particular to discuss issues around user worked crossings. Tina Hughes MBE had joined the visit. 7. Ian explained to the Board that work to replace three existing sets of regulations with a single new set (the Railways Safety (Train Operations etc) Regulations, was progressing well. Modernising the regulations was important if they were to match the changing legal framework and safety approach. 8. The workshop with RAIB was now arranged for September and Carolyn Griffiths had indicated that she would be updating her guidance. 9. We asked whether the repeat track twist faults, which had been highlighted as an indicator of poor maintenance and delayed renewals, were continuing to cause concern. Ian said that the current assessment was that NR were meeting the 'reasonably practicable' test in addressing the issue and the backlog - but inspectors remained alert to the risk. 10. We asked whether there had been any hiatus at the beginning of CP5 in terms of renewals work and were told that the process had been well managed by NR with no apparent loss of momentum between control periods. There was a maintenance backlog caused primarily by the bad winter weather, but this had stabilised and should now begin to reduce. 11. We asked whether there was anything that the Board should do to add weight to the drive for improvements on worker safety. Ian would be speaking to the RDG at their next meeting, and we understood that this was an area of particular focus for Mark Carne, the NR chief executive. We also understood that most TOCs behaved responsibly but that there were outliers whose practice was noticeably less good. Ian agreed to report back to the Board on those issues and whether there was anything further the Board could or should do [Action B: Ian Prosser to revert to the Board] ## Item 5 Safety Regulation Committee: Oral Update 12. Mark Fairbairn reported to the Board as chair of the SRC on their meeting the previous day. The agenda had included a review of broad themes of our safety approach following which the committee had agreed to draw out the risks around growth on the network and to address statistical issues. They had also agreed that the cultural leadership approach was important and we should support Mark Carne's agenda on this wherever it was helpful. 13. We asked how robust the over-crowding data was and we understood that NR had accurate data on a station-by-station basis: Waverly and Leeds, for example, were the two worst. 14. The SRC had also considered an external review of ORR's RM3 tool. There had been some recommendations for action to improve the active use of the tool and these had been accepted and would be acted on, but overall the report had been very positive. The committee had been reassured that the tool remained robust and fit for purpose. A programme for reviewing other safety methodologies would also be put in place. [**Action C: Ian Prosser]** 15. The new chief executive of the RSSB (Rail Safety Standards Board) had made a presentation setting out key themes for their work, which closely aligned with our own: - ERTMS and the risks of any uncoordinated introduction of this or other new technology; - The importance of data being disaggregated by route - accepting that this might eventually lead to some routes being acknowledged as carrying more safety risk than others; - Piloting for the Wessex Alliance - which NR were keen to see progressed quickly to align with their improved asset management. 16. The Committee had reviewed its terms of reference and proposed clarifying the relationship with the Board. The Board would then be asked to agree any revisions. [Action D: Secretariat to update the TOR]. 17. The Committee proposed that the board of RSSB should be invited to meet the ORR Board informally, perhaps at a dinner. This was an important stakeholder for us as safety regulator and it was critical that the good understanding between the two organisations continued. This proposal was agreed and a date would be set. [Action E: Secretariat to arrange for the autumn.] 18. The RSD team would be offering a bite-sized seminar for the Board on its risk models and the ORR strategy for health and safety regulation would be brought to the board for discussion in the autumn. [Action F: forward programme amendments] ## Item 6 Cp4 - Nr Annual Efficiency And Finance Assessment Amanda Clark, (Interim Senior Financial Analyst) and Mark Morris (Deputy Director, Engineering and Asset Management) joined the meeting for this item 19. John Larkinson explained the purpose and history of this annual assessment. For this year's assessment, there were still significant gaps in the available information so this discussion was about establishing the tone the board wanted the report to convey and discussing handling issues. Work would continue over the summer with a view to publication (after the Scottish referendum purdah) in September. Board members would receive a further iteration of the executive summary for comment as part of finalising the report. John emphasised that the approach taken this year had been to balance the 'number crunching' with an engineering assessment of network performance and sustainability. 20. The team had continued to apply the adjustments used in previous years, to ensure consistency in our own assessment, but it was a very complex data set and not one which was felt to be robust. The figures involved were large and rounding judgements also tended to be significant. The team felt that we should not claim a degree of accuracy which was spurious. 21. The draft summary document, which had been circulated, was shorter than previous years, and this should make handling easier. It was important to keep it simple and clear and to avoid too much commentary. The relationship between growth in the RAB and the new debt ceiling needed to be explained because it would be a material constraint on NR going forward. ## Paragaphs 22-28 Have Been Redacted As Relating To Policy Development 29. Much of our discussion on this subject was about the limitations of our assessment created by the poor quality and late supply of NR's data. The team told the Board that this was a matter of serious concern, and the question of data quality had been put on the regulatory escalator so that we could consider whether to use our regulatory tools to secure improvement. This action put ORR's concerns on the public record and had been notified to DfT and NR. The team did not know whether the NR Board was specifically aware of the issue. We agreed that our concerns should be raised clearly in a letter to the NR Board which should accompany the final draft assessment. [Action H: Board members to see a copy of the letter to NR when issued.] 30. We noted that the quality of data meant that depending on the analysis needed to be done with considerable caution. 31. We discussed with Richard Emmott the various challenges around handling of this assessment. He said that the team were working hard to trail the complex issues to relevant stakeholders (Select Committee, DfT, trade press). His aim was to produce a document that was dispassionate, credible and forward looking and to publish it alongside the first Monitor of CP5 (which we all hoped would contain some encouraging news about performance) although he anticipated that neither would make a major story. 32. We supported the overall approach by the team to the assessment itself and to the handling issues. We asked to see the summary again in correspondence [Action I: Board members would receive a further iteration of the executive summary for comment as part of finalising the report]. ## Item 7 Orr To Take On Economic Regulation Of Northern Ireland'S Railways 33. Dan Brown explained that the proposed European recast directive was likely to require ORR to become the economic regulator for Northern Ireland's railways. He undertook to bring to the board a paper setting out the new requirements and mapping out this regime against the various other regulatory regimes that we would then be responsible for (including HS1, NR, Channel Tunnel, etc). This paper would include a map of the NI network and services on the system. [Action J: forward programme update] 34. We asked John to establish what opportunity we would have to input into the design of the NI regulatory regime - which we felt should be aligned with our other regimes if at all possible to help ensure coherent arrangements for the UK. [Action K: John Larkinson] ## Item 8 Update On The Consumer Programme Graham Richards, Annette Egginton, Nick Wortley, Siobhán Carty attended for items 8-11 35. John Larkinson gave an update on progress with the consumer programme to give some context for the next three papers. There had been some delay to the overall programme because the learning curve in some areas had been steep. Some consultation periods had also been extended to ensure that we got a comprehensive understanding of issues. 36. Overall - weighed against the success criteria agreed for this stage of the programme, John thought the programme was progressing well. He reported that our legitimacy was being built as we demonstrated better handling and clear underpinning evidence for our initiatives, our in-house expertise was developing and there was evidence that our role was better understood and accepted. 37. TOCs continued to worry about whether they were exposed to double jeopardy by our programme, but overall our relationships were improving. There were clear links to our transparency programme and an update on that would be brought to the Board in the autumn, including an update on the impact of the open data (Darwin) arrangements that RDG had introduced. [Action L: forward programme]. 38. We asked for some briefing on the areas where TOCs were investing in their customers, so that we could have the wider picture and understand best practice. John agreed, explaining that some companies were investing significant effort and resources into the proposed CHP/DPPP mechanisms which would be put out for consultation in September. [**Action M: John Larkinson]** We understood that a forthcoming RDG agenda would include a discussion on TOCs approach to customers. 39. We acknowledged that TOCs wanted to respond to their customers in order to keep their custom, but as TOCs were often monopoly suppliers the normal market mechanisms could not be relied on to do the whole job of protecting the customer. 40. Mark Fairbairn observed that in some business models, companies would look to maximise the profit from their most profitable customers and ignore the needs of the least profitable 10%. It could be argued that since TOCs could be counted on to look after most of their customers, ORR's role should be primarily to protect the least well served users of the railway. 41. We noted our collective sense that there was underlying discontent among passengers. We asked the team to think about ways of reaching more consumers for their views. We also recognised that we needed to understand whether TOCs were maximising profits, ridership or economic surplus. 42. John tabled two new slides articulating the principles behind our approach to the consumer programme and the interventions that were currently in hand. It was agreed that our approach should be to look to the TOCs to act in the first place, for our consultations to make it clear what we thought good looked like, what KPIs/information we would use to monitor progress, when we would assess progress, and that the regulator would act if improvement did not occur. The Board agreed we should also look five years ahead and ask ourselves what regulation could achieve for consumers over that period. 43. John Larkinson reminded us that these areas were largely dominated by the contractual terms in the TOC franchises and we therefore had more limited levers to drive change. ## Item 9 Pidd Next Steps 44. Alan Price explained that although TOCs had not initially taken on board the licence condition on PIDD which was introduced in 2012 they had now understood it and engaged. They had commissioned Passenger Focus to undertake research on people's real experiences and had developed proposals to respond to the issues that the research had identified. 45. Graham Richards explained that the research had included real-time reporting from the survey group through a tailored app, which had given high quality robust data about the passengers' experience as it happened. The TOCs had now committed to repeat the research each year. 46. The action list against which ORR would regulate had been agreed in principle by TOCs. This now needed to be converted into a plan with delivery milestons and allocated responsibilities against which we could then monitor progress. The research and TOC commitments for improvements would be published on our website in the autumn. ORR would consider action under the licence condition if agreed actions were not implemented. ## Item 10 Retail Information Code Of Practice 47. Annette Egginton said that the next two papers covered complementary pieces of work which were about promoting competition or protecting consumers from monopolies or promoting transparency to empower consumers. Alongside these was the 'business as usual' activity around competition issues and flexible ticketing, among other issues. She was keen that the Board understood that the industry was not 'doing nothing' or waiting for ORR to do something. We needed to be careful to strike a balance in our presentation of what the industry was doing so as to continue to engage them positively with our initiatives. 48. Nick Wortley explained this piece of work. ORR had been asked by government to promote best consumer practice and oversee a code of conduct. It was clear that there were many layers of guidance, regulation and law around these issues and passengers (and to some extent TOCs) were unclear about the relevant status of each and were unable to make good decisions because they did not have access to simple advice. 49. The team had reviewed the current guidance and regulations and pulled together a single list which was currently out for consultation. The TOCs had welcomed this as a helpful contribution to understanding a complex landscape. The aim in clarifying their responsibilities was that this would make them more likely to meet them: if they did not do so, then we might need to impose a code on them. The list of obligations would be enforceable and we expected the new clarity to lead to a step-change in implementation. ORR and the TOCs were working on a series of KPIs so progress could be measured. 50. The Chair summarised by saying that progress had been good so far. It was possible that the increasing political focus on meeting passengers' increasing expectations would put pressure on TOCs. We would need to be ready to enforce a licence violation if progress was not noticeable and we needed to find ways to measure progress in a robust way. ## Item 11 Review Of Ticket Retailing 51. Siobhan Carty explained what the study would be looking at and how it fit into the consumer programme. There had been good stakeholder engagement to date and the consultation (which was very much a first order review) was taking shape. It should be published in September. 52. We discussed other markets (such as air tickets and hotels) where comparison websites had changed purchasing and pricing behaviours. We noted that rail services had to offer 'turn up and go' options as well as longer term planned journeys, and that intermodal competition was also a challenge. Most routes had no alternative provider so the variables on pricing could only be speed or time of travel. The team explained that data was now available and accessible, and apps were beginning to appear but that there was still some way to go. The review would be looking at potential barriers to innovation on behalf of the passengers in this market. 53. We noted the plans for the review and looked forward to hearing the outcome of the various consultations. [Action N: board discussion on forward programme] 54. The Chair thanked the team for all their reports and congratulated them on the progress of the programme. ## Item 12 Quarter 1 Report Against The Business Plan 55. Tom Taylor introduced the report. He explained the data report and picked out key headlines where four out of eight of the Q1 deliverables had not been met. He explained some of the background on these. 56. He referred us to Richard Price's commentary and John Larkinson reported the unexpected withdrawal of the person we had identified to undertake the PR13 review and the difficulty of finding someone of the right calibre, who was not also conflicted, to replace them. We had now secured Penny Boys to do this piece of work: this was very positive and we hoped it would be delivered to the original timescale. The freight customer panel had been delayed partly due to resources but again, a way forward had been identified and would be discussed with the Board. 57. We commented on the report which represented a step change in both quality and information over what we had seen previously. We made some suggestions for improvement. We particularly mentioned the page on risk - which demonstrated the need for the work in hand to refresh our approach to take advantage of better bottom-up information on business risks and to ensure Board ownership of the identified risks. Appropriate discussions were in the Board forward agenda. 58. We asked whether the next quarterly report could include: a. some indication of whether line items that did not yet fall due were on track or not i.e. some forecasting ahead as well as assessments of progress achieved. b. identified changes to the business plan (such as resourcing priorities) c. whether NR was on its critical path to deliver CP5 d. progress overall on our strategic objectives. 59. We also asked whether there would be value in having a monthly report (possibly by exception) on key issues emerging. Tom undertook to look at these suggestions for the six month report. **[Action O: Tom Taylor]** Current issues 60. Alan Price had updated NEDs on the way that the ECAMs process was working in a session with his team the previous day. Tom Taylor now explained that the overall cost of the major projects in the HLOS had continued to grow and that DfT were now seeing this as an issue - our team had understood that following reclassification, the limits on changes to the RAB and the borrowing limit might be problematic for the overall investment profile. The team were working closely with DfT and NR to understand and address the issues. 61. Juliet Lazarus updated us on progress made in the investigation of a complaint about anti-competitive behaviour in the industry and possible next steps. We noted the implications for the consultancy budget and wider resourcing. 62. The Chair thanked Tom and everyone involved for the work put in to achieve this very noticeable improvement in business plan reporting. It would help support the Board in their work to hold the executive to account and was very welcome. ## Item 13 Orr/Board Transparency 63. Richard Emmott introduced the proposals which aimed to move us closer to practising what we were preaching to the industry and incidentally to close a persistent gap in staff's understanding of the Board's function and activities. Some of the suggestions were about increasing public information and ensuring its timely availability, others were about physical access to Board debates by staff or members of the public. 64. While safety regulators tended to hold board meetings in public, economic regulators did not. As we all believed that the two functions needed to be joined up, we would need to think very carefully about whether we could or should separate the two strands of business in that way. 65. The Board agreed that if it had access to significant information about safety it needed to publish this. We thought it important that current safety information was available to the public and we agreed to look at options for improvement that might include publishing Ian Prosser's monthly report (or part of it), public meetings of the SRC1 or similar. We were reminded that the RIHSAC2 meetings include all major stakeholders including trades unions and that the RSD3 team runs an annual event for H&S reps from the industry. 66. On balance we did not think that we could invite the public to observe the economic regulatory business of the board. This was not just because of the commercial confidentiality issues but also the need for us to make fine balanced judgements about whether, when and how to enforce. If the debates leading up to those judgements became public, there was a high risk that the regulated parties would start to 'game' us. 67. We discussed the pros and cons of having staff observers at the board. We noted that the organisation has a very high standard of confidentiality and that this was not an issue for the ORR. While opening the meetings would send a message about openness and help spread positive messages, it would also add to an already crowded meeting room, could distort the dynamic and might also reduce the significance of being 'in the room' for those staff who were presenting to the board. 68. We thought on balance that there were more effective ways of achieving openness than having a few staff spend all day in a board meeting and we were open to trying different approaches. Suggestions included: a. Pre-briefing sessions on the board agenda b. Informal dinner with groups of 30-40 staff c. Piloting staff attendance at the SRC d. More involvement of board members at the staff conference. 69. We agreed the proposals to improve timely publication of information to include: a. Board minutes b. Forward agendas c. Expenses 70. We agreed we should: a. seek ways to make more safety information available on a regular basis; b. increase our efforts on staff understanding of what the board does, its approach and discussions; and c. support wider team attendance at board meetings for relevant items; d. pilot staff attendance at SRC, particularly as part of an individual's professional development; e. consider the suggestions in para 68 (above) further; f. give further thought as to whether and, if so, what meetings we should open to the public. 71. Richard Emmott would continue to work up these proposals with colleagues. [Action P: RE to implement the agreed changes and bring a further set of proposals to the Board in October] ## Item 14 Chair'S Report 72. The Chair congratulated the team on the preparation and planning for the NR penalty announcement which had gone very smoothly. 73. She proposed a discussion in September on the implications of potential European legislation on the issues of competition and market opening [Action Q: DB to prepare paper for September]. 74. She asked for a strategy paper on disaggregation of information by route and its political, financial and regulatory implications. We had made a commitment to push for disaggregated data and this would be increasingly important going forward. [Action R: DB to prepare for November strategy/planning discussion]. ## Item 15 Ce'S Report 75. Tom Taylor said that there was nothing further that needed to be drawn out of the monthly report for the board's attention. ## Item 16: Board Minutes And Forward Programme 76. The Board minutes for June were approved, subject to corrections, along with the note of our policy discussion the day before. The forward programme would be re-cast over the summer to include all the business we hoped to cover in the monthly two-day window and to roll forward for at least a 12 month period [Action: Tess Sanford] ## Item 17: Matters Arising 77. We noted the log of actions. The Chair noted that we needed to improve our discipline in ensuring that the agreed actions were delivered. ## Item 18: Any Other Business 78. We asked whether there were any issues (other than the CP4 financial assessment discussed earlier) that were likely to need our attention over the summer break and were told that nothing was currently anticipated. 79. We asked whether any particular preparations were in hand to prepare for the party conference season, when we expected railways to be a live issue and manifestos for next year's election would start to emerge. Dan Brown reassured us that appropriate relationships were being built so that people could contact us for information if they wished. We needed to careful of our own independence and credibility during this period and did not attend party conferences. Richard Emmott reported that the RDG was investing significant effort in their approach to the conference season. 80. Alan Price offered his apologies for the next board meeting in September. 81. The Chair reminded us that we were travelling to DfT's offices to meet their senior team as part of the September meeting. ## Item 19: Meeting Review 82. We agreed that we had had two days of successful meetings and discussions 83. We thanked the teams for the papers which had supported a strategic level debate. 84. Starting at 9.30 and finishing just after 3pm had also kept energy levels high.

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## Forestresearch.Gov.Uk/Statistics Source: UK Public Opinion of Forestry surveys. Average visit frequencies from last 3 surveys. A summary of statistics about woodland and forestry in the UK ## Forestry Facts & Figures 2018 Forest Cover: International Comparisons 2015 Annual Changes In Forest Area: International Comparisons | UK | 18 | 0.6 | 11 | 0.3 | 17 | 0.5 | |-----------------|--------|--------|--------|--------|--------|-------| | Europe | | | | | | | | United Kingdom | 3 | 24 | 13 | | | | | EU-28 | | | | | | | | 681 | 0.5 | 450 | 0.3 | 369 | 0.2 | | | Finland | 22 | 30 | 73 | | | | | Total Europe | | | | | | | | 803 | 0.1 | 1 127 | 0.1 | 382 | 0.0 | | | France | 17 | 55 | 31 | Africa | | | | -3 537 | -0.5 | -3 209 | -0.5 | -2 836 | -0.4 | | | Germany | 11 | 35 | 33 | Asia | | | | -221 | 0.0 | 2 349 | 0.4 | 791 | 0.1 | | | Italy | 9 | 29 | 32 | | | | | North & Central | | | | | | | | America | | | | | | | | -394 | -0.1 | 172 | 0.0 | 75 | 0.0 | | | Spain | 18 | 50 | 37 | | | | | Oceania | 82 | 0.0 | -564 | -0.3 | 304 | 0.2 | | Sweden | | | | | | | | 28 | 41 | 68 | | | | | | South America | -4 000 | -0.4 | -3 868 | -0.4 | -2 024 | -0.2 | | Other EU | 52 | 159 | 32 | | | | | World | | | | | | | | -7 | | | | | | | | | | | | | | | | 267 | | | | | | | | -0.2 | -3 993 | -0.1 | -3 308 | -0.1 | | | | Total EU-28 | | | | | | | | 161 | 424 | 38 | | | | | Source: FAO Global Forest Resources Assessment 2015. Cyprus is included in EU-28 total but is part of FAO's Asia region. These figures are outside the scope of National Statistics. Russian Federation 815 1 638 50 Total Europe 1 015 2 214 46 Africa 624 2 987 21 Asia 593 3 118 19 North & Central America 751 2 134 35 Oceania 174 850 20 South America 842 1 747 48 World 3 999 13 049 31 Source: FAO Global Forest Resources Assessment 2015. Cyprus is included in EU-28 total but is part of FAO's Asia region. These figures are outside the scope of National Statistics. ## Softwood Deliveries (Thousands Of Green Tonnes) | 2013 | 6 407 | 465 | 1 263 | 332 | 1 250 | 191 | 640 | |--------|---------|-------|---------|-------|---------|-------|-------| | 10 | | | | | | | | | | | | | | | | | | 547 | | | | | | | | | 2013 | 74 | 0 | 0 | 400 | 58 | | | | 532 | | | | | | | | | 2014 | 6 725 | 465 | 1 283 | 317 | 1 500 | 176 | 437 | | 10 | | | | | | | | | | | | | | | | | | 903 | | | | | | | | | 2014 | 77 | 0 | 0 | 400 | 60 | | | | 537 | | | | | | | | | 2015 | 6 168 | 435 | 1 334 | 288 | 1 600 | 164 | 276 | | 10 | | | | | | | | | | | | | | | | | | 265 | | | | | | | | | 2015 | 76 | 0 | 0 | 400 | 91 | | | | 566 | | | | | | | | | 2016 | 6 511 | 423 | 1 248 | 277 | 1 550 | 178 | 231 | | 10 | | | | | | | | | | | | | | | | | | 419 | | | | | | | | | 2016 | 75 | 0 | 0 | 400 | 122 | | | | 597 | | | | | | | | | 2017 | 6 581 | 442 | 1 059 | 295 | 1 600 | 170 | 331 | | 10 | | | | | | | | | | | | | | | | | | 478 | | | | | | | | | 2017 | 66 | 0 | 0 | 600 | 71 | | | | 738 | | | | | | | | Figures are based on processing industries' purchases of softwood grown in the UK and estimates for woodfuel. Woodfuel reported here is derived from stemwood and includes estimated roundwood use for biomass energy. Other includes shavings and poles. Figures are based on processing industries' purchases of hardwood grown in the UK and estimates for woodfuel and other uses. Woodfuel reported here is derived from stemwood and includes estimated roundwood use for biomass energy. Other includes round fencing and roundwood exports. ## Area Of Woodland 2018 (Thousands Of Hectares) Area Of Certified Woodland 2018 (Thousands Of Hectares) Total woodland FC/NRW/FS Private Total woodland sector area certified England 214 118 332 FC/NRW/FS Wales 117 28 145 England 151 63 214 Scotland 470 363 833 Wales 98 19 117 Northern Ireland 62 3 65 Scotland 429 41 470 UK 864 512 1 376 Northern Ireland 56 7 62 UK 733 130 864 Private sector England 189 904 1 093 Wales 54 138 191 Scotland 635 339 975 Private sector FC/NRW/FS Northern Ireland 11 39 50 500 UK 888 1 421 2 309 400 All woodland 300 England 340 968 1 307 Wales 151 157 308 200 Scotland 1 064 380 1 445 thousands of hectares 100 Northern Ireland 66 46 113 0 UK 1 622 1 551 3 173 Areas as of 31 March, 2018. ## © Crown Copyright Generalists Specialists The Forestry Commission will consider all requests to make the content of publications available in alternative formats. Please send any such requests to the Diversity Team at diversity@forestry.gsi.gov.uk or call 0300 067 5046. Statistician: Sheila Ward. Enquiries relating to this publication should be addressed to: statistics@forestry.gsi.gov.uk ## Fcfs218/Fc-Gb(Jw)/Barr-4K/Sep18 - One green tonne is equivalent to approximately 0.98 m3 underbark softwood or 0.88 m3 underbark hardwood, and to approximately 1.22 m3 overbark standing softwood or 1.11 m3 overbark standing hardwood. - Figures in the tables are individually rounded, so the constituent items may not sum to the total given. = Conifers = Broadleaves - FC/NRW/FS = Forestry Commission/Natural Resources Wales/ Forest Service. Private sector = all other woodland, including some other publicly-owned woodland. Notes on Forestry Facts & Figures: This booklet includes data provided by Natural Resources Wales (www.naturalresourceswales.gov.uk) and by the Northern Ireland Forest Service (www.daera-ni.gov.uk/topics/forestry) The UK Statistics Authority has designated these statistics as National Statistics, in accordance with the Statistics and Registration Act 2007 and signifying compliance with the Code of Practice for Official Statistics. For more information visit: www.statistics.gov.uk Forestry Facts & Figures is an annual summary of Forestry Statistics compiled by the Forestry Commission. The full 2018 publication, including full details of the sources used and downloadable spreadsheets of data, can be found online at: www.forestresearch.gov.uk/statistics ## Wood Removals: International Comparisons 2016 Wood Products: International Comparisons 2016 (million m3) | UK | 9 | 2 | 11 | |------|-----|-----|------| EU-28 358 107 465 Total Europe 595 157 751 | | | | Africa | 74 | 673 | 746 | |-----------------|-----|-----|----------|------|-------|-------| | UK | 4 | 10 | 3 | 6 | 4 | 9 | | Asia | 393 | 727 | 1 120 | | | | | EU-28 | | | | | | | | 108 | 92 | 63 | 61 | 91 | 80 | | | Total Europe | | | | | | | | 156 | 109 | 85 | 78 | 104 | 92 | | | North & Central | | | | | | | | America | | | | | | | | 522 | 151 | 673 | | | | | | Africa | 10 | 17 | 3 | 5 | 4 | 8 | | Oceania | 66 | 10 | 76 | | | | | Asia | 129 | 176 | 256 | 250 | 193 | 199 | | South America | 227 | 171 | 398 | | | | | World | | | | | | | | 1 | | | | | | | | | | | | | | | | 877 | 1 | | | | | | | | | | | | | | | 889 | 3 | | | | | | | | | | | | | | | 766 | | | | | | | | North & Central | | | | | | | | America | | | | | | | | 132 | 124 | 49 | 56 | 88 | 87 | | Source: FAO. Cyprus is included in EU-28 total but is part of FAO's Asia region. These figures are outside the scope of National Statistics. Oceania 10 8 4 4 4 4 South America 30 24 18 14 16 17 | World | 467 | 459 | 415 | 407 | 409 | 406 | |---------|-------|-------|-------|-------|-------|-------| Source: FAO. Cyprus is included in EU-28 total but is part of FAO's Asia region. These figures are outside the scope of National Statistics. Import and export volumes | Year | |---------| | Saw- | | milling | | Panels | | Pulp & | | paper | | Total | based 2012 15 8 5 13 41 panels 2013 14 8 5 13 40 | 2014 | 16 | 9 | 5 | 13 | |--------|-------|-------|-------|-------| | 43 | | | | | | 2013 | 5 488 | 6 347 | 2 964 | 7 213 | Business Survey (Office for National Statistics). | Import and export values (£ million) | Gross value added in forestry and primary wood processing (£ million) | |----------------------------------------|-------------------------------------------------------------------------| | Imports | Exports | | Year | Forestry | | Saw- | | | milling | | | Panels | | | Pulp & | | | paper | | | Total | | | Year | | | Wood- | Wood | | Sawn- | Pulp & | | based | (sawn | | 2012 | 307 | | 1 | | | | | | 895 | | | wood | | | Other | | | wood | paper | | panels | & other) | | 2013 | 504 | | 1 | | | | | | 867 | | | 2013 | 1 180 | | 2014 | 540 | | 1 | | | | | | 928 | | | 2014 | 1 420 | | 2015 | 658 | | 2 | | | | | | 193 | | | 2015 | 1 311 | | 2016 | 588 | | 2 | | | | | | 108 | | | 2016 | 1 423 | | 2017 | |--------| | 1 651 | 'Other wood' includes roundwood, wood charcoal, chips, particles, residues and wood pellets. 'Pulp & paper' includes paperboard and recovered waste paper. Woodbased panels include veneer sheets. Sawnwood includes sleepers from 2017. New planting (thousands of hectares) Wood production (thousands of green tonnes) Hardwood Private Private | /FS | sector | |------------------------------------|-----------------------------| | Total | | | FC/NRW | | | /FS | sector | | Total | | | 31/3) | | | | | | Total | | | 2014 | 0.0 | | 12.9 | | | 2013 | 5 084 | | 10 | | | | | | 936 | | | 78 | 454 | | 532 | | | 2015 | 0.1 | | 10.3 | | | 2014 | 4 900 | | 11 | | | | | | 527 | | | 71 | 466 | | 537 | | | 2016 | 0.0 | | 5.6 | | | 2015 | 4 691 | | 10 | | | | | | 659 | | | 73 | 493 | | 566 | | | 2017 | 0.1 | | 6.5 | | | 2016 | 5 011 | | 10 | | | | | | 745 | | | 68 | 529 | | 597 | | | 2018 | 0.2 | | 9.1 | | | 2017 | 4 862 | | 10 | | | | | | 915 | | | 83 | 655 | | 738 | | | Restocking (thousands of hectares) | Production of wood products | | Year | England | | Paper & | | | Sawnwood | | | Woodbased | | | panels | paperboard | | Year | | | (to | | | (000 m | | | 3 | | | ) | (000 m | | 3 | | | ) | (000 tonnes) | | 31/3) | | | | | | Total | | | 2014 | 2.6 | | 15.8 | | | 2013 | | | 3 581 | 3 032 | | 2014 | 3 764 | | 17.8 | | | 2015 | 3 497 | | 13.7 | | | 2016 | 3 671 | | 17.1 | | | 2017 | 3 770 | | 14.3 | | Total production from UK mills, including products using imported material. Excludes other wood products (e.g. fuelwood and round fencing), roundwood and intermediate products (e.g. sawmill products, pulp and recovered paper). ## Distribution Of Woodland In The Uk Woodland cover in the UK is now around 3 million hectares, equivalent to 13% of the total land area. The public forest estate makes up almost 30% of total forest area. This map shows the distribution of woodland over 2 hectares in the UK. The information on woodland area presented here uses data from the GB National Forest Inventory, adjusted for new planting, and data supplied by Forest Service in Northern Ireland. Find out more about the National Forest Inventory at: www.forestry.gov.uk/inventory ## Uk Imports And Exports wrme = wood raw material equivalent

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# The Employment Tribunal SITTING AT: LONDON SOUTH BEFORE: EMPLOYMENT JUDGE K ANDREWS (sitting alone) BETWEEN: Miss A Fischer and Excetera Coaches (1) Croydon Coaches UK Limited (2) Respondents ON: 5 July 2019 Appearances: For the Claimant: In person For the Respondents: Did not attend ## Judgment 1. The claims against the first respondent are dismissed on withdrawal. 2. No response to the claim having been entered by the second respondent, Judgment is entered against it pursuant to rule 21 of the Employment Tribunal Rules of Procedure 2013. 3. Having heard evidence from the claimant and considered documents, compensation is assessed as follows: | a. Unlawful deduction from wages 10.09.18: | | £ 100 | |------------------------------------------------------|-----|-----------| | b. Unlawful deduction from wages 10.10.18: | | £1,200 | | c. Harassment c 15 August 2018 | | | | d. Injury to feelings on discrimination arising from | | | | disability, harassment and victimisation - | | | | deductions from wages and assignment of routes | | | | to others: | | | | | |------------------------------------------------|-----|------------|--------|--------| | e. Personal injury (exacerbation of disability | | | | | | September 2018-September 2019): | | | £3,000 | | | | | | | | | Total payable | | forthwith: | | £8,050 | | | | | | | __________________________ Employment Judge K Andrews Date: 5 July 2019 Note Reasons for the judgment having been given orally at the hearing, written reasons will not be provided unless a request was made by either party at the hearing or a written request is presented by either party within 14 days of the sending of this written record of the decision.

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15 December 2015 Issued by Office for National Statistics, Government Buildings, Cardiff Road, Newport, NP10 8XG Media Office 0845 6041858 ## Quality And Methodology Information General Details Title Of Output: House Price Statistics For Small Areas Abbreviated title: HPSSAs Designation: Official Statistics not designated as National Statistics Geographic coverage: England and Wales Date of last QMI: February 2014 Contact details: better.info@ons.gov.uk ## Executive Summary This document provides information about House Price Statistics for Small Areas (HPSSAs), produced by us (ONS) since February 2015. Elements of these statistics were formerly produced by the Department for Communities and Local Government (DCLG). These statistics report the count, median price, mean price, lower quartile price and tenth percentile price of all residential dwellings sold and registered since 1995. They are calculated using open data from the Land Registry, a source of comprehensive record level administrative data on residential property transactions. Statistics are reported for a range of subnational geographies in England and Wales. These cover: 1. English regions, England and Wales 2. Local authorities 3. Parliamentary constituencies 4. Middle layer super output areas (MSOAs) 5. Local enterprise partnerships 6. Travel to work areas 7. Rural-urban classification Statistics are also reported for different types of dwelling, including newly built dwellings and existing dwellings, detached, semi-detached, terraced houses, flats/maisonettes and all house types combined. The data used to produce HPSSAs is available each month when it is published by the Land Registry. The data are available from 1995 to the most recently completed month, and for the purpose of HPSSAs, the reference periods used are quarterly rolling years beginning with the year ending quarter 4 1995, and quarterly thereafter, covering the most recently completed 4 quarters. The output contains a statistical bulletin, which supports reference tables containing all data. Interactive maps and charts are also produced where appropriate. This document contains the following sections:  Output quality  About the output  How the output is created  Validation and quality assurance  Concepts and definitions  Other information, relating to quality trade-offs and user needs  Sources of further information or advice ## Output quality This section provides a range of information that describes the quality of the data and details any points that should be noted when using the output. We have developed Guidelines for Measuring Statistical Quality, based upon the 5 European Statistical System (ESS) Quality Dimensions. This document addresses these quality dimensions and other important quality characteristics related to HPSSAs, which are:  relevance  timeliness and punctuality  coherence and comparability  accuracy  output quality trade-offs  assessment of user needs and perceptions  accessibility and clarity About the output Relevance (The degree to which statistical outputs meet users' needs.) Following a review of house price statistics by the National Statistician, the HPSSAs were produced specifically for medium to smaller geographic areas, such as local authorities and middle layer super output areas in response to demand from users for an indication of house prices at this small area level. The review also concluded that house price statistics for different geographies should be available on a consistent basis. The HPSSAs provide this consistent geographic structure. The Land Registry (LR) has provided the publically available, open data used in the production of these statistics. The information covers residential dwelling transactions, together with information on the prices paid and type of dwelling (newly built and existing stock, detached, semi-detached, terraced or flat/maisonette). This is known as Price Paid data. Using these data, we calculate counts of the number of sales, median, mean, lower quartile and tenth percentile house prices and publish them in a format which helps users gain the maximum benefit from a large dataset, helping to increase potential onward use of the statistics. The LR Price Paid data, used in the production of these statistics, are comprehensive in that they capture changes of ownership for individual residential properties which have sold for full market value and covers both cash sales and those involving a mortgage. LR Price Paid data has been in existence since April 2000, with the LR collecting data back to the year 1995. Every change of ownership that is listed by LR is considered for use in the calculation of HPSSAs; therefore the data are a reliable indicator of actual prices paid. However, HPSSAs should not be taken as a reflection of housing market values. The definitive set of UK, country and regional house price statistics is available in our House Price Index. The HPSSA and the House Price Index (HPI) follow similar trends, but the HPI is a mix adjusted index, which means it is weighted to reflect the actual mix of dwellings that exists. This HPI methodology is specifically designed to reflect market values, while the HPSSAs report average transactional values and are therefore particularly useful when considering house prices from a social change perspective rather than an economic perspective. Geographic referencing Geographic referencing is carried out using the National Statistics Postcode Lookup (NSPL) file, available on the ONS Open Geography Portal. The version used is the most up to date file at the time of production. In accordance with National Statistics Geography Policy each record is allocated to a middle layer super output area (MSOA) and all other geographies on which we report, using its address and postcode. How the data are collected The data are provided by the Land Registry (LR), a government department, responsible to the Lord Chancellor for maintaining the Land Register, a record of land ownership in England and Wales. The LR was established in 1862 and now operates under the provisions of the Land Registration Act of 1925. The purpose is to provide a guarantee of ownership as the basis for free movement of interests in land. It is a statutory requirement for all the relevant details to be sent to the LR whenever a person transfers ownership of a property or takes a mortgage out against it. This change must be registered with the LR to make it legally effective. Over half of the applications for registration are received electronically and the rest are on paper forms. Data received via paper forms are then keyed into an electronic register. Historic data are retained within the files but are not shown on the Land Register. LR Price Paid Data is used to produce our HPSSAs and the data is also released in conjunction with the LR HPI. LR Price Paid data follow the same release schedule as the LR HPI and any changes to the data are reported by the LR. Exclusions from the data The LR price paid data only include records for single residential properties sold for full market value (including sales made under the Government's Help to Buy scheme). In order to avoid systematically biasing house price data, the LR excludes records of sales that were not at full market value. These are not included in the data from the LR and if included, would detract from a meaningful average house price figure. All exclusions cover: 1. All commercial transactions, including operational farms 2. Transfer, conveyances, assignments or leases at a premium with nominal rent which are:  "right to buy" sales at a discount  subject to a lease  subject to an existing mortgage  purchased with an identifiable buy to let mortgage  to effect the sale of a share in a property  by way of a gift  by way of exchange  under a compulsory purchase order  under a court order  to trustees  vesting deeds  transmissions or assents  of more than one property  leases for 7 years or less Timeliness and punctuality (Timeliness refers to the lapse of time between publication and the period to which the data refer. Punctuality refers to the gap between planned and actual publication dates.) The HPSSAs can be produced and published within 4 months of the latest complete Price Paid data being published by the LR, which itself is made available on a monthly basis. For more details on related releases of LR data, the GOV.UK release calendar is available online and provides 12 months' advance notice of release dates. In the unlikely event of a change to the pre-announced release schedule, we will notify you and provide the reasons for the change, as set out in the Code of Practice for Official Statistics. ## How The Output Is Created Associated Files And Preparation LR Price Paid data from LR are used to produce the HPSSA and the Price Paid data can be accessed for free via the GOV.UK website as a whole dataset or for individual years or months or by other specific search criteria. In order to link LR Price Paid data to geographic information, the postcode of each transaction is matched to a postcode lookup file which can in turn be used to determine which MSOA and other geographies each transaction took place in. The postcode lookup used in the production of these statistics is the National Statistics Postcode Lookup (UK) (NSPL). This is a complete list of current and historic postcodes in the UK along with a selection of the statistical geographies they are situated within. The NSPL is produced by ONS Geography and is freely available for download. The most recent available version of the NSPL is used when the statistics are produced. Joining data, geographic referencing and calculation With datasets prepared, the NSPL dataset is matched to the LR Price Paid data using postcodes to assign the relevant statistical geographies to each house sale. This allows groups of sales with the same geographies to be formed and averages and sale counts to be calculated. A final list of geographies with sale counts and averages is produced and then matched back to geography lists for completeness. Outputs are made into tables and published as House Price Statistics for Small Areas on our website. ## Disclosure Control The LR data behind HPSSAs are record level data with a number of variables relating to the dwelling type and the sale, but no personal data relating to the seller or buyer. This is explained further on the LR's guidance page on accessing the Price Paid data. There is more detail in the LR Privacy Impact Assessment Review and the Review report: April 2013. The LR Price Paid data or the LR Price Paid Report Builder has more information on an individual sale. Validation and quality assurance Accuracy (The degree of closeness between an estimate and the true value.) Registration of a property transaction with the LR is compulsory for all changes of ownership except leases with less than 7 years to run. Solicitors acting for purchasers invariably register the transaction as quickly as possible after completion. It is the view of the LR that under-recording is negligible. Therefore, such under-recording is unlikely to affect the statistics significantly. The LR Price Paid data used in the HPSSAs are taken directly from the sale contract and are audited. Deliberate misreporting of price in this documentation would in most cases be fraud and is likely to be insignificant in volume. To minimise errors occurring in transcription, the LR has quality control procedures to check for exceptions in the data capture process such as price band and application type. The LR Price Paid data contains records of each completed and registered residential dwelling transaction. Recent transactions can be registered with the LR after the publication of the Price Paid data, and so are not included in the HPSSAs. This is known as registration lag and is predominantly the case for transactions which occurred in the most recent quarter. For example, for statistics relating to the year ending quarter 2, 2015, it is the second quarter (April to June) of 2015 which is most likely to contain transactions which were not registered and included in the Price Paid data at the time it was published. Therefore, in this instance the number of house sales for the year ending quarter 2, 2015 in our HPSSAs is lower than the actual number of house sales that took place during this time. However, when the next data are published (year ending quarter 3, 2015) all previous periods (including year ending quarter 2, 2015) will be updated to reflect any additional registrations for transactions which took place during those previous periods. This means the effect of registration lag on the HPSSAs is minimised as much as possible. Registration lag does not affect a sufficiently large enough number of records to influence the house price statistics in the HPSSAs, nor is it thought to affect one house type more than any other, and so a formal process of revision is not employed. Information on duplicate records, geographical coverage and unmatched records is also produced alongside the output for quality assurance and analytical purposes. This section contains a brief summary of each of these areas along with tables summarising the number of records affected by these issues. For more detailed statistics, or specific queries regarding unmatched records, duplicate records and geographical coverage, please contact better.info@ons.gov.uk. ## Duplicate Records The LR Price Paid data used to produce the HPSSAs contains what may appear to be duplicate records. These can occur when multiple properties (newly built flats for example) are sold as a batch with the same postcode, price and date. These records will still have unique identifiers, but every other variable may match. A process of identifying and quantifying these apparent duplicates was devised in order to identify spikes in duplicates that may require further investigation or deletion. Checks have been done to ensure that the data are deemed to be free of genuine erroneous duplicates which may distort dwelling prices. ## Geographical Coverage It is important to note that the coverage of the published HPSSAs may not be 100% for all reported property types in all geographies. This is because some areas did not have enough house sales for a given property type in a given year to produce a robust median house price. This is most common for smaller geographic areas, such as MSOAs but, for example, affected no more than 25% of MSOAs in 2013. If, for a given year, for house type and area there were fewer than 5 sales records in the LR Price Paid data, the house price statistics are not reported in the HPSSAs. Therefore, coverage can vary throughout the time series. This issue has a negligible impact on coverage at the larger geographies and for the "All Types" category for all geographies. ## Unmatched Records Part of the calculation process for HPSSAs is joining LR Price Paid data with the NSPL. This process does not always achieve a 100% match rate as not all house sale records have postcodes attributed to them and some that do, have erroneous or invalid postcodes that do not appear on the NSPL. These unmatched records are infrequent and show no bias to particular areas, price ranges or house types. Such records are not included in the calculation of median house price. Any error in the medians and number of transactions resulting from these unmatched records is negligible and assumed to be random. For example, between 1995 and 2013, 0.16% of records could not be matched to postcodes. ## Quality Assurance In addition to assessing the extent of duplicate and unmatched records, and in order to quality assure the figures, a small sample of HPSSAs medians and counts with a broad geographical spread are re-calculated manually using the geographically referenced LR Price Paid raw dataset. These figures are cross checked to ensure the automated process worked correctly and outputs were accurate. Validation checks are also carried out by comparing the data produced with other house price data sources to identify similar trends (Coherence and comparability has further details). Coherence and comparability (Coherence is the degree to which data that is derived from different sources or methods, but refer to the same topic, are similar. Comparability is the degree to which data can be compared over time and domain, for example geographic level.) Our HPSSAs are fully comparable throughout the time series going back to 1995 because a single method was used to produce statistics for all available periods, geographies and property types. A house price index is a measure of the change in average house prices in an area between 2 points in time. An increase to an index of 1 means that house prices have increased by 1% between the 2 points in time. Currently, there are a number of different house price indices published in addition to HPSSAs. There are differences in the statistics reported by each index because there are differences in both the data and methods used to produce them. Therefore, the HPSSAs are not directly comparable with these other indices. ## House Price Index (Hpi) The HPI is a monthly release that contains figures for mix-adjusted average house prices and house price indices for the UK, its constituent countries and the regions of England. The index is calculated using mortgage financed transactions that are collected via the Regulated Mortgage Survey by the Council of Mortgage Lenders. These cover the majority of mortgage lenders in the UK. The HPI complements other measures of inflation we publish, such as the Consumer Price Index, the Producer Price Index and the Services Producer Price Indices. Working with the LR, we are currently in the process of developing a new and improved methodology for the HPI. More information on this can be viewed in the proposed development of a new, definitive HPI - user consultation. ## Land Registry House Price Index All residential property transactions in England and Wales are recorded by the LR and form the LR Price Paid data of single residential properties which have sold for full market value. These transactions are used for calculating the LR index. This index is based on repeat-sales regression, which calculates the change in price of any property transacted twice since 1995. Therefore, new build properties are excluded from the index. LR publishes indices at county, unitary authority metropolitan district and London borough levels and is published on the 20th working day of every month. It refers to all transactions of the preceding calendar month. The LR HPI can be accessed via the GOV.UK website. ## Registers Of Scotland Official Quarterly Housing Market Statistics Registers of Scotland record all the property transactions in Scotland. It produces monthly average house prices based on arithmetic means of these transactions, which is published as the Quarterly House Price Statistics in the second month after the period to which the figures refer to. ## Northern Ireland Residential Property Price Index The Land and Property Services assisted by the Northern Ireland Statistics and Research Agency publish a quarterly Residential Property Prices Index (RPPI) for Northern Ireland. The index measures change in the price of residential property sales recorded by HM Revenue & Customs. This statistic was first published in quarter one of 2012. ## Halifax House Price Index And Nationwide House Price Index Both the Halifax bank and the Nationwide building society produces monthly house price indices based on their own mortgage approvals only and therefore, like the HPI, will not include any cash transactions. They both have UK-wide coverage, and because the Halifax and Nationwide use only their own data, they can process the data immediately and do not have to await the receipt of data from other lenders. The statistics can therefore be published sooner after the reference period than other monthly house price statistics. Concepts and definitions (Concepts and definitions describe the legislation governing the output and a description of the classifications used in the output.) Median The HPSSAs report median figures. The median is the value determined by putting all the house sales for a given year, area and type in order of price and then selecting the price of the house sale which falls in the middle, such that an equal number of transactions lie above and below that value. The median is less susceptible to distortion by the presence of extreme values than is the mean, and it is the most appropriate average given the near 100% sample of house sales. ## Mean The mean is the value determined by adding the values of all transactions for an area together and dividing it by the number of transactions that took place in that area. It is useful for comparing with the median to give an indication of the distribution of house prices in an area and assessing what affect extremely high value transactions have on this distribution. However, the median is the most appropriate measure of average house price. ## Lower Quartile The lower quartile is the value determined by putting all the house sales for a given year, area and type in order of price and then selecting the price of the house sale which falls three quarters of the way down the list, such that 75% of transactions lie above and 25% lie below that value. These are particularly useful for assessing housing affordability when viewed alongside average and lower quartile income for given areas. ## Tenth Percentile The tenth percentile is the value determined by putting all the house sales, for a given year, area and type, in order of price and then selecting the price of the house sale which falls nine-tenths of the way down the list, such that 90% of transactions lie above and 10% lie below that value. These give an idea of the prices paid for the very cheapest housing in a given area and helps determine housing affordability for those on particularly low income. ## Transaction A transaction occurs when a change of freeholder or leaseholder takes place regardless of the amount of money involved. Similarly, an exchange of properties would be classed as 2 transactions. The transaction covers both the property and the land on which it stands; this could be extensive, but operational farms and other commercial properties are excluded from the LR Price Paid data. Other exclusions are described on page 3 of this document. ## Transaction Price And Market Value The LR records the transaction price, that is, the actual price for which the property changed hands. This will usually be an accurate reflection of the market value for the individual property, but it is not always the case. For example, if the ownership of a property is transferred from one individual to another within the same family the price may be fixed by agreement at a level quite different from the market value. Similarly, if the transaction was agreed under the legislation which gives council tenants the right to buy their home, the price would have been discounted. In order to generate statistics that more accurately reflect market values, the LR has excluded records of houses that were not sold at market value from the dataset. The remaining data are considered a good reflection of market values at the time of the transaction. However, the LR Price Paid data are not adjusted to reflect the mix of houses in a given area. Fluctuations in the types of house that are sold in that area can cause differences between the median transactional value of houses and the overall market value of houses. The HPSSAs are an accurate measure of social change with regards to house prices, and not an economic measure of change or inflation. Other information Output quality trade-offs (Trade-offs are the extent to which different dimensions of quality are balanced against each other.) This output is not subject to scheduled revisions, however, the raw data used to calculate these statistics are occasionally revised to maintain the highest possible quality. When this happens, the latest release of House Price Statistics for Small Areas will be calculated using the revised data and any revised historic data will be included in the latest release. If a particular area contained fewer than 5 property sales in a given year, the median, mean, lower quartile and tenth percentile are not reported. A minimum of 5 records is deemed necessary to produce a robust median house price, indicative of the prices in a particular area. This was agreed by our methodologists and has been standard practice with DCLG in historic releases. This approach results in some areas lacking 100% coverage, in particular the smaller geographic areas and individual house types. Summary of the main users of House Price Statistics for Small Areas In order to identify the users and uses of HPSSA, regular communication with other producers of house price statistics, such as our HPI team, Department for Communities and Local Government (DCLG) and the LR, was carried out to understand the types of request users make for more detailed statistics on house prices. The Neighbourhood Statistics Service team and our customer contact centre were also consulted to help gather more information about the potential users of HPSSA. The following broad groups of users have been identified:  central government: monitoring housing trends, supply and demand in society, policy making and regulation  local government: monitoring and developing their housing policies to meet the current and future needs of their areas and to understand how changes and policies at the national level affect housing at the local authority level  devolved administrations: supporting policy making and monitoring changes at the country level, similar to those requirements of central government; also used for comparisons to wider UK policies  banks and building societies: house price statistics are used for mortgage lending in order to make decisions on whether to lend, how much to lend, and setting interest rates  house builders: house builders are interested in whether and where demand for new housing exists, and the returns received on homes built or converted these include organisations such as larger estate agents seeking information on small area trends  housing industry specialists:  housing bodies: these include organisations such as the Home Builders Federation  media: make use of the data to inform and aid journalistic coverage of local housing markets  social researchers: data may be indicative of social status and may be used in the development of further statistics and social analysis  academics: include geographers and sociologists who make use of these statistics for study and analysis Sources of further information or advice Accessibility and clarity (Accessibility is the ease with which users are able to access the data, also reflecting the format in which the data are available and the availability of supporting information. Clarity refers to the quality and sufficiency of the release details, illustrations and accompanying advice.) The recommended format for accessible content is downloadable content and web content for narrative, charts and graphs, with data being provided in usable formats such as CSV and Excel. The data for these statistics are available from our website; users can also download the narrative in PDF format. For further information please refer to the contact better.info@ons.gov.uk. For information regarding conditions of access to data, please refer to the links below:  terms and conditions (for data on the website)  copyright and reuse of published data  pre-release access (including conditions of access  accessibility In addition to this Quality and Methodology Information, all HPSSA publications are available with analytical content and data. Useful links Land Registry information on LR Price Paid data

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## Cps Finance And It Information Freedom Of Information Act 2000 Request Request I am writing to you under the Freedom of Information Act 2000 to request the following information from Finance (Accounts Receivable/Payable) and IT (Information Technology): 1) Who provides the organisations BACS payments and Direct Debit collection software? 2) Please provide a list of your suppliers of the above software. 3) How you came to the decision to choose these companies? 4) Are these solution(s) hosted on premise or cloud hosted? 5) Please provide expenditure on computer software used for Bacs payment processing and Direct Debit collection. For financial years 2014/2015 and 2015/2016. 6) When does your current contract(s) with BACs payment and direct debit collection software expire? 7) Will this service(s) be tendered and if so where? 8) What is the total value of your current BACS payment and Direct Debit collection software contract(s) and over what period? 9) With whom does the organisation hold its primary bank account? 10) Does the organisation, acting as a Bureau, provide Bacs processing on behalf on any other organisation? 11) What payments types does the organisation use? (e.g Bacs (Direct Credit), Direct Debit, Faster Payments, etc.). 12) Who is the person responsible for BACS processing and Direct Debit collection software? o Name o Position o Telephone Number o Email Please provide the information below each question, signifying your response(s) by a change of font or highlighted text, spaced between other questions. If it is not possible to provide the information requested due to the information exceeding the cost of compliance limits identified in Section 12, please provide advice and assistance, under your Section 16 obligations, as to how I can refine my request to be included in the scope of the Act. In any case, if you can identify ways that my request could be refined please provide further advice and assistance to indicate this. I look forward to your response within 20 working days, as stipulated by the Act. If you have any queries please don't hesitate to contact me via email or phone and I will be happy to clarify what I am asking for, my details are outlined below. Our Response In response to questions 1-3 above the Crown Prosecution Service receives outsourced Finance Services from CGI IT UK Limited through a call-off contract on the Crown Commercial Service's Payroll Human Resources (HR) and Finance Services framework agreement (RM887): this includes the provision of a BACS service including software. The CPS does not collect direct debits. In response to question 4, the information you have requested is exempt under s.43 (1) 'commercial interest' as this information constitutes a trade secret. The public interest test has been considered. To disclose this information would demonstrate transparency about how the CPS spends public money and may increase public confidence in the CPS. The CPS considers the services provided by the supplier as a key business process, and therefore regards this information as a trade secret. Under the terms of the contract the business process is deemed to be commercially sensitive information and therefore not disclosable. As the information requested is considered to be protected sensitive information, I consider the public interest favours maintaining the exemption. In response to questions 5, 7 and 8 above, the Crown Prosecution Service does not hold this information. In response to question 6 the Call-off contract was signed in July 2015 for a period of up to seven years. ## 9. With Whom Does The Organisation Hold Its Primary Bank Account? Royal Bank of Scotland Group - via Government Banking Services ## 10. Does The Organisation, Acting As A Bureau, Provide Bacs Processing On Behalf On Any Other Organisation? No ## 11. What Payments Types Does The Organisation Use? (E.G Bacs (Direct Credit), Direct Debit, Faster Payments, Etc.). BACS, Faster Payments, Payable Orders, International Transfers and Drafts ## 12. Who Is The Person Responsible For Bacs Processing And Direct Debit Collection Software? The information you have requested is exempt under section 40 'personal information' Please refer to the attached refusal notice which explains my decision. Our procurement team email contact is: procurement@cps.gsi.gov.uk Information Management Unit 020 3357 0899 FOI.Unit@cps.gsi.gov.uk

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walls. Blue tile pitched roof. ## Long Section (Internal) Plan (Internal) © WRE Ltd. This document should not be relied on or used in circumstances other than those for which it was originally prepared and for which WRE Ltd was originally commissioned. WRE Ltd accepts no responsibility for this document to any other party other than the person by whom it was commissioned. 003 663. blue tile. 2. All levels are in metres above datum (taken as the measured downstream water level). 3. All dimensions are in millimetres unless stated otherwise. 4. The drawing is based on Ordnance Survey data and from measurements and observations recorded on site. 5. Refer to the Construction and Installation Specification. To be provided prior to construction 6. All new concrete to be be minimum grade C35. 7. All new blockwork to be minimum grade 22N/mm². Max weight of each block not to exceed 20kg. 8.Pressurised pipe to be black in colour for UV protection, 225mm i.d. HPPE 6 bar or greater rating, electro-fusion joined with 225mm wide blockwork supports at minimum 2.5m centres for any above ground section. 9. Pressurised pipe to be anchored to below ground mass concrete thrust block (1m³) at every significant (>15 degrees) change in alignment, and all above ground change in allignment. 10. Head sensor cable not shown. Route to follow pipe. which shall be taken as the maximum historic flood level and will be verified to be provided prior to construction. ## Cross Section 13.Reinforced concrete wall thickness 300mm. Mesh to have 50mm cover. Starter bar dimensions and floor and wall mesh thickness to be confirmed. ## Slab Construction Detail 1. Drip tray to be fitted below turbine casing to prevent any oil / grease leakage falling into the watercourse or onto the powerhouse floor and creating a slip hazard. 7. 400 x 400 vent to be fitted into powerhouse wall. Client Mr G. Tunnicliffe 2. Rubber mat to be placed below the electrical control gear to provide insulation in case of electrical shock. 8. Building to be fitted with two no. strip lights (ceiling mounted) to ensure adequate lighting (as per Workplace Regulations 1992). Project Buxton Hydro Power Scheme Drawing Title 3. Electrical voltage and dual supply signs to be prominently displayed and electricity warning sign placed on external face of door. Proposed powerhouse - Details 9. Warning notice to be prominantly displayed stating draft tube chamber is a confined space and entry is not permitted. Drawing No. Revision Status Scale at A3 103/08 FOR PLANNING 2 AS SHOWN 4. First aid notice to be prominantly displayed. Drawn by Checked by Approved by Date J Green C Elliott

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## Vaksinimi Covid-19 Një Udhëzues Për Të Rriturit Kjo broshurë shpjegon në lidhje me vaksinimin COVID-19, kush është i përshtatshëm dhe kush duhet të ketë vaksinën për t'i mbrojtur ata nga Koronavirusi. Mbroni veten. Vaksinimi COVID-19 ## Përmbajtja Çfarë është COVID-19 ose Koronavirusi? Rreth llojeve të vaksinave Kush duhet t'i bëjë vaksinat COVID-19? A jam më shumë në rrezik nga infeksioni me COVID-19? Kush nuk mund ta bëjë vaksinën? A do të më mbrojë vaksina? A do të ketë vaksina efekte anësore? Unë kam bërë vaksinën time të gripit, a kam nevojë edhe për vaksinën COVID-19? A mund të infektohem me COVID-19 nga vaksina? Çfarë të bëj më tej? Çfarë duhet të bëj nëse nuk jam mirë kur të jetë takimi im i radhës? A mund t'ia transmetoj dikujt COVID-19, pasi të kem bërë vaksinën? # Çfarë Është Covid-19 Ose Koronavirusi? COVID-19 shkaktohet nga një koronavirus i ri, i njohur si SARS-CoV-2. Për herë të parë u identifikua në fund të vitit 2019. Është shumë infektues dhe mund të çojë në sëmundje të rëndë të frymëmarrjes. Shumë njerëz që janë të infektuar mund të mos kenë asnjë simptomë ose të kenë vetëm simptoma të lehta. Këto zakonisht fillojnë me kollë, ethe, dhimbje koke dhe humbje të shijes ose nuhatjes. Disa njerëz do të ndjehen shumë të lodhur, do të kenë dhembje të muskujve, diarre dhe të vjella, ethe dhe konfuzion. Një numër i vogël i njerëzve pastaj vazhdojnë të kenë sëmundje të rëndë që mund të kërkojë shtrim në spital ose në kujdesin intensiv. Në përgjithësi më pak se 1 në 100 njerëz që janë të infektuarvdesin nga COVID-19, por në ata mbi 75 vjeç kjo rritet në 1 në 10. Nuk ka shërim për COVID-19 edhe pse disa trajtime të testuara rishtazi ndihmojnë në uljen e rrezikut të komplikimeve. ## Rreth Llojeve Të Vaksinave Në MB, ekzistojnë dy lloje të vaksinave COVID-19 që do të përdoren pasi të miratohen. Ato të dyja kërkojnë dy doza për të siguruar mbrojtjen më të mirë. Kush duhet t'i bëjë vaksinat COVID-19? Komiteti i Përbashkët për Vaksinimin dhe Imunizimin (JCVI), një grup ekspertësh i pavarur ka rekomanduar që NHS t'ua ofrojë këto vaksina së pari atyre që kanë rrezik më të lartë për të kapur infeksionin dhe vuajnë komplikime serioze nëse infektohen. Kjo përfshin të rriturit e moshuar, punonjësit e linjës së parë shëndetësore dhe të kujdesit social, banorët dhe personelin e shtëpive të kujdesit dhe ata me gjendje të caktuara klinike. Kur të ketë sasi më të mëdha vaksinash, ato do t'u ofrohen personave të tjerë në rrezik, sa më shpejt të jetë e mundur. ## A Jam Në Rrezik Më Të Madh Nga Infeksioni Covid-19? Koronavirusi Mund Të Prekë Këdo. Nëse Jeni Një I Rritur Në Moshë Dhe Keni Një Gjendje Shëndetësore Afatgjatë, Covid-19 Mund Të Jetë Shumë Serioz Dhe Në Disa Raste Fatal. Ju Duhet Ta Bëni Vaksinën Covid-19 Nëse Jeni: • Një I Rritur Që Jeton Ose Punon Në Një Shtëpi kujdesi për të moshuarit • një punonjës i kujdesit shëndetësor në vijën e parë • një punonjës i kujdesit social në vijën e parë • një kujdestar që punon në kujdesin shtëpiak dhe kujdeset për të rriturit e moshuar • të moshës 65 vjeç e lart • të rriturit më të rinj me gjendje klinike afatgjata (shih faqen tjetër) ## Vaksina Gjithashtu Do T'U Ofrohet Të Rriturve Me Gjendje Të Tilla Si: • Një Kancer Në Gjak (Të Tilla Si Leucemia, limfoma ose mieloma) • diabeti • demencia • një problem me zemrën • një ankesë në gjoks ose vështirësi në frymëmarrje, duke përfshirë bronkitin, emfizemën ose astmën e rëndë • një sëmundje e veshkave • një sëmundje e mëlçisë • imunitet i ulur për shkak të sëmundjes ose trajtimit (të tilla si infeksioni HIV, barna steroide, kimioterapi ose radioterapi) • artriti reumatoid, lupusi ose psoriaza • të paturit e një transplanti organi • të paturit e një goditje në tru ose një sulm ishemik kalimtar (TIA) • një gjendje neurologjike ose humbje të muskujve • një aftësi e kufizuar e rëndë ose e thellë në të mësuar • një problem me shpretkën tuaj, p.sh. sëmundja e drapanocideve ose që ju është hequr shpretka • janë seriozisht mbipeshë (BMI prej 40 e lart) • janë shumë të sëmurë nga ana mendore Të gjithë njerëzit që janë në grupin tejet të cenueshëm klinikisht do të kenë të drejtë për një vaksinë COVID-19. Nëse ju ofrohet vaksina, mund të varet nga ashpërsia e gjendjes tuaj. Mjeku juaj i përgjithshëm mund të këshillojë nëse kualifikoheni. ## Kush Nuk Mund Ta Bëjë Vaksinën? Vaksinat nuk përmbajnë organizma të gjallë, dhe kështu janë të sigurta për njerëzit me çrregullime të sistemit imunitar. Këta njerëz mund të mos i përgjigjen aq mirë vaksinës. Një numër shumë i vogël i njerëzve që janë në rrezik të COVID-19 nuk mund të bëjnë vaksinën - kjo përfshin njerëzit që kanë alergji të rënda. Gratë në moshë riprodhuese, ato që janë shtatzënë ose ushqejnë me gji duhet të lexojnë informacionin e detajuar www.nhs.uk/covidvaccination ## A Do Të Më Mbrojë Vaksina? Vaksinimi COVID-19 do të zvogëlojë mundësinë që të vuani nga sëmundja COVID-19. Mund të duhen një ose dy javë që trupi juaj të krijojë një mbrojtje nga doza e parë e vaksinës. Vaksina është treguar e efektshme dhe asnjë shqetësim sigurie nuk është parë në studimet e më shumë se 20,000 njerëzve. Ashtu si të gjitha barnat, asnjë vaksinë nuk është plotësisht e efektshme - disa njerëz mund të infektohen ende COVID-19 pavarësisht se kanë bërë një vaksinë, por kjo duhet të jetë më pak e rëndë. ## A Do Të Ketë Vaksina Efekte Anësore? Si të gjitha ilaçet, vaksinat mund të shkaktojnë efekte anësore. Shumica e këtyre janë të buta dhe afatshkurtra, dhe jo të gjithë i kanë këto. Edhe nëse keni simptoma pas dozës së parë, përsëri duhet të merrni dozën e dytë. Megjithëse mund të merrni njëfarë mbrojtje nga doza e parë, marrja e dozës së dytë do t'ju japë mbrojtje të qëndrueshme ndaj virusit. ## Efektet Anësore Shumë Të Zakonshme Përfshijnë: • të paturit e një ndjenje të dhimbshme, të rëndë dhe butësi në krahun ku keni bërë injeksionin tuaj. Kjo ka tendencë të jetë më keq rreth 1-2 ditë pas vaksinës • ndjenjë lodhjeje • dhimbje koke • dhimbje të përgjithshme, ose simptoma si me grip të lehtë Megjithëse ndjenja e etheve nuk është e pazakontë për dy ose tre ditë, një temperaturë e lartë është e pazakontë dhe mund të tregojë se keni COVID-19 ose një infeksion tjetër. Mund të pushoni dhe të merrni dozën normale të paracetamolit (ndiqni këshillat në paketim) për t'ju ndihmuar të ndiheni më mirë. Simptomat pas vaksinimit normalisht zgjasin më pak se një javë. Nëse simptomat tuaja duket se përkeqësohen ose nëse jeni i/e shqetësuar, telefononi NHS 111. Nëse kërkoni këshillë nga një mjek ose infermier, sigurohuni që t'u tregoni atyre rreth vaksinimit tuaj (tregojini kartën e vaksinimit nëse është e mundur) në mënyrë që ata t'ju vlerësojnë siç duhet. Ju gjithashtu mund të raportoni efekte anësore të dyshuara për vaksinat dhe ilaçet përmes skemës së Kartës së Verdhë. Shikoni faqen 11. Nëse aktualisht jeni në grupin ekstremisht të rrezikuar klinikisht, ju lutemi vazhdoni të ndiqni udhëzimet e qeverisë. ## Unë Kam Bërë Vaksinën Time Të Gripit, A Kam Nevojë Edhe Për Vaksinën Covid-19? Vaksina e gripit nuk ju mbron nga COVID-19. Meqenëse keni të drejtë për të dy vaksinat, duhet t'i bëni të dyja, por normalisht të ndara, të paktën një javë. ## A Mund Të Infektohem Me Covid-19 Nga Vaksina? Ju nuk mund të infektoheni me COVID-19 nga vaksina, por është e mundur ta jeni infektuar me COVID-19 dhe të mos e kuptoni se keni simptomat deri pas takimit tuaj të vaksinimit. Simptomat më të rëndësishme të COVID-19 janë shfaqja e ndonjë prej të mëposhtmeve kohët e fundit: • një kollë e re e vazhdueshme • një temperaturë të lartë • një humbje, ose ndryshim në shqisën tuaj normale të shijes ose nuhatjes Nëse keni simptomat e mësipërme, qëndroni në shtëpi dhe rregulloni që të bëni një test. Nëse keni nevojë për më shumë informacion mbi simptomat vizitoni www.nhs.uk/conditions/coronavirus- COVID-19/symptoms ## Çfarë Të Bëj Më Tej? Pasi të keni marrë dozën e parë, duhet të planifikoni të merrni pjesë në takimin tuaj të dytë. Ju duhet të keni një kartë regjistrimi dhe takimi juaj i ardhshëm duhet të jetë ndërmjet 3 dhe 12 javëve më vonë. Është e rëndësishme që të keni të dyja dozat e vaksinës për t'ju dhënë mbrojtjen më të mirë. Mbani kartën tuaj të sigurt dhe sigurohuni që të mbani takimin tuaj të radhës për të marrë dozën tuaj të dytë. Don't forget your COVID-19 vaccination Make sure you keep this record card in your purse or wallet Name Name of vaccine: 1 Batch no: Date vaccine given: For more information on the COVID-19 vaccination or what to do after your vaccination, see www.nhs.uk/covidvaccine Protect yourself. Don't forget to attend your appointment to have your second dose of vaccine. You will have the best protection after two doses. Second appointment date: Public Health England gateway number: 2020311. Product code: COV2020311 ## Çfarë Duhet Të Bëj Nëse Nuk Jam Mirë Kur Të Jetë Takimi Im I Radhës? Nëse nuk jeni mirë, është më mirë të prisni derisa të shëroheni për të bërë vaksinën tuaj, por duhet të përpiqeni ta bëni sa më shpejt të jetë e mundur. Ju nuk duhet të shkoni në një takim vaksinimi nëse po vetë-izoloheni, duke pritur për një test COVID-19 ose nuk jeni i sigurt nëse jeni mirë dhe në rregull. ## A Mund T'Ia Ngjis Covid-19 Kujtdo, Pasi Të Kem Bërë Vaksinën? Vaksina nuk mund t'ju japë infeksionin COVID-19 dhe dy doza do të zvogëlojnë mundësinë tuaj për t'u sëmurë rëndë. Ne ende nuk e dimë nëse kjo do t'ju ndalojë të infektoheni dhe ta përçoni virusin. Pra, është e rëndësishme të ndiqni udhëzimet në zonën tuaj lokale për të mbrojtur ata që ju rrethojnë. Për të mbrojtur veten dhe familjen tuaj, miqtë dhe kolegët ju ende duhet të: • praktikoni distancimin shoqëror • vishni një maskë për fytyrën • lani duart me kujdes dhe shpesh • ndiqni udhëzimet aktuale www.gov.uk/coronavirus Ju lutemi lexoni broshurën e informacionit të produktit për më shumë detaje mbi vaksinën tuaj, përfshirë efektet anësore të mundshme, duke kërkuar Kartën e Verdhë të Koronavirusit. Ju gjithashtu mund të raportoni efekte anësore të dyshuara në të njëjtën faqe në internet apo të shkarkoni aplikacionin e Yellow Card. coronavirus-yellowcard.mhra.gov.uk ## Mos Harroni COVID-19 përhapet përmes spërklave të nxjerra nga hunda ose goja, veçanërisht gjatë të folurit ose kollitjes. Mund të merret gjithashtu duke prekur sytë, hundën dhe gojën pas kontaktit me objekte dhe sipërfaqe të ndotura. Vaksinimi, ndihma në mbrojtjen e njerëzve më të prekshëm. Nëse keni nevojë për më shumë informacion mbi vaksinimin COVID-19 ju lutemi vizitoni: www.nhs.uk/covidvaccination Ju mund të porosisni më shumë nga këto broshura falas në www.healthpublications.gov.uk

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ISSUING OFFICE ADDRESS LINE 1-----X ISSUING OFFICE ADDRESS LINE 2-----X ISSUING OFFICE ADDRESS LINE 3-----X ISSUING OFFICE ADDRESS LINE 4-----X ISSUING OFFICE ADDRESS LINE 5-----X ISSUING OFFICE ADDRESS LINE 6-----X POSTCODE X REPRINT-REFERENCE--X 999 Unique tax reference (UTR) 99999 99999 RECIPIENT NAME LINE 1 ------------X RECIPIENT NAME LINE 2 ------------X ADDRESS LINE 1 -------------------X ADDRESS LINE 2 -------------------X ADDRESS LINE 3 -------------------X ADDRESS LINE 4 -------------------X ADDRESS LINE 5 -------------------X POSTCODE X Accounts Office reference 999PA99999999 CIS Helpline 9999 999 9999 Date 99 XXXXXXXXX 9999 ## 99/99/9999 Construction Industry Scheme Contractor'S Monthly Return For Period Ending We have received your Contractor's monthly return for the above period and note that you have included amounts in some of the boxes, but have also completed the nil declaration box on page 4. We have treated this monthly return as one which reports payments to subcontractors and/or deductions from subcontractors. If you disagree, please call the CIS Helpline to let us know what the correct entry should be. You also ticked the box indicating that you will not be paying any subcontractors for the foreseeable future. Unfortunately we were unable to stop the issue of your Contractor's monthly return for the period ending 99/99/9999 from being produced and sent to you. Please do not send this return to us unless you have payments or deductions to report. We have suspended the issue of any further returns for a period of six months. It is your responsibility to let us know at once if you make any payments to subcontractors during this period. You can also get information about filing your monthly returns online by logging on to our website at www.hmrc.gov.uk/new-cis

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New eligibility rules for home fee status and student finance for the 2021/22 academic year December 2020 ## Contents New eligibility rules for home fee status and student finance for the 2021/22 academic year 3 Academic year 2020/21 4 Academic year 2021/22 4 Settled status 4 Pre-settled status 5 UK nationals living in the EEA, Switzerland and EU Overseas Territories 6 Family members of UK nationals living in the UK 6 Children of Swiss nationals 6 Children of Turkish Workers 6 The Common Travel Area arrangement with Ireland 7 UK and EU nationals resident in Gibraltar 7 UK nationals resident in the other British Overseas Territories 7 Students living in the Crown Dependencies 7 ## New Eligibility Rules For Home Fee Status And Student Finance For The 2021/22 Academic Year Disclaimer This document is designed to assist with the interpretation of The Education (Student Support) Regulations 2011 (as amended) (the Regulations). It does not cover every aspect of student support nor does it constitute legal advice or a definitive statement of the law, which will be set out in the amended Regulations early in 2021. Whilst every endeavour has been made to ensure the information contained is correct at the time of publication, no liability is accepted with regard to the contents and the Regulations will remain the legal basis of the student support arrangements for the academic year (AY) 2021/22. In the event of anomalies between this guidance and the Regulations, the Regulations prevail. ## Please Note This Information Is For Student Finance England Students Only] The Withdrawal Agreement provides that current EU principles of equal treatment will continue to apply for those covered by the citizens' rights provisions in the Withdrawal Agreement. This means that EU nationals lawfully resident in the UK before the end of the transition period on 31 December 2020 will be eligible in England for support on a similar basis as now, subject to meeting the usual residency requirements, which are unchanged. Similar agreements have been signed with the EEA-EFTA states and Switzerland. Now that we have left the EU and will no longer have the legal obligations of membership, it is right that EU, other EEA and Swiss nationals are in future treated the same as those from other countries. Therefore, EU, other EEA and Swiss nationals and their family members not covered by the Withdrawal Agreements (the EU Withdrawal Agreement, EEA-EFTA Separation Agreement and the Swiss Citizens' Rights Agreement) or the Common Travel Area arrangement with Ireland will not be eligible for home fee status and student financial support from Student Finance England if starting courses on or after 1 August 2021. EU, other EEA and Swiss nationals, and their family members, who are covered by the citizens' rights provisions, and who have been granted settled or pre-settled status under the EU Settlement Scheme, will be eligible for support on broadly the same basis as now, subject to meeting the usual residency requirements. ## Academic Year 2020/21 These changes will not affect students starting courses on or before 31 July 2021. If they are already eligible under the current system, they will remain eligible under the current system for the duration of their course. ## Academic Year 2021/22 From 1 August 2021, EU, other EEA and Swiss nationals and their family members who are not covered by the Withdrawal Agreements will no longer be eligible for home fee status, undergraduate and postgraduate financial support and advanced learner loans from Student Finance England for courses starting in academic year 2021/22 or after. Children of Turkish workers arriving in the UK after 31 December 2020 will similarly not be eligible for home fee status and student financial support for courses starting on or after 1 August 2021. This change will also apply to Further Education funding for those aged 19+, and funding for apprenticeships. These eligibility changes do not apply to Irish citizens living in the UK or Ireland whose right to study and to access benefits and services will be preserved on a reciprocal basis for British and Irish citizens under the Common Travel Area arrangement. Regulatory amendments will give effect to these changes. EU, other EEA and Swiss nationals, and their family members who are covered by the Withdrawal Agreements will continue to have access to home fee status and student financial support on broadly the same basis as now. Generally this covers those who: - are living in the UK by 31 December 2020 having exercised a right to reside under EU law, the EEA Agreement or the Free Movement of Persons Agreement, and; - continue to live in the UK after 31 December 2020. Such persons will generally have applied for pre-settled or settled status under the EU Settlement Scheme (EUSS) before 30 June 2021, apart from Irish citizens, who are not required to apply as their rights will be protected as a result of Common Travel Area arrangements. ## Settled Status Those who have been granted settled status under the EUSS will generally be eligible for home fee status, tuition fee and maintenance support if they have been ordinarily resident in the UK and Islands for at least 3 years. Irish citizens are automatically treated as settled in the UK and do not need to apply to the EUSS to benefit from these rights. ## Pre-Settled Status In practice, the Student Loans Company (SLC) will accept pre-settled status, together with ID documentation, as evidence for the purposes of awarding student support to EU, other EEA and Swiss nationals and their family members. We anticipate that providers will take the same approach when awarding home fee status where the student has 3 years' residence in the UK, Gibraltar, EEA, Switzerland or the British/EU overseas territories. EU nationals, and their family members, will generally be awarded tuition fee support by the SLC where the student has pre-settled status and has 3 years' residence in the UK, Gibraltar, EEA and Switzerland (unless that residence was wholly or mainly for the purpose of education). The SLC will award tuition fee and maintenance support to EEA and Swiss workers, and their family members, where the student has pre-settled status and 3 years' residency in the UK, Gibraltar, EEA and Switzerland. They will also ask for financial evidence to confirm applicants are working, have worked or are looking for work, for example, P60 or a letter from an employer. The SLC will award tuition fee and maintenance support to the child of a former EEA or Swiss migrant worker where the student has pre-settled status and 3 years' residency in the UK, Gibraltar, EEA and Switzerland. In line with Government policy, family members of people of Northern Ireland1 where the family member has pre-settled status will be eligible for home fee status and tuition fee support on the same basis as family members of EU nationals covered by the Withdrawal Agreement. Irish citizens covered by the Withdrawal Agreement do not need to apply to the EU Settlement Scheme to benefit from citizens' rights. Please also see the section below: 'The Common Travel Area arrangement with Ireland'. ## Uk Nationals Living In The Eea, Switzerland And Eu Overseas Territories UK nationals and their family members living in the EEA or Switzerland on 31 December 2020 will generally be eligible for home fee status, tuition fee and maintenance support from Student Finance England for courses starting on or after 1 August 2021 and before 1 January 2028 if they meet the following conditions: o they are living in the EEA or Switzerland on 31 December 2020 (or have moved back to the UK immediately after living in the EEA or Switzerland); and o they have lived in the EEA, Switzerland, the UK or Gibraltar for at least the last three years; and o they have lived continuously in the EEA, Switzerland, the UK or Gibraltar between 31 December 2020 and the start of the course. UK nationals and their family members living in the EU Overseas Territories on 31 December 2020 will continue to be eligible for home fee status in England for courses starting before 1 January 2028. ## Family Members Of Uk Nationals Living In The Uk Family members of UK nationals resident in the UK will qualify for home fee status and tuition fee support from Student Finance England on the basis of 3 years ordinary residence in the UK and the Islands. They must also be undertaking a designated course in England. ## Children Of Swiss Nationals The children of Swiss nationals covered by the Swiss Citizens' Rights Agreement will generally be eligible for home fee status, tuition fee and maintenance support after 3 years' residency in the UK, Gibraltar, EEA and Switzerland (unless that residence was wholly or mainly for the purpose of education). ## Children Of Turkish Workers Children of Turkish workers are not covered by the Withdrawal Agreements, but if they and their parent are living in the UK by the 31 December 2020 and the parent's period of leave to remain continues to be valid, they will be eligible for home fee status and student support after 3 years' residency in the UK, Gibraltar, EEA, Switzerland and Turkey. ## The Common Travel Area Arrangement With Ireland The UK Government is firmly committed to maintaining rights of Irish citizens to access higher and further education courses on a reciprocal basis. This includes rights to home fee status, tuition fee loans and maintenance support subject to meeting the eligibility criteria on the same basis as UK nationals. Irish citizens resident in the UK, Islands or Ireland for three years before the start of their course and undertaking a course in England will be eligible for home fee status, tuition fee loans and Advanced Learner Loans from Student Finance England on the same basis as UK nationals. Additionally, Irish citizens will be eligible for maintenance support in England if they have lived in the UK and Islands for three years before the start of the course. ## Uk And Eu Nationals Resident In Gibraltar UK nationals and their family members resident in Gibraltar, and EU nationals and their family members who have a right to reside there arising from the Withdrawal Agreement, will continue to be eligible in England for home fee status, on the basis of 3 years' residency in the UK, Gibraltar, EEA and Switzerland. They will be eligible for fee support for courses starting before 1 January 2028. ## Uk Nationals Resident In The Other British Overseas Territories UK nationals living in the other British Overseas Territories and their family members will be eligible for home fee status when studying in England, on the basis of 3 years' residency in the British Overseas Territories, UK and the Islands, before the start of the course. ## Students Living In The Crown Dependencies From the 2021/22 academic year new and continuing students living in the Crown Dependencies (the 'Islands'), who come to England solely for the purposes of higher or further education study, will be eligible for home fee status, on the basis of 3 years' residency in the UK or the Islands. Currently, only students from the Crown Dependencies who move to the UK for purposes other than undertaking a course are considered to be ordinarily resident in England on the first day of their course, and are eligible for home fee status. ## © Crown Copyright 2020 This publication (not including logos) is licensed under the terms of the Open Government Licence v3.0 except where otherwise stated. Where we have identified any third party copyright information you will need to obtain permission from the copyright holders concerned. To view this licence: visit www.nationalarchives.gov.uk/doc/open-government-licence/version/3 email psi@nationalarchives.gsi.gov.uk write to Information Policy Team, The National Archives, Kew, London, TW9 4DU About this publication: enquiries www.education.gov.uk/contactus download www.gov.uk/government/publications Reference: DfE-00218-2020 Follow us on Twitter: Like us on Facebook: @educationgovuk facebook.com/educationgovuk

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Overview: The estates programme located in LB Sutton involves an extensive 14/15 year programme featuring the development of Durand Close estate in Carshalton, along with the smaller Corbet Close estate and a portfolio of defective Orlit properties. There are 13 other smaller sites captured in these proposals to improve community regeneration and housing provision across the borough. The regeneration project as a whole is expected to provide 680+ homes, with 64 per cent affordable. The estate regeneration scheme was originally considered by LB Sutton in 1999 following a petition from residents at Durand Close. The borough was then able to include a number of other sites across the borough to benefit from the regeneration proposals. In 2002 a selection of partners got on board culminating in the establishment of the Lavender Housing Partnership in 2003. The partnership includes Affinity Sutton (originally Broomleigh Housing Association); Rydon construction alongside residents representatives. How were the sites identified? The largest project involved the demolition of a 1960s built estate of 12 deck access blocks of social housing named Durand Close, consisting of 295 primarily three and four bed-roomed flats. The regeneration scheme originally set out to deliver 470 new homes, half of which would be affordable to local residents. This estate was chosen because in the 1990s it had received media recognition as a 'problem estate' and had been compared among the worst estates in England. In 1994 a safer neighbourhood survey was undertaken and identified adverse social issues, with child densities and deprivation levels which were exacerbated by the poor living standards on the estate. There was the cumulative impact of higher than average anti-social behaviour and crime levels. The borough worked with the residents association to implement some local measures including use of garages for a community centre. However in 1999 the residents voted in favour of a comprehensive regeneration scheme. The small sites identified in the project include a mixture of sites requiring redevelopment such as sheltered housing, battery garage blocks a landlocked derelict site and an old depot site and a smaller estate at Corbet Close. Funding: The total cost of the project is £170 million, which includes £29 of government grant and a subsidy contribution. Proceeds from the private development for sale have helped with the provision of the rented and shared ownership properties. Community consultation: The residents of Durand Close agreed a masterplan for the estate in 2006 following a consultation exercise, which resulted in more than 80% of residents in support of the project. The consultation involved active communication with residents groups, FIRST call Consultants and the developer Rydon on design elements of the new homes. The local led partnership forum Lavender Housing Partnership played an instrumental role in making decisions about the project structure and design and ensuring that the development promotes a sustainable community approach. Key successes: By spring 2016, a total of 450 residents had been rehoused across all the sites, with the provision of 430 new homes to date. A further 120 homes will be delivered on site along with another 131 new homes from the other projects such as the Orlit portfolio and Corbet Close. Key Challenges: During this process concerns were raised by the GLA, about parking, play, open space and layout considerations. The transfer of four sites was put on hold for a number of reasons. Discussions about the allocation of housing to AffinitySutton (Broomleigh HA as was) required agreement in respect of the unit and tenure mix and the additional affordable housing to be provided. The approval of the Secretary of State was also required to give consent to the whole project. The phased approach to the scheme saw works begin on the first related site in the summer of 2004, and the first demolition on Durand Close beginning with Phase 1a in 2007 and completion of the first new build units on site in summer of 2011. During 2016-18 it is anticipated that Durand Close (The Lavenders) will see the completion of the final phases of redevelopment with the final delivery stage of the project on other sites to be completed between 2017/19. Lessons learned: Role of contractor is critical in terms of on site management during construction phases and maintaining trusted resident liaison. Early resident involvement in Master Planning, design stages and programme/steering group. Ensure local councillors and local community are engaged in the process. Be clear what the Council is able to offer - in term of rehousing, return to site, compensation, leaseholder package, local lettings etc. Regeneration outcomes: The estate regeneration programme has delivered a number of benefits which include high quality housing with mixed use tenures sustainable for the whole community. The schemes has also delivered a new community centre and shop at Durand Close with an improved riverside amenity. The whole project has successfully been delivered with the full involvement of residents throughout the process.

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## Public Opinion Of Forestry 2013, Uk And England Release date: 25 July 2013 Coverage: United Kingdom Geographical breakdown: England Issued by: Economics & Statistics, Forestry Commission, 231 Corstorphine Road, Edinburgh, EH12 7AT Enquiries: Jackie Watson 0131 314 6171 statistics@forestry.gsi.gov.uk Statistician: Sheila Ward 0131 314 6475 Website: www.forestry.gov.uk/statistics ## Contents Introduction 3 Key findings 4 Woodland recreation 5 Importance of forestry 12 Engagement with forest issues 15 Climate change 16 Wood as a fuel 19 Tree health 20 Annex 22 ## Introduction The Forestry Commission has conducted biennial surveys of public attitudes to forestry and forestry-related issues since 1995. These surveys are used to inform and monitor policy development. This publication presents results for the UK and for England from the UK Public Opinion of Forestry Survey 2013 on:  Woodland recreation;  Importance of forestry;  Engagement with forest issues;  Climate change;  Wood as a fuel; and  Tree health. A copy of the questionnaire used in this survey, giving complete wording of questions and response options, is provided in the Annex at the end of this report. Surveys have also been run in Wales and in Scotland. Separate reports, providing results from these surveys, are available for Wales and for Scotland. Statistics on the proportion of adults who have been actively engaged in forestry have already been released, in Forestry Commission England's Corporate Plan Performance Indicators and Woodland Indicators 2013 (woodlands indicator 9). Other results from the 2013 survey are published for the first time in this release. Figures for earlier years have not been revised from those previously released. For further details, see the Revisions section of the Annex. As the data are obtained from a sample survey, there is a range of uncertainty (confidence interval) associated with any results produced. Any differences highlighted in the text are statistically significant at the 95 per cent confidence level unless otherwise stated. For further details, see the Data Sources and Methodology and the Quality sections of the Annex. ## Key Findings In England, and in the UK as a whole:  Almost **two-thirds** of respondents have visited forests or woodlands in the last few years. Of these, over **two-thirds** exercised during their visit, including walking, running and mountain biking.  **One in ten** respondents were involved in volunteer work, organised tree planting events, community-based woodland groups or consultations associated with woodlands in the past 12 months. On **climate change**:  80% agree or strongly agree that 'trees are good because they remove carbon dioxide from the atmosphere and store it in wood'.  55% agree or strongly agree that 'cutting down forests and woodland makes climate change worse, even if they are replanted'.  Around 85% agree or strongly agree that 'a lot more trees should be planted'  12% use wood as fuel in their home. On **tree health** (new in 2013):  80% agree or strongly agree that 'action should be taken by authorities and woodland managers to protect trees from damaging pests and diseases'.  Nearly **two-thirds** agree or strongly agree that 'everyone should take action when visiting woodlands to help prevent the spread of damaging tree pests and diseases' and 'would be willing to look out for and report sightings of pests and diseases on trees, if appropriate information and advice was available to [them]'.  Less than **one quarter** agree or strongly agree that 'there is very little that anyone can do to prevent the spread of damaging tree pests and diseases'. ## Woodland Recreation The survey asked respondents a number of questions about visits to woodland. This included whether the respondent had visited woodland in the last few years, reasons for not visiting (more often or at all), type of woodland visited, frequency of visits and participation in activities during woodland visits. ## Proportion Visiting Woodland As in previous years, respondents to the 2013 survey were asked whether they had visited forests or woodlands for walks, picnics or other recreation in the last few years. In 2013, around two thirds of respondents in the UK (66%) and in England (65%) said they had visited forests or woodlands in the last few years for walks, picnics or other recreation (Table 1). This represents a significant decrease over the results in 2007 and 2009 but is similar to the results in 2011 and in earlier years. Percent of respondents Year UK England 2003 67 66 2005 65 65 2007 77 76 2009 77 77 2011 67 68 2013 66 65 Source: UK Public Opinion of Forestry Surveys. Note: 1. Figures are based on all respondents: UK - 2003 (4,120), 2005 (3,892), 2007 (4,018), 2009 (2,011), 2011 (2,068), 2013 (1,927); England - 2003 (3,412), 2005 (3,367), 2007 (3,339), 2009 (1,685), 2011 (1,733), 2013 (1,615). ## Reasons For Not Visiting Woodland All respondents were asked to state their main reasons for not visiting woodland more often or at all. For those who had not visited woodland or forests in the last few years, 'I'm too busy/not enough time', was the most commonly cited reason for not doing so (30% of those in the UK, 33% of those in England) (Figure 1). Other common answers included 'not interested in visiting' (24% for the UK, 23% for England), 'other personal mobility reasons' (18% for the UK, 16% in England) and 'bad weather' (16% for the UK and for England). Source: UK Public Opinion of Forestry Survey 2013. Note: 1. Figure is based on all respondents who had not visited woodland in the last few years: UK (655), England (559). 2. Respondents could provide more than one reason. Of those respondents who had visited woodlands, the most commonly stated reasons for not visiting more often were 'bad weather' (38% for the UK and for England) and 'I'm too busy/not enough time' (28% for the UK, 29% in England) (Figure 2). Source: UK Public Opinion of Forestry Survey 2013. Note: 1. Figure is based on all respondents who had visited woodland in the last few years: UK (1,272), England (1,056). 2. Respondents could provide more than one reason. ## Type Of Woodland Visited Table 2 shows that respondents who had visited woodlands and forests in the last few years were more likely to visit 'woodlands in the countryside' (85% for both the UK and England) than 'woodlands in and around towns' (70% in the UK and 68% in England). In addition, over half of respondents (55% in the UK and 53% in England) reported visiting woodlands and forests in both locations. The proportion of UK respondents in 2013 who had visited woodlands in and around towns (70%) represents a significant increase over the 2011 figure (62%). Percent of respondents who had visited woodlands Type of woodland UK England 2009 2011 2013 2009 2011 2013 Woodlands in the countryside 86 84 85 84 84 85 Woodlands in and around towns 64 62 70 61 62 68 Both 48 47 55 45 46 53 Source: UK Public Opinion of Forestry Surveys. Note: 1. Figures are based on all respondents who had visited woodland in the last few years: UK - 2009 (1,549), 2011 (1,393), 2013 (1,272); England - 2009 (1,291), 2011 (1,170), 2013 (1,056). 2. Responses for those who said they had been to 'both' types of woodlands have been included in the totals for 'woodlands in and around towns' and 'woodlands in the countryside'. ## Frequency Of Woodland Visits Of the respondents who had visited woodlands in the last few years, almost three quarters (73% in the UK and 71% in England) said that they visited at least once a month during summer 2012 (between April and September 2012) (Table 3 and Figure 3). Few respondents who had visited woodlands in the past few years said that they did not visit during summer 2012 (3% in both the UK and in England). Percent of respondents who had visited woodlands Frequency UK England 2009 2011 2013 2009 2011 2013 Several times per week 12 15 16 12 15 15 Several times per month 24 29 31 24 29 30 About once a month 26 26 26 26 25 26 Less often 34 27 24 34 28 26 Never 5 3 3 5 4 3 Source: UK Public Opinion of Forestry Surveys. Note: 1. Figures are based on all respondents who had visited woodland in the last few years: UK - 2009 (1,549), 2011 (1,393), 2013 (1,272); England - 2009 (1,291), 2011 (1,170), 2013 (1,056). Source: UK Public Opinion of Forestry Survey 2013. Note: 1. Figures are based on all respondents who had visited woodland in the last few years: UK (1,272); England (1,056). Of the respondents who had visited woodlands in the last few years, around two fifths (42% in the UK and 40% in England) said they visited at least once a month during winter 2012/13 (between October 2012 and March 2013) (Table 4 and Figure 4). Around one quarter of respondents (23% for both UK and England respondents) said they did not visit during the winter. Percent of respondents who had visited woodlands Frequency UK England 2009 2011 2013 2009 2011 2013 Several times per week 7 9 11 7 9 10 Several times per month 11 12 13 11 13 12 About once a month 16 17 17 16 17 17 Less often 36 32 36 36 32 36 Never 31 29 23 31 29 23 Source: UK Public Opinion of Forestry Surveys. Note: 1. Figures are based on all respondents who had visited woodland in the last few years: UK - 2009 (1,549), 2011 (1,393), 2013 (1,272); England - 2009 (1,291), 2011 (1,170), 2013 (1,056). Source: UK Public Opinion of Forestry Survey 2013. Note: 1. Figures are based on all respondents who had visited woodland in the last few years: UK (1,272); England (1,056). ## Participation In Activities During Woodland Visit Respondents who had visited woodlands in the last few years were asked to state what activities, if any, they had taken part in during their visit. Table 5 shows that the most popular activity undertaken by respondents in 2013 was exercise e.g walking, running, mountain biking (cited by 69% of those in the UK and 67% of those in England who had visited woodlands). Other popular activities included relaxing/spending time thinking, playing with children, having a picnic or barbecue, dog walking, watching nature and visiting a café (all mentioned by over one quarter of respondents in both the UK and in England). These results are generally similar to those from the 2011 survey, although there has been a significant reduction in the proportions reporting that they had been dog walking or watching nature in the UK and in England. Percent of respondents who had visited woodlands Activity UK England 2009 2011 2013 2009 2011 2013 Exercise e.g walk, run, mountain biking 74 66 69 74 65 67 Relaxed or spent time thinking 55 36 32 53 36 34 Played with the children 41 35 32 40 34 33 Had a picnic or barbecue 47 33 30 45 32 31 Dog walking 39 37 30 38 37 29 Watched nature 55 35 29 55 36 30 Visited a café 36 29 28 36 29 29 Been to see a historic site 33 24 21 31 24 21 Followed an interpreted trail 29 14 13 29 14 13 Been to enjoy sculpture or arts and crafts 16 9 9 16 10 9 Been on a guided walk or talk 16 8 6 14 8 6 Attended an organised event in a wood that involved physical activity 12 6 6 11 6 6 Attended cultural event or activity 10 6 6 10 6 6 Been to see an ancient tree 16 6 5 16 6 5 Horse riding 6 4 3 6 3 3 Volunteered 5 3 3 4 2 3 Other 4 6 5 3 6 5 None of these 1 1 2 1 1 2 Source: UK Public Opinion of Forestry Surveys. Note: 1. Figures are based on all respondents who had visited woodland in the last few years: UK - 2009 (1,549), 2011 (1,393), 2013 (1,272); England - 2009 (1,291), 2011 (1,170), 2013 (1,056). 2. Respondents could provide more than one activity. ## Importance Of Forestry Respondents were asked to state their level of agreement with a set of statements regarding the purpose and use of woodlands and forests. Respondents were asked to indicate their opinion twice, once for the importance of woodlands and forests to the public and again for the importance to them personally. Overall, the results suggest that woodlands are viewed as most important for wildlife and for recreation. ## Importance Of Woodland To The Public Table 6 shows the percentage of respondents who agreed (selected 'Strongly agree' or 'Agree') with each of the statements relating to importance of woodland to the public. The highest levels of agreement were with the following statements:  'They are important places for wildlife' (93% in the UK and 92% in England agreed);  'They are places where people can relax and de-stress' (91% in the UK and in England agreed);  'They are places where people can have fun and enjoy themselves' (91% in the UK and 90% in England agreed). The lowest levels of agreements were with the following statements:  'They bring the community together' (56% in the UK and in England agreed);  'They contribute to the local economy' (60% in the UK and 59% in England agreed).  'They get people involved in local issues' (60% in the UK and in England agreed). ## Reasons Woodlands And Forests Are Important To The Public Percent of respondents who agree or strongly agree Reason UK England 2009 2011 2013 2009 2011 2013 They are important places for wildlife 97 97 93 97 97 92 They are places where people can relax and de-stress 95 95 91 95 95 91 People can have fun and enjoy themselves 94 95 91 94 95 90 They are places where people can exercise and keep fit .. 94 89 .. 94 88 They make areas nicer places to live 96 90 87 93 91 86 People can learn about the environment 91 90 87 91 89 86 People can learn about local culture or history 69 71 72 68 71 71 They get people involved in local issues 63 57 60 63 57 60 They contribute to the local economy 59 60 60 57 60 59 They bring the community together 50 54 56 51 55 56 Source: UK Public Opinion of Forestry Surveys. Note: 1. Figures are based on all respondents: UK - 2009 (2,011), 2011 (2,068), 2013 (1,927); England - 2009 (1,685), 2011 (1,733), 2013 (1,615). ## 2. .. Denotes Data Not Available (Statement Not Included In 2009 Survey). Importance Of Woodland To Individual Respondents Respondents who had visited woodland in the last few years (Table 1) were also asked to state their level of agreement with a list of statements as to why woodlands and forests are important to themselves personally. Results were generally similar to those reported by all respondents in considering the importance of woodland to the public, with stronger levels of agreement for recreation than for other issues. As shown in table 7, the majority of respondents who had visited woodlands in the last few years agreed (selected 'Strongly agree' or 'Agree') with most of the statements but the statements that had the highest level of agreement were as follows:  'They are places where I can relax and de-stress' (93% in the UK and 92% in England agreed)  'They are places where I can have fun and enjoy myself' (91% in the UK and 90% in England agreed)  'They are places where I can exercise and keep fit' (87% in the UK and 86% in England agreed) The lowest levels of agreements were with the following statements:  'They get me involved in local issues' (37% in the UK and 37% in England agreed)  'They are good places for me to socialise' (60% in the UK and 61% in England agreed)  'They are places where I can learn about local culture or history' (66% in the UK and 65% in England agreed) Percent of respondents who agree or strongly agree Reason UK England 2009 2011 2013 2009 2011 2013 They are places where I can relax and destress 94 95 92 94 94 92 They are places where I can have fun and enjoy myself 91 94 91 90 93 90 They are places where I can exercise and keep fit 84 90 87 84 89 86 They are places where I can learn about the environment 80 80 77 81 79 76 They are places where I feel at home 69 75 74 69 75 73 They are places where I can learn about local culture or history .. 64 66 .. 64 65 They are good places for me to socialise 50 59 60 51 58 61 They get me involved in local issues 33 34 37 34 35 37 Source: UK Public Opinion of Forestry Surveys. Note: 1. Figures are based on all respondents who had visited woodland in the last few years: UK - 2009 (1,549), 2011 (1,393), 2013 (1,272); England - 2009 (1,291), 2011 (1,170), 2013 (1,056). 2. .. denotes data not available (statement not included in 2009 survey). ## Engagement With Forest Issues Respondents were asked whether they had been involved in woodland consultations or any volunteer groups and organised events associated with woodlands in the last 12 months. Table 8 shows that, in the previous 12 months, 10 per cent of respondents to the 2013 survey (in both the UK and in England) said that they had been involved with at least one of the following:  voluntary work in connection with a woodland (4% in the UK and in England);  an organised tree planting event (3% in the UK and in England);  a community based woodland group (3% in the UK and in England);  a consultation about plans for creating/managing or using woodland (2% in the UK and in England). Percent of respondents Have you…? UK England 2009 2011 2013 2009 2011 2013 Been involved in voluntary work in connection with a woodland (e.g. physical work in a wood, admin, fund raising , running a group) 3 4 4 3 4 4 Been involved in an organised tree planting event 3 3 3 2 3 3 Become or are you a member of a community based woodland group such as a 'Community Trust' or 'Friends of Group' 3 2 3 2 2 3 Been involved or consulted about plans for creating/ managing or using woodlands in your area 3 2 2 3 2 2 None of these 91 92 90 91 92 90 Source: UK Public Opinion of Forestry Surveys. Note: 1. Figures are based on all respondents: UK - 2009 (2,011), 2011 (2,068), 2013 (1,927); England - 2009 (1,685), 2011 (1,733), 2013 (1,615). ## Climate Change Respondents were asked to indicate their level of agreement with two sets of statements related to woodlands and climate change. ## Woodlands' Impact On Climate Change Respondents were asked about their level of agreement with a set of statements regarding the ways in which forests and woodlands in the UK can impact on climate change. Table 9 shows that the highest levels of agreement, where respondents selected 'Strongly agree' or 'Agree', were with the following statements:  'Trees are good because they remove carbon dioxide from the atmosphere and store it in wood' (80% in the UK and in England agreed);  'Planting more trees can help us cope with climate change by providing shade and reducing the effects of flooding' (72% in the UK and 73% in England agreed). The lowest levels of agreement were with the following statements:  'Using wood for fuel makes climate change worse because it releases carbon dioxide' (37% in the UK and 39% in England agreed);  'Using wood for building is better for climate change than using materials such as concrete or steel' (42% in the UK and 43% in England agreed);  'Using wood for fuel is better for climate change than using fuels such as coal and gas' (44% in the UK and 45% in England agreed). Percent of respondents who agree or strongly agree UK England 2009 2011 2013 2009 2011 2013 Trees are good because they remove carbon dioxide from the atmosphere and store it in wood 84 82 80 85 83 80 Planting more trees can help us cope with climate change by providing shade and reducing the effects of flooding 67 73 72 67 74 73 The UK could offset all its greenhouse gas emissions by planting more trees 49 56 55 49 58 55 Cutting down forests and woodland makes climate change worse, even if they are replanted 52 52 55 53 53 55 Using wood for fuel is better for climate change than using fuels such as coal and gas 48 47 44 47 47 45 Using wood for building is better for climate change than using materials such as concrete and steel 43 42 42 42 43 43 Using wood for fuel makes climate change worse because it releases carbon dioxide 36 36 37 36 37 39 Source: UK Public Opinion of Forestry Surveys. Note: 1. Figures are based on all respondents: UK - 2009 (2,011), 2011 (2,068), 2013 (1,927); England - 2009 (1,685), 2011 (1,733), 2013 (1,615). ## Forest Management In Response To Climate Change Respondents were presented with a series of statements regarding the way in which UK forests and woodlands should be managed in response to the threat of climate change. Table 10 shows that the majority of respondents agreed or strongly agreed that:  'A lot more trees should be planted' (86% in the UK and 85% in England);  'More information should be provided about the ways in which wood can be used to lessen our impact on the environment' (80% in both the UK and in England); and that  'Different types of trees should be planted that will be more suited to future climates' (71% in both the UK and in England). Conversely, few respondents agreed or strongly agreed that:  'There is nothing anyone could do that would make any difference' (17% in both the UK and in England);  'No action is needed; let nature take its course' (18% in the UK and in England);  'Trees should not be felled in any circumstances, even if they are replaced' (22% in the UK and 23% in England); ## Climate Change Percent of respondents who agree or strongly agree UK England 2009 2011 2013 2009 2011 2013 A lot more trees should be planted 92 90 86 92 90 85 More information should be provided about the ways in which wood can be used to lessen our impact on the environment 86 86 80 86 86 80 Different types of trees should be planted that will be more suited to future climates 70 74 71 70 74 71 Trees should not be felled in any circumstances, even if they are replaced 17 21 22 17 21 23 No action is needed, Let nature take its course 16 21 18 16 20 18 There is nothing that anyone could do that would make any difference 13 13 17 13 13 17 Source: UK Public Opinion of Forestry Surveys. Note: 1. Figures are based on all respondents: UK - 2009 (2,011), 2011 (2,068), 2013 (1,927); England - 2009 (1,685), 2011 (1,733), 2013 (1,615). ## Wood As A Fuel All respondents were asked to state whether or not they use wood as a fuel in their home, either on its own or with other fuels. Around one in eight respondents in the UK and in England (12%) reported that they use wood as a fuel (Table 11). This was not significantly different from the results in previous surveys. Percent of respondents Year UK England 2007 8 8 2009 11 10 2011 12 12 2013 12 12 Source: UK Public Opinion of Forestry Surveys. Note: 1. Figures are based on all respondents: UK - 2007 (4,018), 2009 (2,011), 2011 (2,068), 2013 (1,927); England - 2007 (3,339), 2009 (1,685), 2011 (1,733), 2013 (1,615). Respondents who said they used wood as a fuel were asked three further questions. The following was reported in 2013:  The way in which wood as a fuel is obtained is relatively evenly balanced between those who gathered the wood themselves (31% in the UK and 34% in England), those who bought it 'a few bags at a time' (37% in the UK and 31% in England) and those who received it 'by the truck load' (31% in the UK and 34% in England);  The majority (59% in the UK and in England) said they use wood as a fuel occasionally while the remainder would class themselves as regular users;  14% of wood fuel users in the UK and 12% in England said they use wood as the main fuel for heating their home, while the rest mainly use something else. Respondents who said they did not use wood as a fuel were asked to give the main reason why not. The most common reasons cited by respondents who do not use wood as a fuel, either on its own or with other fuels, were:  'Don't have facilities e.g. open fire/ chimney' (48% in the UK and 46% in England),  'Not practical for this property' (26% in the UK and in England) and  'Happy with the existing system' (16% in the UK and 17% in England). ## Tree Health A new question relating to tree health was introduced for the 2013 survey. Respondents were presented with a series of statements and asked to indicate their level of agreement. Table 12 shows that the majority of respondents agreed or strongly agreed that:  'Action should be taken by authorities and woodland managers to protect trees from damaging pests and diseases' (80% in the UK and in England);  'I would be willing to look out for and report sightings of pests and diseases on trees, if appropriate information and advice was available to me' (64% in the UK and 63% in England); and that  'Everyone should take action when visiting woodlands to help prevent the spread of damaging tree pests and diseases' (63% in the UK and 64% in England). Conversely, few respondents agreed or strongly agreed that:  'There is very little that anyone can do to prevent the spread of damaging pests and diseases' (22% in the UK and 23% in England);  'I understand what is meant by biosecurity' (28% in the UK and 27% in England). ## Table 12: Tree Health Percent of respondents who agree or strongly agree UK England Action should be taken by authorities and woodland managers to protect trees from damaging pests and diseases 80 80 I would be willing to look out for and report sightings of pests and diseases on trees, if appropriate information and advice was available to me 64 63 Everyone should take action when visiting woodlands to help prevent the spread of damaging tree pests and diseases 63 64 I understand what is meant by biosecurity 28 27 There is very little that anyone can do to prevent the spread of damaging tree pests and diseases 22 23 Source: UK Public Opinion of Forestry Survey 2013. Note: 1. Figures are based on all respondents: UK (1,927); England (1,615). Source: UK Public Opinion of Forestry Survey 2013. Note: 1. Figures are based on all respondents in the UK (1,927). 2. See Table 10 or Questionnaire in Annex for full text of response options. Source: UK Public Opinion of Forestry Survey 2013. Note: 1. Figures are based on all respondents in England (1,615). 2. See Table 10 or Questionnaire in Annex for full text of response options. ## Annex Introduction This annex provides background information on the statistics presented in this release. It covers the data sources and methodology used to produce the statistics, information on quality measures and on any revisions to historic data and links to further information. ## Glossary Biosecurity A set of precautions that aim to prevent the introduction and spread of harmful organisms. These may be pests, pathogens or invasive species. Confidence interval An estimated range of values that is likely to include an unknown population parameter. The confidence interval around an estimate is derived from the sample data, and is used to indicate the reliability of the estimate. Clustering A sampling technique where the entire population is divided into groups, or clusters, and a random sample of these clusters are selected. All (or a selection of) observations in the selected clusters are included in the sample. Cluster sampling is often used when a random sample would produce a list of subjects so widely scattered that surveying them would prove to be far too expensive. Forestry Commission (FC) The government department responsible for forestry matters in England, Scotland and (until March 2013) Wales. The Forestry Commission's functions in Wales transferred to a new organisation, Natural Resources Wales, on 1 April 2013. The responsibility for forestry is devolved. Forest In the United Kingdom, there is no formal definition of "forest"; the term is often used for large woodland areas (especially conifers) or for old Royal hunting preserves such as the New Forest or the Forest of Dean. Forest Service (FS) An agency of the Northern Ireland Department of Agriculture and Rural Development. Great Britain (GB) England, Wales and Scotland. Quota sampling A method of sampling where interviewers are each given a fixed number of subjects of specified type to interview. Statistical significance A statistical assessment of whether observations reflect an actual pattern rather than just chance. Stratification A sampling technique where the entire population is divided into groups, or strata, and a random sample is selected within each group. Stratified sampling is often used to ensure that sufficient numbers from each group are included in the overall sample, particularly where results are required for each group. United Kingdom (UK) Great Britain and Northern Ireland. Weighting A set of factors assigned to survey responses to ensure that the resulting weighted results are representative of the population as a whole. Woodland Land under stands of trees with a canopy cover of at least 20% (25% in Northern Ireland), or having the potential to achieve this, including integral open space, and including felled areas that are awaiting restocking. ## Data Sources And Methodology Background The Forestry Commission has conducted biennial surveys of public attitudes to forestry and forestry-related issues since 1995. The surveys have evolved since then as follows:  In the initial surveys, a representative sample of 2,000 adults across Great Britain (GB) was surveyed;  In 2001, with more interest in country-level results within GB, additional questions were asked of representative samples of 1,000 adults in each of Scotland and Wales;  Information has also been collected for Northern Ireland in the past through UK wide surveys in 2003 and the separate Northern Ireland surveys (1,000 adults) carried out in 2005, 2007 and 2010;  In 2013 three separate surveys were carried out for the UK, for Scotland and for Wales. Some questions were asked in all three of the surveys conducted in 2013, but a number of questions have become survey-specific. The table below is a summary of the previous surveys and presents the approximate number of adults interviewed for each country. England results are a subset of the UK survey. Approximate number of adults interviewed Year UK1 England2 Wales Scotland Northern Ireland 2001 2,000 1,000 1,000 2003 4,000 3,400 1,000 1,000 2005 4,000 3,400 1,000 1,000 1,000 2007 4,000 3,300 1,000 1,000 1,000 2009 2,000 1,700 1,000 1,000 2010 1,000 2011 2,000 1,700 1,000 1,000 2013 2,000 1,700 1,000 1,000 Note: 1. 2001 and 2005 surveys covered Great Britain only (i.e. excluding Northern Ireland). 2. Results for England are derived from UK surveys. ## Survey Design The 2013 survey results presented in this report are taken from the GfK NOP Random Location Omnibus survey carried out from the 21st February to 6th March 2013. The survey was based on a representative sample of 1,927 adults (aged 16 or over) across the UK, of whom 1,597 adults were in England. They were selected from within 175 randomly selected sample points across the UK. More details of the sample method are given below. The 2011 and 2009 surveys were also obtained from the GfK NOP Random Location Omnibus survey. The UK 2007 survey data were obtained from the TNS CAPI Omnibus survey while the 2003 and 2005 survey data were obtained from the TNS RSGB General Omnibus. These surveys, which had a higher sample size of 4,000 adults for UK/GB, employed a different survey design so comparisons should be taken with care. ## Methodology UK 2013 survey The GfK NOP Random Location Omnibus employs a quota sample of individuals with randomly selected sampling points. The sample design is essentially a 3-stage design, sampling first parliamentary constituencies, and then output areas within those selected constituencies and finally respondents within the output areas. The sample is based on 175 sampling points. Stratification of parliamentary constituencies The first-stage sampling units for the survey are parliamentary constituencies, which are initially stratified by government office region. In Scotland, a further stratification is by the Strathclyde Region and the rest of Scotland while in Wales, the South East is stratified separately from the rest of Wales. Within each Standard Region, constituencies are classified into four urban/rural types (Metropolitan county, other 100% urban (greater than 7 persons per hectare), mixed urban/rural and rural). Within each of the resultant 46 cells, as a final stratification, constituencies are listed in order of the percentage of people resident in households whose head is in socio-economic Groups 1, 2, 3, 4 or 13 (approximates to Social Grades A&B). Selection of parliamentary constituencies When all the constituencies have been listed in the above way, the electorate of each constituency is entered on the list and a cumulative total of electors by constituency is formed. From the file of constituencies, a sample of 175 must be drawn thus the total number of cumulative electors (N) on the list is divided by 175 and a random number between 1 and N/175 is selected. This random number identifies an elector, in the cumulative total of electors, and the constituency this elector is in becomes the first selected constituency in the sample. To obtain the other 174 constituencies, the sampling interval N/175 is added on 174 times to the initial random number to select the 175 constituencies required. The Selection of Output Areas Within each selected constituency, an output area is selected for each wave of the Omnibus (i.e. each separate run of the survey). These output areas are selected at random, but with some stratification control so that the sample of areas drawn is representative of the sample of constituencies and therefore of the United Kingdom in demographic terms. The variables used for stratification are age, sex, social class, and geodemographic profile (Mosaic classification). Once the areas have been selected, the profile of the aggregated set of areas is checked against the national profile to ensure that it is representative. Each area is a small area containing, on average, around 150 households. Each output area is therefore homogeneous, with the people living within it being fairly similar in social grade terms. Therefore, when quotas are set for interviewing within each output area, the variables controlled for are age and sex within working status. No quota is set for social grade, as the selection of areas ensures that the sample is balanced in this respect. This procedure is repeated for each wave of the Omnibus, producing a different sample of areas for each week of fieldwork. The Selection of Respondents For each selected output area, a list of all residential addresses is taken from the Postal Address File (PAF), which is used by the interviewer to identify the households at which they can interview. In addition to the address listing for an output area, the interviewer is also given a quota sheet in order to target certain groups in terms of age and sex within working status. Each interviewer must interview 12 people within an output area, and the quotas are different for each area in order to reflect the demographic profile of that area. ## Questionnaire A copy of the 2013 questionnaire is provided at the end of this release. This covers the questions requested by the Forestry Commission. In addition, a small number of additional questions are included as standard in the omnibus surveys run by Market Research companies (e.g. gender, age, country/ region) and some of these are also used in analysing the results from the survey. Most questions are retained from one survey to the next, to enable comparisons over time. However, changes are sometimes made to reflect changing circumstances or priorities, or to improve the wording of questions. The following changes were made for the 2013 questionnaire:  Questions that asked about children and woods and about whether respondent has children have been dropped;  A new question has been added on tree health (Q10);  Additional response options have been included to the question on how disabilities or health problems have affected use of woodlands/ forests or other greenspaces (Q11c);  New questions have been added on aspects of diversity (Q13-16). ## Quality The data collected in the survey are weighted, to correct for imbalances between the profiles of the sample and the population and therefore ensure that the weighted results are representative of the UK adult population. For the 2013 survey, this weighting has resulted in an increase in the apparent number of respondents in England, from a total 1,597 adults who were interviewed to a weighted total of 1,615. The results quoted in this report are based on weighted data. All results are subject to the effects of chance in sampling, so a range of uncertainty (confidence interval) should be associated with any result from the survey. The confidence intervals take into account the effect of clustering, weighting and stratification in the survey design (see methodology, above, for more details). Confidence intervals are most commonly reported at the 95% level. This means that there is a 95% chance that the true population value lies within the confidence interval. The following provides a guide to interpreting the results in this report on the basis of a 95% confidence interval:  For questions asked in 2013 to the whole UK sample of 1,927, the range of uncertainty around any figure should be no more than ±3.3% (±3.7% for the 1,615 respondents in England).  For responses of subgroups, i.e. questions not posed to the whole sample of respondents, the range of uncertainty is correspondingly higher. For example the uncertainty for statistics asked only to those who visited woodland (1,272 respondents in the UK and 1,056 in England) should be no more than ±4.1% for the UK and no more than ±4.5% for England.  For questions asked to whole samples, differences of more than 4.7% (UK) or 5.1% (England) between the 2013 results and 2011 results are statistically significant.  For questions asked only to those who had visited woodland, differences of more than 5.7% (UK) or 6.2% (England) between the 2013 results and 2011 results are statistically significant. Given the small sample sizes within the UK survey for respondents living in other parts of the UK, it is not recommended that the UK survey be used to provide results for Wales, Scotland or Northern Ireland. Please refer to the separate survey reports for these countries for relevant results. Further quality information on FC Official Statistics is available at: www.forestry.gov.uk/forestry/infd-7zhk85 ## Revisions Statistics on the proportion of adults who have been actively engaged in forestry have already been released, in Forestry Commission England's Corporate Plan Performance Indicators and Woodland Indicators 2013 (woodlands indicator 9). Other results from the 2013 survey are published for the first time in this release. All figures are final. Figures for earlier years have not been revised from those previously released. The Forestry Commission's revisions policy sets out how revisions and errors to these statistics are dealt with, and can be found at: www.forestry.gov.uk/pdf/FCrevisions.pdf/$FILE/FCrevisions.pdf. ## Further Information Accompanying tables to this release, available at www.forestry.gov.uk/forestry/infd- 5zyl9w, provide more detailed figures, showing standard breakdowns. Figures in tables have been independently rounded, so may not add to the totals shown. ## Release Schedule The UK Public Opinion of Forestry is a biennial survey, next due to run in early 2015 with results likely to be available in summer 2015. ## Official Statistics This is an Official Statistics publication. For more information about Official Statistics and the UK Statistics Authority visit www.statisticsauthority.gov.uk. ## Uk Public Opinion Of Forestry Survey 2013: Questionnaire Q1 [All] a. In the last few years have you visited forests or woodlands for walks, picnics or other recreation? (Single answer)  Yes  No b. Which of the following, if any, are the main reasons for you not visiting woodland/forests more often or at all? (Multi answer)  Not interested in visiting more often  Don't have a car  Lack of suitable public transport  Other personal mobility reasons (difficulty in walking, unwell, etc.)  Woods are too far away  Lack of facilities (play areas, picnic areas, etc.)  Lack of information about woods to visit  Prefer other areas of countryside  Concerns that woods are not safe  Woodlands are badly maintained  Cost of visiting  Lack of confidence  I'm too busy/ not enough time  Bad weather  None of the above ## [Ask If Answered Yes To Q1A. Others To Q4] C. Did You Visit Woodlands In The Countryside Or Woodlands In And Around Towns Or Both? (Single answer)  Woodlands in the countryside  Woodlands in and around towns  Both ## Q2 [If Answered Yes To Q1A] How frequently did you visit forests and woodlands last summer, i.e. between April and September 2012? (Single answer)  Several times per week  Several times per month  About once a month  Less often  Never ## [If Answered Yes To Q1A] And How Often This Winter, I.E. Since October 2012? (Single answer)  Several times per week  Several times per month  About once a month  Less often  Never ## Q3 [If Answered Yes To Q1A] Thinking of your visits to woodlands / forests over the past few years / what activities have you taken part in? (Multi answer)  Exercise e.g. walk, run, mountain biking  Dog walking  Horse riding  Been on a guided walk or talk  Followed an interpreted trail  Been to enjoy sculpture or arts and crafts  Been to see an ancient tree  Been to see a historic site  Attended an organised event in a wood that involved physical activity  Visited a cafe  Had a picnic or barbecue  Played with the children  Watched nature  Relaxed or spent time thinking  Volunteered  Attended cultural event or activity (e.g. exhibition, performance or ceremony)  None  Other (specify) ## Q4 [All] Now Thinking Specifically About Woodlands And Forests And Why They Are Important To The Public Please Indicate Whether You Strongly Agree, Agree, Disagree Or Strongly Disagree With The Following Statements. I Think Woodlands And Forests Are Important To The Public Because: (1) Strongly Disagree, (2) Disagree, (3) Neither Agree Or Disagree, (4) Agree, (5) Strongly Agree, And (6) Don'T Know  They contribute to the local economy  They are places where people can relax and de-stress  They are places where people can exercise and keep fit  They are places where people can have fun and enjoy themselves  They are places where people can learn about the environment  They are places where people can learn about local culture or history  They are important places for wildlife  They bring the community together  They make areas nicer places to live  They get people involved in local issues ## Q5 [If Answered Yes To Q1A. Others To Q6] Now Thinking Specifically About Woodlands And Forests You Have Visited And Why They Are Important To You Personally Please Indicate Whether You Strongly Agree, Agree, Disagree Or Strongly Disagree With The Following Statements. Woodlands And Forests Are Important To Me Because: (1) Strongly Disagree, (2) Disagree, (3) Neither Agree Or Disagree, (4) Agree, (5) Strongly Agree, And (6) Don'T Know  They are places where I can relax and de-stress  They are places where I can exercise and keep fit  They are places where I can have fun and enjoy myself  They are good places for me to socialise  They are places where I can learn about the environment  They are places where I can learn about local culture or history  They get me involved in local issues  They are places where I feel at home ## Q6 [All] Have you in the past 12 months… (Multi answer)  Been involved or consulted about plans for creating/ managing or using woodlands in your area.  Been involved in an organised tree planting event  Been involved in voluntary work in connection with a woodland (e.g. physical work in a wood, admin, fund raising, running a group)  Become or are a member of a community based woodland group such as a 'Community Trust' or 'Friends of' group  None of these ## Q7 [All] Would You Agree Or Disagree With The Following Statements About The Ways In Which Forests And Woodlands In The Uk Can Impact On Climate Change? (1) Strongly Disagree, (2) Disagree, (3) Neither Agree Or Disagree, (4) Agree, (5) Strongly Agree, And( 6) Don'T Know  Trees are good because they remove carbon dioxide from the atmosphere and store it in wood  Cutting down forests and woodland for timber always makes climate change worse, even if they are replanted  Using wood for fuel is better for climate change than using fuels such as coal and gas  Using wood for fuel makes climate change worse because it releases carbon dioxide  Using wood for building is better for climate change than using materials such as concrete and steel  The UK could offset all its greenhouse gas emissions by planting more trees  Planting more trees can help us cope with climate change by providing shade and reducing the effects of flooding ## Q8 [All] Do You Agree Or Disagree With The Following Statements Regarding How Uk Forests And Woodlands Should Be Managed In Response To The Threat Of Climate Change? (1) Strongly Disagree, (2) Disagree, (3) Neither Agree Or Disagree, (4) Agree, (5) Strongly Agree, And (6) Don'T Know  There is nothing that anyone could do that would make any difference  No action is needed; let nature take its course  A lot more trees should be planted  Trees should not be felled in any circumstances, even if they are replaced  Different types of trees should be planted that will be more suited to future climates  More information should be provided about the ways in which wood can be used to lessen our impact on the environment ## Q9 [All] a. Do you ever use wood as a fuel in your home, either on its own or with other fuels? (Single answer)  Yes  No (Go to Q9e) [Ask if answered yes to Q9a] b. Do you get the wood by the truck load, or a few bags at a time, or gather it yourself? (Single answer)  by the truck load  a few bags at a time  gather it yourself  Other [Ask if answered yes to Q9a] c. Do you use wood as a fuel regularly or only occasionally? (Single answer)  regularly  occasionally [Ask if answered yes to Q9a] d. Is the wood the main fuel for heating your home, or do you mainly use something else? (Single answer)  main fuel  something else [After Q9d, skip to Q10] ## [Ask If Answered No To Q9A] E. What Is The Main Reason That You Do Not Use Wood As A Fuel In Your Home? (Single answer)  Never thought about it  Happy with the existing system/ other fuels  Not practical for this property  Concerned about cost  Concerned about efficiency  Concerned about ease of use  Concerned about environmental issues  Do not own property  Lack of local help/suppliers  Don't have facilities (e.g. open fire/ chimney)  Other (specify) ## Q10 [All] Would You Agree Or Disagree With The Following Statements Relating To Tree Health? (1) Strongly Disagree, (2) Disagree, (3) Neither Agree Or Disagree, (4) Agree, (5) Strongly Agree, And( 6) Don'T Know  Everyone should take action when visiting woodlands to help prevent the spread of damaging tree pests and diseases (e.g. by washing shoes/ boots, bikes etc before and after their visit and by brushing soil & plant material from clothes).  I would be willing to look out for and report sightings of pests and diseases on trees, if appropriate information and advice was available to me.  There is very little that anyone can do to prevent the spread of damaging tree pests and diseases.  Action should be taken by authorities and woodland managers to protect trees from damaging pests and diseases.  I understand what is meant by biosecurity. ## Q11 [All] A. Do You Consider Yourself To Have Any Of The Following Disabilities Or Health Problems? (Multi answer)  Mobility disability  Visual impairment  Hearing impairment  Mental health problem  Physical disability  Other  None of the above [Ask all with a disability. Others to Q12] b. Does your disability affect your use of woodlands/ forests or other greenspaces? (Single answer)  Yes  No (Go to Q12) [Ask if answered yes to Q11b. Others to Q12] c. If so, in which of the following ways? (Multi answer)  Lack of public transport to the woodland/forest or other green space  Lack of suitable paths around the woodland/forest or other green space  Lack of accessible facilities, eg toilets, cafe, visitor centre etc  Lack of suitable activities at the woodland/forest or other green space  Lack of information to help inform a visit to the woodland/forest or other green space  Lack of information at the woodland/forest or other green space  Lack of information in a suitable format for your disability  Attitude of staff at the woodland/forest or other green space  Attitude of other visitors at the woodland/forest or other green space  The cost of reaching the woodland/forest or other green space  Cost once at the woodland/forest or other green space  Concern that woods are not a safe place  Other (specify) ## Q12 [All] Which of these best describes your ethnic origin? (Single answer) ## 1. White Includes:  English / Welsh / Scottish / Northern Irish / British  Irish  Gypsy or Irish Traveller  Any other White background ## 2. Mixed / Multiple Ethnic Groups  White and Black Caribbean  White and Black African  White and Asian  Any Other Mixed / multiple ethnic background ## 3. Asian / Asian British Includes:  Indian  Pakistani  Bangladeshi  Chinese  Any Other Asian background ## 4. Black / African / Caribbean / Black British Includes:  African  Caribbean  Any Other Black / African / Caribbean background ## 5. Other Ethnic Group Includes:  Arab  Any other ethnic group ## Q13 [All] Do you identify as belonging to the trans community (including transsexual, transgender, transvestite, cross-dresser, etc)? (Single answer)  Yes  No  Prefer not to disclose ## Q14 [All] Which of the following options best describes how you think of yourself? (Single answer)  Heterosexual  Gay man  Gay woman/lesbian  Bisexual  Other  Prefer not to disclose ## Q15 [All] Which of the following options best describes how you think of your religion or belief? (Single answer)  No religion  Christian (all denominations)  Buddhist  Hindu  Jewish  Muslim  Sikh  Atheist  Other  Prefer not to disclose ## Q16 [All] Are you …? (Single answer)  Married  In a civil partnership  Single  Widowed/ divorced/ separated  Other  Prefer not to disclose

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. Published: 12 May 2016 Mortgage and Landlord Possession Statistics in England and Wales January to March 2016 Ministry of Justice Statistics bulletin ## Contents | Introduction | 3 | |----------------------------------------|-----| | Court Caseload | 3 | | | | | Case Timeliness | 3 | | | | | Seasonal Adjustment | 4 | | | | | Key Findings | 5 | | | | | 1: Mortgage possession actions | 6 | | | | | 2: Landlord possession actions | 13 | | | | | Annex A: Further information | 20 | | | | | Annex B: Policy changes | 22 | | | | | Annex C: Map information | 24 | | | | | Annex D: Explanatory notes | 25 | | | | | Contact points for further information | 26 | | | | ## Introduction This quarterly bulletin presents statistics on mortgage and landlord possession actions in the county courts of England and Wales in January to March 2016. The statistics provide summary figures on the volume and progression of cases that follow the court process of repossessing a property. ## Court Caseload A mortgage or landlord possession action starts when a mortgage lender or landlord completes and submits a claim to the courts to repossess a property. The most common reason for repossession is arrears of mortgage or rent. The court process of possessing a property broadly follows four stages: 1. A claim for a mortgage or landlord possession being issued by a mortgage lender or a landlord; 2. An order being made by the county court. This can either be an outright order that the property is to be recovered by a specific date, or a suspended order that is suspended as long as the defendant complies with conditions specified in the order; 3. If the defendant fails to leave the property by the date given in the order or does not meet the terms of a suspended order, the order may be enforced by a warrant of possession. This authorises the county court bailiff to evict the defendant from the property. The bailiff then arranges a date to execute the eviction; and 4. Repossession by a county court bailiff. Repossessions may occur without county court bailiffs, through less formal procedures, so the actual number of repossessions is usually greater than the number carried out by county court bailiffs. This report also includes UK wide total mortgage repossession figures from the Council of Mortgage Lenders (CML).These are not directly comparable to the other figures in this report, which cover England and Wales only. Figures for each of these four processes are presented in the Excel tables and CSV files that accompany this publication. ## Case Timeliness Two measures of case timeliness are included in this bulletin. The first looks at how long it has taken (in weeks) to get to each stage in the relevant court process from the date when the claim was received, whilst the second reports how long it takes, on average, for claims to reach each stage in the process (number of quarters elapsed) alongside the proportion of claims that actually reach each stage. ## Seasonal Adjustment Seasonal adjustment aims to remove regular seasonal patterns in a time series to show how it changes from quarter to quarter and give a clearer picture of the longer term trends. Possession actions tend to vary due to seasonal effects - since these seasonal effects follow a regular annual pattern, their impact on the series can be removed by seasonally adjusting the data. Please see 'A Guide to Civil and Administrative Justice Statistics'1 for more information on how these figures are calculated. ## Users Of The Statistics These statistics are a leading indicator of the number of properties to be repossessed and the only source of sub-national possession information. In addition to monitoring court workloads, they are used to assist in the development, monitoring and evaluation of policy both nationally and locally. The main users of these statistics are Ministers and officials in central government departments, such as the Department of Communities and Local Government and HM Treasury. Other users include non-governmental bodies, including various voluntary organisations, with an interest in housing and homelessness, such as Shelter. The next publication of Mortgage and Landlord Possession Statistics Quarterly in England and Wales is scheduled to be published on 11 August 2016, covering the period April to June 2016. ## Key Findings This report presents key statistics on mortgage and landlord possession claims in county courts in England and Wales for the first quarter of 2016 (January to March). It includes summary figures of the volume and progression of cases that follow the court process of possessing a property. All figures for the current quarter are provisional. ## Mortgage Possession  In January to March 2016, 4,738 mortgage possession claims were recorded in county courts, down 16% compared to the number issued in the same quarter last year.  There were 3,208 orders for possession, 4,836 warrants of possession and 1,355 repossessions by county court bailiffs in January to March 2016; down 28%, 24% and 18% respectively compared to the same quarter last year, following the long-term downward trend seen since 2009.  Seasonally adjusted data shows that when compared to the previous quarter (October to December 2015), claims have remained stable, orders and repossessions have increased by 8% and 6% respectively and warrants have slightly decreased (down 2%). This is possibly an indication that the downward trend seen in mortgage possession claims is stabilising; this will become evident if future quarters follow the same pattern. ## Landlord Possession  In January to March 2016, 38,053 landlord possession claims in county courts were recorded, down 10% from the same quarter in 2015.  The profile of types of landlord possession claim (e.g. social landlord, private landlord and accelerated claims) has changed over time. In January to March 2016, the majority of landlord possession claims (63%) were social landlord claims although this proportion has fallen from 83% in 1999 - in contrast, a quarter of claims made in January to March 2016 (23%) were accelerated claims and this proportion has risen 11 percentage points since January to March 2009.  There were 29,049 orders for possession, 19,728 warrants of possession and 10,968 repossessions by county court bailiffs, down 8%, 5% and 3% respectively, on the same quarter last year.  When comparing to the previous quarter (October to December 2015), the seasonally adjusted data shows a slight decrease in claims and warrants, of 2% and 1% respectively and orders have remained stable.  The seasonally adjusted figures for repossessions by county court bailiffs show an increase of 5% when compared to October to December 2015, reversing the downward trend seen over the previous three quarters. ## 1: Mortgage Possession Actions The number of mortgage possession actions2 in court increased from 2002 to 2008, and has been decreasing since then (Figure 1 and Table 1). The total number of properties repossessed3 has followed a similar trend. The fall in the number of mortgage possession actions since 2008 coincides with lower interest rates4, a proactive approach from lenders in managing consumers in financial difficulties and other interventions from the government, such as the Mortgage Rescue Scheme. Other factors that may have contributed to the rapid fall in the number of mortgage possession claims and orders since 2008 include the introduction of the Mortgage Pre- Action Protocol (see Annex B on policy changes for more information). Additionally, the downward trend in recent years coincides with a decrease in the proportion of owner-occupiers. In England, owner-occupiers reduced from 71% in 2003 to 63% in 2013/14 and has since remained stable5. Claims issued: A possession claim is created when a claimant begins a legal action for an order for possession of property by making a claim that is then issued in a county court. There were 4,738 mortgage possession claims issued in January to March 2016, down 16% on the same quarter in 2015 (5,643). After seasonal adjustment, the number of claims was 4,576 in January to March 2016, remaining stable when compared to the previous quarter (4,557). The number of mortgage claims per 100,000 households by local authority ranged from zero (Rutland) to 60 (Blackpool). There were two areas with more than 45 mortgage possession claims per 100,000 households (Darlington and Redditch) whilst there were 12 other local authorities with less than five claims. Orders8: The court may grant an order following a judicial hearing which can be either for immediate possession (outright order) or suspended. There were a total of 3,028 orders in January to March 2016, down 28% on the number of orders in the same period in 2016 (4,224). Seasonally adjusted figures show an 8% increase compared to the number of orders made in October to December 2015 (from 2,947 to 3,346). Forty three % of mortgage possession orders made in January to March 2016 were suspended compared with 57% that were outright. Annually, from 2006 to 2014, between 46% and 50% of orders were suspended each year - this proportion dropped to 43% in 2015. Warrants of possession9: Having received an order, or if the terms of a suspended order are broken, the claimant can apply for a warrant of possession. There were 4,836 warrants of possession in January to March 2016, a 24% decrease on the same period in 2015 (6,343). Seasonally adjusted figures show a 2% decrease in the number of warrants on the previous quarter from 5,069 to 4,992, the lowest quarterly figure since 2009. Repossessions in England and Wales by county court bailiffs: Once a warrant has been issued, county court bailiffs can repossess the property on behalf of the claimant. There were 1,355 repossessions by county court bailiffs in January to March 2016, down 18% on the same quarter in 2015 (1,658). Seasonally adjusted figures show a 6% increase on the previous quarter from 1,219 to 1,296. All repossessions in the UK10: UK-wide, there were 2,200 repossessions in October to December 2015. This figure includes repossessions carried out by county court bailiffs and also other types of repossessions. Eighty-four local authorities show no repossessions by county court bailiffs in January to March 2016 whilst the highest number of repossessions per 100,000 households was 35 (Enfield). There were two other areas with more than 20 mortgage possession repossessions by county court bailiffs (Kingston upon Hull and Broxbourne). Case Timeliness: Figure 2 shows the average number of weeks taken since the initial claim for those orders, warrants and repossessions made by county court bailiffs in each quarter. Figure 3 shows the percentage of mortgage claims that reach each stage by the number of quarters since the claim was submitted. Orders: The average number of weeks taken since initial claim has increased steadily from 12 weeks for orders made in 2005 to 15 weeks in 2012 and this remained relatively stable until 2014. Figures for 2015 show an increase in the average time taken to 18 weeks. In January to March 2016 the figure stood at 16 weeks. Of those claims submitted in the past five years, 64% have currently progressed to orders - 58% progressed either within the same quarter or by the end of the quarter following that in which the claim was lodged. Warrants: The average number of weeks taken since initial claim for warrants issued remained steady between 2005 and 2008, and ranged between 32 weeks and 33 weeks. The average began to rise sharply to 72 weeks in 2013 before falling slightly to 70 weeks in 2014. For those warrants recorded in 2015, it took on average 84 weeks from the initial claim, the longest recorded average time since records began. In January to March 2016, this figure stood at 87 weeks. Of those claims submitted in the past five years, 20% have currently progressed to warrants - 6% progressed in the quarter following the quarter in which the claim was lodged and a further 6% progressed in the subsequent quarter Repossessions by County Court Bailiffs: The average time taken since initial claim for those repossessions made in the relevant period rose from 40 weeks in 2005 to 88 weeks in 2014 with a rapid increase from 2009 onwards. This increased by 19 weeks to 107 weeks in 2015. In January to March 2016 the figure stood at 124 weeks. Both the annual and quarterly figures are the highest since records began. Of the claims submitted in the past five years, 37% have progressed to repossessions - 15%13 progressed either within the same quarter (2%) or by the end of the quarter following that in which the claim was lodged (14%). ## 2: Landlord Possession Actions Annually, landlord possession claims decreased between 2002 and 2010 and subsequently increased until a peak in 2013. The number of claims fell in 2014 and 2015 indicating a change in trend (Figure 4 and Table 4). Claims issued: A possession claim is created when a claimant begins a legal action for an order for possession of property by making a claim that is then issued in a county court. There were 38,053 landlord possession claims issued in January to March 2016, down 10% on the same quarter in 2015 (42,220). After seasonal adjustment, the number of claims was 36,452 in January to March 2016, a decrease of 2% on the previous quarter (37,314). Within landlord possession claims, there are three types of claim: social landlord, private landlord and accelerated claims. Accelerated claims can be used by both private and social landlords under certain circumstances and are usually quicker than normal evictions. In January to March 2016, the majority of landlord possession claims (23,970 or 63%) were social landlord claims, 5,201 (14%) were private landlord claims and 8,882 (23%) were accelerated claims. The proportion of claims made using the accelerated procedure has increased from 7% in 1999 to 25% in 2015, whereas the proportion of claims from social landlords has fallen from 83% in 1999 to 62% in 2015. The proportion of claims made by private landlords increased from 9% in 1999 to 17% in 2010, before falling to 13% in 2015 (Figure 5). Hart showed the lowest rate of landlord claims (24 per 100,000 households) whilst Barking and Dagenham showed the highest (560 per 100,000 households). London boroughs account for 16 of the 20 local authorities with the highest proportion of landlord claims (Luton, Liverpool, Peterborough and Slough being the only exceptions). Orders: The court may grant an order following a judicial hearing which can be either for immediate possession (outright order) or suspended. There were a total of 29,049 landlord possession orders made in January to March 2016, down 8% on the number of orders in the same period in 2015 (31,413). Seasonally adjusted figures show this has remained stable when compared to the previous quarter (from 28,702 to 28,710). In January to March 2016, 39% of landlord possession orders being made were suspended. Warrants of possession16: Having received an order, or if the terms of a suspended order are broken, the claimant can apply for a warrant of possession. There were 19,728 warrants of possession in January to March 2016, a decrease of 5% on the same period in 2015 (20,697). Seasonally adjusted figures show a 1% decrease compared to the last quarter, from 19,177 to 18,907. Repossessions by county court bailiffs: Once a warrant has been issued county court bailiffs can repossess the property on behalf of the claimant. There were 10,968 landlord repossessions by county court bailiffs in January to March 2016, down 3% on the same period in 2015 (11,312). Seasonally adjusted figures also show a 5% increase compared to last quarter, from 10,253 to 10,732. The trend in repossessions by county court bailiffs differs to that seen in claims, orders and warrants. This can be attributed to the time it takes for claims to be processed through to the repossession stage. The number of landlord possession claims peaked in January to March 2014 and are most likely to be working their way through the system. October to December 2015 was the first quarter in recent years that showed a decrease in the number of repossession by county court bailiffs compared with the same period of the previous year. ## By Local Authority, 2016 Q117,18 There were 6 local authorities who no landlord repossessions by county court bailiffs in January to March 2016 (Hart, Staffordshire Moorlands, Surrey Heath, Waverley, City of London and Isle of Anglesey). The London borough of Enfield had the highest number (296 per 100,000 households in the area). London local authorities account for 7 of the 10 boroughs with the highest proportion of landlord repossessions (Medway, Luton and Slough being the only exceptions). Case Timeliness: Figure 6 shows that the average number of weeks taken from initial claim for those orders, warrants and repossessions by county court bailiffs made in each quarter. Figure 7 shows the percentage of landlord claims that reach each stage by the number of quarters since the claim was submitted. Orders: Annually, the average number of weeks taken from initial claim remained steady for those order made from 2005 to 2015, ranging from 11 weeks to 13 weeks with 2015 averaging 11 weeks. The trend has continued this quarter, with the average time taken for orders issued in January to March 2016 from initial claim standing at 11 weeks. Of the claims submitted in the past five years, 71% have currently progressed to orders - 64% progressed by the end of the quarter following the quarter in which the claim was lodged. Warrants: Annually, the average number of weeks taken since the initial claim for warrants issued each year has been steadily decreasing from 44 weeks in 2005 to 37 weeks in 2015. The average time taken from initial claim for warrants issued in January to December 2016 was 38 weeks. Of the claims submitted in the past 5 years, 23% have currently progressed to warrants - 12% had progressed by the end of the quarter following the quarter in which the claim was lodged. Repossessions by County Court Bailiffs: Annually, for those repossessions made each year, the average number of weeks since the initial claim rose from 45 weeks in 2005 to 51 weeks in 2009. Since then, it has been steadily decreasing until the middle of 2015. Since then, it has been increasing and the average time taken from initial claim for repossessions orders made by county court bailiffs in January to March 2016 rose to 45 weeks indicating a possible change in trend. Of the claims submitted in the past 5 years, 39% have progressed to repossessions - 23% progressed by the end of the quarter following the quarter in which the claim was lodged and 5% progressed in the subsequent quarter. ## Annex A: Further Information Supplementary tables and CSV datasets are available alongside this bulletin, allowing users to analyse the data themselves. The following tables are available, showing data for county courts in England and Wales:  Table 1, Mortgage possession workload in the county courts, 1987 - 2016 Q1  Table 2, Mortgage possession claims that lead to orders, warrants, and repossessions in the county courts, 1999 - 2016 Q1  Table 3a, Average (mean) time in weeks for mortgage possession claims to become an order, warrant and repossession, 2005 - 2016 Q1  Table 3b, percentage of mortgage claims that reach the each stage by the number of quarters since the claim was submitted, 2011 Q1 - 2016 Q1  Table 4, Landlord possession workload in the county courts, 1999 - 2016 Q1  Table 5, Landlord possession claims that lead to orders, warrants, and repossessions in the county courts, 1999 - 2016 Q1  Table 6a, Average (mean) time in weeks for landlord possession claims to become an order, warrant and repossession, 2005 - 2016 Q1  Table 6b, percentage of Landlord claims that reach the each stage by the number of quarters since the claim was submitted, 2011 Q1 - 2016 Q1  Table 7, Landlord possession claims in the county courts by type of procedure and landlord, 1999 - 2016 Q1  Table 8, Mortgage and landlord possession workload in the county courts, England, 1999 - 2016 Q1  Table 9, Mortgage and landlord possession workload in the county courts, Wales, 1999 - 2016 Q1  Table 10a, Seasonally adjusted mortgage possession actions in the county courts, 2009 - 2016 Q1  Table 10b, Seasonally adjusted landlord possession actions in the county courts, 2009 - 2016 Q1 The CSV datasets contain local authority and court-level breakdowns of claims, orders, warrants and county court bailiff repossessions for England and Wales, for the full amount of time that data are available. Where the value is between 1 and 5, the value is suppressed and shown as "-" to protect the confidentiality of those involved in the claim, order, warrant or repossession. For this reason, the national total number of claims, orders etc. from these datasets will not match the published totals provided in the Excel tables, although the differences are generally small. For more information, please refer to the separately downloadable Guide to local authority and court-level information, which can be found in the CSV zip folder, which accompanies this publication. Information on the representation status of claimants and defendants in repossession cases can be found in Civil Statistics Quarterly at www.gov.uk/government/collections/civil-justice-statistics-quarterly ## Annex B: Policy Changes New Bailiff Laws New laws came into effect on 6 April 2014 to bring an end to bad and aggressive bailiff behaviour, while making sure businesses, local authorities and others can still fairly enforce debts owed to them. These reforms are part of a wider package under changes to the Tribunals, Courts & Enforcement Act 2007. With roughly 4 million debts collected each year, in future only bailiffs who have been trained and received certification will be allowed to practise. Bailiffs will be banned from entering homes at night and from using physical force against debtors. The changes will also prevent bailiffs from entering properties where only children are at home and includes further measures to protect vulnerable people. Bailiffs will be prevented from taking vital household essentials from debtor's property, such as a cooker, microwave, refrigerator or washing machines. A new set of fixed fees for debtors has also been introduced, to end the previous situation where bailiffs were setting their own fees - sometimes at very high levels - and adding these to the amount people in debt had to pay. ## Introduction Of Mortgage Pre-Action Protocol A Mortgage Pre-Action Protocol (MPAP), approved by the Master of the Rolls, for possession claims relating to mortgage or home purchase plan arrears came into effect on 19 November 2008. The protocol applies to mortgage arrears on:  First charge residential mortgages and home purchase plans regulated by the Financial Service Authority under the Financial Services and Market Act 2000;  Third charge mortgages for residential property and other secured loans regulated under the Consumer Credit Act 1974 on residential property; and,  Unregulated residential mortgages. The Protocol gives clear guidance on what the courts expect lenders and borrowers to have done prior to a claim being issued. The main aims of it were to ensure that the parties act fairly and reasonably with each other in any matters concerning the mortgage arrears, to encourage more pre action contact between lender and borrower and to enable efficient use of the court's time and resources. The introduction of the MPAP coincided with a fall of around 50% in the daily and weekly numbers of new mortgage repossession claims being issued in the courts as evidenced from administrative records. As orders are typically made (when deemed necessary by a judge) around 7 weeks (using 2011 data) after claims are issued, the downward impact on the number of mortgage possession orders being made was seen in the first quarter of 2009. It has not been possible to adequately quantify the long term impact of the MPAP. This reflects the lack of a good comparator (although the MPAP was not introduced in Scotland, the big lenders in Scotland also operate south of the border and so lender behaviour is likely to be the same as in England and Wales), and the existence of other factors such as changing economic conditions, other measures introduced shortly after the MPAP, and lenders desire to minimise their losses. More details about the protocol can be viewed using the link: www.justice.gov.uk/guidance/courts-and-tribunals/courts/procedurerules/civil/contents/protocols/prot_mha.htm ## Annex C: Map Information The household projections used to produce the maps are based on the Department for Communities and Local Government 2012-based projections (which cover all local authorities in England) www.gov.uk/government/collections/household-projections and StatsWales' 2011-based projections (which cover all local authorities within Wales) statswales.wales.gov.uk/Catalogue/Housing/Households/Projections/Local- Authority/2011-Based . Both are the latest datasets available for the areas they cover. In addition to this, the boundary lines were drawn using the Great Britain local authority districts (LADs) from the ONS Geoportal (geoportal.statistics.gov.uk/geoportal/catalog/main/home.page) which contains the digital vector boundaries for LADs in Great Britain as of December 2014. Therefore, the maps created may not reflect any boundary changes that may have occurred in 2015. ## Annex D: Explanatory Notes The United Kingdom Statistics Authority has designated these statistics as National Statistics, in accordance with the Statistics and Registration Service Act 2007 and signifying compliance with the Code of Practice for Official Statistics. Designation can be broadly interpreted to mean that the statistics:  meet identified user needs;  are well explained and readily accessible;  are produced according to sound methods, and  are managed impartially and objectively in the public interest. Once statistics have been designated as National Statistics, it is a statutory requirement that the Code of Practice shall continue to be observed. The statistics in this bulletin relate to cases in the county courts in England and Wales. Calendar year statistics are also provided. ## Revisions The statistics in the latest quarter are provisional, and are therefore liable to revision to take account of any late amendments to the administrative databases from which these statistics are sourced. The standard process for revising the published statistics to account for these late amendments is as follows: An initial revision to the statistics for the latest quarter may be made when the next edition of this bulletin is published. Further revisions may be made when the figures are reconciled at the end of the year. If revisions are needed in the subsequent year, these will be clearly annotated in the tables. For more information please see the Guide to Civil and Administrative Justice Statistics. ## Symbols And Conventions The following symbols have been used throughout the tables in this bulletin: .. no data available - Between one and five. Low numbers are suppressed to prevent individuals being identified (r) Revised data (p) Provisional data ## Contact Points For Further Information Current and previous editions of this publication are available for download at: www.gov.uk/government/collections/mortgage-and-landlord-possessionstatistics Press enquiries should be directed to the Ministry of Justice press office: Sebastian Walters Tel: 0203 334 3529 Email: sebastian.walters@justice.gsi.gov.uk Queries on the wider policy implications of these statistics should be directed to the Department for Communities and Local Government's press office: Matthew Gorman Email: Matthew.Gorman@communities.gsi.gov.uk; Queries on statistics shown for 'Properties taken into possession' and other related statistics should be directed to the Council of Mortgage Lenders' press office on 020 7438 8922. Other enquiries about these statistics should be directed to: Tara Rose Justice Statistics Analytical Services 7th Floor Ministry of Justice 102 Petty France London SW1H 9AJ Email: Statistics.enquiries@justice.gsi.gov.uk Other National Statistics publications, and general information about the official statistics system of the UK, are available from statisticsauthority.gov.uk/about-the-authority/uk-statistical-system Alternative formats are available on request from statistics.enquiries@justice.gsi.gov.uk

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18th December 2013 Issued by Office for National Statistics, Government Buildings, Cardiff Road, Newport, NP10 8XG Media Office 0845 6041858 ## Quality And Methodology Information General details Title of output: House Price Index Abbreviated title: HPI Designation: Official Statistics not designated as National Statistics Geographic coverage: UK, Country and Region Contact details: hpi@ons.gsi.gov.uk. ## Executive Summary The Office for National Statistics (ONS) House Price Index (HPI)1, previously published by the Department for Communities and Local Government (DCLG)2, is a monthly release that publishes figures for mix-adjusted average house prices and house price indices for the UK, its component countries and regions. The index is calculated using mortgage financed transactions that are collected via the Regulated Mortgage Survey by the Council of Mortgage Lenders (CML)3. These cover the majority of mortgage lenders in the UK. The HPI complements other measures of inflation published by ONS such as the Consumer Price Index, the Producer Price Index and the Services Producer Price Indices. The ONS HPI statistical bulletin1 provides comprehensive information on the change in house prices on a monthly and annual basis. It also includes analysis by country, region, type of buyer (first-time buyers and former owner-occupiers) and type of dwelling (new dwelling or pre-owned dwelling). The ONS HPI was developed to produce a consistent series of traded house prices. Until its transfer to ONS in April 2012, the index was produced and published by the DCLG. One of its main features is the mix-adjustment of the monthly transactions to remove the effect of changing composition of sold stock. Since its introduction, the index relies on the use of mortgage transaction data, which provide good coverage of the housing market but excludes those properties that are cash sales. In December 2010, the National Statistician's Review of House Price Statistics4 made a series of recommendations. These were mainly driven by the availability of numerous official house price statistics, which vary in their sample, methods and focus. The main recommendation was for the development of a definitive official statistic. The importance of this index is reflected in the development of a European regulation5, introduced in February 2013, which is the first stage in the introduction of owner occupiers' housing costs into the Harmonised Index of Consumer Prices. The regulation identifies house price indices as 'important indicators in their own right' reflecting the consequences for an economy of unstable or unsustainable house price development. This document contains the following sections: - Output quality; - About the output; - How the output is created; - Validation and quality assurance; - Coherence and comparability; - Concepts and definitions; - Other information, relating to quality trade-offs and user needs; and - Sources for further information or advice. Output quality This document provides a range of information that describes the quality of the data and details any points that should be noted when using the output. ONS has developed Guidelines for Measuring Statistical Quality6; these are based upon the five European Statistical System (ESS) Quality Dimensions. This document addresses these quality dimensions and other important quality characteristics, which are: - Relevance; - Timeliness and punctuality; - Coherence and comparability; - Accuracy; - Output quality trade-offs; - Assessment of user needs and perceptions; and - Accessibility and clarity. More information is provided about these quality dimensions in the sections below. About the output Relevance (The degree to which statistical outputs meet users' needs.) The ONS HPI provides a monthly estimate of the price of current property relative to its price in February 2002. The mix‐adjusted HPI series started in 1969, when the index was calculated from a 5% sample of the mortgage transactions of a number of building societies. From 1993, the coverage of transactions increased from building societies to cover all mortgage lenders. In 2002, the index started using hedonic regression to perform the mix‐adjustment. In 2003, the sample submitted by each mortgage lender was expanded from 5% to cover all their recorded mortgage transactions. These mortgages transactions are collected from the Regulated Mortgage Survey of the CML. The production of house price statistics is relevant for a large number of purposes. Users of official housing market statistics range from central government, local government and devolved administrations through to financial institutions, housing associations, investors, businesses (including estate agents and house builders), academics and households. They use housing market statistics to make a wide variety of decisions including provision of housing, whether to buy, and whether to lend. Details of the main users and their uses of housing market statistics are given below. Summary of the main users of House Price Statistics Users Uses Central Government Central government has three key uses for housing market statistics: - monitoring economic performance; - policy making and monitoring; and - regulation. Local Government Local authorities require housing market statistics : - to monitor and develop their housing policies to meet the current and future needs of their areas; and - to understand how changes and policies at the national level affect housing at the local authority level. Devolved administrations Devolved administrations require housing market statistics for: - supporting policy making and monitoring changes at the country specific level similar to those requirements of central government; and - secondly, they use it for comparison to wider UK policies and economy. Banks and building societies Housing market statistics are used for mortgage lending in order to make decisions on whether to lend, how much to lend, and setting interest rates. House builders House builders are interested in whether and where demand for new housing exists; and the returns received on homes built or converted. Estate agents & letting agencies - Estate agents are interested in the numbers of properties being sold and the price for which they are sold; as well as the types of properties and their location. They need to be able to advise potential sellers on the achievable selling price of their property but also require statistics in running their business. - Letting agencies are interested in similar characteristics to estate agents but require the numbers of properties being rented and the rent values which they achieve. Although some national estate agents exist, most are based at the local or regional level. Housing associations Housing associations are primarily interested in numbers of people in housing need together with statistics on the housing market which helps them to decide whether to purchase or build property to meet that need. Values of private and social housing rents will also influence their decisions, as this will affect the social housing they can provide. Further information on the uses of HPI can be found in the National Statistician's Review of Official Housing Market Statistics4. Timeliness and punctuality (Timeliness refers to the lapse of time between publication and the period to which the data refer. Punctuality refers to the gap between planned and actual publication dates.) The ONS HPI follows a monthly publication schedule and is lagged by two months. This lag is mainly due to the time it takes to collect the mortgage data from banks and building societies across the UK. The time of publication of the HPI depends on the data delivery from the Council of Mortgage Lenders, hence the HPI statistical bulletin is published either on the second or third Tuesday of the second month after the reference period. For more details on related releases, the UK National Statistics Publication Hub7 is available online and provides 12 months' advance notice of release dates. In the unlikely event of a change to the pre-announced release schedule, public attention will be drawn to the change and the reasons for the change will be explained fully at the same time, as set out in the Code of Practice for Official Statistics8. How the output is created Data sources Since October 2005, the ONS HPI (formerly the DCLG HPI) has been based on a sample of mortgage completions data from the Regulated Mortgage Survey as collected by the CML. The number of transactions received from the RMS is affected by the total number of mortgages completed for house purchase in any period. During 2011, the sample covered 65-70% of all UK mortgage completions. Price methodology Full details of the methodology used to calculate the ONS HPI can be found in the Official house price statistics explained9 article. The ONS HPI is mix-adjusted to allow for differences between houses sold (for example type, number of rooms and location) in different months within a year. House prices are modelled using a combination of characteristics to produce a model containing around 100,000 cells (one such cell could be first-time buyer, old dwelling, one bedroom flat purchased in London). Each month, estimated prices for all cells are produced by the model and then combined with their appropriate weight to produce mix-adjusted average prices. The index values are based on growth rates in the mix-adjusted average house prices and are annually chainlinked. More information on the model used is available via the hedonic model methodology paper10 published on the HPI User Guidance webpage11. Re-weighting The ONS HPI is a weighted Laspeyres-type index. In January of each year, the index weights are updated based on the relative numbers of transactions during the previous three years, which are weighted to total transactions obtained from Land Registry. Applying new weights ensures that the index keeps up to date with changes in the types of properties that are being purchased, and therefore reflects the price of the average property. One consequence of changing the weights every year is that the mix-adjusted house prices cannot be compared between years as the weights are different. The index itself is constructed on a chainlinked basis, which enables year-on-year comparisons to be made. This means that the year-onyear change in the index for June 2011, say, is effectively the change in the average price from June to January 2011 (using the weights for 2010) combined with the change in the average price from January to June 2011 (using the weights for 2011). Therefore, the year-on-year change in the index is not the same as the year-on-year change in the mix-adjusted average price. More information on the HPI methodology12 is available on the DCLG Website. Seasonal adjustment The housing market shows seasonal effects that affect house prices. For example, prices have tended to be higher during the summer months than during the winter months. These seasonal effects are estimated and adjusted for in order to calculate month-on-month price changes. Seasonally adjusted figures are provided at a national level in Table 7 alongside the unadjusted figures of the other tables. Seasonal adjustment13 is performed each month and reviewed each year, using the GSS recommended software X-12-ARIMA. Seasonally adjusted house price estimates are used to report monthly percentage changes. All other figures such as annual rates of change and average house prices are based on unadjusted estimates, unless otherwise stated. Statistical disclosure Statistical Disclosure Control14 methodology is applied to HPI data. This ensures that information attributable to an individual organisation is not disclosed in any publication. The Code of Practice for Official Statistics set out practices for how ONS protects data from being disclosed. The principle includes a guarantee to survey respondents to 'ensure that official statistics do not reveal the identity of an individual or organisation, or any private information relating to them'. More information can be found on the Statistical Disclosure Control page of the ONS website. Summary of the HPI What it measures It provides comprehensive information on the change in house prices on a monthly and annual basis. It also includes analysis by country, region, type of buyer (first-time buyers and former owner-occupiers) and type of dwelling (new dwelling or pre-owned dwelling). Frequency Monthly. Period available The mix‐adjusted HPI series start in 1969 (on a quarterly basis) and from February 2002 on a monthly basis. Data sources Since October 2005 the ONS HPI (formerly the DCLG HPI) has been based on a sample of mortgage completions data from the Regulated Mortgage Survey as collected by the Council of Mortgage Lenders. Methodology The ONS HPI is mix-adjusted to allow for differences between houses sold in different months within a year. House prices are modelled using the hedonic model. Movements in these modelled house prices are chain-linked together to produce a consistent price index. Coverage The sample covers all the recorded mortgage transactions from the Regulated Mortgage Survey of the Council of Mortgage Lenders. This sample represents approximately 67% of all mortgage transactions in a given period. Re-weighting The ONS HPI is a weighted Laspeyres-type index. In January of each year the index weights are updated based on the relative numbers of transactions during the previous three years, which are weighted to total transactions obtained from Land Registry. Seasonal adjustment The housing market shows seasonal effects that affect house prices. These seasonal effects are estimated and adjusted for in order to calculate monthon-month price changes. Seasonally adjusted house price estimates are used to report monthly percentage changes. The ONS HPI follows a monthly publication schedule and is lagged by two Publication schedule months. Validation and quality assurance Accuracy (The degree of closeness between an estimate and the true value.) Estimates from the HPI are subject to various sources of error. The total error consists of two elements, the sampling error and the non-sampling error. Sampling error This occurs because estimates are based on a sample rather than a census; the precision is usually estimated through the calculation of standard errors. Standard errors are not currently calculated for HPI, although the production of standard errors is being investigated for future publication. Non-sampling error Non-sampling errors are not easy to quantify and include errors of coverage, measurement processing and non-response. Various procedures are in place to ensure that errors are minimised: - validation checks on data, based on extreme values within a cell are conducted to highlight potential unusual prices. The combination of each property size and region forms a cell for which an average price is collected; - data cleaning is done to remove cases with missing data and erroneous data; - the minimum and maximum values for house price, mortgage advance and total income are investigated and if they are deemed to be suspect, they are removed from the dataset; - the top and bottom 10 house price outliers are validated against external sources; and - ratio analysis (comparing house price to total income and mortgage advance to total income) is then carried out to check for consistency. Another aspect of quality is reliability. Assessing the difference between the first published estimate and the final revised figure provides an indication of reliability. House Price Index revisions policy, which is aligned with the Code of Practice, is to show significant revisions, but to suppress minor changes to avoid unnecessary inconvenience to users. In all cases, the revised figures are labelled with an 'R' and the reason for the revision explained under the 'New this month' section of the background notes. - At the end of every quarter, as well as releasing final figures for the latest month, ONS revises the figures from the previous two months. This is done because some mortgage lenders, which account for 1 to 2% of all records, provide their data on a quarterly rather than monthly basis. - Additionally, data will be revised for the previous month if more than 1,000 additional cases are received in a subsequent month. In July 2012 the methodology used to seasonally adjust the HPI was updated following a review, and brings the HPI in line with ONS best practice for seasonal adjustment. Seasonal factors are now estimated on a monthly basis and therefore may result in small revisions to the previous 12 months data. This updated process improves the accuracy of the seasonally adjusted figures. Other revisions to historical data (other than those currently due for revision) will be made only if the revision is substantial. The National Statistics website contains information on the HPI revisions policy15. Coherence and comparability (Coherence is the degree to which data that are derived from different sources or methods, but refer to the same topic, are similar. Comparability is the degree to which data can be compared over time and domain for example, geographic level.) Currently, there are a number of different sources of house price statistics published in addition to the ONS HPI. There will be differences in the data published by each source, as there are differences in both the data and methodology used. Therefore, the ONS HPI is not directly comparable with these other indicators. Further details on the differences between official house price statistics can be found in the article Official House Price Statistics Explained9. Land Registry House Price Index All residential property transactions in England and Wales are recorded by Land Registry. These transactions are used for calculating the Land Registry index. This index is based on repeat-sales regression, which calculates the change in price of any property transacted twice since 1995. Therefore, new build properties are excluded from the index. Land Registry publishes indices at a sub-regional level. The Land Registry HPI is normally published on the 20th working day of every month, and refers to all transactions of the preceding month. The Land Registry HPI can be accessed via the Land Registry's website16. Registers of Scotland Official Quarterly Housing Market Statistics Registers of Scotland record all the property transactions in Scotland. It produces average house prices based on arithmetic means of these transactions, which is published as the Registers of Scotland Official Quarterly Housing Market Statistics17 in the second month after the month to which the figures refer to. Northern Ireland Residential Property Price Index The Land & Property Services assisted by the Northern Ireland Statistics & Research Agency (NISRA) publish a quarterly Residential Property Prices Index (RPPI) for Northern Ireland18. The index measures change in the price of residential property sales recorded by Her Majesty's Revenue & Customs. This is a new official statistic, first published in quarter one of 2012. Halifax House Price Index and Nationwide House Price Index Both Halifax19 and Nationwide20 produce house price indices based on their own mortgage approvals only and therefore, like the ONS HPI, will not include any cash transactions. They both have UK-wide coverage, and since the Halifax and Nationwide use only their own in-house data they can process them immediately and do not have to await the receipt of data from other lenders. This means that they are timelier than the ONS HPI. LSL Acadata House Price Index The LSL Acadata House Price Index (formerly LSL Property Services/Acadametrics HPI) is the only house price index to reflect all transactions, as opposed to data samples, and provides mix and seasonally adjusted results at national, regional and county/unitary district/London borough levels. The index can be accessed at LSL Acad HPI21. In addition, other indices are also produced. Rightmove tracks the asking prices of properties on its website and the Royal Institute of Chartered Surveyors (RICS) produces an opinion survey of its surveyors regarding the direction that prices are moving in. Full details on the alternative house price statistics can be accessed via the National Statistician's Review of House Price Statistics. Concepts and definitions (Concepts and definitions describe the legislation governing the output and a description of the classifications used in the output.) The importance of this index is reflected in the development of a European regulation5, introduced in February 2013, which is the first stage in the introduction of owner occupiers' housing costs into the Harmonised Index of Consumer Prices. The regulation identifies house price indices as 'important indicators in their own right', reflecting the consequences for an economy of unstable or unsustainable house price development. The European regulation also requires state members to provide quarterly house price indices. Details on the official house price statistics can be found in the article Official house price statistics explained9. Furthermore, DCLG provides a list of definitions of general housing terms Other information Output quality trade-offs (Trade-offs are the extent to which different dimensions of quality are balanced against each other.) A trade-off of accuracy over timeliness is made to produce the monthly HPI. The collection of mortgage transaction data from a range of different lenders across the UK takes time and therefore delays the timely publication of the ONS HPI. Although the availability of accurate and timely house price statistics is desirable, there are a number of obstacles to their production. These are mainly due to the nature of housing compared with other goods. Further details on these issues can be found in the article Official house price statistics explained9. Assessment of user needs and perceptions (The processes for finding out about users and uses, and their views on the statistical products.) As stated previously, there are a number of key uses and users of the HPI. There are also a number of mechanisms via which users are able to provide views on the HPI: - public feedback/consultation are sought when methodological improvements are made to the HPI; and - suggestions and comments are sought from the public in each publication and via Twitter and Facebook. A dedicated HPI email address is provided for users to provide feedback: hpi@ons.gsi.gov.uk The Housing Statistics Network23 is used to canvass opinion and feedback from users to help improve the ONS HPI. Sources for further information or advice Accessibility and clarity (Accessibility is the ease with which users are able to access the data, also reflecting the format in which the data are available and the availability of supporting information. Clarity refers to the quality and sufficiency of the release details, illustrations and accompanying advice.) ONS recommended format for accessible content is a combination of HTML web pages for narrative, charts and graphs, with data being provided in usable formats such as CSV and Excel. The ONS website also offers users the option to download the narrative in PDF format. In some instances other software may be used, or may be available on request. Available formats for content published on the ONS website but not produced by the ONS, or referenced on the ONS website but stored elsewhere, may vary. For further information please refer to the contact details at the beginning of this document. The latest HPI Statistical Bulletin with accompanying briefing notes and reference tables can be downloaded for free from the ONS website from 9.30 am on the day of publication. There is a list of the names of those given pre-release access24 to the contents of this release available. The list is from August 2013. The following reference tables are available (please note that these are updated monthly): | Table | Excel sheet name | Purpose | |--------------------------------|------------------------------------------------|------------| | Table 1-19 | ONS HPI monthly and quarterly reference tables | | | (3.32 Mb Excel sheet) | | | | 25 | | | | | | | | This reference table provides | | | | full historical series for the | | | | monthly tables accompanying | | | | the House Price Index | | | | statistical bulletin. | | | | Table 20-39 | | | | 25 | | | | | | | | This reference table contains | | | | all the annual live tables | | | | transferred to ONS from | | | | DCLG. | | | General enquiries on the HPI series, compilation methods, developmental articles, quality information or difficulties in finding the latest figures can be emailed to the HPI team in ONS at hpi@ons.gsi.gov.uk. For information regarding conditions of access to data, please refer to the links below: - Terms and conditions (for data on the website)26; - Copyright and reuse of published data27; - Pre-release access (including conditions of access)28; and - Accessibility29. In addition to this Quality and Methodology Information, Basic Quality Information relevant to each release is available in the background notes of the ONS HPI statistical bulletin. Useful links HPI User Guidance webpage11. Definitions of general housing terms from DCLG.22 References 1. Office for National Statistics House Price Index http://www.ons.gov.uk/ons/rel/hpi/house-priceindex/index.html 2. Department for Communities and Local Department (DCLG) https://www.gov.uk/government/organisations/departmentfor-communities-and-local-government 3. Council of Mortgage Lenders (CML) http://www.cml.org.uk/cml/home 4. National Statistician's Review of House Price Statistics http://www.statisticsauthority.gov.uk/national-statistician/nsreports--reviews-and-guidance/national-statistician-sreviews/national-statistician-s-review-of-housing-marketstatistics.html 5. European Regulation http://eurlex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2013:033: 0014:0016:EN:PDF 6. Guidelines for Measuring Statistical Quality http://www.ons.gov.uk/ons/guide-method/methodquality/quality/guidelines-for-measuring-statisticalquality/index.html 7. UK National Statistics Publication Hub http://www.statistics.gov.uk/hub/index.html 8. Code of Practice for Official Statistics. http://www.statisticsauthority.gov.uk/assessment/code-ofpractice/index.html 9. Official House Price Statistics Explained http://www.ons.gov.uk/ons/rel/hpi/house-price-indexguidance/official-house-price-statistics-explained/index.html 10. Hedonic model http://www.ons.gov.uk/ons/guide-method/userguidance/prices/hpi/hedonic-model.pdf 11. HPI User Guidance webpage. http://www.ons.gov.uk/ons/guide-method/userguidance/prices/hpi/index.html 12. HPI Methodology from DCLG website https://www.gov.uk/housing-market-and-house-priceinformation-notes-and-definitions 13. Guide to seasonal Adjustment with X-12- ARIMA http://www.ons.gov.uk/ons/guide-method/methodquality/general-methodology/time-series-analysis/guide-toseasonal-adjustment.pdf 14. Statistical Disclosure Control http://www.ons.gov.uk/ons/guide-method/methodquality/general-methodology/statistical-disclosurecontrol/index.html 15. Revision policy http://www.ons.gov.uk/ons/guide-method/revisions/guide-tostatistical-revisions/index.html 16. Land Registry House Price Index http://www.ons.gov.uk/ons/external-links/other-governmentdepartments/index.html 17. Registers of Scotland Official Quarterly Housing Market Statistics http://www.ons.gov.uk/ons/external-links/other-governmentdepartments/ros--quarterly-housing-market-statistics.html 18. Northern Ireland Residential Property Price Index http://www.ons.gov.uk/ons/external-links/devolvedadmins/nisra/nisra--northern-ireland-residential-propertyprice-index.html 19. Halifax House Price Index http://www.lloydsbankinggroup.com/media1/economic_insigh t/halifax_house_price_index_page.asp 20. Nationwide House Price Index http://www.nationwide.co.uk/hpi/ 21. LSL Acadata House Price Index http://www.acadata.co.uk/acadHousePrices.php 22. Definitions of general https://www.gov.uk/definitions-of-general-housing-terms housing terms on DCLG website 23. Housing Statistics Network http://www.housingstatisticsnetwork.org/ 24. List of pre-release access .gov.uk/ons/rel/hpi/house-price-index/august-2013/preml 25. ONS HPI monthly and quarterly reference tables (3.32 Mb Excel sheet) http://www.ons.gov.uk/ons/rel/hpi/house-priceindex/index.html 26. Terms and conditions (for data on website) http://www.ons.gov.uk/ons/siteinformation/information/terms-and-conditions/index.html 27. Copyright and reuse of published data http://www.ons.gov.uk/ons/siteinformation/information/creative-commons-license/index.html 28. Pre-release access (including conditions of access) http://www.ons.gov.uk/ons/guide-method/the-nationalstatistics-standard/code-of-practice/pre-releaseaccess/index.html 29. Accessibility http://www.ons.gov.uk/ons/siteinformation/information/accessibility/index.html

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Disclosure ref: 5 Sent: 13th February 2019 ## Freedom Of Information Act 2000 Request The possibility of being able to obtain access to anonymised witness statements from cases in which there has been a successful prosecution in coercive control. Request I was wondering if there was any possibilities that I might be able obtain access to anonymised witness statements from cases in which there has been a successful prosecution in coercive control once I have had the opportunity to submit a full research proposal for your consideration first? Response The Crown Prosecution Service (CPS) prosecutes criminal cases that have been investigated by police and other investigative organisations in England and Wales. Witness statements are submitted to the CPS by the investigative organisation as part of a criminal case. In order to access the material referred to in your request it would be necessary to manually examine the relevant cases. As an indication of the work this would involve the CPS commenced prosecutions in the equivalent of 1,070 cases up to the end of March 2018 since the offence came into force. Section 12(1) of the FOI Act means public authorities are not obliged to comply with a request for information if it estimates the cost of complying would exceed the appropriate limit. The appropriate limit for central government it is set at £600. This represents the estimated cost of one person spending 3.5 working days determining whether the department holds the information, and locating, retrieving and extracting the information. We believe that the cost of reviewing the equivalent of 1,070 cases in order to retrieve the relevant material would exceed the appropriate cost limit. Consequently, we are not obliged to comply with your request. Under section 16 of the Freedom of Information Act we have a duty to advise what, if any, information may assist you with your request. Crown Prosecution Service, Information Management Unit, Floor 8, 102 Petty France, London SW1H 9AJ United Kingdom ## The annually published CPS Violence against Women and Girls' (VAWG) report contains data which you may find useful. Data for 2018/19 will be published later this year, however the most recent report for 2017/18 data can be accessed via the following link: https://www.cps.gov.uk/violence-against-women-and-girls-data The Ministry of Justice (MoJ) hold published case outcome statistics which show the prosecution outcome, including conviction, by individual offences. Their Case Outcomes by Offence Data Tool provides this information for the offence to which you refer. A request can be made to the MoJ via the following link: https://www.gov.uk/government/organisations/ministry-of-justice Information Management Unit 020 3357 0899 IMU@cps.gov.uk

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Criminal Justice and Public Order Act 1994 { 166(1) and (3) } Football (Offences) Act 1991 { 2 and 5 } Football (Offences) Act 1991 { 3(1) and 5 } Football (Offences) Act 1991 { 4 and 5 } Football Spectators Act 1989 { 14J } Football Spectators Act 1989 { 19(6) and (7) } Sporting Events (Control of Alcohol etc) Act 1985 { 2(1) } Sporting Events (Control of Alcohol etc) Act 1985 { 2(2) and 8 } Sporting Events (Control of Alcohol etc) Act 1985 { 2A } 1. Offences recorded in the Management Information System Offences Univ 2. Data relates to the number of offences recorded in magistrates' courts, in 3. Offences data are not held by defendant or outcome. 4. Offences recorded in the Offences Universe of the MIS are those which w is no indication of final outcome or if the offence charged was the substantive 1. CPS data are available through its Case Management System (CMS) and CPS does not collect data that constitutes official statistics as defined in the 2. These data have been drawn from the CPS's administrative IT system, w change as more information is recorded by the CPS. We are committed to i some future data sets. 3. The official statistics relating to crime and policing are maintained by the are maintained by the Ministry of Justice (MOJ). ## T Hearing At Magistrates' Courts Unauthorised persons ('ticket touts') selling or otherwise disposing of a ticket to a designated football match Throwing of missiles onto the playing area or into the crowd Indecent / racial chanting at a designated football match Going onto the playing area Football spectator failing to comply with banning order Fail to comply with requirements of a football restriction/banning order Possession of alcohol at or upon entering a designated sporting event Being drunk at a designated sporting event Having a flare or firework etc. whilst entering, trying to enter or being at a designated sports ground during the period of a designated sporting event verse are those which reached a hearing. There is no indication of final outcome or if the charged offence was the s n which a prosecution commenced, as recorded on the Case Management System. were charged at any time and reached at least one hearing. This offence will remain recorded whether or not that off e offence at finalisation. d associated Management Information System (MIS). The CPS collects data to assist in the effective management Statistics and Registration Service Act 2007. which (as with any large scale recording system) is subject to possible errors with data entry and processing. The figu mproving the quality of our data and from mid-June 2015 introduced a new data assurance regime which may expla Home Office (HO) and the official statistics relating to sentencing, criminal court proceedings, offenders brought to j April 16 - December 16 8 40 2 85 75 24 12 31 50 substantive charge at finalisation. fence was proceeded with and there of its prosecution functions. The ures are provisional and subject to ain some unexpected variance in ustice, the courts and the judiciary

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## Metadata For Data Fields This Worksheet Lists The Fields Of The "Quarterly Data Summary" Sheet And Provides Explanation Of The Metrics (Metdata). Dcms All Information Should Relate To The Latest Available Data PERIOD FOR DATA IN JULY QDS (REQUESTED) | GROUP | SUB-GROUP | FIELD NAME | TECHNICAL DEFINITION (REQUESTED) | PERIOD OF DATA | |-------------------------------------------------------------------------------------------------|-------------------|---------------------|------------------------------------|-------------------| | REPORTED IN QDS | | | | | | (REQUESTED) | | | | | | DEPARTMENTAL | | | | | | COVERAGE OF DATA | | | | | | (REQUESTED) | | | | | | DATA SOURCE | TYPE OF DATA | | | | | (eg MI, Official | | | | | | Stats or | | | | | | National Stats) | | | | | | Spending | Budget | | | | | (Resource DEL excluding depreciation) + (Capital DEL) | Full year outturn | 2010/11 | Full | COINS | | information | | | | | | Total Departmental | | | | | | Expenditure Limit | | | | | | (DEL) | | | | | | of which Resource DEL | | | | | | (excl. Depreciation) | | | | | | (Resource DEL excluding depreciation) | Full year outturn | 2010/11 | Full | COINS | | information | | | | | | Top 5 contributory | | | | | | elements | | | | | | 5 largest areas of spending, as defined by the department, to cover a substantial proportion of | | | | | | DEL. | | | | | | Full year outturn | 2010/11 | Determined by top 5 | | | | programmes chosen | | | | | | COINS | Management | | | | | information | | | | | | Full year outturn | 2010/11 | Full | COINS | Management | | information | | | | | Purchase of goods & services within Resource DEL RDEL, Purchase of Goods and services. Procurement spending should be recorded as a gross rather than net expenditure. This should be current procurement which falls within resource DEL, therefore excluding all Capital procurement. Should include entries against NAC Codes: "B3501" + "E20"; Expenditure should be recorded in £m. Payroll within Resource DEL Full year outturn 2010/11 Full COINS Management information Pay includes salaries, employers" National Insurance Contributions, and accruing pension costs in RDEL. NAC Codes - all codes under "A15". Expenditure should be recorded in £million and in real terms, with no normalisation applied. Grants within Resource DEL Full year outturn 2010/11 Full COINS Management information Grant payments or subsidies to individuals or bodies inside or outside the public sector within Resource DEL. The figure should not include any "capital" grants or subsidies. The NAC Code definition is complex but covers: - Current grants to local government spending NAC= "M10", "M15", "M20", "M30", "M40" - Current grants to persons and not for profit bodies NAC= "D10" - Current grants abroad NAC= "D20" - Subsidies to private sector companies NAC= "C10, C50" - Subsidies to public corporations NAC="C20, C35" of which Capital DEL (Capital DEL), taken from COINS. Full year outturn 2010/11 Full COINS Management information Top 5 contributory elements 5 largest areas of spending, as defined by the department, to cover a substantial proportion of Capital DEL. Full year outturn 2010/11 Determined by top 5 programmes chosen COINS Management information (Resource AME excluding depreciation) + (Capital AME), taken from COINS Full year outturn 2010/11 Full COINS Management information Total Annually Managed Expenditure (AME) Top 5 contributory elements 5 largest areas of spending, as defined by the department, to cover a substantial proportion of Total AME. Full year outturn 2010/11 Determined by top 5 programmes chosen COINS Management information Quarter Q4 2010/11 Full ePIMS - Property benchmarking Management information Data covers DCMS 'office estate'. Does not include ALBs Common Areas of Spend Office Estate Area The sum of Building Net Internal Area (NIA) for the buildings occupied by the organisation. NIA is the part of the net internal area in a building currently physically occupied by the organisation. This equates with an estate agent"s floor area available for letting. It is calculated by subtracting the vertical ducts, structural columns, plant areas, toilets, lifts, staircases and lift lobbies from the gross internal area. NIA is measured in sq metres. NIA should only cover those buildings used as office space and for buildings over 500m2. ePIMS - Property benchmarking Management information Quarter Q4 2010/11 Office Accomodation over 500m2 for entire family Office Estate Costs This is the sum of the following items: Service charges, Internal repair and maintenance costs, Security costs, Cleaning costs, Water and sewerage costs, Total energy costs, Net rent, Rates, Unitary Charges / Facilities Price. As defined by e-PIMS. This should be provided as £m and cover the cost for the NIA reported, for office buildings over 500m2. ePIMS - Property benchmarking Management information Cost of the Office Estate per M2 Derived from the cost and total m2. Quarter Q4 2010/11 Office Accomodation over 500m2 for entire family ePIMS - Property benchmarking Management information Cost of the Office Estate per full-time equivalent (FTE) Quarter Q4 2010/11 Office Accomodation over 500m2 for entire family Derived from cost of the estate and FTEs (sourced above). Office based staff (FTE), Permanent and temporary employees who are based in office accomodation with all the facilties they need to undertake thier job. This should include the time home workers spend in the office. This figure should exclude contractors, outsourced staff (who may not be listed on the pay-roll but seen as a "contract" costs and not "staff salary" cost) and home workers time spent working from home. Quarter Q4 2010/11 Full Commercial Function Management information Procurement spend The total value of payments made to third party suppliers, excluding VAT. This excludes payroll, non-cash expenditure (e.g. depreciation), grants and benefit payments, but should include capital, resource and programme spend on goods and services. Price of standard commodity items Price of a box of standard A4 white copier plain paper (typically 80 gsm) in £ units per 2,500 sheets of paper. Quarter Q4 2010/11 Full Commercial Function Management information Average price paid per KWH of energy in £ units. Total 3rd party ICT cost The total value of payments made to third party ICT suppliers, excluding VAT. Quarter Q4 2010/11 Full Commercial Function Management information Desktop Cost per fulltime equivalent Quarter Q4 2010/11 Full Commercial Function Management information Future work on ICT desktop will be based around IT assets definitions. Please provide data against the contemporary definitions used within your department, specifying the standard within the caveats section (column Q). Quarter Q4 2010/11 Full Finance Function Management Either use: (a) OEP definitions or (b) department own definitions. Please specify definitions within caveats section (column Q). information Corporate Service cost, broken out by functional area into HR, Finance, Procurement, Legal and Communications Fraud, Error, Debt Quarter Q4 2010/11 Full Finance Function Management Either use: (a) NFA definitions or (b) department own definitions. Please specify definitions within caveats section (column Q). information Total Identified Fraud (£million) Debt and debtor days should be those arising from Fraud and Error Total Known Errors (£million) Total Debt (£million) Total Debtor Days Quarter Q4 2010/11 Full Finance Function Management information Voluntary and community sector (VCS)/Small and medium enterprises (SME) Procurement spend with SME (£) Sum of procurement spend with SMEs (organisations with less than 250 employees per European Commission definition found at http://ec.europa.eu/enterprise/policies/sme/factsfigures-analysis/sme-definition/index_en.htm). Sum of procurement spend with VCS organisations. Procurement spend with VCS (£) Grants to VCS (£) Sum of grant spend with VCS organisations. VCS Organisations definition can be found at Charity Commission website. paybill costs for, eg, curators, academics, researchers in ALBs. Data is latest available, for 2009/10 and is obtained through the annual government property benchmarking exercise. 2010-11 data is expected to be available in September 2011. support, Service Desk, MSOffice software and ERDM Software plus desktop antivirus software Finance function includes staff working with the 50 plus ALBs, carrying out finance related work centrally rather than being embeded in the sponsor teams throughout the department; finance and procurement costs gathered annually The only fraud amounted to £44k in 2009/10 and £195 in 2010/11; error in both years amounted to less than £5k: rounded to £million gives the answer 0. Debt & debtordays arising from fraud are consequently also 0. We don't currently differentiate between grants given to VCS and other organisations. We expect to be able to do this from Q1 of 2011/12 Accuracy of Cash Forecasting Management information Financial Indicators Quarter Q4 2010/11 Large departments Departmental Cashflow Management outturns Cashflow Management Scheme: Departments with a gross cashflow of over £3bn p.a. provide daily and monthly forecasts of their gross cash payments and receipts up to six weeks ahead. The scheme monitors the difference between the forecast and outturn and expresses the difference as a percentage variance on forecast.. Target is for the outturn to be within 5% of the forecast. The percentage variance of forecast to actual working capital. Management information Working capital is calculated as : Total current assets less total current liabilities Annual - 2010/11 2010/11 All departments Management Information and Annual Accounts Working Capital Forecast [% variance of Actual v Forecast] Forecast: Current assets £60m; Current liabilities -£50m; Provisions -£4m =planned working capital of £6m. Actual: Current assets £13.8m + £21.6m = £35.4m; Current liabilities -£26.8m; Provisions -£3.4m=actual working capital of £5.2m: Percentage that actual falls below forecast is by -13% of forecast o Current Assets - Inventories - Current trade and other receivables - Cash and cash equivalents - Other current financial assets - Assets classified as held for sale o Current Liabilities - Current trade and other payables - Gilt edged stock - Other current liabilities The percentage variance of forecast to actual Net Book Value(NBV) of Fixed Assets. Management information Net Book Value (%) [% variance of Actual v Forecast] Annual - 2010/11 2010/11 All departments Management Information and Annual Accounts NBV of fixed assets is calculated as the historic cost or valuation (of the assets included) less accumulated depreciation (i.e. depreciation to date) of the assets. Note that in WGA, Fixed Assets are referred to as "Non-current assets" and include the following: - property, plant and equipment - investment property - intangible assets - non-current trade and other receivables capital programme as a percentage of the (75.9% of £5.484bn budget), with 76.2% progress. Therefore the ratio of spend to progress was 75.9/76.2 = 0.996. (A figure less than one means the progress achieved 12 Departments to carry out further work to identify which to include in the QDS, in line with guidance from the centre. Other data sets 1.Number of Local TV Services licensed Structural Reform Plan Actions Management information Total number of actions completed since April 2011 The number of actions completed between April-June 2011 as agreed alongside the Number 10 Business Plan monitoring process. Data for the 'Previous' cell is not applicable, due to actions being introduced for 2011/12. Quarter Q1 2011/12 Full Departmental internal reporting systems Total number of actions overdue Management information The number of actions overdue over the period as agreed alongside the Number 10 Business Plan monitoring process. Data for the 'Previous' cell is not applicable, due to actions being introduced for 2011/12. Quarter Q1 2011/12 Full Departmental internal reporting systems Management information The number of actions overdue over the period as agreed alongside the Number 10 Business Plan monitoring process that are due to external factors. Data for the 'Previous' cell is not applicable, due to actions being introduced for 2011/12. Quarter Q1 2011/12 Full Departmental internal reporting systems Number of overdue actions that are attributable to external factors Total number of actions ongoing Management information The number of actions ongoing over the period as agreed alongside the Number 10 Business Plan monitoring process. Data for the 'Previous' cell is not applicable, due to actions being introduced for 2011/12. Quarter Q1 2011/12 Full Departmental internal reporting systems Management information Total number of actions in the business plan that have yet to start The number of actions yet to start over the period as agreed alongside the Number 10 Business Plan monitoring process. Data for the 'Previous' cell is not applicable, due to actions being introduced for 2011/12. Quarter Q1 2011/12 Full Departmental internal reporting systems forecast for Q3 was £1.108m, actual was £1.083m; forecast for Q4 was £1.2m, actual was £1.209m Department plus agency The accounts for 2009/10 and 2010/11 have been restated due to the TV Licence Fee moving to a newTrust Statement prepared by the BBC. Prior to the restatement both debtor and creditor figures included large balances for licence fees in transit. Whilst we have both years' actual figures on the new basis, forecasts have not been adjusted. DCMS has not previously collected this information. Department plus agency 2009/10 PEOWP (Public Expenditure Outturn White Paper) forecast was for £63m; actual was £63.854m: variance of 1.36% 2010/11 PEOWP forecast was £64m; actual was £64.412m: variance of 0.64% The cause of variance in both years was the result of restatements by The Royal Parks agency planet) which are published two years after the reference date (2008 accounts were published in September 2010). This is the data that we need to examine in the account (specifically the Supply Use Tables) so we are using the most up to date data available. The TSA attempts to reconcile supply side data and demand side data and while we know that more up to date demand side data is available, for the purposes of the TSA it is important to perform this reconciliation using the same reference year i.e. 2008. Future work could use the estimates contained in the 2008 TSA and "nowcast" the results based on more up to date demand data on tourism expenditure. Not available until programme commences from August 2012. | Payroll Staff | The number of FTE staff working in the department, ALBs and NDPBs as at the reference date. | |-----------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------| | Methodology as per ONS QPSES. | | | Quarter | Position as at March 31st | | 2011 | | | Full | HR Systems | | information | | | Department and | | | Agencies | | | People | Whole | | Department | | | Family; | | | Workforce Size | | | Figs for DCMS & TRP combined. Key stats | | | separated out are (DCMS current/DCMS | | | previous/TRP current/TRP previous): payroll | | | staff: 443/449/119/117; average staff costs: | | | £53368/£54220/£43656/£44948; AWDL | | | actual: 4.7/5/7.3/7.8 | Non-departmental | | public bodies | | | Department Family | | | (Total) | | | Average Staff Cost | | | Please supply paybill per head - as defined in HMT"s Civil Service Pay Guidance. This is the | | | total paybill cost divided by staff in post (FTE). | | | Quarter | Q4 2010/11 | | Function | | | Management | | | information | | | The paybill costs should include: | | | o Staff salaries; | | | o Allowances; | | | o Overtime payments; | | | o Non-consolidated pot; | | | o ERNIC; | | | o Employers" pensions contributions. | | | Contingent Labour | Quarter | | 2011 | | | Full | HR Systems | | information | | | Definition: Include the number of agency staff, specialist contractors, interim managers or | | | consultants engaged - these non-payroll staff being commonly referred to as "contingent labour". | | | For full definitions see annex. | Department and | | Agencies | | | Reference date for baseline value: 31 March 2010 | | | Source: HR Systems (previously supplied to Cabinet Office in the June 2010 exercise) | Non-departmental | | public bodies | | | Department Family | | | Workforce Shape | The number of FTE staff working in the department disaggregated by the standard Civil Service | | responsibility levels. | | | Quarter | Position as at March 31st | | 2011 | | | Full | HR systems | | information | | | Department & | | | Agencies only; | | | Headcount/part-time staff: technical definition as per QPSES | | | Grade/responsibility level: technical definition as per ACSES | | | - Administrative | | | Assistants and | | | - Executive Officers | | | - Higher and Senior | | | Executive Officers | | | - Grade 7/6 | | | - Senior Civil Servants | | | Part Time | Number of part time Employees (headcount) / Total number of employees (full-time and part- | | time: headcount) | | | Quarter | Position as at March 31st | | 2011 | | | Full | HR Systems | | information | | | Workforce Dynamics | The (cumulative) number of approved exceptions to the freeze on external recruitment to the Civil | | Service. | | | Management | | | information | | | Recruitment Exceptions | | | Quarter | 31/03/2011 | | Recruitment | | | Exceptions | | | collection | Definition and potential source: Cabinet Office Quarterly recruitment exceptions collection | | NB: The collection by the Cabinet Office is for the cumulative position over the year, to be | | | provided each quarter. However, departments may have available the individual quarter's position | | | and could choose to publish this figure alongside a cumulative position. | | | Quarter | Q4 2010/11 | | information | | | Turnover Rate | Annual turnover rate: The number of staff leaving the organisation during the year ending the | | reference period divided by the average staff in post over the year ending the reference period | | | (where the average staff in post is calculated as the number of staff in post at the start and end | | | of the relevant period divided by 2, and leavers are ALL leavers exiting the organisation during the | | | period). | | | In essence, each quarter"s information will show an annual turnover rate for the year ending that | | | quarter. | | | Definition: ACSES | Workforce Diversity | | [Total] | | | Quarter | Position as at March 31st | | 2011 | | | Full | HR Systems | | information | | | BME | Number of staff recorded as Black and Minority Ethnic/ Total number of staff (headcount basis) | | Women | Definition: QPSES | | Number of female staff / Total number of staff (headcount basis) | | | Quarter | Position as at March 31st | | 2011 | | | Full | HR Systems | | information | | | Disabled | | | Definition: ACSES | | | Number of staff recorded as disabled / Total number of staff (headcount basis) | | | Quarter | Position as at March 31st | | 2011 | | | Full | HR Systems | | information | | | Definition and source: SCS Database (CO) | SCS collection | | information | | | Workforce Diversity | | | [Senior Civil Servants | | | only] | | | Biannual | 30/09/2010 | | organisations are | | | captured | | | BME | Number of SCS staff recorded as Black and Minority Ethnic / Total number of SCS staff | | (headcount basis) | | | SCS collection | Management | | information | | | Women | Number of female SCS staff / Total number of SCS staff (headcount basis) | | organisations are | | | captured | | | Women in Top | | | Management Posts" | | | Number of female SCS staff in the Top Management Posts Group (SCS2, SCS3, PS) / Total | | | number of SCS staff in Top Management Posts" (SCS2, SCS3, PS) | | | SCS collection | Management | | information | | | Biannual | 30/09/2010 | | organisations are | | | captured | | | Disabled | | | SCS collection | Management | | information | | | Number of SCS staff recorded as disabled / Total number of SCS staff (headcount basis) | Biannual | | organisations are | | | captured | | | Attendance | Definition and potential source: Cabinet Office Sickness Absence quarterly reports. See attached | | guidance. | | | Management | | | information | | | Quarter (data provide a | | | rolling annual position each | | | quarter) | | | 31/12/2010 | All Civil Service | | organisations are | | | captured | Average Working Days | | Lost (AWDL) Actual | | | Cabinet Office | | | Sickness | | | Absence | | | quarterly reports | | | Management | | | information | | | Definition and potential source: Cabinet Office Sickness Absence quarterly reports. | | | NB: A standardised figure is only available centrally from Cabinet Office - departments cannot | | | calulate this themselves. | | | Quarter (data provide a | | | rolling annual position each | | | quarter) | | | 31/12/2011 | All Civil Service | | organisations are | | | captured | | | Average Working Days | | | Lost (AWDL) | | | Standardised | | | Cabinet Office | | | Sickness | | | Absence | | | quarterly reports | | | Civil Service | | | People Survey | | | Census survey | Metrics given are for DCMS survey only; | | TRP staff survey follows a different format | | | and the two cannot be reconciled to | | | produce overall fugres | | | Department & | | | Agencies only; | | | People Survey | | | Metrics | | | Engagement Index | The organisation's engagement index from the most recent annual Civil Service People Survey | | Government | | | Departments, Executive | | | Agencies & Crown | | | NDPBs | | | Theme Scores | Census survey | | People Survey | | | The organisation's theme score for the leadership and manging change" theme from the most | | | recent annual Civil Service People Survey Figure as | | | published in survey reports | Leadership & Managing | | Change | | | Annual | 01/12/2010 | | Government | | | Departments, Executive | | | Agencies & Crown | | | NDPBs | | | Census survey | My Work | | Service People Survey | | | Civil Service | | | People Survey | | | Annual | 01/12/2010 | | Government | | | Departments, Executive | | | Agencies & Crown | | | NDPBs | | | Census survey | My Line Manager | | Civil Service People Survey | | | Civil Service | | | People Survey | | | Annual | 01/12/2010 | | Government | | | Departments, Executive | | | Agencies & Crown | | | NDPBs | | | Census survey | Organisational | | Objectives & Purpose | | | The organisation's theme score for the "organisational objectives and purpose" theme from the | | | most recent annual Civil Service People Survey | | | Civil Service | | | People Survey | | | Annual | 01/12/2010 | | Government | | | Departments, Executive | | | Agencies & Crown | | | NDPBs | | | DCMS has declined to ask NDPBs to | | | provide monthly for this exercise as it will | | | be a new burden on them at a very | | | challenging time when most of the bodies | | | concerned have had their funding cut and | | | are reducing staff or undergoing other | | | restructuring. | | | DCMS has declined to ask NDPBs to | | | provide monthly for this exercise as it will | | | be a new burden on them at a very | | | challenging time when most of the bodies | | | concerned have had their funding cut and | | | are reducing staff or undergoing other | | | restructuring. | |

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nd ## Details Into The Compensation Paid Out By The Cps Over The Last Few Of Years * Please Disclose The Total Amount Of Compensation Paid Out By The Cps In 2018, 2019 And To Date In 2020 And Please Provide The Number Of Payouts Made. | Year | Number of Cases | Value of payouts £000 | |---------|--------------------|--------------------------| | 2017/18 | 48 | 243 | | 2018/19 | 60 | 1,340 | Please note 2019/20 data will be published in the Crown Prosecution Service (CPS) annual report and accounts which are currently being prepared for audit and will be published later in the year. We are unable to provide this information as it is exempt under Section 22 'Information intended for future publication' of FOIA. Please refer to the attached section 17 refusal notice which explains this exemption in further detail. * Please disclose the total amount of compensation paid out by the CPS to date in 2017 and please provide the number of payouts made. In the 2016/2017 financial year, the total amount of compensation paid out by the CPS was £1,631,000 and this was for 49 payouts. * For 2019 and 2020, please disclose why each payout was made and disclose the amounts of each payout. No further details of each payment are provided as the detailed facts pertaining to these matters and settlement figures are exempt under Section 31 'Law Enforcement', Section 32 'Court Records', Section 40 'Personal Information' and Section 41 'Information provided in confidence'. Please refer to the attached Section 17 refusal notice which explains these exemptions in further detail. Information Management Unit 020 3357 0788 IMU@cps.gov.uk Crown Prosecution Service, Information Access Team, Floor 8, 102 Petty France, London SW1H 9AJ

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## During the month of October 2013, the following exceptions to the recruitment and consultancy freeze have been considered by the Chief Executive, in his capacity as Accounting Officer: Decision Approval date Ref: No. & directorate Summary of application Consultancy/ recruitment Recruitment Approved 09/10/13 311 CO HR Operations Manager - Grade D Recruitment Approved 14/10/13 312 RME Director of RME- SCS Consultancy Approved 24/10/13 313 RPP Consultancy support for determination of enhancements costs in 2013/14, £50,000 Consultancy Approved 24/10/13 314 RPP Review of Passenger information during disruption ATOC code of Practice, £84,000 Recruitment Approved 25/10/13 315 RME Principle Case Officer and Policy Lead Markets -

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The Institute of Paper Conservation is grateful to the American Institute for Conservation of Historic & Artistic Works (AIC) for allowing the use of the above text for the British edition. The original text was prepared by Betsy Palmer Eldridge, Nancy Schrock, and Shannon Zachary and modified for this edition by Frances Hinchcliffe ACR MIPC and Kate Colleran ACR MIPC. For additional information about AIC, please visit their website: http:/www.aic-faic.org. Suppliers of conservation quality storage materials: Conservation by Design Ltd Timecare Works, 5 Singer Way,Woburn Road Industrial Estate, Bedford MK42 7AW Telephone 01234 853555 Website: www.conservation-by-design.co.uk Conservation Resources (UK) Ltd Unit 2 Ashville Way, Oxford OX4 6TU Telephone 01865 747755 Website: www.conservationresources.com Preservation Equipment Ltd Vinces Road, Diss, Norfolk IP22 4HQ Telephone 01379 647400 Website: www.preservationequipment.co.uk Secol 13-16 Howlett Way, Thetford, Norfolk IP24 1HZ Telephone 01842 752341 Website:www.secol.co.uk John Purcell Paper 15 Rumsey Road, London SW9 OTR Telephone:0207 737 5199 www.johnpurcell.net For further information contact IPC email:information@ipc.org.uk www.ipc.org.uk Contact the Preservation Department Phone: +44 (0)20 8392 5200 email: preservation@nationalarchives.gov.uk www.nationalarchives.gov.uk The National Archives Kew Richmond Surrey TW9 4DU ## Caring For Your Books The book is an ingenious invention. Compact and portable, it has been the primary means of transmitting and preserving mankind's accumulated knowledge for hundreds of years. Printers and bookbinders have used a wide variety of materials and structures. Materials include paper, parchment, textile, leather, paste and glue. ## Causes Of Damage These organic materials can be damaged by light, fluctuating and extremes of temperature and humidity, dirt and dust, poor shelving and handling. Light causes rapid deterioration and fading. All lights cause some damage but daylight, containing high levels of ultraviolet radiation, is the most harmful. Hot and dry conditions desiccate and embrittle leather and paper; damp conditions encourage mould and insects. Accumulation of dirt and dust can trigger chemical degradation. Shelving and handling can also cause physical and chemical damage. Most of the dirt on book covers and pages is accumulated grime from oily fingertips. While invisible initially, finger grease becomes all too visible as it oxidises and collects dirt. Signs of damage Books packed tightly on a shelf are difficult to remove without harming them; removing a book by pulling on its headcap is apt to break it. Leaning books place stress on the entire book structure. Opening a book flat on a table stresses the structure, flattening the spine and stretching the joints. Placing books face down onto a flat surface, for example during photocopying, break the binding. Torn and loose pages, text blocks out of their covers, broken and detached spines and joints, yellowing self adhesive tapes or discoloured paper repairs, 'foxed' and brittle paper, stains, worm holes, mould all require attention. ## What Can You Do Felt tip pens and biros may stain; self-adhesive slips (post it notes) leave an invisible residue of adhesive on the page to attract dirt. Newspaper cuttings, flowers and other miscellaneous material left in books leave stains and stress the bindings. Unskilled, DIY repairs and indiscriminate rebinding can seriously reduce the value, particularly of rare or special items, and lose irretrievable bibliographic information. - Regular dusting is important and gives an opportunity to check the condition of books. When dusting the edge of a book, wipe away from the headcap towards the fore edge, using a clean cloth or soft brush such as a shaving brush. Dirt brushed down the spine of the book is trapped there forever. A vacuum cleaner can also be used with the lowest suction. Muslin or fine net can be tied over the nozzle to catch any loose bits that might accidentally break off. - Leather dressing is not recommended as it can cause stains, make the leather sticky and degrade paper. Recent tests have shown that such dressings are only cosmetic and do nothing to prolong the life of the leather. - Handle books with clean hands. Wearing white cotton gloves for handling rare binding is a good preventive measure, but turning fragile or brittle pages with gloves may cause damage and is not advised. - When opening a book on a flat surface, protect the structure from stress by placing another book or a rolled up towel on each side to support it. - When removing a book from the shelf, either push the two neighbouring books back in order to grab the spine in the middle. If there is room above the book, reach over the top of the book to the fore-edge and then pull it out. If there is no room, push back the books on either side of the one to be removed, to expose enough of its spine to allow you to get a firm grip on it. - Damaged book, detached spine or boards - to prevent further damage tie up firmly with a flat cloth tape and place in an envelope. Through prolonged exposure to light these leather volumes are now faded High levels of relative humidity will encourage mould growth ## Finding A Conservator - Reduce exposure to light by keeping lights turned off in rooms that are not in use; block daylight by using curtains or blinds. IPC operates a professional accreditation scheme to protect the users of conservation services, whether individuals or large public institutions. The scheme is run in partnership with other conservation bodies. Accredited members are designated as ACR MIPC. - Prevent exposure to rapid changes or extremes in temperature and humidity by keeping books away from sources of heat such as radiators and fireplaces. A cool, dry and stable environment is ideal. Temperatures between 13–19°C and a relative humidity of 45–60% are recommended. Avoid placing them next to damp external walls. Good air circulation is imperative to prevent stagnant air pockets, where condensation will collect and mould might grow. For this reason it is best not to push books right to the back of the shelf. IPC supplies free of charge, the names and addresses of ACRs either by geographical area or particular expertise. This service is open to both individuals and institutions, for a single item or for a large and diverse collection. ACRs may also give advice on preventive conservation, disaster planning, storage and display. - Ensure that books standing vertically on shelves are upright and supported by neighbouring books or bookends. It is best to lay large books horizontally in stacks of two or three. The Institute of Paper Conservation is the leading organisation devoted solely to the conservation and care of paper, books and related materials email: information@ipc.org.uk website: www.ipc.org.uk - Important and fragile books may require additional protection. A variety of wrappers and boxes are available from conservation suppliers. A conservator will be able to advise on custom-made boxes. The recommendations in this leaflet are intended as guidance only. IPC does not assume responsibility or liability. - If you have to pack books away for storage avoid wrapping them in common household plastics such as bin liners, plastic bags or cling film. These emit harmful gases as they degrade and may also encourage condensation. Don't place books on fore-edges, as this is likely to damage the structure of a book and loosen the binding. - Avoid storing boxes of books in attics, garages or basements where temperature and humidity fluctuations are great, where pests may be a problem, and where leaks or floods are common. Allow at least four inches of space between the boxes and the walls, ceilings and floors. Lift boxes up on wooden pallets. - If books get wet in a flood small numbers can be air-dried. Stand the books up, fanned open, alternating spine to fore edge, with sturdy bookends at each end to prevent them falling over. Fans can be used to circulate the air and increase evaporation. The room temperature needs to be as low as possible to discourage mould and use dehumidifiers or air conditioners to reduce humidity. A wet book may also be frozen to stabilise it, to be thawed and dried later. Wrap individual books in polythene and place it in a freezer. In the case of a serious flood or a fire, get help from a conservator as soon as possible. ## What You Can'T Do When it is too late for preventive conservation and the damage is already done, there is little that you as a collector can do. Resist the temptation to do home repairs with any of the wide variety of self adhesive tapes as these are likely to cause further damage and are difficult to remove. Contact an accredited book conservator through the Institute of Paper Conservation and they will advise on the most appropriate treatment for your book.

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MILNE'S HIGH SCHOOL WE ARE AN ASPIRATIONAL COMMUNITY WHERE THE INDIVIDUAL'S POTENTIAL IS REALISED THROUGH OPPORTUNITY AND EQUITY. facebook.com/milneshighschoolmoray MILNE'S HIGH SCHOOL West Street Fochabers Moray twitter.com/MilnesHigh TEL: 01343 820611 admin.milneshigh@moray-edunet.gov.uk www.milneshighschool.org.uk IV32 7DJ ## Contents Introduction Welcome Welcome : Head Teacher Welcome : Head Prefect A Brief History of Milne's Milne's High School and Map Accommodation and Location Our Staff 2 3 4 5 5 6 Aims, Vision and Values School Improvement & Contact Information School Information 7 8 8 9 School Term and Holiday Dates Transition - Primary to Secondary School House System Assemblies Guidance Named Person Careers Education Additional Support Needs Peer Support Anti-Bullying Health and Wellbeing High Quality Learning Experiences Curriculum for Excellence A Caring Supportive Community 10 10 11 11 11 12 12 13 13 14 15 15 16 16 17 17 18 18 Curriculum : Broad General Education Curriculum : Senior Phase Work Experience 16+ Learning Choice Physical Education Religious and Moral Education Additional Learning Experiences Residential & School Trips home and abroad 19 High Expectations of all our Young Behaviour 20 22 24 24 25 25 In Partnership with Parents General Information for Parents Attainment People Homework Study and Essential Equipment School Dress Merits Pupil Progress : Reports and Parents' Evenings Assessment and Attainment Pupil Participation and Responsibility Parent Council All General Information Privacy Statement 26 27 28 29 35 37 38 40 Statistical Information Appendix A COVID-19 Impact on Schools Information in this Prospectus All information given is correct at the time of publication. It is possible that over the course of the year some information will change. Please contact the school if any further advice or clarification is required. ## Welcome To Milne'S High School I am delighted to introduce this hand book which is designed to give you an overview of our school. Our vision is to provide a creative and ambitious learning environment where everyone is the best they can be. Our strategic aims are for all to: - • - • Develop relationships, knowledge and skills Feel safe, happy, healthy and confident Celebrate our success Be provided with pathways that lead to success We aim for all members of the school community to feel valued and so everything we do is underpinned by our core values of determination, resilience, leadership, honesty, service and respect. Patricia Cameron Head Teacher We can only achieve our vision through strong relationships and partnership working with pupils, staff, parents and the wider community to be an aspirational community where the individual's potential is realised through opportunity and equity. Our vision, values and strategic aims continue to guide our mission, even during challenging times. We endeavour to provide the best educational experience that we can while ensuring the safety of our school community. ## Welcome To Milne'S High ꢀChool On ꢁEhalꢂ Oꢂ The ꢃUꢃIls Here at Milne's, what we value most is creating an environment which allows students to learn, grow, and eꢄcel in a saꢂe, understanding sꢃaceꢅ We strive to helꢃ everyone to reach their ꢂull ꢃotential through oꢃꢃortunity and eꢆuityꢅ ꢇur core ꢃrinciꢃles are determination, resilience, honesty, service and resꢃect which shaꢃe our school into a ꢃlace where ꢃuꢃils thrive, and eꢄꢃectations are highꢅ ꢈhese values underlay our everyday at Milne's High, and maꢉe ꢂor an environment where ꢃuꢃils enꢊoy to learn and ꢃlayꢅ ꢇur community is very ꢂriendly and sociaꢁle, with the chance to ꢊoin cluꢁs, where we can ꢃartaꢉe in activities ꢂrom netꢁall to ꢁoard gamesꢅ ꢈhe arts are widely aꢃꢃreciated, with an eꢄceꢃtional music deꢃartment that oꢂꢂers the chance to ꢁe ꢃart oꢂ our ꢊaꢋꢋ ꢁand, orchestra, ꢂiddle grouꢃ and choirꢅ ꢌuꢃils can also ꢃarticiꢃate in a range oꢂ comꢃetitions which showcase our diverse talents, such as ꢃhotograꢃhy and mathematicsꢅ ꢇur staꢂꢂ are wonderꢂully suꢃꢃortive, volunteering their time to helꢃ run and organise these eventsꢅ ꢇur school ꢃrovides many oꢃꢃortunities ꢂor us to mould our eꢄꢃerience and taꢉe the initiativeꢅ We can ꢃlay a ꢃart in organising events and ꢂundraisers through various committees, as well as ꢁecome a ꢀtudent ꢍoice ꢎmꢁassador and imꢃlement ꢂeedꢁacꢉ ꢂrom staꢂꢂ and ꢃuꢃils aliꢉeꢅ ꢈhis allows us to have a ꢂleꢄiꢁle learning eꢄꢃerience and have a say in how our school is runꢅ ꢇne such initiative that has ꢁeen launched is the mental health ꢃrogrammeꢅ ꢀtudents can ꢁecome a Mental Health ꢏhamꢃion, training how to ꢃrovide helꢃ to those in need and oꢂꢂering suꢃꢃort to ꢂellow ꢃuꢃilsꢅ We are also ꢃroud to say that we oꢂꢂer leadershiꢃ oꢃꢃortunities throughout all year grouꢃsꢅ ꢌuꢃils can taꢉe uꢃ roles such as ꢊoining the ꢌreꢂect ꢈeam, ꢁe House ꢏaꢃtain, and a ꢀꢈꢐM ꢑeaderꢅ ꢈhese helꢃ us develoꢃ transꢂerraꢁle sꢉills that will ꢃreꢃare us ꢂor the wider worldꢅ ꢎs a school we recognise the oꢃꢃortunity to sꢃread awareness oꢂ the diꢂꢂerent needs oꢂ all ꢃuꢃils due to various ꢂactors such as dysleꢄia and learning diꢂꢂicultiesꢅ We wish to maꢉe this school as inclusive as ꢃossiꢁle, and accessiꢁle to allꢅ ꢏertain lessons have ꢁeen tailored to educate the wider audience in the school and allow ꢂor more understanding and emꢃathy towards other studentsꢅ We are a diverse, colourꢂul, amꢁitious school that welcomes all with oꢃen arms and suꢃꢃorts each ꢃuꢃil in ꢁlossoming as individuals and academicsꢅ ## ꢒ ꢐMily ꢓAle And ꢏOnnor ꢔUrgess ꢕIcꢉWood, Head ꢌReꢂEct ꢈEam A Brief History Of Milne'S High School Milne's High School was established in 1846 as a result of the generosity and benevolence of Alexander Milne who wished to see educational opportunities for young people in his home town of Fochabers. In the course of his life, Alexander Milne travelled far from his native community, yet it retained an affectionate place in his heart. As such, he bequeathed the money required to set up Milne's Institution,as it was then called. The original building is still a familiar and striking landmark in the main street through Fochabers. This building, which is now home to Milne's Primary School, has been renovated to a very high standard by the local authority. It has, however, kept its original external appearance, a magnificent facade designed by Thomas Mackenzie who was responsible for many fine buildings in Aberdeen and North-East Scotland during the 19th century. Although the secondary school is now based in a modern building on the south side of Fochabers, the school retains strong ties with its roots. Traditions are represented, for example in a continuation of high academic standards and the development of awareness in our young people of the needs of others in the school and wider community. ## Milne'S High School Badge The School Badge comprises three boars' heads with a pheon in the centre, set on a green background. Both the boars' heads and the green background are associated with the Gordon family. The badge reflects the fact that Fochabers and the area around it has been linked with the Gordon Family for several centuries. The pheon (a jagged arrow head or javelin) is set in the centre of the badge. As far as can be determined, the badge in its current form made its first appearance on a school publication in 1912. ## The School Motto "Alacritate-Ac-Studio" Means 'With Speed And Zeal' Milne'S High School Milne's High School provides comprehensive education for boys and girls from first to sixth year (aged 11 to 18 years). In addition to young people from Fochabers itself, the school zone includes Mosstodloch, Lhanbryde, Garmouth, Spey Bay, Kingston and Urquhart as well as smaller communities stretching towards the area surrounding Portgordon and Buckie. Essentially, the catchment area includes a large part of the eastern area of Moray's rich agricultural land involving farming, forestry and plant nursery developments as well as a range of industry including Baxters of Speyside which is less than a mile from the school. The school roll is presently 411. The local communities within the area are active supporters of the school and our underlying values.This is very much appreciated and where possible reciprocated through links from the school to the community. We celebrated our 170th birthday in 2016, but despite the rich traditions of its past from which it draws, it is a progressive, vibrant and forward looking school, anticipating a very positive future to complement its past successes. The current Milne's High School building is situated on the south side of the town of Fochabers. Travelling west from Aberdeen, turn left at the Square, continue up Charlotte Street, cross the narrow bridge at the end of the street. leading to West Street. Turn left at this point, then follow the line of the road which brings visitors to the school which is situated on the left hand side of the road. The Speyside Way runs alongside the west side of the school grounds. The school is set on a very attractive site with its own extensive playing fields and an all-weather pitch immediately accessible from the buildings. The area has been landscaped and is surrounded by trees which are now well established. The buildings themselves were constructed in phases between 1981 and 1989 when the school finally moved to its current site. A central teaching and management block is linked to the other teaching areas of the school. An extension has been built and this further enhances facilities and includes a community library, fitness gym, IT suite and multi-agency base.The map above shows the area of Moray which is served by Milne's High School. A more detailed map is held by the school office and advice is also available from Moray Council regarding the appropriate zoned school for each address within Moray. Information on our associated primary schools is given in the section headed 'Transition from Primary to Secondary School' ## Our Staff Senior Leadership Team Head Teacher Mrs P Cameron Physical Education Mr R Elder (Principal Teacher) Miss L Keay Depute Head Teacher Mrs S Burchell Ms A Kelbie Mrs F West Mr A Macleod Physics Mrs S Valentine Business Support Officer Mr M Van-Hoof Mr M Thomson (Principal Teacher) Mrs A Cunningham RME Teaching Staff Art & Design Ms A Neillie (Principal Teacher) Mrs C Young Biology Mr H Archibald (Principal Teacher) Design & Technology Miss S Smith (Principal Teacher) Additional Support Needs Mrs P Parrott (Acting Principal Teacher) Miss K Doyle Mrs A Gray (Principal Teacher) Dr B Orr Mrs S Laurie Business Education Miss C MacKenzie (Principal Teacher) Mrs L Watt Covid-19 Teacher Mr J Brady Guidance Mr W Young Chemistry Mrs C Sugg (Principal Teacher) English Mrs L MacDonald (Principal Teacher) Mrs G Humphrey Mrs S Grant (Principal Teacher) Mr C McGuire (Principal Teacher) Support Staff Senior Clerical Assistant Mrs E Kelly Clerical Assistants Mrs L Barber Mr P Jenkins Geography Mrs N Duff Mr B Donlin (Principal Teacher) Mr C Young Inclusion Co-ordinator VACANCY History and Modern Studies Mr M MacLeod (Principal Teacher) Ms K Marr Supervisory Technician Mr S Perry Technician Home Economics Mrs L Mair Mrs D Gordon (Principal Teacher) Mathematics Mr R Jagger (Principal Teacher) Miss C Crossman Technical Assistants Mrs L McWilliam Mrs S Mitchell Head Janitor Mrs E Fraser Mr R Young Mrs H Rongong Janitor Modern Languages Mrs L Lyall (Principal Teacher) Mrs N Maclean Mr G Chalmers Pupil Support Assistants Miss E Clark Music Mrs M Cooper Mr R Ross (Principal Teacher) Mrs V Slater Mrs S Cowie Mrs T Dickie Mrs J Duncan Mrs K Smith Mrs L Smith Catering Supervisor Mrs E Stewart Part-time Music Instructors Ms F Campbell (Percussion) Mr A Grant (Brass) Mr A Davidson (Violin) Mr C Henderson (Guitar) Ms J Theron (Woodwind) ## Aims, Vision And Values School Improvement & Contact Information Every year we make major decisions about our school to try and ensure that we are continually improving the quality of education we provide for all our young people. This is summarised in our School Improvement Plan. We make these decisions based on information we have gathered from parents, pupils, teachers, the Local Authority and members of the wider community. Our improvement plan is available from the school office or from our website (www.milneshighschool.org.uk - About us - Improvement Plan). Our Standards and Quality Report is designed to provide a summary of information about our school's progress over the last year. In particular: Continuous Improvement Progress with our school improvement priorities 2020-21 Our school improvement agenda 2020-21 Successes and achievements of our pupils both as individuals and through collective endeavours Communication with the School Should parents have queries, issues or information to share then the first point of contact should be the child's Guidance teacher. Should parents wish to raise concerns about how we have dealt with an incident then please contact a member of the Senior Leadership Team. Parents can send a letter, call or email the school office and it will be forwarded to the appropriate Depute Head Teacher. Please be aware that the Head Teacher will be fully aware and involved in dealing with any complaint. As our community has many different family structures, it is important that we are made fully aware of a situation which may require special communication arrangements. Our system is set up to have a main contact however, in the case of split families we can set up a process whereby both parents receive copies of written communication. We require parents to make this request by contacting the appropriate Guidance teacher. Please be aware that we will use the main contact in the first instance by telephone and we expect parents to communicate with each other as much as they can regarding their child in cases where families may be apart. All communication is channelled through our very skilled, discrete and professional team of office staff. 01343 820611 admin.milneshigh@moray-edunet.gov.uk School Contact Information Milne's High School,West Street, Fochabers IV32 7DJ Office Phone Number: Email: Canteen: 01343 821478 Website: www.milneshighschool.org.uk ## Other Useful Numbers Ms Kim Karam Head Teacher Education, Communities And Organisational Development Milne's Primary High Street Moray Council High Street Fochabers IV32 7EP 01343 820977 Elgin IV30 1BX 01343 563374 ## Ms Donna Mackay Head Teacher Mrs G Ross Head Teacher Mosstodloch Primary Mosstodloch Fochabers IV32 7JB 01343 820476 Lhanbryde Primary Garmouth Road Lhanbryde IV30 3PD 01343 842649 ## School Term And Holiday Dates School Term And Holiday Dates 2020 - 2022 | Session 2020/2021 | Session 2021/2022 | |------------------------------------------|------------------------| | Autumn | | | Term | | | Starts | | | Ends | | | Autumn | | | Holiday | | | Starts | | | Ends | | | Starts | | | In-Service Closure: Monday 10 Aug 2020 | | | In-Service Closure: Tuesday 11 Aug 2020 | | | Wednesday 12 August 2020 * | | | Friday 9 October 2020 | | | Monday 12 October 2020 | | | Friday 23 October 2020 | | | Monday 26 October 2020 | | | Winter | | | Term | | | In-Service Closure: Monday 16 Nov 2020 | | | Friday 18 December 2020 | | | Ends | Ends | | Christmas | | | Holiday | | | Starts | | | Ends | | | Monday 21 December 2020 | | | Monday 4 January 2021 | | | Spring | | | Term | | | Starts | Tuesday 5 January 2021 | | Mid Term Holiday: | | | Friday 5 & Monday 8 February 2021 | | | Friday 26 March 2021 | | | Friday 11 & Monday 14 February 2022 | | | Friday 1 April 2022 | | | Ends | Ends | | Spring | Starts | | Good Friday Holiday: Friday 2 April 2021 | | | Friday 9 April 2021 | | | Holiday | | | Summer | | | Term | | | Ends | | | Starts | | | Monday 12 April 2021 | | | May Day Holiday: Monday 3 May 2021 | | | In-Service Closure: Thursday 13 May 2021 | | | In-Service Closure: Friday 14 May 2021 | | | Friday 25 June 2021 | | | Ends | | | Plus 1 occasional day holiday | | | to be agreed by 30 March 2021 | | | Plus 1 occasional day holiday when the | | | following schools will be closed: | | Elgin Academy ASG Monday 14 June 2021 Thursday 4 February 2021 Elgin High ASG * Following the COVID-19 lockdown pupils will begin to return to school from Wednesday 12 August 2020. An announcement will be made by 30 July 2020 to confirm whether or not schools will return on a 100% basis from 12 August for pupils, or whether the contingency plans set by each school will require to be implemented. Contingency plans could mean smaller groups of pupils attending school on a timetabled or rotational basis. Given that the schools are returning a week earlier in summer 2020 an additional week of holiday has been agreed for summer 2021 with effect from Monday 28th June 2021 making a seven week summer break. As a result of the additional in-service day in August 2020 the planned 2 in-service days in November 2020 have been reduced to only Monday 16th November. Tuesday 17th November will become a normal teaching day. Telephone: (01343) 563374, Email: education@moray.gov.uk (all dates inclusive) Starts Ends Starts Ends Starts Autumn Term Autumn Holiday Winter Term In-Service Closure: Monday 16 Aug 2021 Tuesday 17 August 2021 Friday 8 October 2021 Monday 11 October 2021 Friday 22 October 2021 Monday 25 October 2021 In-Service Closure: Monday 15 Nov 2021 In-Service Closure: Tuesday 16 Nov 2021 Thursday 23 December 2021 Christmas Holiday Starts Ends Friday 24 December 2021 Friday 7 January 2022 Spring Term Starts Monday 10 January 2022 Mid Term Holiday: Starts Ends Starts Spring Holiday Summer Term Monday 4 April 2022 Friday 15 April 2022 (Good Friday) Monday 18 April 2022 May Day Holiday: Monday 2 May 2022 In-Service Closure: Thursday 12 May 2022 In-Service Closure: Friday 13 May 2022 Friday 1 July 2022 Ends ## Session 2022/2023 Schools work in a group format, based on a Secondary school and its associated Primary schools. This is known as an Associated School Group (ASG). More information is available on the Moray Council website at: www.moray.gov.uk/moray_standard/page_55590.html Transition from Primary to Secondary School The majority of pupils at Milne's High School come from our three associated primary schools. These are Lhanbryde Primary School, Milne's Primary School in Fochabers and Mosstodloch Primary School. T o assist with transition arrangements and the associated curriculum planning between the primary schools and the secondary, a number of structures are in place. In the summer term, visits by secondary staff are made to meet with Primary 7 pupils and their teachers. This is followed by pupil visits to Milne's High School to become familiar with their environment and help them feel more confident about their transition into secondary school. During the three days pupils will take part in activities which will enable them to: - Build new friendships - Team build - Become comfortable with their environment - Develop a knowledge and understanding of wellbeing The transition programme is aimed at making our new pupils feel welcome and to make the move from primary to secondary straightforward and enjoyable. Pupils enrolling from other primary schools are also invited to attend the visits to Milne's High School. A Parents' Information Evening is held to share information and help parents become familiar with the school. House System and Year Heads A considerable emphasis is placed on ensuring that new first year pupils settle in quickly and successfully to their new environment. Each pupil is placed in one of two 'Houses'. A member of the Senior Leadership Team has overall responsibility for each house group as House Head. Key personnel include: Head Teacher Mrs Patricia Cameron Depute Head (Tynet House) Mrs SusanValentine Depute Head (Spey House) Mrs Susie Burchell Depute Head (Pupil Support)Mr Adam Macleod Principal Teacher of Guidance Tynet - Mr Charlie McGuire Spey - Mrs Sharon Grant Assemblies During the weekly period of Wellbeing & Attainment throughout the school session, year group and House group assemblies take place. There are two principal purposes in holding such assemblies. First they are designed to encourage a sense of identity and belonging to the school. They are also intended to provide an opportunity for thought-provoking reflection. Members of our Chaplains' team are involved in assemblies at various times throughout the year. The themes of the assemblies will vary with a programme drawn up at the beginning of each school year. Guidance - Support for Pupils Our Guidance Team perform a key role in the link between home and school. Although all teachers in the school have responsibility for the health and wellbeing of pupils, it is the Guidance Team who are in a position to have a complete overview of progress during a pupil's secondary school career. They offer advice and direction on a range of issues including dealing with bullying and resolving friendship issues.They also assist pupils in the decision making process at all stages. Furthermore, they act as a link with many partner agencies such as Social Work, Health and Skills Development Scotland. Principal Teachers of Guidance have regular learning conversations during each stage of a pupil's school career. Where there are matters of concern about a pupil's wellbeing, the Guidance Team usually contact parents/carers by letter or by telephone. In return, parents/carers are asked to inform Guidance teachers of any circumstances which might affect a pupil's progress at school. All pupils entering Milne's High School are assigned to a House Group under the care of a Principal Teacher of Guidance and will normally remain in the same House throughout their education at the school. Should you have any concerns or questions, the Guidance teacher should be your first point of contact. They have the overview of your child and work closely with the Senior Leadership Team to resolve any issues. Named Person As part of the national Getting It Right For Every Child (GIRFEC) approach children and young people from birth to 18, or beyond if still in school, and their parents will have access to a Named Person to help them get the support they need. In secondary schools the Named Person will usually be a Principal Guidance Teacher and will remain throughout their time at school. The Named Person will be the single point of contact for children and young people, their parents/carers and the professionals who work with the child or young person. The GIRFEC approach (which includes the Named Person Service) aims to improve outcomes for children and their families based on a shared understanding of wellbeing. Most children receive the support they need from their own families and their community, in partnership with universal services such as health and education. Where extra support is needed, GIRFEC aims to make that support easy to access with the child or young person at the centre. It looks at a child or young person's overall wellbeing to establish how safe, healthy, achieving, nurtured, active, respected, responsible and included wellbeing indicators they are, to ensure that each and every child gets the right support, at the right time, from the right people. The Named Person Service supports this approach, offering a single point of contact for children and their families at a time when support may be needed. It also serves as a way to coordinate multi-agency support (eg from health,social work, police etc) if required. Should you have anything you would like to discuss regarding a child's wellbeing, please do not hesitate to contact your Named Person either by phone, email or alternatively a letter marked for the attention of your Named Person. Careers Education Skills Development Scotland (Careers) works in partnership with us to support key parts of both our Guidance work and Personal and Social Education. Our programme of careers education is enhanced by contributions from our careers coach from Skills Development Scotland. One-to-one careers guidance is also arranged with pupils at different stages in the school, especially in the Senior Phase. Parents/carers are also welcome to contact Jayne Porter for careers advice regarding their son or daughter. A well-stocked careers library contributes to this provision along with information on work and further/higher education which is available from a computer database. Pupils are encouraged to investigate careers areas independently. Senior pupils are encouraged to attend University Open Days and other careers events as appropriate. Careers talks from various outside agencies are also given each session. Senior pupils in particular are encouraged to attend. ## Additional Support Needs (Asn) In Milne's High School, the ASN Department reflects the inclusive policy of the Moray Council. We aim to provide equality of access to an appropriate and effective curriculum which is suited to the needs of young people. Support staff work across the breadth of the curriculum providing in-class support. ASN staff also work collaboratively with teachers in a planning and consultative role and with Principal Teachers of Guidance in their supportive and pastoral roles. Where a flexible curriculum is more appropriate, and in full consultation with parents/carers and young people, this can be provided within the department. In S1-S3, this curriculum parallels that of CfE and in S4, National 1 and 2 courses are provided as a route to qualification. The ASN department works closely with partner professionals whose expertise can enhance the provision for young people in school. They also work collaboratively with parents and young people, taking full account of their views in accordance with their rights and responsibilities. ## Information On Girfec ("Getting it Right for Every Child") is available at: http://www.scotland.gov.uk/Topics/People/Young-People/gettingitright Enquire - the Scottish advice service for additional support for learning. It offers independent, confidential advice and information on additional support for learning through: Telephone Helpline: 0345 123 2303 Email Enquiry Service: info@enquire.org.uk Advice and information is also available at www.enquire.org.uk Peer Support In June of each year, pupils entering sixth year are offered the opportunity to become members of the Peer Support Team in one of the following ways:: ## Paired Reading S5/6 Supporting Others In Curricular Classes Supporting others in curricular classes Senior students can help teachers in certain classes. A wide range of subject areas currently have senior student support and this particularly helps S1 but can also occur in S2-S4 classes where appropriate. The senior student is involved in many ways as agreed with the individual teacher. Anti-Bullying Policy At Milne's High School, all staff aim to give youngsters the best possible chance to gain valuable skills and qualifications and to equip them with a knowledge and understanding of their environment so that they can cope with and enjoy life in a fast changing world. Furthermore, we recognise that young people need to develop self-reliance while also appreciating the inter-dependence of individuals and acceptance of other people, their opinions and their cultures. Milne's High School Pupils' Definition of Bullying - We think bullying is behaviour that can leave people feeling hurt, frightened and left out. Such behaviour impacts negatively on our school community - Bullying can be characterised by intentionally aggressive behaviour that involves an imbalance of power and strength. It can be exemplified through physical, verbal/nonverbal, and/or relational means - Bullying can also be characterised as being prejudice because you are perceived to be different e.g. appearance, intelligence, sexuality, race, beliefs, disability or personality - Bullying can be any combination of the above negative behaviours and often it is a repeated offence, even when teachers observe it for the first time Milne's High School Statement Bullying occurs in every school and Milne's High is no exception. When bullying is identified here it will be dealt with quickly, firmly and sensibly This action includes: School Action: - Encouraging our young people to talk to someone they trust - Guidance teacher, wellbeing and attainment teacher, parent, relative, friend, prefect - Guidance teachers will talk through the issues and actions taken will depend on circumstances and the degree of bullying involved. This may include fact-finding, talking with others, problem-solving work, restorative work and talking to parents - We may involve others to work with us, such as Home School Link Worker or Police Scotland - Persistent or serious incidents will lead to referral to the Senior Leadership Team - Persistent or serious incidents will result in sanctions, restrictions, formal warnings, parental meetings and ultimately, exclusion from school - Incidents are recorded and filed for review. These are discussed on a regular basis by the Senior Leadership Team Parents/carers should be aware that they may contact the school at any time if their child reports being bullied or if they notice a change in the child's behaviour which might indicate bullying. The initial contact would normally be made with the child's Guidance teacher. Similarly, any member of the school staff will report incidences of bullying to the Guidance team if they witness it, if a child tells them about it or if they themselves sense that it may be happening. Everyone has a right not to be bullied. Our message to pupils is that they must tell an adult if they themselves are being bullied or if they know of other youngsters who are in this position. Health and Wellbeing - Guidance and Support for Pupils Throughout your child's time at Milne's High School your child's Guidance teacher along with all other members of the school community will have the responsibility of promoting positive health and wellbeing. Health and Wellbeing is a responsibility of all members of the school and the main areas that are addressed are separated into five areas: Mental Emotional Wellbeing - relationships, resilience, bullying, empathy and bereavement and loss Social Wellbeing - rights and responsibilities, diversity, peer education Physical Wellbeing - personal safety, internet safety, first aid and safe travel Planning for Choices and Change - decision making, making good choices, target setting, taking responsibility and independent learning Relationships - importance of making and keeping good relationships, respecting boundaries in a social context Pupils will experience the Health and Wellbeing outcomes through the general ethos and life of the school, curriculum and subject areas, interdisciplinary projects and studies and also through opportunities for personal achievement. Assemblies, the House System, careers education and peer support all contribute to the health and wellbeing approach in school. Curriculum for Excellence (CfE) CfE balances the importance of knowledge and skills. It aims to raise standards, prepare our children for the future and equip them for work in a fast changing world. Every teacher will be responsible for literacy and numeracy - the language and numbers skills that unlock other subjects and are vital to everyday life. ## Literacy CfE gives a new focus to literacy across learning. Literacy skills will be developed in all subjects and across the eight curriculum areas. Literacy experiences will promote the development of critical thinking, creative thinking, competence in listening and talking, reading and writing, personal, interpersonal and team-working skills as well as skills in using language. ## Numeracy CfE recognises the importance of numeracy and that our young people need to be confident when solving problems, making decisions and analysing situations that involve numbers. Throughout the curriculum the teaching of numeracy is organised into areas which include understanding and calculating numbers, applying numbers when working with money, time and measurement and understanding information to make decisions. CfE develops skills for learning, life and work to help young people go on to further study, secure work and navigate life. It brings real life into the classroom,making learning relevant and helps young people apply lessons to their life beyond the classroom. CfE links knowledge in one subject area to another, helping children understand the world and make connections. CfE develops skills so that children can think for themselves, make sound judgements, challenge, enquire and find solutions. We offer personal support to help young people fulfil their potential and make the most of their opportunities. There is much emphasis by all staff on looking after our children's health and wellbeing to ensure that the school is a place where children feel safe and secure. Ultimately, CfE aims to improve our children's life chances, to nurture successful learners, confident individuals, effective contributors and responsible citizens. Broad General Education (S1-S3) All pupils are entitled to a Broad General Education. In some subjects pupils are taught in class size groups of 30 and under; in practical size groups the maximum number is 20. Primary school reports are used along with information gathered by secondary staff during visits to associated primary schools to ensure that as far as possible, an appropriate measure for each youngster is established.The curricular areas studied are: - **Languages and Literacy** - English, Modern Language - **Mathematics and Numeracy** - Mathematics - **Health and Wellbeing** - Physical Education, Home Economics, Personal and Social Education - **Religious and Moral Education** - RME - **Social Subjects** - History, Geography, Modern Studies, Business Education, Religious and Moral Education - **Expressive Arts** - Art & Design, Music, Dance - **Sciences** - Biology, Chemistry, Physics - **Technologies** - ICT, Design and technology In the Autumn term of their second year, pupils are given further opportunities for personalisation and choice. An information booklet about the course choice available online for parents and pupils. Detailed advice about courses is given by Guidance and Subject staff, with every pupil studying English, Mathematics, a Modern Language and five other subjects which must ensure coverage of all eight curricular areas (see previous page). This provides an opportunity to study courses in depth. Senior Phase (S4-S6) In S4, pupils select six subjects to study with English and Mathematics/Numeracy being compulsory. Pupils will be presented in these subjects for the National Exams. Pupils also study three core subjects of Physical Education, Personal and Social Education and Religious and Moral Education. Pupils who reach the age of 16 years on or before the last day of February are entitled to leave school on the last day of term before the Christmas holiday of the previous year. Pupils who reach the age of 16 on or before the last day of September may leave school on the last day of May of the same year. Any pupil leaving Milne's High School at any time should collect and complete a leaver's form from the school office. All books and equipment belonging to the school should be returned. The vast majority of pupils remain in school for a fifth and sixth year to gain more advanced qualifications. In the senior phase, pupils may study from a range of SQA courses covering a variety of subjects and levels. Detailed course information is issued during the Autumn term to pupils in fourth and fifth year. Advice from Guidance Teachers and our Careers Adviser is also available to allow seniors and parents to make informed and achievable choices. During their fifth and sixth years, we hope that our seniors will develop more advanced and increasingly 'independent' study skills. They are encouraged to take responsibility for the organisation of their work and private study. We are conscious that education is about more than academic or vocational qualifications. Other skills and qualities which will enable young people to contribute to society and to make their own way in the world are also required. Senior students in particular are encouraged to make a contribution to the wider life of the school and community, developing skills of leadership and responsibility. It is encouraging to see that many seniors do take the opportunities to enrich the life of the school, working both alongside staff and independently, for the benefit of younger pupils while presenting themselves as positive role models. Work Experience All students in the Senior Phase have the opportunity for Work Experience at a time appropriate to their individual needs. 16+ Learning Choices It is the intent of the Scottish Government that every young person of school leaving age in Scotland will receive an offer of continuing education or training that is attractive,appropriate and relevant to their needs. It is felt that this is the best way of ensuring young people's long term employability. In partnership with Schools, Colleges, Skills Development Scotland (Careers), the private, voluntary and other public sectors, Moray is developing systems and plans that will translate that vision into reality. For many young people,schools will continue to be the main route for that progression beyond S4; for others, college will be the best option or it might be a combination of school and college. For some young people the best offer may lie outside of school and college and this is where alternative provision will be identified and developed. During a young person's final year of statutory schooling, school guidance staff and Skills Development Scotland (Careers) staff will be in discussion with pupils to identify the most appropriate pathway. Physical Education (PE) All pupils from S1 to S6 will follow a Core PE programme which involves participation in a wide range of activities and fitness work. The activities include: - Team games (outdoors and indoors) - Racquet Sports - Dance - Gymnastics - Athletics - Fitness Through these activities pupils will have the opportunity to develop their physical competencies, physical fitness, cognitive skills and personal qualities, as well as their ability to evaluate self and peers, and a range of leadership skills. Pupils will also gain an awareness of the physical, emotional, social and health benefits of participation in physical activity. It is hoped that pupils will identify activities that interest them and that may become part of a healthy lifestyle now and in the future. Pupils who have a particular interest in physical activity will be able to choose from a variety of courses to study specific aspects of PE in greater detail from S3 onwards. All pupils are required to change into appropriate clothing for PE, including different footwear as appropriate to the activity. Jewellery must be removed and long hair tied back for safety. Parents are requested to encourage participation and in the instance of illness or injury a note should be signed to explain inability to participate. The PE department supports many school and community clubs and organises a full Inter-House Sports Programme. Religious and Moral Education Religious and Moral Education encourages pupils to engage in a search for meaning, value and purpose in life. It aims to develop their understanding of a wide range of beliefs within Christianity and other world religions. In S1-3 pupils have one lesson a week of RME, where they explore a range of moral issues and religious beliefs. This course forms an important part of the Broad General Education, promoting tolerance and inquisitiveness towards different ways of living.The aim is for pupils to learn about the beliefs studied. In the senior phase, pupils have the option to continue learning in the department through studying Religious, Moral and Philosophical Studies, and/or Philosophy at National and Higher Levels. It is possible for parents/carers to request that young people are withdrawn from RME. This must be stated in a letter to the Head Teacher as soon as possible. Additional Learning Experiences A wide and varied programme of educational activities runs throughout the year at Milne's High School. Pupils are given the opportunity to participate in these exciting and valuable learning experiences. These extra-curricular activities are an important part of the education which we offer to all of our young people and we value parental support in encouraging participation. Many activities take place on a regular basis: others take the form of inter-house competitions or one-off events. Whilst some take place at lunchtime, others are after school or in some cases at the weekend. A number are competitive; others may involve attending a performance of a play or a workshop offered in school. A major activity such as a concert also involves considerable numbers of pupils in a valuable additional experience to the formal curriculum. A number of activities allow pupils to represent Milne's High School in inter-school competitions. Activities which have been running previously have included the following: Archery, athletics, badminton, basketball, football, hockey, rugby, netball, fitness We also hold an annual sports day, inter-house competitions and cross-country event. ## Duke Of Edinburgh,World Challenge, Book Group And Discos. At Milne's High School, we offer a number of extra-curricular activities in Music including the Jazz Band, Orchestra, Choir and Guitar Group - new members are always welcome. In addition to this, there are various performance opportunities throughout the year for all year groups. Activities Days First, second and third year pupils are given the opportunity to take part in a range of activities over two days in May. School Trips Home and Abroad Months of pre-planning really pay off in the enjoyment experienced on these trips, which are usually open to pupils from different year groups. In the past, we visited various locations such as London, Paris and India. ## These Are The Out Of Class Activities That We Are Currently Offering This Session. Out of Class Activities Target Activity Name Location Time Group Games Club Mrs Barber Room 30 Fiddle Group Music Room 13 Walking Group Active Sports Lorna Young Monday 1.30 pm-2.00 pm S1 Sewing Club Mrs Burchell Room 30 Tuesday 12.20 pm-1.10 pm S1-S3 Room 161 Ms Marr & Mr MacLeod Ms Marr & Mr MacLeod Room 161 Room 30 S3 Wednesday 12.20 pm-1.10 pm Mrs Burchell Tuesday 12.20 pm-1.10 pm S1-S2 Modern Studies Drop In BGE Modern Studies Drop In SP Dynamic Youth Award Room 13 Mr Ross Thursday 12.40 pm-1.10 pm New Voices S1-S3 Due to COVID-19 restirctions, many clubs are not currently running. This will be reviewed once the guidance is updated. Monday 12.45 pm –1.10pm S1-S3 Monday 1.30 pm–2.00 pm S1-S6 Tuesday 1.20 pm-2.00 pm S4-S6 ## High Expectations Of All Our Young People Behaviour Verbal warnings for persistent misbehaviour Withdrawal of privileges Referral to the senior leadership team Detention Parents/carers asked to discuss behaviour and agree future conditions Seclusion Exclusion from school Restrictions on use of school facilities at certain times Students are expected to follow the agreed code of conduct..Generally,pupilsare made aware that they are responsible for their own actions, and that breaking rules will lead to sanctions including: 1) 2) 3) 4) 5) 6) 7) 8) ## Any Incidents Involving Violence, Dangerous Weapons, Drugs Or Alcohol Are Reported Immediately To Moray Hq, And The Police May Also Be Involved. High Expectations Of All Our Young People Principal Teachers Class Teacher Pupils High Expectations Of All Our Young People "Every child has the right to an education that develops their personality, talent and abilities to the full." At Milne's High School, we believe that homework is an essential part of providing education that will meet the rights of all our children'. Article 29- the goals of education Study Out of Hours/FocussedTutorials Homework can be undertaken in the ICT Suites or by agreement with teachers in a classroom. This gives pupils the chance to complete their studying and homework in a suitable environment with Information Technology to hand. There is also the opportunity for pupils to attend lunchtime and after school tutorials in a wide variety of subjects, offered voluntarily by staff. Milne's Learning Centre The Milne's Learning Centre is available to all pupils to assist in their formal learning providing a rich source of materials. Individual study space is provided particularly for seniors. After consultation with the Library Resource Centre Coordinator, computers and internet access can be provided. Other facilities including games are available for pupil use at lunchtimes. Various clubs operate in the Milne's Learning Centre at lunchtimes which all pupils can join including a 'Homework only' session. Essential Equipment We expect that pupils will come to school equipped to take part in all lessons. The following should be brought every day: Schoolbag Pencils, pens, rubber, sharpener and ruler Books and jotters for timetabled classes Equipment for PE, Home Economics etc Calculator School Dress At Milne's High School, we encourage pupils to wear appropriate school wear and are delighted that our young people, supported by their parents, choose to do so on a daily basis. The following is the acceptable dress code for Milne's High School: - Black Footwear - Black trousers or skirt (no jeans or leggings) - Black V-neck jumper - White shirt or blouse - School tie - • S1/2/3 Black hoodie with school badge (Optional) S4/5/6 Blazer with school badge (Optional) - S6 Prefects - Blazer NB No article of clothing should feature any logos (apart from school logos). All articles of clothing Should be functional i.e. they should be of the type that is acceptable in all areas of the school in terms of safety, hygiene and, in particular, modesty. Please note school shirts, trousers, skirts, jumpers, cardigans, hoodies, blazers and school ties can be purchased from Price and Buckland. Please visit their website www.pbuniform-online.co.uk/milneshigh Some households may be entitled to clothing grants. Please refer to Appendix A for access to information and application forms. We also have a small stock for pupils who find themselves without uniform on a temporary basis. Merit System and Recognising Achievement The merit system aims to promote responsible behaviour, celebrate success and create a culture of achievement for all students. Underpinning the system are the four capacities of "A Curriculum for Excellence" -Successful Learners, Confident Individuals, Responsible Citizens and Effective Contributors. We want all our students to be successful and confident learners and believe they can be. Merits are awarded from teachers for work, behaviour or attitude they believe demonstrates improvement under one or more of the four capacities. Merits are recorded on the school system. We record the merits for pupils who are then awarded certificates (Bronze, Silver and Gold) as they progress. Every pupil's merit total contributes to the Inter House competition; at the end of the year the merits are converted into points which are added to the House totals alongside other points for recognition such as Sports Day. The House with most points is then recognised. Maximising Potential: Pupil Progress Reports on pupil progress and opportunities to meet with teaching staff are an important link in communication between home and school. Parents are invited at any time to contact the Principal Teacher of Guidance, House Head or Head Teacher should they wish further information on the progress of their son or daughter. Similarly, the school may find it necessary to contact parents/carers regarding pupil progress outwith formal reporting times.This session,interim reports were issued for all stages of the broad general education and provided basic information on behaviour, effort and homework with the option of attending two parents evenings from S1-3. Formal reports are issued annually and will provide information on progress, achievement, behaviour, homework as well as suggestions on 'next steps' for further improvement. The school encourages feedback from home on the content of the reports and how we can work together to assist pupils in meeting their 'next steps'. In addition to the reports, all departments negotiate targets with senior pupils to ensure they reach their potential and "aim high". These targets are revisited monthly during the session to assess progress being made towards working grades.Reports are currently being changed in line with the expectations of the Curriculum for Excellence. Parents will be kept up-to-date on developments. Arrangements for Profiling Profiling is a process which is intended to support pupils in their continuing development of skills, knowledge and understanding. The process involves engaging in learning conversations with teachers, reflecting on and evaluating students achievements. This might be after a key assignment or at the end of a unit and often focuses on how effective they have been using a wide range of skills. This is followed by pupils determining their next steps by identifying what they need to develop and make further progress. An action plan identifies how they will achieve this. Pupils then have an opportunity to update their profile,upating their targets,working achievements and linking these to the Moray Skills Framework. We would also expect pupils to access their profile at home to update their targets and achievements and upload evidence. Assessment During the Broad General Education phase (S1-3), most assessment is on a continuous basis in which all of the work produced in class, as homework or for special projects contributes to the overall assessment. This system has the advantage that it prevents pupils being pressurised to perform 'on the day', but does mean that students must work hard throughout the year to obtain good grades and reach their potential. All pupils will detail their successes in their 'online Profile' which will outline their targets, attainment, achievements and include reflective comments on how they can improve on their learning. SQA Qualifications: Senior Phase (S4-S6) Qualifications range from: National 1-5 Higher Advanced Higher How will these qualifications be assessed? Teachers will assess the courses and units at National 1 to National 4. SQA will verify the assessments to make sure they meet National standards. Courses at National 5, Higher and Advanced Higher levels may still include work that is assessed by teachers but pupils will also have to pass a course assessment for those qualifications - usually a question paper and/or coursework. This will be marked externally by the SQA. Assessment methods - such as assignments, case studies and question papers - will be appropriate to the subject and level pupils are studying. Courses at National 1-4 contain unit assessment which is marked throughout the year. These units are assessed as pass or fail. Courses at National 5, Higher and Advanced Higher will be graded A to D or 'No Award'. Pupil Participation and Responsibility We encourage all pupils to take responsibility for their own learning. Different ways we can support this are detailed in several sections of this prospectus. We also believe that pupils play an important leadership role in their participation of decision making within the school. This allows our students to develop as responsible citizens, effective contributors and confident individuals, while ensuring that we actively seek and value their opinions and contributions. ## Student Voice Forum Our Student Voice is made up of S1-6 Ambassasors who lead consultations with their peers through wellbeing and attainment classes. Previously our Student Voice Forum has had an input into our new Positive Relationships and Managing Behaviour Strategy and refreshed Homework Policy. They also assisted in scripting a wellbeing information performance which is now used in other Moray schools. Last session they created a whole school definition of bullying, created designs for the revamp of four toilet blocks and gave feedback on uniform which led to subsequent changes. ## Senior Students Senior students are given opportunities to assume significant leadership roles and responsibilities in terms of organising events in the school. There are also important S6 positions of responsibility which they can apply for such as Head Prefect, Depute Head Prefect, House Captains and Vice House Captains. S5 and 6 students can apply to become prefects. S6 students participate in supporting learning via paired reading or as peer supporters in classrooms. Many S6 students will chair and coordinate the running of various committees in the school. ## In Partnership With Parents We believe that an effective partnership between home and school is a very powerful support for our young people and their learning. Some of the ways in which parents can be involved have been set out elsewhere in this prospectus. There are, however, several ways in which parents are linked with the school in a more direct way and it is to be hoped that these links continue to develop over the coming years through our very supportive Parent Council. ## Parent Council Names Chairperson Nick Chambers Treasurer Linda Duncan Members Louise Powley Jill Armitt Angela McTurk Pleuni Nizet Also in attendance Patricia Cameron- Head Teacher Head Prefect You can email the parent council at mhsparentcouncil@gmail.com Our facebook page can be accessed on: www.facebook.com/mhsparentcouncil Parent Helpers The school invites all parents to make known to us any special interests or talents that may be used from time to time. We welcome the assistance of parents in appropriate ways and are grateful to those who already assist in a variety of ways in enriching school life. A PVG check (ProtectingVulnerable Groups) is required for all parents involved in working with young people. Unaccompanied Out of School Activities From time to time, pupils will be involved in learning experiences which will take them out of the school buildings. In such circumstances they will not always be under the direct supervision of teaching staff. Parents/Carers will be asked to give consent for such activities. Attendance and Absence All parents/carers have a legal responsibility for their son or daughter's education. Section 30 of The Education (Scotland) Act 1980 requires parents to ensure that their children attend school regularly. Regulation 7 of The Education (School and Placing Information)(Scotland) Amendment etc Regulations 1993 requires each child's absence from school to be recorded in the school register as authorised (e.g. approved by the local authority) or unauthorised (e.g. unexplained by the parent/carer (truancy) or excluded from school). Please note that it is not a legal right in Scotland for parents/carers to allow pupils to take time off school for holidays during term. The school has the ability to send text messages to advise parents/carers that their son/daughter is absent from school. Parents/carers are requested by the message to contact the school. Any absence notes, sickness notes or prearranged appointments should be handed into the school office, clearly marked with pupil's name and year/ house group School Telephone Information Line Instructions for Use 1. Dial 0870 054 9999 (Calls to this number will be charged at 2p per minute service charge plus your call provider's access charge) 2. Milne's High School's PIN Number 031060 3.You will get a confirmation message: "Selected Milne's High School" You will then enter a menu system: Press 1to hear severe weather information Press 2to leave a non-urgent message Press 3to hear general school information Press 4to enter a different school PIN number Press # to end call Further advice is issued in a separate letter to parents available from the school office. Safety and Security - Guidelines All clothes and possessions should carry name tags. Expensive or valuable items should be left at home. Money should not be left in coats or bags. As little money as possible should be brought into school. Sums of money being brought as payment for items connected with school can be brought in as a cheque made payable to Milne's High School or paid online via iPayImpact (Moray council school payment) Pupils are expected to follow all instructions given by staff in the event of an emergency evacuation of the building. A practice evacuation is carried out each term.Pupils must not leave the school premises without the permission of a teacher during the school day. The only exception is at lunchtime. In the event of a known appointment e.g. medical or dental, pupils are asked to bring a parental/carer note advising of the details. This should be handed in to the office for processing. Pupils should not behave in any way which might put themselves or others at risk.We regularly remind students to be safe and responsible online. Students should ensure that they do not use any device to threaten, harass, embarrass or redistribute materials involving other students. This can result not only in sanctions in school or action by the police but can also potentially affect future employment prospects due to the ever evolving importance of a "digital footprint" Mobiles With the increasing numbers of students owning a mobile phone and the ever-developing range of functions available, the undernoted guidance on appropriate use by pupils of mobile phones in school should be applied. - Children are permitted to take mobile phones to school. It is recognised that parents/pupils will have legitimate needs with regard to contact via telephone. However, any alteration to normal childcare arrangements at the end of a school day must continue to be communicated by parents directly to the school and not directly to the pupil. - In order to minimise disruption and safeguard the teaching and learning process, all mobile phones must be switched off during class time, unless authorised by the Class Teacher. - Mobile phones may be used during interval and lunch time, but not wilst walking around in the corridors - The taking of photographs and/or video footage is strictly forbidden unless the prior agreement of the subject has been obtained. Any unauthorised images shall be required to be removed by parents of the pupil owning the phone. - No pupil is permitted to take a mobile phone into any SQA examination. Even if the telephone is switched off, the pupil will be automatically disqualified from the examination. - The responsibility for the security of the telephone and appropriate insurance cover will rest with the parent and/or pupil. It is important for parents/carers, children and young people to appreciate that the misuse of mobile phones is in fact a breach of school discipline.Should pupils not comply with these instructions,staff may confiscate mobile phones until the end of the school day, when they will be returned. However, repeated noncompliance with the policy may result in the withdrawal of permission to take a mobile phone to school. In these circumstances, information will be confirmed in writing to the parents and will be time limited in the first instance. Child Protection At present the Child Protection Co-ordinator for Milne's High School is Mr Macleod. The Moray Council is guided by the North East of Scotland Child Protection Committee in Child Protection matters. See Moray Council **Appendix A** for further information. Lockers Lockers are provided for a small charge to allow pupils to have a suitable storage space for personal possessions. In order to fund the further purchase of lockers and to maintain the existing ones in good order, an annual fee payable at the start of the school session inAugust/September is charged. This will be £5 for the coming session. Higher Education Pupils applying to College/University should apply to the Student Award Agency for Scotland for information on funding. ## Education Maintenance Allowance (Ema) Students who are planning to stay on at school after 16 years of age and who are willing to participate in an approved learning agreement at school for a minimum of 21 guided learning hours per week may be eligible for an EMA. An EMA consists of a weekly allowance during term time. Please refer to Appendix A for information and application form. ICT Guidelines Moray Council Guidelines for Pupil Use of Internet and E-mail Pupils are responsible for good behaviour on the Internet just as they are in a classroom or a school corridor. General school rules apply. Moray school networks are provided for pupils to do school-related work including research and communication with others. For Internet access parents' permission is required. During school, teachers will guide pupils toward appropriate materials. However, not all Internet access is supervised and accordingly there is the need for an element for personal responsibility. Individual users of the Internet are responsible for their behaviour and communications over the network. E-mail use will only be permitted during designated times, or at the specific request of the class teacher. It is presumed that users will comply with school standards and will honour the agreements they have signed. Designated members of staff may on occasion access student files, where circumstances suggest that files may contain inappropriate content, in order to fulfil the school's duty of care. When students are using ICT equipment and services at school, the following are not permitted when using the Internet or email: 1. Searching, sending or displaying offensive messages, images or videos 2. Searching for inappropriate images or content 3. Sending messages likely to cause offence or using obscene, foul, racist or sexist language 4. Harassing, intimidating, bullying, insulting or attacking others 5. Sending unsolicited, spam or nuisance emails 6. Damaging computers, computer systems or computer networks 7.Violating copyright laws 8. Copying content found online without crediting the source 9. Using others' passwords 10.Trespassing in others' folders, work or files 11. Intentionally wasting limited resources 12. Downloading or uploading non approved software, games or screensavers 13. Trying to find ways to bypass the Council's security systems, virus protection systems and filtering tools 14. Posting information that identifies a person 15.Agreeing to meet in real life an unknown person who was met online Please note: 1.Additional disciplinary action may be added in line with existing practice on inappropriate language or behaviour 2.When applicable, police or local authorities may be involved 3.Violations of the above rules will result in a temporary or permanent ban on Internet/email use Moray school networks are provided for pupils to do school-related work, including research and communication with others. For Internet access, parental permission is required. Education, Communities and Organisational Development Education, Communities and Organisational Development is a single, integrated department which brings together Education; Social Work support for Children and Families; Community Care services for adults; and Lifelong Learning, Culture and Sports.Our vision:-To provide a creative and ambitious learning environment where efveryone is the best they can be. Our aims: •Ensuring people's outcomes remain at the heart of what we do •Ensuring effective partnership working •Supporting, enabling and encouraging people, their families and local communities to achieve what is important to them •Actively promoting early intervention •Delivering accessible, consistent, equitable and high quality services •Using our resources effectively and targeting our capacity appropriately and efficiently •Engaging and involving through effective communication with everyone we work with •Promoting equality •Sharing and using our information openly and fully •Creating a culture of self evaluation and continuous improvement School Cafeteria We are fortunate to have very good catering facilities in school. The cafeteria serves full meals at lunchtimes along with a wide range of snacks. At intervals, the cafeteria is also open for business and sells a wide range of items, many of which are freshly made. Healthy options are available at all times. Prices are competitive and represent very good value. It is ample testimony to the quality of the catering that the cafeteria is a very popular area at intervals and lunchtimes. For further information on catering in the school please contact Mrs Stewart. The cafeteria operates on a 'cashless catering' system. This means that pupils pay for their food by use of a National Entitlement Card. Parents can put money on to pupils accounts by logging into the school payments page on the Moray Council website (iPay).Pupils put money on their card by using any of the three machines located within the canteen area or by cheque made payable to Moray Council and handed to Mrs Stewart, Catering Supervisor. On enrolment, pupils will be issued with a pin number until their personal card (with photograph) has been processed. If you think your household income may mean your child is eligible for free school lunches, please refer to Appendix A to access information and a claim form from Moray Council. Transport Any child living more than two miles from the school is entitled to transport if the family live in the school's catchment area. Children living out with the zone are not entitled to transport. T o claim entitlement, please refer to Appendix A for information on how to request an application. Only students entitled to transport can travel on their allocated school buses.The school has no authority to allow priviledge transportation. Adverse Weather Conditions (bus pupils) During inclement weather it may be advisable to send pupils home early (particularly those who travel by bus). In such circumstances,the school will endeavour to contact parents/carers who live a distance from the school and whose children may be at risk. Parents/carers of bus pupils are asked to inform the school of any changes to emergency contacts. In cases where road conditions are bad in the morning, parents/carers who live a distance from the school are advised to use their discretion in keeping their son or daughter at home. In all that we do in this matter, we will err on the side of caution to ensure safety for pupils and staff. Additional School Activities Bus Travel Although the school subsidises transport for many activities throughout the year, a contribution will be required where there are travel costs to events/activities. In the case of sports teams representing the school, a token sum is asked for. In the case of an 'optional extra' such as a theatre trip, the proportion of subsidy will be less. It is important to say, however, that in cases where the costs of transport would prevent a pupil from taking part, an appropriate arrangement may be made. All of this is done in order to support additional school activities. Please note if a pupil's current or recent behaviour pattern is poor, the school reserves the right to refuse any pupil a place on a such trips. Practical Subject Costs As a result of the work undertaken in pupils take a finished product home in Home Economics and Art. The materials required for these subjects are purchased centrally by the departments in the interests of both economy and efficiency. Costs for these subjects are higher than other school subjects and it is for this reason that each pupil is asked to pay a contribution towards the course. Costs for session (2020-21) are as follows: Art and Design 3rd Year £4.00 Senior Phase Nat 4/5 Higher £15.00 Adv Higher Home Economics - All ingredients are provided. S3 Hospitality S3 Wider Achivement Bakery N4/5 Hospitality Practical Cookery NPA Bakery Pupils are asked to bring a suitable container for taking food home. Ice packs are recommended for the transportation of food to ensure food remains below 5˚C. It is recommended that prepared dishes are reheated to 82˚C before consumption. Aprons will be provided. Pupils are expected to remove nail varnish and jewellery before cooking. Long hair should be tied back. Physics Nat 4 Practical Electronics Nat 5 Practical Electronics In the interests of safety and cleanliness, protective clothing is provided, but pupils are expected to wear sensible clothing and shoes. Instrumental Instruction Parents of pupils wishing to be considered for musical tuition for the first time should contact Mr R Ross. Please refer to Appendix A for further information.In addition, at Milne's High School, guitar tuition is available for pupils in S1-S6 which is a private scheme. At present this is £6.00 per lesson. £8.00 £10.00 £30.00 £25.00 £50.00 £50.00 £10.00 per course £15.00 per course Notes for Parents/Carers The Moray Council has produced a 'Notes for Parents and Carers' booklet which is designed to provide basic information about the education system in Moray and also to detail specific areas of government legislation which may relate to your child's experience at school. This booklet is available from the school, from Education, Communities & Organisational Development , or the Moray Council website at: http://www.moray.gov.uk/moray_standard/page_47236.html This booklet is also available in other languages. ## Medicines In School In line with policy and agreed by the Senior Clinical Medical Officer, schools will only administer medicines with written approval of a medical practitioner. Painkillers such as aspirin and paracetamol fall into this category, and will therefore not be administered on pupil request. Should your child need to have medicines administered in school, then a form can be collected at the school office. Medicines are stored in a locked cabinet and administered as per the medical practitioners' directions or from the completed medical form. A copy of the "Supporting Pupils with Medical Needs in Schools including The Administration of Medicines" guidance document is available at the school. ## Data Protection Act Information on pupils and parents/carers is stored securely on A computer system.The information gathered is subject to the Terms of the Data Protection Act 2018. The information may be used for teaching, registration, assessment and other administrative duties. The information is shared with Moray Council for administrative and statistical purposes. Extracts of the information are shared with a range of partners such as Skills Development Scotland, the Scottish Qualifications Authority, and the NHS (for the dental and child health immunisation programmes). Information is also shared with The Scottish Government for statistical and research purposes, although individual children are not identified.The Data Protection Act ensures that information is collected fairly and lawfully, is accurate, adequate, up to date, not held for longer than necessary, and may only be disclosed in accordance with the Codes of Practice. More information is available on the Moray Council Internet site at: http://www.moray.gov.uk/moray_standard/page_75569. html Please note that the school is restricted by local and national authorities and legislation regarding sharing information.We will not discuss indivudual members of staff or another child with parents. ## Privacy Statement Milne's High School has a legal responsibility to deliver an effective educational programme to its pupils. In order to do this, we need to collect personal data about our pupils/children and their families so that we can help them learn, and keep them safe.The type of personal data we will collect include:- ## Data About Our Pupils/Children And Their Families This will include the name, address and contact details of the pupil/child and relevant family members. It will also include information about relevant medical conditions,any additional supports which are needed, and their family situation. We need this information to ensure we know our pupils/children and their families, and to ensure we are able to educate them appropriately, and keep them safe We will also collect personal data relating to personal characteristics, such as ethnic group to enable statistics to be reported.We need this information so the Council can ensure it is delivering education appropriately to all its citizens ## Data About Pupils/Children At School/Within Elc Setting This will include data about progress, assessments, and exam results. It will also include records of attendance, absence, and any exclusions.We need this information to understand how our pupils/children are progressing, and to assess how we can help them to achieve their best ## Data About When And Where They Go After They Leave Us This will include information about their next setting/school,career paths or intended destinations.We need this information to ensure we support our pupils/children in all their transitions and do all that we can to help their future be a success There will be times where we also receive information about them from other organisations, such as a pupil's previous school, the previous local authority where that school or ELC setting was based, NHS Grampian, Police Scotland, Social Work, Additional Support Services, and sometimes other organisations or groups connected to a pupil's education.We use this data similarly to the above: to support our pupils' learning, monitor and report on their progress, provide appropriate pastoral care; and assess the quality of our services. When we collect and use personal data within school/ELC setting, and for the reasons detailed above, we will normally be acting in accordance with our public task.Occasionally we are also required to process personal data because the law requires us to do so, or because it is necessary to protect someone's life. We will also take photographs in school/ELC setting and display them on our walls, and in newsletters and other communications. We do this in order to celebrate and share what we have done, including individual achievements and successes.We consider this use of images to be part of our public task as it helps us build an effective community which supports learning.We will not, however, publish these photographs on social media or in newspapers without permission. Consent for this use will be sought when a pupil/child joins Milne's High School and will be kept on record while they are with us. Consent can be withdrawn at any time, please just let us know. Sometimes we need to share pupil information with other organisations.We are required, by law, to pass certain information about our pupils to the Scottish Government and the Council.This data is for statistical purposes, and will normally be anonymised. It is normally required to enable the Council, and the Government, to understand how education is being delivered and to help them plan for future provision. If a pupil/child moves schools/ELC settings, we have a legal obligation to pass on information to their new school/education authority about their education at Milne's High School When we record and use personal data, we will only collect and use what we need. We will keep it securely, and it will only be accessed by those that need to. We will not keep personal data for longer than is necessary and follow the Council's Record Retention Schedule and archival procedures when records are identified to be of historical value and require to be retained in the Moray Council Archives. For moreinformation on how the Council uses personal data, and to know more about your information rights including who to contact if you have a concern, see the Moray Council's Information Management webpages. ## Sharing Personal Data To Support Wellbeing In addition to the above, Milne's High School has a legal duty to promote, support and safeguard the wellbeing of children in our care.Wellbeing concerns can cover a range of issues depending on the needs of the child. Staff are trained to identify when children and families can be supported and records are kept when it is thought that a child could benefit from help available in the school/ELC setting, community or another professional.You can expect that we will tell you if we are concerned about your child's wellbeing, and talk to you about what supports might help in the circumstances. Supports are optional and you will not be required to take them up. If it would be helpful to share information with someone else, we will discuss this with you and seek your consent before we share it so that you know what is happening and why.The only time we will not seek consent to share information with another organisation is if we believe that a child may be at risk of harm. In these situations, we have a duty to protect children, which means we do not need consent. On these occasions, we will normally tell you that information is being shared, with whom, and why - unless we believe that doing so may put the child at risk of harm. We will not give information about our pupils to anyone without your consent unless the law and our policies allow us to do so. ## Milne'S High School Attainment S4 % 2014 2015 90 60 86 57 35 28 38 40 38 1+ National 5 3+ National 5 5+ National 5 6 National 5 S5 % 2014 2015 49 35 47 38 1+ Higher 3+ Highers 5+ Highers 14 13 8 15 13 20 18 S6 % 2014 2015 56 36 28 22 57 43 34 27 1+ Higher 3+ Highers 5+ Highers 1+ Advanced Higher | 2016 | 2017 | 2018 | 2019 | 2020 | |---------|---------|---------|---------|---------| | 86 | | | | | | 57 | | | | | | 81 | | | | | | 55 | | | | | | 80 | | | | | | 55 | | | | | | 75 | | | | | | 63 | | | | | | 32 | | | | | | 19 | | | | | | 95 | | | | | | 82 | | | | | | 64 | | | | | | 44 | | | | | | 2016 | 2017 | 2018 | 2019 | 2020 | | 52 | | | | | | 27 | | | | | | 44 | | | | | | 30 | | | | | | 48 | | | | | | 36 | | | | | | 49 | | | | | | 36 | | | | | | 61 | | | | | | 41 | | | | | | 2016 | 2017 | 2018 | 2019 | 2020 | | 51 | | | | | | 41 | | | | | | 32 | | | | | | 18 | | | | | | 53 | | | | | | 36 | | | | | | 22 | | | | | | 12 | | | | | | 52 | | | | | | 36 | | | | | | 28 | | | | | | 23 | | | | | | 51 | | | | | | 43 | | | | | | 30 | | | | | | 13 | | | | | | 51 | | | | | | 43 | | | | | | 34 | | | | | | 14 | | | | | ## Moray Council Education, Communities & Organisational Development Address: Council Office, High Street, Elgin IV30 1BX Telephone: 01343 563374 Email: education@moray.gov.uk ## Moray Council A-Z Active Schools Telephone: 01343 563890 Email: Website: Active.schools@moray.gov.uk www.moray.gov.uk/moray_standard/page_52055.html Additional Support for Learning Telephone: 01343 563374 Email: education@moray.gov.uk www.moray.gov.uk/moray_standard/page_42567.html Website: Adverse Telephone: 0870 054 9999 (school information line) Weather Procedures Calls to this number will be charged at a 2p per minute service charge plus your call providers access charge Local school or 01343 563374 Email: Website: Local school or education@moray.gov.uk http://schoolclosures.moray.gov.uk/ www.moray.gov.uk/moray_standard/page_53021.html After School Clubs Telephone: 01343 563374 Email: Childcare.info@moray.gov.uk www.moray.gov.uk/moray_services/page_44889.html Website: Armed Forces Telephone: 01980 618244 (Children's Education Advisory Service) Families Email: enquiries@ceas.uk.com (Children's Education Advisory Service) www.moray.gov.uk/moray_standard/page_100164.html Information Attendance and Absence Website: Telephone: 01343 563374 Email: Website: education@moray.gov.uk www.moray.gov.uk/moray_standard/page_55580.html Bullying Telephone: 01343 563374 Email: Website: education@moray.gov.uk www.moray.gov.uk/moray_standard/page_52988.html Childcare Telephone: 01343 563374 Email: Website: Childcare.info@moray.gov.uk www.scottishfamilies.gov.uk/ Children and Telephone: 01343 554370 or out of hours emergency 03457 565656 Families Social Email: childrensaccessteam@moray.gov.uk www.moray.gov.uk/moray_standard/page_47606.html Website: Telephone: 01343 554370 or out of hours emergency 03457 565656 or Work Child Protection 101 (Police Scotland) Email: childrensaccessteam@moray.gov.uk Website: www.moray.gov.uk/moray_standard/page_55497.html Clothing Grants Telephone: 01343 563456 Email: revenues@moray.gov.uk Website: www.moray.gov.uk/moray_standard/page_55486.html Hours: 8.45am - 5.00pm Monday to Friday Website: www.moray.gov.uk Updated 15/10/2019 Moray Council A-Z Data Protection Telephone: 01343 563374 Email: Website: education@moray.gov.uk www.moray.gov.uk/moray_standard/page_75569.html Telephone: 01343 563374 Deferred Entry to Primary School Email: education@moray.gov.uk www.moray.gov.uk/moray_standard/page_52991.html Website: Disability Telephone: 01343 563374 Discrimination Email: Website: education@moray.gov.uk www.moray.gov.uk/moray_standard/page_43019.html Early Entry to Telephone: 01343 563374 Primary School Email: Website: education@moray.gov.uk www.moray.gov.uk/moray_standard/page_56925.html Early Learning & Telephone: 01343 563374 Childcare Email: education@moray.gov.uk www.moray.gov.uk/moray_standard/page_42682.html Website: Telephone: 01343 563338 EMAMoray@moray.gov.uk www.moray.gov.uk/moray_standard/page_40540.html Email: Website: Telephone: 01343 563374 (pre-school) Education Maintenance Allowance Exclusion from School Email: Website: education@moray.gov.uk www.moray.gov.uk/moray_standard/page_53001.html Telephone: 01343 563456 Free School Meals Email: revenues@moray.gov.uk www.moray.gov.uk/moray_standard/page_55486.html Website: Telephone: 01343 563374 Grants and Bursaries Email: education@moray.gov.uk www.moray.gov.uk/moray_standard/page_43903.html Website: Home Education Telephone: 01343 563374 Email: Website: education@moray.gov.uk www.moray.gov.uk/moray_standard/page_53000.html Telephone: 01343 563374 Instrumental Instruction Email: education@moray.gov.uk www.moray.gov.uk/moray_standard/page_53005.html Website: Placing Telephone: 01343 563374 Requests Email: Website: education@moray.gov.uk www.moray.gov.uk/moray_standard/page_49601.html Racial Equality Telephone: 01343 563374 Email: Website: education@moray.gov.uk http://www.moray.gov.uk/moray_standard/page_43019.html Telephone: 01343 557086 School Meals Email: Website: schoolmeals@moray.gov.uk www.moray.gov.uk/moray_standard/page_55540.html Telephone: 01343 563374 School Term and Holiday Dates Email: education@moray.gov.uk www.moray.gov.uk/moray_standard/page_55829.html Website: Telephone: 0300 123 4565 Transport (For Pupils) Email: transport@moray.gov.uk Website: www.moray.gov.uk/moray_standard/page_1680.html ## Covid-19 Impact On Schools If you have concerns about sending your child to school during Covid-19 you should refer to the National Parent Forum of Scotland back to school guidance which has helpful advice. To find out more information about Covid-19 from a health perspective you will find more information from the NHS. All Moray schools have restrictions in place which have been risk assessed. There are enhanced health and safety protocols, limited visitors and enhanced cleaning regimes. All measures have been put in place in order to reduce the risk of outbreak and transmission in schools. Copies of the following guides are available to support you and your children/young people at this time and may answer questions you may have. · Parent/carer guide · Learner guide · Learner top tips

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## Orr'S Rail Freight Customer Event October 2014 ## Summary This note sets out the main themes and issues arising from the ORR rail freight customer event on 9 October 2014. ## Background In support of our strategic objective to improve the services received by rail freight customers we held a rail freight customer event on Thursday 9th October 2014. The event was an opportunity for attendees to learn more about ORR's role; to express their views on what ORR's priorities should be in the next five years and to discuss how best the ORR can engage directly with freight customers in the future. ORR's chair, Anna Walker, gave some opening remarks on the importance of on-going engagement with freight customers and the lessons learnt from previous control periods, particularly in relation to charging structures in CP5. John Larkinson, director of economic regulation, gave an overview of the work that the office does and introduced ORR's potential new role on the strategic roads network. John and Anna were joined on the panel by our two guest speakers, Maggie Simpson, from the Rail Freight Group (RFG) and Chris MacRae, from the Freight Trade Association (FTA). Chris MacRae outlined the role of the FTA and some of the priorities its members have identified as crucial to the continuing growth of the domestic inter modal freight services. Maggie Simpson then went on to speak about the importance of strong rail regulation. She highlighted the importance of engagement between the rail regulator and freight customers - not only to ensure that ORR policy was informed by freight customer needs and commercial context but also so that freight customers had a clear understanding of the ORR's role and powers. The question and answer session, which followed the presentations, was focused around three core questions:  How engaged are you currently with other rail industry players?  What would you like to see from the regulator? What are the key things you think we should be aware of?  How do you want to engage with us in the future? ## Themes And Issues Raised Engagement with others in the industry  Freight customers were broadly content with current engagement with the industry but expressed a need for engagement with the Rail Delivery Group given the role it plays in shaping the future of the railways and the service it offers.  Freight customers said that there has been a step change in engagement with the freight team within Network Rail but they would like to have better engagement at route level.  Concern also at the problems in gaining traction for small scale investments which could bring major benefits to freight. Issues that the regulator should be aware of  There was a call for **longer term commitment and protection of investment** in rail and questions were raised over the length of ORR's control periods.  Having access to a **7 day service** is important to freight customers.  There have been **lessons learnt from CP5** as some confidence was lost here.  There were not only financial consequences but there were also issues in the way that charges were communicated to freight customers. This was a major cause for concern for freight customers and they wish to see greater and earlier engagement over CP6. Further engagement with the ORR:  ORR explained that 'freight customer' incorporated purchasers of rail freight services and their representative bodies but not the operators of the trains.  There was agreement in the room that more engagement between ORR and freight customers was welcome. Some wanted to see a package of engagement, including having both, **regular and annual meetings**. Broad agreement that this was to complement and not be substitute for direct engagement with the industry and that there would be circumstances in which the industry should also be present.  A **freight customer landing page on the ORR website** was seen as an essential and practical solution for communication.

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## Item 6 A Benefits Realisation Case Study Enterprise Solutions Project (Ca521) The Enterprise Solutions project was designed to support the radical reform of London's public services by supporting ground-breaking activities currently taking place in London's local authorities to develop public services run under innovative new social enterprise linked delivery models. The project was also designed to provide evidence led understanding for whether and how independent delivery models can deliver better public services, which could then be shared and embedded in future projects to improve public services. The project was led by Lambeth Council and involved partners from Richmond, Lewisham, and Ealing Councils, the latter being replaced by Kensington and Chelsea during the project. The RSA (and formerly Social Enterprise London) were the lead consultants in delivering the project. ## Reports And Findings There are four main reports produced as part of the Enterprise Solutions project. These look in detail at the learning to be drawn from the experiences of the four borough partners as they explored how some of their services might become independent social enterprises. One report compiles lessons learned in relation to barriers and solutions to mutualisation. A toolkit offers practical support for public service leaders considering the complex and highly demanding challenge of 'spinning out' of public ownership. Another report examines how commissioning might change to support public service mutuals in promoting social value, and the final report steps back, takes stock of where the mutualisation of public services has got to and looks forward. Barriers and solutions to public sector spin outs report looks at the range of challenges facing services considering spinning out and considers solutions. The results suggest that there are a number of key barriers that the four LAs encountered during the spin-out process. 1. The need to communicate effectively and ensure stakeholder buy-in, both internally (senior management, staff, elected members) and externally (service users, trade unions). 2. The capabilities of service staff and other relevant LA staff were found to be essential, both in planning the spinout and developing a robust business plan. There is also a need to identify what external expertise is required to deliver a successful spin-out. 3. The need to be fully aware of the local and national policy environments was also found to be important, both in securing buy-in and support at a local level and in being aware of the support that was available at a national level (i.e. Mutual Support Programme). The report also draws out the potential benefits of spinning out services which were clearly articulated by the participants, and which relate to independence, financial freedom, the ability to behave innovatively and to be responsive to service users. A practitioners' guide to spinning out *from public ownership* was developed to address the lack of easily accessible information for staff members, or guidance that honestly captures the frustrations, complications and excitement of the transition, that the boroughs who participated in the 'Enterprise Solutions' identified as being a gap. The guide was based on a co-design workshop which took place involving frontline professionals. The workshop attendees acknowledged that there is a growing literature of guides and toolkits already which contain comprehensive and detailed information on the technical aspects of spinning out, and there was no need to recreate another document that would do the same. Instead, they identified the need for a document that provides an honest and open account of the experience of exploring mutualisation, and the practitioners guide was developed to do so. New approaches to commissioning and public service mutuals: Lessons from cooperative councils considers where mutualised spin-outs might sit within new approaches to commissioning. As central government and local authorities are recognising that new and more strategic approaches to commissioning are vital for ensuring the long-term sustainability of public services and driving better outcomes for citizens, councils are exploring new ways of meeting the needs and aspirations of their residents, including a stronger role for new providers such as social enterprises and public service mutuals. As social value gains currency and cost-based and process-driven commissioning and procurement are increasingly challenged, many expected organisations such as public service mutuals to flourish, yet progress has been slow. This report looks at the experiences of three local authorities, including Lambeth, who are among a growing number of councils adopting a co-operative approach to local government. The report suggests how a clearer focus on social value during commissioning brings with it a clearer focus on where mutualisation could be strategically fruitful. Public service mutuals: Spinning out or standing still? produced by the University of Northampton and the Transition Institute, assesses how the evidence base and the policy arguments around mutualisation have evolved in recent years. The report starts by looking at the evolving policy environment within which public service mutuals have been conceived, reconsidered and encouraged, and finds strong continuities between the last Labour government and the Coalition. The report identifies ongoing concerns about successive governments' failure to ensure access to capital for the new organisations, it suggests that a maturing business support sector for mutuals gives grounds to believe that steady growth is nevertheless possible. The report goes on to look at how the evidence base around public service mutuals has evolved, particularly since the Coalition came to power, finding evidence for greater creativity and commitment in mutualised services, but also that the skills required for successful business planning may not be found in-house. The conclusion suggests that, just as the Enterprise Solutions project has itself seen, a range of solutions, including but not limited to mutualisation, so the future of spin-outs is likely to take a number of different forms. Employee-led mutuals may grow, but so too will collaborative models, joint ventures, asset transfers and in-house trading companies. Other project outputs and tools include an animation - Public service mutuals: The story of a spin-out - which gives a fictionalised account of what teams can expect if they decide to form an employee led mutual. The video is aimed at public service staff teams, for whom the idea of mutualisation can be alien and alarming, and is based on the real experiences of projects within the Enterprise Solutions project. ## Project Legacy The Enterprise Solutions project provided support to four London councils as they explored how they might establish some of their services as independent social businesses. LB Lewisham: Five libraries had already spun-out from the council when the project began. The unique model, which includes the development of community libraries and transferring the leases of the buildings to a social enterprise, was seen as being able to gives an insight into how councils can take an innovative approach to revitalising their services and delivering substantial efficiencies. Support was provided to a social enterprise assigned the lease of three of the buildings to help them develop a business plan. Lewisham were also actively involved, along with 2020PSH (RSA), in organising a roundtable event looking at the experiences of library services in trying new models of ownership and control - including mutualisation - to meet the challenges they face. The event was filmed and is available as a video. LB Lambeth: The Campaigns and Communications team, the focus of Lambeth's project, received support in the development of a business plan, and to meet their research requirements around TUPE implications and competing for contracts (which was written up as a project output). The team has now become a trading company owned by the council and has begun trading. It has a name, LamCo, and has clients. The plan, with the backing of the council, is to continue on the journey and become an independent organisation outside of the council in 2014. RB Kensington and Chelsea: RBKC joined the project in June 2012 when Ealing had to withdraw. Their youth service was already in the process of spinning-out from the council. The service received support in business planning and undertaking a skills audit. In addition a social value 'logic model' was developed for the youth service (which was written up as a project output) and staff training was provided on impact measurement and setting indicators. The youth service, now named EPIC, became an employee-led mutual in April 2013. LB Richmond: The purpose of Richmond's project was to identify whether a social enterprise spin out was possible within the adult social services department, specifically working with people with learning disabilities in the area of supported employment and training. Having explored spinning-out, senior management decided against doing so due to a lack of consensus on whether a spin-out was the best option for the service. There is evidence that the reports and other tools have been widely accessed. The animation, for example, has been viewed around 260 times and has been mentioned by colleagues in local government and policy circles. The report on the relationship between spin-outs and co-operative councils is to be uploaded on the website of the Co-operative Councils Innovation Network - a membership based council group with around 20 corporate members. The research presented in the 'Barriers and Solutions' report, undertaken by the University of Northampton, has been used as the basis of an academic article, currently with *Policy and Politics* journal for peer review, with publication likely in mid-2014. ## Full Copies Of The Reports And Further Information For full copies of all the reports that were products of the Enterprise Solutions Project and for further information, please see the following link: http://www.thersa.org/action-research-centre/community-and-public-services/2020-publicservices/past-projects/enterprise-solutions-public-service-mutuals ## Mark Picksley, Lambeth Council, December 2013

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# Criminal Court Statistics Quarterly, England And Wales January to March 2016 Ministry of Justice Statistics bulletin Published 30 June 2016 | Contents | | | 1 | |-------------------------------------------------------------------------------------------|-----|-----|------| | | | | | | Introduction | | | 2 | | | | | | | Changes and revisions in this publication | | | 4 | | | | | | | Key Findings | | | 6 | | | | | | | Criminal Courts | | | 7 | | | | | | | 1. | | | | | Criminal cases in the magistrates' courts | | | | | | | | 7 | | | | | | | 2. | | | | | | | | | | Criminal cases in the Crown Court | | | | | | | | 9 | | | | | | | 3. | | | | | | | | | | Timeliness | | | | | | | 16 | | | Annex A: Enforcement of financial impositions | | | | | | | | | | 19 | | | | | Annex B: Legal representation in the Crown Court (experimental statistics) 22 | | | | | Annex C: Juror Statistics | | | | | Annex D: Election of the defendant (experimental statistics) | | | 23 | | Annex E: List of Accompanying Tables and CSV | 24 | | | | | | | | | Annex F: Explanatory notes | | 27 | | | | | | | | Previous editions | | 28 | | | | | | | | Contacts | | 28 | | | | | | | | | | | | | | | | | | | | | | | | | | | ## Introduction The statistical bulletin This publication presents statistics relating to activity in criminal cases in magistrates' courts and the Crown Court in England and Wales. It provides provisional figures for the latest quarter (January to March 2016), and annual figures for 2015 with accompanying commentary and analysis. The figures themselves give a summary overview of the volume of cases dealt with by these courts over time. The statistics are used to monitor court workloads, to assist in the development of policy, and their subsequent monitoring and evaluation. Information on the enforcement of financial impositions can be found in Annex A. Figures on the criminal courts charge, which was introduced on 13 April 2015 and ceased on 24 December 2015, are separately identified within the publication. The annex provides updated management information on the collection of financial impositions through Her Majesty's Courts and Tribunals Service (HMCTS). Annex B presents experimental statistics on legal representation of defendants at the Crown Court. Management information on juror summons and the juror utilisation rate for 2015 can be found in Annex C. Experimental statistics splitting defendants dealt with in Crown Court trials by election type (direction of magistrates or by election by defendant) are available for the first time in Annex D. Criminal Courts; an overview Magistrates' courts Virtually all criminal court cases start in the magistrates' courts. The less serious offences are handled entirely in magistrates' courts, with over 90% of all cases being dealt with in this way. The more serious offences are passed on to the Crown Court, either for sentencing after the defendant has been found guilty in the magistrates' court, or for trial with a judge and jury. As part of wider measures in the justice system, committal hearings were abolished nationally1 at the end of May 2013. As a result of the change, triable-either-way cases can now be sent straight to the Crown Court as soon as it is clear the matter is serious enough, rather than having to await a committal hearing. ## The Crown Court The Crown Court Deals With Cases Received From The Magistrates' Courts For Sentencing, Trial Or Appeal Against Magistrates' Courts' Decision. Of those proceeded against in the magistrates' courts, 6% of defendants go on to the Crown Court for trial. Triable-either-way cases can be sent to the Crown Court for trial if the magistrates' courts decide the matter is serious enough or if a defendant elects to be tried by judge and jury. Indictable only cases can only be tried on indictment in the Crown Court as they cannot be heard summarily at the magistrates' courts. Committed for sentence cases are transferred to the Crown Court for sentencing only after a defendant has been convicted in a magistrates' court. This would occur where a magistrate believes that their sentencing powers are insufficient to apply an appropriate sanction to the defendant. In its appellate jurisdiction the Crown Court deals mainly with appeals against conviction and/or sentence in respect of criminal offences, including consequential orders, e.g. disqualification from driving, and against the making of certain standalone orders, e.g. Anti-Social Behaviour Orders. The Crown Court may dismiss or allow the appeal and vary all or any part of the sentence. Appeals are usually heard by a Circuit Judge sitting with no more than four lay magistrates (normally two). Average waiting time at the Crown Court 'Average waiting time' is the time between sending a case to the Crown Court and the start of the substantive hearing. Average hearing time at the Crown Court The 'average hearing time' relates to the average duration of all hearings heard in the Crown Court, including preliminary hearings, main hearings, and hearings where a sentence is given to a defendant. Data and court processes Information about the systems and data included in this publication can be found in the '**A guide to criminal court statistics'** which is published alongside this report. It also includes a **glossary** which provides brief definitions for the terms used in this report. www.gov.uk/government/publications/a-guide-to-criminal-court-statistics ## Changes And Revisions In This Publication Revisions to Crown Court and representation tables Methodological improvements have been made to the collation process for these statistics, such as removing a small number of duplicate records. There have therefore been minor revisions to 2014 figures in the annual Crown Court tables AC2, AC6-AC8 and legal representation tables B1-B3, and to 2010 and 2011 figures in all Crown Court tables. Release of annual criminal court statistics quarterly tables Annual tables for magistrates' courts and the Crown Court, including tabulated breakdowns by region, have been published as typical for each year. Figures for 2015 have been revised accordingly across tables. See Annex E for a full list of tables released. Annual tables on legal representation in the Crown Court (Tables B1-B3) and juror statistics (Tables J1-J2) are also included, with commentary included in Annex B and Annex C for each respective area. First release of Crown Court receipts, disposals and outstanding tables by offence group (experimental statistics) The Crown Court table C1 is now available split by twelve offence groups (also used within the timeliness table T6). These cases have been categorised according to the latest Home Office offence classification. Separate tables C1a, C1b and C1c have been produced for receipts, disposals and outstanding cases, respectively, with commentary included in the 'Criminal cases in the Crown Court' section of this bulletin. The statistics are badged as "experimental statistics" and do not display the National Statistics logo, as data are still being evaluated and remain subject to further testing in terms of their reliability and ability to meet customer needs. First release of statistics on Crown Court trials by election type (experimental statistics) As part of the annual tables, the publication includes for the first time the number of defendants dealt with in triable-either-way trial cases at the Crown Court split by those who were sent on the direction of a magistrate and those where the defendant elected to be sent to the Crown Court. The statistics are badged as "experimental statistics" and do not display the National Statistics logo, as data are still being evaluated and remain subject to further testing in terms of their reliability and ability to meet customer needs. The statistics can be found in Table D1, and commentary included in Annex D. Transparency and timeliness files Due to some LCJB, LJA and court names changing over time, some local areas have been adjusted to reflect the most recent name change. This enables consistency over quarters and easier comparison between LCJB, LJA or court across time. Future changes to timeliness methodology Following a consultation in early 2015, a proposal was agreed to make changes to the timeliness methodology within this publication, for example removing the ten year threshold from the validation scripts applied to published estimates. We previously announced our intention to implement the changes for the start of 2016/17 reporting period. As such, the changes are planned to be implemented in the next publication in this series, scheduled for release on 29 September 2016 covering the period April to June 2016. ## Key Findings This report presents statistics relating to activity in criminal cases in the magistrates' courts and the Crown Court in England and Wales in the first quarter of 2016 (January to March).  The decrease in receipts and increase in disposals in magistrates' courts in the latest quarter resulted in the outstanding magistrates' court caseload dropping to 304,300 at the end of Q1 2016, the lowest figure since Q1 2014.  Outstanding cases in the Crown Court have been gradually decreasing since Q4 2014. Between Q4 2014 and Q1 2016 they declined by 16% to 46,500 cases. This decline reflects the number of disposals being greater than the number of receipts for the last 5 quarters.  The average time from receipt by the Crown Court to main hearing and main hearing to completion increased between Q3 2013 and Q2 2015, driving the overall increase in the number of days from first listing to completion across this period. More recently, there has been a decrease in the average number of days from receipt by the Crown Court to completion - from 199 days in Q2 2015 to 177 days in Q1 2016.  From Q1 2011, average hearing times for not guilty plea trials slowly increased to 14.9 hours in Q4 2013. Since then, hearing times have fluctuated between 12.5 and 15 hours with a peak of 15.4 hours in Q1 2016. ## Criminal Courts At the first quarter of 2016, there were around 240 magistrates' courts and approximately 80 Crown Court locations across England and Wales. 1. Criminal cases in the magistrates' courts Figure 1 below shows the magistrates' courts caseload for England and Wales. ## Receipts In The Magistrates' Courts (Figure 1) Receipts Throughout 2012 And Going Into Q1 2013 Were Stable, But Fell By 4% At Q2 2013. This Was Followed With A 7% Rise Between Q2 2013 And Q1 2014, After Which They Remained Stable At Around 400,000 A Quarter Until Q1 2015. More Recently, The Number Of Receipts Fluctuated Throughout 2015, With A Decline Of 4% Between Q4 2015 And Q1 2016. Disposals (Figure 1) Following A Dip In Disposals Across 2013 To 378,200 In Q4 2013, Disposals Have Fluctuated But Gradually Increased Since Then, With An Overall Rise By 9% Between Q4 2013 And Q1 2016. There Were 412,400 Disposals In Q1 2016, A Quarterly Peak Since 2012. Outstanding cases (figure 1) The number of outstanding cases fell between 2012 and Q3 2013 - over a period when quarterly disposals were greater than receipts - down to 281,600 cases at the end of Q3 2013. Outstanding caseload then rose to 328,300 at the end of Q1 2015, followed by quarterly fluctuation up to the end of 2015. The decrease in receipts and increase in disposals in the latest quarter resulted in the outstanding caseload dropping to 304,300 at the end of Q1 2016, the lowest figure since Q1 2014. Annual table: effectiveness of magistrates' courts trials by region (figure 2) In comparison to the other regions within England and Wales, London had the largest proportion of effective trials in 2015 (55%). It also had the lowest proportion of cracked trials (30%). In contrast, the North East had the lowest proportion of effective trials (40%) whilst Wales and the North East had the highest percentage of cracked trials (43%). The South East had the greatest percentage of ineffective trials (18%) whereas Wales had the lowest (7%). 2. Criminal cases in the Crown Court Figure 3 below shows the annual Crown Court caseload from 2000 to 2015, whilst figure 4 shows the quarterly Crown Court caseload from Q1 2010 to Q1 2016. Annual trends in the Crown Court from 2000 to 2015 (figure 3) Receipts Overall, receipts rose by 36% from 2000 to a peak of 152,800 in 2010. The level then decreased by 13% between 2010 and 2012. This was followed by a smaller increase of 5% to 2013. The number of receipts then fell from 2013 to 2015, with the receipt level at 2015 being the lowest since 2006 at 130,000 cases. Disposals Following a similar pattern to receipts, there was an overall rise by 32% between 2000 and 2010. Between 2010 and 2012, disposals decreased by 10%. They were fairly stable between 2013 and 2014, but then increased in 2015. Disposals were higher than receipts in 2015 for the first time since 2012. Outstanding cases Between 2000 and 2009, there was a 53% rise in outstanding cases. Following a decrease in outstanding cases between 2010 and 2012, cases subsequently rose between 2012 and 2014, but decreased again by 8% from 2014 to 2015. This decline reflects the number of disposals being higher than receipts over this period. Since 2010, there has been an overall increase of 8% in outstanding cases to 2015. ## Recent Quarterly Trends (Figure 4) Receipts Receipts in Q1 2016 were 8% lower than in Q4 2015, and 12% lower than the first quarter of 2015. This figure of 29,800 was the lowest of the quarterly time series (since 2010). Disposals Disposals at Q1 2016 were the highest since the first quarter of 2015, and had increased by 2% from Q4 2015. Outstanding cases Outstanding cases have been decreasing since Q4 2014. Between Q4 2014 and Q1 2016 they declined by 16% to 46,500 cases. Receipts by case type (figure 5) Triable-either-way and indictable only (IO) cases drive the overall trend in receipts. Following a decline of 32% in triable-either-way receipts between Q1 2010 and Q1 2013, the level of receipts rose between Q1 to Q3 2013 and then remained relatively stable until Q2 2015. Receipts decreased through 2015 and into Q1 2016. Since the peak in IO receipts in Q2 2013, there have been an overall downward trend over the subsequent two years, with a 24% decline from Q2 2013 to Q1 2016. Cases committed for sentence have declined by 30% between the peak in Q3 2011 and Q1 2016, and appeals have declined by 30% since Q1 2010. Disposals by case type (figure 6) Between Q1 2010 and Q1 2013, disposals in triable-either-way cases decreased by 28%. They then rose from Q2 2013, resulting in triable-either-way disposals being higher than receipts across 2015 and into Q1 2016. The overall number of indictable only disposals was been broadly stable between Q1 2013 and Q1 2015, at around 8,300. They have since declined to Q3 2015 and risen again, up to 8,100 in Q1 2016. Committed for sentence cases and appeals have also declined, by 17% and 18% respectively between Q1 2010 and Q4 2015. Committed for sentence cases show a 2% rise between Q4 2015 and Q1 2016, whereas appeals show an 8% decline in the same period. Outstanding cases by case type (figure 7) The trend in triable-either-way outstanding cases drives the trend in the overall number of outstanding cases. Following a 30% decrease between Q1 2010 and Q1 2013, cases increased substantially, by 76%, between Q1 2013 and Q1 2015. This was followed by a declining trend thereafter, with a 20% decrease between Q1 2015 to Q1 2016, over the period that disposals for triable-either-way cases have been greater than receipts. Indictable only cases also followed this pattern but to a lesser magnitude, decreasing by 6% between Q1 2010 and Q1 2013 and then increasing by 15% to Q1 2015. There was then a decrease by 12% between Q1 2015 and Q1 2016. Committed for sentence cases and appeals have remained relatively stable across time. ## Receipts, Disposals And Outstanding Cases By Offence Group (Experimental Statistics) (Figure 8) 9000Violence against the personSexual offencesRobberyTheft OffencesCriminal damage and arsonDrug offencesPossession of weaponsPublic order offencesMiscellaneous crimes against societyFraud OffencesSummary Non-MotoringSummary motoringUnknown In Q1 2016, violence against the person had the highest volume of receipts and disposals, followed by miscellaneous crimes, drug offences and theft. Outstanding cases followed a different pattern. Violence against the person had the highest amount of cases, followed by sexual offences and miscellaneous offences. There may have been a greater number of sexual offence cases outstanding due to the length of time these cases take to complete in comparison to other offence groups. Annual tables: Crown Court caseload by region (figures 9, 10 & 11) Several of the annual tables cover regional breakdowns of Crown Court caseload in England and Wales for 2015. In 2015, London had the highest volume of receipts, disposals and outstanding cases, due to the population of the region. Triable-either-way and indictable trials accounted for the highest proportion of caseload when compared to the other regions (71% receipts, 72% disposals, 87% outstanding). Wales had the lowest volume of receipts, disposals and outstanding cases, and the lowest proportion of trial outstanding cases of the regions, alongside the South West (82%). The South West had the lowest proportion of trial receipts (63%), and also the lowest proportion of disposals, equal to the North East (66%). 3. Timeliness Offence to completion in the magistrates' courts For cases in the magistrates' courts, the (mean) average number of days from offence to completion increased by 7 days between Q1 2013 and Q4 2015, a 5% rise. Despite remaining at 158 days in both Q3 2015 and Q4 2015, the average increased by a further 5 days to 163 days in Q1 2016. Crown Court criminal cases - First listing in the magistrates' courts to completion in the Crown Court (figure 12) For cases completing at the Crown Court, the average number of days from first listing to completion increased from 152 to 204 days between Q3 2013 and Q2 2015, followed by a decrease to 183 days in Q1 2016. The average time from first listing at the magistrates' court to receipt by the Crown Court fell from 26 days in Q1 2013 to 6 days in Q3 2015, and remained at 6 days into Q1 2016. The average time from receipt by the Crown Court to main hearing and main hearing to completion, however, increased between Q3 2013 and Q2 2015, driving the overall increase in the number of days from first listing to completion across the period. More recently, there has been a decrease in the average number of days from receipt by the Crown Court to completion - from 199 days in Q2 2015 to 177 days in Q1 2016. Annual table: Breakdown of average number of days from offence to completion for criminal cases by region (figure 13) In England and Wales at 2015, the South East had the longest mean time spent from offence to completion at 180 days. The North East had the shortest timeliness of 154 days, which was partially influenced by having the shortest 'offence to charge' stage of the regions (92 days). Wales had the greatest amount of time spent at 'offence to charge' (102 days), but the shortest time from 'first listing to completion (17 days). Average waiting times at the Crown Court (figure 14) Average waiting times for all trial cases increased between 2013 and 2015. Waiting times for triable-either-way cases increased by 6 weeks and indictable only cases by 4.1 weeks between Q4 2013 and Q4 2015. For non-trial cases waiting times have remained fairly steady over the same period with an overall increase of 0.2 weeks for committed for sentence cases and 1.1 weeks for appeals. In Q1 2016 the waiting times for trial cases fell by 0.7 weeks in triable-either-way cases and 1.4 weeks in indictable only cases, from Q4 2015. The waiting times in non-trial cases increased by 0.2 weeks for cases committed for sentence and 0.4 weeks for appeal cases. Average hearing times at the Crown Court (figure 15) From Q1 2011, average hearing times for not guilty plea trials slowly increased to 14.9 hours in Q4 2013. Since then, hearing times have fluctuated between 12.5 and 15 hours with a peak of 15.4 hours in Q1 2016. Hearing times for guilty plea trials have remained fairly steady at 1.5 hours into Q1 2016. ## Annex A: Enforcement Of Financial Impositions The following section provides updated management information on the collection of financial impositions through Her Majesty's Courts and Tribunals Service (HMCTS). Figures on criminal courts charge are shown separately in this bulletin but following the announcement by the Secretary of State for Justice on 3 December this charge ceased to exist on 24 December 2015. Impositions made in this time period are reported, and payment information will continue to be recorded. Financial impositions are ordered by the criminal courts for payment by offenders at sentencing and include financial penalties such as fines, prosecutors' costs, compensation orders and victim surcharge. Financial penalties are the most commonly used sentence and form a significant part of HMCTS' collection and enforcement business. Accounting centres also enforce penalty notices for disorder and fixed penalty notices registered as fines for enforcement. The financial imposition statistics presented here do not include confiscation orders. Figure 16 shows the financial impositions for each quarter split by imposition type. | Criminal Court Charge | Other | Costs | Fines | Victim Surcharge | Compensation | |-------------------------|---------|---------|---------|--------------------|----------------| Notes: Criminal Court Charge ceased to exist on 24 December 2015 but impositions still appear due to when the data are entered onto the system. Financial impositions and amounts paid (Table A1) Financial penalties can be imposed by the magistrates' courts and the Crown Court; although they are all collected and enforced by the HMCTS National Compliance and Enforcement Service. Trends in the amount paid have risen between 2004 and 2015 by 60% to £360 million at 2015. Between 2014 and 2015 the amount paid rose by 20%. This is partly due to a large value of criminal court charge payments following the implementation of the imposition in Q2 2015. The total value of financial penalties paid in Q1 2016, regardless of the age of the imposition, was £109 million; a 27% increase when compared with the same quarter in 2015 and a 14% increase since Q4 2015. Financial impositions and amounts paid by imposition type (Table A2, figure 16) The total amount of impositions imposed increased between 2012 and 2015 by 42% to £573 million. Alongside the implementation of the criminal courts charge in Q2 2015, which inflated the 2015 figure, impositions for the remaining charges have also shown an overall increase since 2012. The total value of impositions in Q1 2016 (£153 million) decreased by 13% when compared to Q4 2015. This is mainly due to the ceasing in December 2015 of the criminal courts charge that was introduced in April 2015. In Q1 2016, 13% (£20 million) of all financial impositions imposed by the criminal courts were paid within the imposition month. Financial impositions (£ million) for victim surcharge (Table A2, figure 17) Victim surcharge is an additional surcharge which is added to the fines that are imposed. The receipts obtained from the collection of these monies by HMCTS are passed to the Justice Policy Group of the MoJ to fund victims' services. The amount imposed has been increasing since its scope and amounts payable were extended in October 2012. Although increases have slowed and stabilised at this higher level in 2015, impositions are 4% higher at Q1 2016 than at Q4 2015. While the amount imposed has remained high, the proportion of impositions collected within the imposition month has decreased from 12% in Q1 2015 to 11% in Q1 2016. Financial imposition accounts opened and closed (Table A3) An account is opened when a financial penalty is ordered in court and is closed when the imposition against the account has been paid or the imposition ceases. Where a defendant has more than one financial penalty and/or account, these can be consolidated into one account. The number of accounts has risen since 2013. There were 1,285,000 accounts opened in 2015, 3% more than in 2014. There were 326,000 accounts opened in Q1 2016, an increase of 4% since Q4 2014, but a decrease of 1% when compared to the same period in the previous year. Of the accounts opened in Q1 2016, 10% (32,600) were closed within the imposition month. Outstanding financial impositions (Table A4) The amount outstanding is irrespective of the age of the imposition or the payment terms, and excludes all impositions already paid as well as both legal and administrative cancellations. Payment terms may include arrangements for offenders to pay amounts owed over a period of time. In Q1 2016, the total value of financial impositions outstanding in England and Wales was £680 million. Although they had been decreasing from April 2011, the amount of outstanding financial impositions has been increasing since Q1 2014, and show an increase of 19% between Q1 2015 and Q1 2016. The increase in outstanding impositions from 2015 is partially due to owed criminal court charge payments. ## Annex B: Legal Representation In The Crown Court (Experimental Statistics) Representation by year The proportion of defendants dealt with in the Crown Court who are known to have had legal representation2 has decreased by 2 percentage points between 2010 and 2015. During 2015, 93% (89,400) of defendants were represented by an advocate at the first hearing whilst 7% (7,000) of defendants had no advocate or unknown representation at first hearing. This compares to 95% and 5% respectively in 2010. The proportion of defendants represented at first hearing by an advocate only, with no solicitor representation, has increased since 2010. Of those in 2015, 18% (16,500) did not have a solicitor, compared to 2% (2,300) in 2010. ## Representation And Hearings In 2015, 27% of represented defendants had two or less hearings, compared with 17% of defendants whose representation was unknown or were known to be unrepresented. Conversely, 20% of represented defendants had six or more hearings, compared with 25% who had no or unknown representation. ## Annex C: Juror Statistics There were 361,300 juror summons issued in 2015, a 2% increase compared to the number of juror summons issued in 2014. In the same year around 27% of all juror summons were excused, an increase of 1 percentage point when compared with the previous year. In 2015 there were 179,200 jurors supplied to the court. The juror utilisation rate is the number of sitting days divided by the sum of sitting, non-sitting and non-attendance days. Since 2006 the juror utilisation rate has, overall, risen by 12 percentage points to the current rate of 71% in 2015, although it has been around this level since 2011. The increase may be the result of the introduction of a programme on the part of HMCTS to avoid placing more of a burden on jurors than necessary and make the best use of their time. ## Annex D: Election Of The Defendant (Experimental Statistics) Triable-either-way cases can be sent to the Crown Court for trial if the magistrates' courts decide the matter is serious enough, or if a defendant elects to be tried by judge and jury. In Q1 2016, there were 15,200 defendants dealt with in either-way trial cases in the Crown Court. Of these, 14,200 defendants were sent on the direction of magistrates and 960 defendants had elected to be sent to the Crown Court (there were a small number of cases where information on election type is missing). Excluding those defendants where election type was unknown, direction by magistrates resulted in 94% of defendants dealt with, with 6% of defendants having elected to be sent for trial. The proportion of defendants sent on the direction of magistrates has increased by 2 percentage points between Q1 2014 and Q1 2016 (from 92% to 94%), with a corresponding decrease of 2 percentage points in defendants electing for trial (from 8% to 6%). Of the 14,200 defendants sent on the direction of magistrates in Q1 2016, 9,900 (69%) pleaded guilty and 3,700 (26%) pleaded not guilty1. Of the 960 defendants who elected to be sent for trial, 420 pleaded guilty (44%) and 470 (49%) pleaded not guilty. 1 Note not all defendants have a plea recorded - for example, if a case is discontinued. ## Annex E: List Of Accompanying Tables And Csv Accompanying this publication are the following tables: | Table M1 | Receipts, disposals and outstanding criminal cases in the magistrates' | |--------------------------------------------------------------------------------|-------------------------------------------------------------------------------| | courts in England and Wales, annually 2012 - 2015, quarterly Q2 2012 - Q1 | | | 2016 | | | Table M2 | Effectiveness of magistrates' courts' trials in England and Wales, annually | | 2003 - 2015, quarterly Q1 2010 - Q1 2016 | | | Table M3 | Key reasons for ineffective magistrates' courts' trials in England and Wales, | | annually 2006 - 2015, quarterly Q1 2010 - Q1 2016 | | | Table M4 | Key reasons for cracked magistrates' courts' trials in England and Wales, | | annually 2010 - 2015, quarterly Q1 2010 - Q1 2016 | | | Table AM1 | Annual table: Effectiveness of magistrates' courts' trials in England and | | Wales by region, 2015 | | | Table C1 | Receipts, disposals and outstanding cases in the Crown Court in England | | and Wales, annually 2000 - 2015, quarterly Q1 2010 - Q1 2016 | | | Table C1a | Receipts by offence group in the Crown Court in England and Wales, annual | | 2014 - 2015, quarterly Q1 2014 - Q1 2016 | | | Table C1b | Disposals by offence group in the Crown Court in England and Wales, | | annual 2014 - 2015, quarterly Q1 2014 - Q1 2016 | | | Table C1c | Outstanding cases by offence group in the Crown Court in England and | | Wales, annual 2014 - 2015, quarterly Q1 2014 - Q1 2016 | | | Table C2 | Effectiveness of Crown Court trials in England and Wales, annually 2007 - | | 2015, quarterly Q1 2010 - Q1 2016 | | | Table C3 | Key reasons for ineffective Crown Court trials in England and Wales, | | annually 2007 - 2015, quarterly Q1 2010 - Q1 2016 | | | Table C4 | Key reasons for cracked Crown Court trials in England and Wales, annually | | 2007 - 2015, quarterly Q1 2010 - Q1 2016 | | | Table C5 | Defendants dealt with in trial cases in the Crown Court by plea in England | | and Wales, annually 2001 - 2015, quarterly Q1 2010 - Q1 2016 | | | Table C6 | Defendants dealt with in trial cases by stage at which guilty plea was | | entered and accepted in the Crown Court, by receipt type, England and | | | Wales, annually 2010 - 2015, quarterly Q1 2010 - Q1 2016 | | | Table C7 | Defendants dealt with in trial cases where a guilty plea was entered before a | | trial, during trial or at a cracked trial, and accepted in the Crown Court, by | | | receipt type, England and Wales, annually 2010 - 2015, quarterly Q1 2010 - | | | Q1 2016 | | | Table C8 | Average waiting times in the Crown Court in England and Wales, annually | |-------------------------------------------------------------------------------|----------------------------------------------------------------------------------| | 2000 - 2015, quarterly Q1 2010 - Q1 2016 | | | Table C9 | Average waiting times (weeks) in the Crown Court for defendants dealt with | | in trial cases, by plea and remand type, England and Wales, annually 2007 - | | | 2015, quarterly Q1 2010 - Q1 2016 | | | Table C10 | Average hearing and waiting times for trial cases in the Crown Court by plea | | in England and Wales, annually 2000 - 2015, quarterly Q1 2010 - Q1 2016 | | | Table C11 | Average hearing times (hours) in the Crown Court for cases disposed of, by | | case type and plea, England and Wales, annually 2007 - 2015, quarterly Q1 | | | 2010 - Q1 2016 | | | Table C12 | Appeals (against decisions of magistrates' courts) dealt with in the Crown | | Court, by appeal type and result, England and Wales, annually 2007 - 2015, | | | quarterly Q1 2010 - Q1 2016 | | | Table AC1 | Annual table: Receipts, disposals and outstanding cases in the Crown Court | | by region, 2015 | | | Table AC2 | Annual table: Cases disposed of in the Crown Court by case type and | | number of defendants involved, 2007- 2015 | | | Table AC3 | Annual table: Cases dealt with in the Crown Court by type of judge and | | region, 2015 | | | Table AC4 | Annual table: Cases disposed of and proportion heard by High Court judges | | in the Crown Court, by class and region, 2015 | | | Table AC5 | Annual table: Effectiveness of Crown Court trials by region, 2015 | | Table AC6 | Annual table: Defendants dealt with in trial cases in the Crown Court | | showing result according to plea, 2007- 2015 | | | Table AC7 | Annual table: Defendants acquitted in trial cases in the Crown Court after a | | not guilty plea, by manner of acquittal, 2007-2015 | | | Table AC8 | Annual table: Defendants convicted after a not guilty plea in trial cases in the | | Crown Court, by number of jurors dissenting to the verdict, 2007-2015 | | | Table AC9 | Annual table: Summary statistics on hearing times, waiting times, plea rates | | and juror utilisation in the Crown Court, by region, 2007-2015 | | | Table T1 | Average number of days from offence to completion, percentage of | | proceedings completed at first listing and average number of hearings for | | | criminal cases at the magistrates' courts by initial plea, England and Wales, | | | annually 2010 - 2015, quarterly Q2 2010 - Q1 2016 | | | Table T2 | Average number of days taken from offence to completion for all criminal | | cases at the magistrates' courts in England and Wales, annually 2010 - | | | 2015, quarterly Q2 2010 - Q1 2016 | | | Table T3 | Average number of days taken from offence to completion for all summary | |-------------------------------------------------------------------------|--------------------------------------------------------------------------------| | cases at the magistrates' courts in England and Wales, annually 2010 - | | | 2015, quarterly Q2 2010 - Q1 2016 | | | Table T4 | Average number of days taken from offence to completion for Crown Court | | criminal cases in England and Wales, annually 2010 - 2015, quarterly Q2 | | | 2010 - Q1 2016 | | | Table T5 | Average number of days taken from offence to completion for criminal cases | | in England and Wales, annually 2010 - 2015, quarterly Q2 2010 - Q1 2016 | | | Table T6 | Average number of days taken from offence to completion for all criminal | | cases by offence group, in England and Wales, Q1 2015 and Q1 2016 | | | Table AT1 | Annual table: Average number of days taken from offence to completion for | | criminal cases by region, 2015 | | | Table A1 | Enforcement of financial penalties in the magistrates' courts, England and | | Wales, annually 2004 - 2015, quarterly Q1 2010 - Q1 2016 | | | Table A2 | HMCTS management information: Financial impositions and amounts paid | | by imposition type, England and Wales, annual 2011 - 2015, quarterly Q2 | | | 2011 - Q1 2016 | | | Table A3 | HMCTS management information: Number of financial imposition accounts | | opened and closed, annually 2011 - 2015, quarterly Q2 2011 - Q1 2016 | | | Table A4 | HMCTS management information: Total amount of financial impositions | | outstanding, annually 2011 - 2015, quarterly Q2 2011 - Q1 2016 | | | Table B1 | Advocate and solicitor representation, at first hearing, of defendants dealt | | with in the Crown Court, England and Wales, annually 2010 - 2015 | | | Table B2 | Representation status, at first hearing, of defendants dealt with in the Crown | | Court, England and Wales, annually 2010 - 2015 | | | Table B3 | Number of hearings in the Crown Court, by representation status at first | | hearing, England and Wales, annually 2010 - 2015 | | | Table J1 | Summary jury summonsing figures | | | | | in the Crown Court, 2007 - 2015 | | | Table J2 | Juror sitting days and juror utilisation in the Crown Court, England and | | Wales, 2006 - 2015 | | | Table D1 | Number of defendants dealt with in either-way-trial cases in the Crown Court | | by plea and election type, England and Wales, Q1 2010 to Q1 2016 | | There are also a number of csv files that support this publication, these include:  National and court level workload activity and case progression data  National and court level timeliness data ## Annex F: Explanatory Notes The United Kingdom Statistics Authority has designated these statistics as National Statistics, in accordance with the Statistics and Registration Service Act 2007 and signifying compliance with the Code of Practice for Official Statistics. Designation can be broadly interpreted to mean that the statistics:  meet identified user needs;  are well explained and readily accessible;  are produced according to sound methods, and  are managed impartially and objectively in the public interest. Once statistics have been designated as National Statistics, it is a statutory requirement that the Code of Practice shall continue to be observed. The statistics in this bulletin relate to cases in the magistrates' courts and the Crown Court in England and Wales. Calendar year statistics are also provided. Breakdowns of many of the summary figures presented in this bulletin, such as split by court or by HMCTS area, are available in the Comma Separated Value (CSV) files that accompany this publication. Revisions The statistics in the latest quarter are provisional, and are therefore liable to revision to take account of any late amendments to the administrative databases from which these statistics are sourced. The standard process for revising the published statistics to account for these late amendments is as follows:  An initial revision to the statistics for the latest quarter may be made when the next edition of this bulletin is published. Further revisions may be made when the figures are reconciled at the end of the year. If revisions are needed in the subsequent year this will be clearly annotated in the tables. For more information please see the **Guide to criminal court statistics**. Symbols and conventions The following symbols have been used throughout the tables in this bulletin: .. = Not applicable - = Not available 0 = Nil (r) = Revised data (p) = Provisional data Previous editions Previous editions of Court Statistics Quarterly can be found at: www.gov.uk/government/collections/court-statistics-quarterly#court-statisticsquarterly-reports Future publication The next publication of Criminal court statistics quarterly is scheduled to be published on 29 September 2016, covering the period April to June 2016. Contacts Press enquiries on the contents of this bulletin should be directed to the Ministry of Justice or Her Majesty's Courts and Tribunal Service (HMCTS) press offices: Ministry of Justice News Desk Tel: 020 3334 3536 Email: newsdesk@justice.gsi.gov.uk Other enquiries about these statistics should be directed to the Justice Statistics Analytical Services division of the Ministry of Justice: David Jagger Ministry of Justice 102 Petty France London SW1H 9AJ Email: statistics.enquiries@justice.gsi.gov.uk General enquiries about the statistics work of the Ministry of Justice can be emailed to statistics.enquiries@justice.gsi.gov.uk General information about the official statistics system of the UK is available from www.statistics.gov.uk ## Feedback The structure and content of this report is continually being reviewed to reflect user requirements. If you have any feedback about these changes, or the report more generally, please contact the production team through the Justice Statistics Analytical Services division of the Ministry of Justice: Email: statistics.enquiries@justice.gsi.gov.uk © Crown copyright Produced by the Ministry of Justice Alternative formats are available on request from statistics.enquiries@justice.gsi.gov.uk

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# Hammersmith & Fulham Executive Summary Of Ofsted Self-Evaluation - September 2020 ## Vision And Priorities Children's Service Vision: to improve the lives and life chances of our children and young people intervene early to give them the best start in life and promote their wellbeing to ensure children and young people are protected from harm and ensure that all children have access to an excellent education that helps them achieve their potential all of this will be done whilst reducing costs and improving service effectiveness Socio-demographic and factual data H  There are 36,898 children under the age of 18 (20% of the total H&F population)  32% of all children are of an ethnic minority  The average deprivation levels (expressed as an IDACI score and percentage) of children living in H&F for 2019 was 18.6%. This is a decrease from 26.7% in 2015 and makes H&F the 14th most deprived borough in London.  945 children and young people had been identified as needing specialist support from the local authority, at 31 March 2020.  141 (39 per 10,000 children) children and young people were the subject of a child protection plan  252 (68 per 10,000) children and young people were looked after by the local authority, an increase from 245 (66 per 10,000 children) at 31 March 2019.  Since the last inspection, two serious incident notifications have been submitted to Ofsted and two rapid reviews have been completed, and we are currently completing two serious case reviews (commissioned prior to new arrangements).  93% of state funded schools in the borough are rated as good or outstanding. ## Hammersmith & Fulham Context  Hammersmith and Fulham is an ambitious authority with the high level of support from the political leadership.  Children's Services have a new DCS who joined in November 2019, and is leading an experienced management team.  Children's services is innovative and ambitious and is continually striving to improve our service delivery.  We are proud to lead stable and robust services , with a strong focus on recruiting and retaining staff with a high skill level to deliver excellent services.  Our well embedded Systemic Practice model helps to build effective relationships and contributes to achieving positive and sustained changes for families.  We take pride in our focus on supporting our children and young people to achieve improved outcomes.  Hammersmith and Fulham continues to strengthen the voice of children and young people in our decision making and service development processes.  In May we formed Vulnerable Children's Working Group in response to C19 to ensure that we worked closely with schools to track attendance and ensure robust oversight of all our vulnerable children during COVID-19. ## Shared Services Shared Services With Bi-Borough LSCP MASH Fostering & Permanence Missing Coordinator GMACE Emergency Duty Team (EDT) Centre for Systemic Social Work Children's Placement Team ## Shared Service With Ealing, Hounslow And Brent Adoption Service (since October 2019) ## Focus On Practice - Service Developments **Trailblazer Mental Health Support Teams -** H&F is part of both the first and second mental health trailblazer programmes. The first wave started in September 2019 and the second wave will start later this year. The programme complements existing mental health services and targeted at meeting low-to-moderate levels of need in schools including alternative provisions. **Transition and Resilience service –** successful bid by Family Support, funded by the Youth Endowment Fund. Aims to tackle youth violence by reducing school exclusions. It will do this by providing intense support to children and young people during key moments of transition and brain development. **Specialist Behaviour Service -** new multi-disciplinary behaviour support service to support children and young people with learning disabilities and autism who are at risk of tier 4 hospital admission or residential placement. **Oversight of complex and high risk cases -** a panel, with membership at assistant director level, that offer strategic oversight and operational direction to managing complex and high-risk cases that the existing frameworks and processes are proving ineffective in safeguarding and supporting the children and young people. **NHSE Keyworker pilot -** successful bid for a NHSE keyworker pilot. This will bring a new model of co-ordination across the NHS and LA for children and young people who are on the Dynamic Support Register. ## This Service Will Be Jointly Delivered With Hounslow. Focus On Practice - Service Developments **Response to serious youth violence** - new Gangs Violence and Exploitation Unit became operational in August 2020. Joint Local Authority and Metropolitan Police initiative to focus on early intervention and diversion of young people who are at risk of involvement in serious youth violence. **Supporting Families Against Youth Crime (SFAYC)** - funded by MHCLG through successful bid. And commenced in October 2019. A Contextual Safeguarding Coordinator works with selected Voluntary and Community Sector partners to support children and young people at risk of or involved in offending and their families. As at 30/06/20, the project has worked with 55 children and young people, with reported significant reductions in involvement in crime. 78% reduction in reported crime among the engaged cohort in the first quarter. Family Support Digital Service - COVID: Home learning activities and past virtual sessions Alby TV and interactive Facebook sessions Time to Connect and Overloaded toolbox for families Building Resilience: Returning to School Programme: guidance and training to help prepare schools and staff post lockdown Counselling and educational materials for home-schooling to support families no longer able to access Children's Centres ## Corporate Parenting And Participation Development Of Corporate Parenting Board And Steering Group  Agenda led by young people  Well supported by political senior leaders & other LA departments.  You said we did informing practice changes ## Youth Take Over Challenge Day  Biggest Youth Take Over Challenge - *With Me 4 Me* - event in November 2019.  120 children from diverse backgrounds including those in care, care leavers, children in need and those not involved with service ## **Children'S Advocate** - Advocates For Looked After Children And Children Subject To Child protection plan. ## Participation Officer  Coordinates CiCC & Care Leavers Group; consultation activities; drop in/group sessions (health and wellbeing, cooking, quiz nights, trips to the zoo etc); achievement event.  Gary Lineker event; care leaver apprenticeship at Otto's  Activities continued virtually during COVID - lockdown survey  Virtual achievement event in July - 78 awards for children & young people ## **Restoration Lead** - Consultation And Engagement For Children & Young People Involved With Yos **Lscp Engagement Officer –** Recruiting Young Safeguarding Scrutineers Corporate Parenting And Participation Children Looked After And Care Leavers Virtual Awards 2020  The Corporate Parenting Board held a virtual version of our highly successful achievement and celebration event for children looked after and care leavers on 29th July 2020.  Seventy-eight of our children and young people were nominated for their fabulous achievements across seven categories: significant contribution, young leader, education, young artist, making a difference, overcoming adversity, and achievement in sports.  We had an incredible 98 people on the Microsoft Teams event with staff, carers and young people joining in. The evening included individual awards for 78 young people, videos from members of the Children in Care Council sharing their achievements, a beautiful song written and performed by one of our young people, and some of the amazing submissions from the creative challenge. ## Focus On Outcomes Children needing help and protection  Timeliness of assessments increased from 75.5% at the end of March 2020 to 94% YTD.  Re-referrals YTD is 18% - this is lower than the SN and national average of 19.0% and 23.0% respectively.  ICPCs timeliness of 86% - higher than the SN and inner London average at 74.0% and 76.0% respectively.  There is good engagement between Family Support, statutory social care and partners agencies with 20% of cases jointly allocated with social care Looked After Children:  At the end of August 2020, 8.3% children and young people had three or more placements. This represents strong performance as London and national average stands at 10% and 10.4% respectively.  40% of our children looked after achieving grade 4 or above in English and Mathematics GCSE this year, with 25% achieving grade 5 and above (compared to 7.2 nationally in 2019).  In 2019/2020 we had 3 adoptions, 22 SGOs and 4 CAOs.  No permanent exclusions. Fixed term exclusions reduced from 21 to 11 children. Care Leavers:  Provision of high quality accommodation to support care leavers to live independently  60% are EET  94% are in suitable accommodation  We are in touch with all care leavers except with those who are long term missing  32 are attending university ## Operating Context High CLA rate Historically high rate of CLA. 242 (66 per 10,000) CLA as at 31/08/20. A decrease from 252 (68 per 10,000) in March 2020. Increasing rate of CPP 180 children subject to a child protection plan as at 31/08/20. An increase of 27.7% since March 2020. ## Key Learning– Areas Of Development Adolescent and edge of care  To provide timely and effective support to children at risk of coming into care and families finding it hard to manage adolescent behaviours  A workstream has started and is pulling together all services for adolescents in order to design a more effective offer for adolescents Permanence planning and oversight  To improve timeliness and oversight of permanence planning  The terms of reference for the Permanency Tracker Panel and Permanence Board have been updated to track, monitor and respond to likely delays earlier in the journey of the child Independent living skills training and transitions  To ensure that young people can move and live successful adult lives  A workstream has been launched to review the existing offer and develop a more holistic independent living skills programme Disproportionality  We have high rates of children from Black, Asian and Minority Ethnic groups in our children looked after and youth offending cohorts  We have started pulling together data and responses from services, including multiagency partners, to understand why this is so and agree a workable intervention plan Business intelligence  To ensure we have full suite of performance report for strategic and operational managers to understand and improve services for children and families  A business intelligence activity plan and timetable has been implemented with operational oversight from the Mosaic Board and senior oversight from the steering group and Statutory Accountabilities Board ## Availability Of Robust Performance Data We have committed a significant investment of resources enabling us to provide access to a wider range of reliable data and live tools, and to strengthen our performance framework. Delivery Milestone  A specialist children's social care BI lead and data analyst have brought in sector expertise to enhance the pace of development of a full suite of high-quality performance reports  We have invested in the roles of Assistant Director for Performance and Improvement and Head of Performance and Improvement to enhance the pace and commitment, and to embed a stronger performance culture  We have developed a much stronger collaboration with the BI and Mosaic teams to jointly own the improvement work which is overseen by a steering group of senior officers  A new performance management framework has been in place since December 2020  Data now available includes weekly performance summaries, a monthly performance report, a Covid-19 and vulnerable children dataset and a developing suite of live dashboards  Managers are supported to use the new tools and held to account for their team's performance at monthly practice boards  An ambitious timeline has been agreed for completion of the full performance suite by April 21– Appendix 4. The work is supported by the Mosaic Board and overseen by the Performance Management Board, chaired by the DCS Impact  Availability and access to performance reports are leading to a better understanding and responses from managers including improvements in the timeliness of visits, assessments and supervision  Live performance dashboards accessible to team managers  Improved intelligence is supporting better understanding and strategic planning ## Case Recording, Including Supervision Records And Robust Recording Of The Management Of Allegations Delivery Milestone  Weekly Mosaic training and surgeries are being delivered to social workers and a Mosaic Change Board involving heads of service and the Mosaic team is taking place  Changes have been made to Mosaic steps and quick reference practice guides produced on specific areas of work  A new manual recording system and an action plan for the management of allegations has been implemented. A plan to develop a case management system on Mosaic is underway  Oversight has been strengthened by Independent Reviewing Officers (IROs) through mid-point reviews, IRO conflict resolution/escalation protocol and a Mosaic recording step Impact  Performance reports show sustained improvements in timeliness of assessments, supervision and visits  Practice week audit in February 2020 showed improvements in case recording, updated chronologies, the timeliness of supervision and management oversight.  Supervision audits reported improvements in the timeliness of supervision and management oversight ## Ofsted Recommendation 3 Capacity Within The Early Help And Contact And Assessment Services - Delivery Milestone  Family Support (early help) capacity was reviewed in January 2020 and capacity increased by 17%. We are currently reviewing the Family Support offer because of budgetary constraints. This will impact on staffing levels but ensure better interface with social care and a focus on vulnerable families  New centralised allocations and workload management systems in Family Support commenced in March 2020  An external audit of Family Support was completed in February 2020. The review highlighted positive practices and recommended areas for improvement. An action plan is in place  A Social Care caseload benchmarking and workload management system is currently in development  Family Support has recruited a senior Business Intelligence lead to help the service better understand the families they are working with and to target the right families. This work will improve the interface between the Family Support and Family Services and help us to better understand the impact of our early help service Impact Timely responses to families with many cases resolved without needing allocation  New centralised allocation system leading to effective and coordinated responses  Workload management ensures timely and proportionate allocation of cases.  Timely and improved performance reporting is enabling managers to track allocations and capacity and allowing flexibility when needed. This has ensured that social workers have manageable caseloads and assessment timeliness significantly improved ## Consistency Of Multi-Agency Information Sharing And Participation At Strategy Discussions Delivery Milestone Work has taken place at Safeguarding Partnership meetings to increase participation at strategy discussions Participation is discussed quarterly at Safeguarding Partnership Meetings and with CCG and Police leads A thematic audit of strategy discussion and section 47s has been completed and learning shared. The September 2020 Practice Week will dip sample strategy discussions and section 47s to assess their quality A one-minute guide on section 47s has been developed Impact Participation/attendance at strategy discussions/meetings by health & Police has significantly improved, enhanced by the switch to virtual meetings since COVID-19 Virtual strategy discussions/meetings are being established as part of our practice model ## The Quality Of Planning For Children In Need Delivery Milestone This is an area where we still have insufficient data and, as a result, our oversight of practice is not as strong as we would want. We have therefore commissioned an external auditor to review CIN work and thresholds. This work started in September 2020, after a delay due to the COVID-19 lockdown The BI team is developing reporting capability for CIN plans and reviews. Good quality examples of CIN plans are shared with social workers Team managers are routinely checking quality, outcomes and duration of CIN at supervision The Vulnerable Children's working group, in response to COVID-19, RAG rated all cases, including children in need. The RAG ratings are subject to regular reviews Impact Increased oversight by team managers Improved CIN plans ## Learning And Improvement Framework. How We Know About Our Performance? Performance Management Framework Performance Management Board - It Scrutinises High Level Business And Performance reports and identifies key lines of enquiries for further interrogation and reporting Improvement Board - It brings challenge and rigour to the improvement process and provides assurance and monitoring of improvement activities. Practice Forum - focuses on in-depth interrogation of performance by service area. Performance and Quality Forum brings together all managers including Independent Reviewing Officers (IROs) and Child Protection Advisers (CPAs) to review key performance, themes from audits and to share learning Learning and Improvement Workshops bring together social workers and managers to consider key performance, themes from audits and reviews, and the resultant learning External audits and reviews - CIN reviews, high risk cases review, family support audit. **Engagement of children and families –** Practice Week, Customer Care month, FS Trustpilot **Complaints and compliments –** delay in annual reporting **External audits/reviews** - Family Support, Complex & high risk cases (September 2020). Serious case/child safeguarding reviews **Governance and accountability arrangements -** Cabinet Member Briefings, Statutory Accountability Board, Local Children Safeguarding Partnership, Corporate Parenting Board, Bi-monthly Children and Education Policy and Accountability Committee (CEPAC) ## Learning And Improvement Framework. How We Know About Our Performance? Audit Framework  Practice Week It had shown that social workers and practitioners know their cases well, appropriately assessing need and risk. The voice of the child and their lived experience were evident in 85% of cases Good management guidance was reported in 95% of cases  Mental Health Audit Social workers have good knowledge of children' need and advocated on their behalf, Good care arrangements and input from carers advocated, evidence of effective multi agency work Good care  Supervision Audit showed improvements in case recording, updated chronologies, the timeliness of supervision and management oversight  COVID Audit Framework A range of audit activities were carried out from April 2020 to provide assurance that safeguarding practice was robust during the COVID lockdown  Effectiveness of Child Protection Plans Thresholds were found to be appropriately applied during this period in respect of ICPCs. Risk assessments were completed, and RAG rating updated following each visit. The Quality Assurance function had been strengthened with Child Protection Advisors conducting mid-point monitoring on child protection plans ## Learning And Improvement Framework. How We Know About Our Performance?  Child Protection Visits Visits audited during lockdown were of good quality and those that were conducted virtually were found to be insightful and addressed risks. There was positive engagement with the families. Social workers engaged with children and families in a range of innovative ways such as a fitness session and a video CV writing session with a hard to reach young person/ Good co-working and joint visits were undertaken with partner agencies including the Violence Intervention Project (VIP) and with CaMHS  Repeat Child Protection Plans In all the cases a repeat CPP decision was appropriate at the time however in some cases more could have done either before or after step down of the preceding CPP; responses could have been sharper when concerns started to re-emerge after step-down/closure; or other planning frameworks could have been considered  Missing Children There was a co-ordinated response based on the local COVID missing list and the MASH list compiled by the Missing Child Co-ordinator. The Missing Child Co-Ordinator reported an improvement in the recording of missing episodes in terms of accuracy and stronger management oversight, especially in the Looked After Children service. Cross- borough work was facilitated by the Missing Child Co-ordinator and there was strong examples of cross borough strategy meetings and mapping work. There was evidence of good quality Return Home Interviews. of ICPCs - Risk assessments were completed, and RAG rating updated following each visit. - The Quality Assurance function had been strengthened with Child Protection Advisors conducting mid-point monitoring on child protection plans ## Governance And Accountability Arrangements The council maintains a high support, high challenge and high expectations culture that combines being compassionate and financially ruthless. This culture runs through the council's leadership, governance and oversight arrangements, including:  Cabinet Member Briefing, where the Lead Member for children and education meets with the Director of Children Services and Assistant Directors fortnightly to discuss strategic issues and interrogate performance  Statutory Accountability Board, where directors and chief officers have sight of key reports and performance to interrogate and understand performance in relation to children and families and recommend next steps  Local Children Safeguarding Partnership. This remains a Tri-borough partnership arrangement. An independent review, which includes consideration of a move to a sovereign arrangement, is taking place with a report due imminently  Corporate Parenting Board quarterly forum where the Lead Member, councillors, senior leaders and children in care council meet to question and review practice and outcomes for children looked after and care leavers and agree areas for further development. The Board has met virtually during the COVID-19 lockdown  Bi-monthly Children and Education Policy and Accountability Committee (CEPAC) where councillors and residents scrutinise performance and hold senior managers to account and develop policy recommendations to improve our services

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